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NATIONAL LEGAL INSTITUTE OF MONGOLIA

NATIONAL LEGAL INSTITUTE OF MONGOLIA

LAW REVIEW
LAW REVIEW
Journal of legal and academic research, theory and practice
2015 5 (60)
2016 5 (60)

Ulaanbaatar 2016
Ulaanbaatar 2016
EDITORIAL BOARD

J.Amarsanaa Academician
B.Amarsanaa (LL.D)
D.Bayarsaikhan (Ph.D)
O.Munkhsaikhan (LL.D)
D.Sunjid (Dr.jur)
Ts.Tsogt Judge of the Administrative Appellate Court
B.Urantsetseg (Ph.D)
S.Enkhtsetseg Director of National Legal Institute
Kh.Erdem-Undrakh (Dr.jur)
A.Erdenetsogt (Ph.D)

Editor-in-Chief
S.Enkhtsetseg
Executive Editorin-Chief
Kh.Erdem-Undrakh
Acting Assistant Editor
B.Gonchigsumlaa
Designed by
Z.Erdenetugs

State Registration Number: 279 Address: 4th Khoroo of Chingeltei District,


ISSN: 2226-9185 Lawyers Street-1, Ulaanbaatar-15160, Mongolia
The National Legal Institute Phone: +(976)-11-315735
publishes this law review five times Fax: 315735
per year. Website: www.legalinstitute.mn
E-mail: lawjournal@legalinstitute.mn
CONTENT

BEFORE CREATING A LAW (UNDERLINE ARTICLE AND INTERVIEW)

Establishing a Forward-Looking Lawyers Association 5


An Interview with Mr.Vladimir Jirousek, the Former President of the Czech Bar
Association

LEGAL THOUGHTS: REFLECTION

Competition Law: Alignment of Private Law and Public Law 11


M.Munkh-Erdene, LL.M, University of Vienna

Introduction to Mongolian Law 17


Ts.Odgerel, LL.M, Researcher of National Legal Institute

IMPLEMENTATION OF LAW, EFFICIENCY AND ISSUES

Trust Law Concepts in Mongolia 27


J.Oyuntungalag, LL.D, Chief Judge of the Appellate Court for Civil Cases

The Extractive Industry: Legal, Economic and Policy Framework 36


J.Battuya, Managing Partner of Chinggis Law LLP

Criminal Justice System in Mongolia 42


B.Enkhbold, Ph.D, Head of Police Research Center, Research and
Development Institute, Law Enforcement University

LEGAL RESEARCH OVERVIEW

Das reformierte mongolische Sanktionensystem aus der Sicht


des deutschen Strafrechts 52
Kh.Erdem-Undrakh, Dr.jur, Wissenschaftlich Sekretaerin, National Legal
Institut der Mongolei.

INTERNATIONAL EXPERIENCE

Major Characteristics of the Hungarian Prison Service 75


Ts.Ganbadrakh, Student of the Doctoral School of Military Science,
National University of Public Service, Hungary

Plea Agreements in America: Does Anyone Really Win? 87


Major Sean M. Shea, USMC (Retired), J. D. Candidate, California Western
School of Law, San Diego, California
4
Before Creating a Law

ESTABLISHING A FORWARD-LOOKING LAWYERS


ASSOCIATION
was the Centre of Czech Advocacy
(CCA). Though the CCA was formally
independent, in fact, of course, it was
dependent. In this context, it should
be recalled the organization system of
the Czech advocacy, which consisted
of LCOs bringing together practicing
lawyers, these were placed under the
authority of the Regional Bar Association,
and all these parts were subject to the
control of the CCA. Steering of all the
An interview with Mr. Vladimir Jirousek, systemic parts of the advocacy was in
the former president of the Czech Bar principle entrusted to selected members
Association of the Communist Party, who are of
course subject to the Partys guidelines.
Regardless of this fact, however, the
Mr. Vladimir Jirousek has been
advocacy maintained to a significant
working as an advocate since the socialist
extent (in the personal-individual sense)
time. He is one of the leading figures in
an internal independence and the
the Czech lawyers community, who
majority of ordinary lawyers respected, as
has pushed the reforms of the Czech
much as possible, the principle mission
Bar Association (CBA). Mr Jirousek has
of the advocacy. In this sense, it may be
served as a member of the Disciplinary
noted that the advocacy was the only
Committee and a Board member as well
opposition tolerated to the regime at the
as the Vice-Chairman and the Chairman
time, although an opposition sui generis.
of the CBA respectively. Mr. Jirousek is
Did citizens in Czechoslovakia
the founder and partner of the law firm
have the right to choose its lawyer?
Jirousek, Skalnk, Bernatk & partnei
How did you select a lawyer for a case?
that provides legal services to medium-
In normal cases without political
sized and large companies in commercial
connotations citizens were free to choose
transactions.
to be represented by any lawyer. In a
Thank you for this interview.
criminal case, if a citizen did not chose
We may start with the time of
his/her lawyer, and the legal defence was
Czechoslovakia. How did you start
compulsory in law, he/she was assigned
your career as a lawyer?
ex officio a lawyer from the competent
I joined the legal profession in
LCO. In addition, however, for each
1974 as a law clerk (Konzipient, junior
administrative area existed special lists
lawyer). After completing a three-year
of advocates and only the advocates
legal traineeship under the supervision of
registered in these lists were entitled
a coach (senior lawyer), I passed the bar
to represent or defend in the matters in
exam and started exercising my advocate
which the discussed subject matter was
practice, on the basis of an employment
allegedly classified as confidential or
contract, in a (state run) law counselling
secret. Of course, it concerned mostly
office (LCO) in Ostrava.
the political cases, or as the case may be,
Did you have a Bar Association
the cases over which the party maintained
during the communist era? Was this
the control.
organisation independent?
From todays perspective, it
At the time when I started my
seems that the Advokates Collegium
career, the professional organization

5
LAW REVIEW 2016 5(60)

of the Mongolian Peoples Republic fundamental steps involved in starting


was organised like a single state run an independent bar association, then
law firm. It seems that the Advokates it should be mentioned the followings:
Collegium exercised control over the laying down the conditions for practising
salary of each lawyer. How was the the legal profession while ensuring a
practice in Czechoslovakia? free (liberal) exercise of the profession,
Legal services were paid entirely in i.e. an absolute abolition of the principle
accordance with the regulation on legal of numerus clausus, introduction of
fees, i.e. contractual prices were not compulsory insurance of legal services
allowed. Attorneys of each LCO (number and defining the rules of the disciplinary
of lawyers in each LCO was regulated responsibility of advocates.
e.g. for Ostrava and the district of Ostrava How do you select the president
applied a limit of up to 27 lawyers) were and board members of the CBA? Are
employees in employment relationship there differences in voting procedures
whereby their maximum salary was set that were used during the communist
significantly lower than was the case with era and those used today? Did you
prosecutors and judges (taxi drivers and have to deal with the situation where
hairdressers had also salary significantly a handful of people exercised power
higher). Usually once in a quarter the over the Association during several
LCO head was deciding, in collaboration generations? If so, how did you
with the management of the Regional democratize the Bar Association?
Bar Association, about bonuses by Every four years the Assembly of the
considering the amounts earned for the CBA is convened, whereby each advocate
LCO by the advocate. In this context, has the right to attend the Assembly.
it should be noted that even under the The Assembly elects 11 members of the
socialist rule the citizens paid for legal Board of the CBA and five alternate Board
services from their own money (there was members. Board members then elect
a cash desk in each LCO). the president of the CBA. In addition,
What reforms did you do to ensure the Assembly elects the members of the
the citizens right to choose their own Supervisory Board of the CBA and the
lawyer after the fall of the communist members of the Disciplinary Committee
regime? How did you reform the CC? and the Appeal Disciplinary Committee of
What did you do for establishing an the CBA.
independent bar association? It is true that during the socialism
As for the citizens right to choose existed, within the limits set by the then
their own lawyer, there was necessary applicable provisions, the CCA electoral
nothing else than to abandon the above- conferences, but with the important
mentioned lists. We embarked on the difference that the candidates for the
reform of the legal profession immediately functions were, safe exceptions, carefully
after the fall of the totalitarian regime, selected and appointed (the clear majority
and already during the first half of 1990, were members of the Communist Party,
we prepared and got through such who were relatively very few in the legal
legislative changes that, as from 1 July profession).
1990 each advocate, until then registered At present, any of the advocates can
as an employee of the CCA, became an run for any function based on his or her
independent and self-employed lawyer, free decision. I can say that it has never
and this as a member of an independent happened since 1990 that a group of
and autonomous professional people would have an uncontrolled power
organization - the Czech Bar Association over the Association. For example, the
(CBA). I emphasize that from the very CBA president is the subject to the control
beginning until now the membership of the and the disciplinary powers of the CBA
advocates in the Czech Bar Association is bodies are independent from the Board of
mandatory. Directors of the Association.
If you ask about the first and The Czech Republic is

6
Before Creating a Law

economically integrated with the were these companies led by foreign


European common market and the lawyers, then it meant almost exclusively
world market strongly. There are many the matters of management. Today, also
foreign law firms in the Czech Republic. these positions are held mostly by Czech
It seems, however, that the Czech law advocates. I would like to emphasis here
firms are highly competitive against that the openness of the Czech advocacy
the foreign law firms. to the world paid off.
Already in the 90s of the last century In Germany, for example, the
the CBA allowed the operation of foreign law firms are led by partners who are
lawyers and foreign law firms in the entitled to share the profits. A contract
Czech Republic. Although the move for provision of legal services is in
was criticized at the beginning, it soon principle concluded between the client
became apparent that it was a step in and the law firm. The client pays the
the right direction, because the Czech law firm. This means that the finances
lawyers, namely the larger law firms with of the law firms are separate from its
larger ambitions, had to demonstrate shareholders (partners). What is the
following the entry of the foreign players principal structure of financing in an
in the market sufficient quality to be average, well-established Czech law
competitive. At present, the situation is firm? What is the main feature of the
completely free of conflicts, and moreover liability of the advocates in relation to
the so-called foreign law firms are today the client?
virtually without exceptions managed An advocate may perform advocacy
and staffed by the Czech advocates. In individually, in an association or in limited
this context, it is also to be recalled that liability companies, limited partnerships
the Czech Republics accession to the (Kommanditgesellschaft) or general
European Union enshrined the institute of partnership (Offene Handelsgesellschaft).
the established European lawyer and the If the lawyer practices law within the firm,
visiting European lawyer. the practice is similar to that in Germany.
What is the main feature of the The advocate himself / herself may also
regulations concerning the foreign be a firm, or be employed by another
lawyers and law firms? lawyer. He or she can also practice
Generally, the lawyers from the advocacy in liaison with a firm, association
EU are authorized to provide legal or with another advocate in a so-called
services in another Member State under associated form based on the contract as
approximately the same conditions, either defined by the Act on Advocacy.
in the position of the so-called visiting Regarding the liability for damages,
lawyer or as a so-called established an advocate who practices advocacy
European lawyer. The Act on Advocacy independently or in association is
also regulates the operation of foreign responsible for damage to the client
law firms in the Czech Republic. A visiting personally, or in solidarity, if an advocate
European lawyer operates on a case- practices law in a company or a foreign
by-case basis, which is reflected in a company, the company is liable for the
relatively simple regulation of his position. damage caused to the client. Something
Established European lawyer must be else, however, is the responsibility for the
registered in the list of European lawyers performance of an advocate in relation to
kept by the CBA, whereby the conditions a client in terms of disciplinary liability. It
for his or her registration are relatively can be stated that in the Czech Republic
extensive and stringent. both the corporate practice of law and the
The advocates providing legal independent law practice are developed.
assistance through an established foreign One does not exclude the other. It should
law firms are mainly Czech advocates be emphasized, though, that only the
registered in the list kept by the CBA. If advocates may be partners or associates
in the beginnings of the functioning of in the law firm and the subject of business
foreign law firms in the Czech Republic may only be the practice of law.

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LAW REVIEW 2016 5(60)

Normally, the owners of law firms compulsory insurance for damage.


should be lawyers by themselves. In Mongolia, the system tends to
This principle seems to be global, so create two different markets, namely
that worldwide law firms are owned by the one for the legal advice and the
lawyers only. other one for the legal representation
But it is not true that the principle that before courts. In your opinion, what
partners in a law firm could only be lawyers are the risks or benefits associated
applies throughout the world. One can with this system?
find multifunctional companies providing, I am not able to fully assess the
among others, legal services in the practice in Mongolia that you describe.
Anglo-Saxon concept. To my knowledge, However, I am convinced that a division
however, the advocate professions both of the subject-market always introduces
in the Czech Republic and in continental a kind of schizophrenic condition
Europe refuse this practice. which can lead to unhealthy, even to
For example, in Germany, those unfair competition. I am convinced that
who are not members of the German advice and representation are that
Bar Association may not provide much connected vessels that mostly a
legal advice as independent lawyers. continuous relationship is necessary.
Likewise, they may not represent a Advocates often cooperate with
client before courts. Do you have a professions such as patent attorneys
similar system in the Czech Republic? and tax advisors, who are not lawyers.
If so, do you think that such restriction In Germany, the advocates may
is necessary for the development of establish partnerships with a limited
independent advocacy? range of other professionals. Do
The system in the Czech Republic you have similar rules in the Czech
is indeed similar. In principle, the Republic?
commercial provision of legal services We reject multifunction law firms.
along with the right to represent clients Cooperation with other professionals on a
before courts for fees is reserved only relevant contractual basis, however, is a
for advocates and notaries. It is principle commonplace. If you mention e.g. patent
that exclusively advocate (exceptionally attorneys, then many Czech advocates
notary) registered in the list maintained by are specialists in the patent field and it is
the Bar Association may perform the legal their primary legal activity.
representation for consideration. What are the conditions of
This legal practice is however operation of an advocate in the Czech
eroded e.g. by general proxies who act Republic?
in the manner that, seemingly (on the First, the candidate for advocacy
outside), the service is provided for free. must graduate in law master studies at one
The possibility of such representation, of the universities that have appropriate
however, applies only to civil litigation. accreditation (universities in Prague,
The representation through the above- Brno, Olomouc and Pilsen). The studies
mentioned general proxies is, therefore, are concluded by a state examination and
exceptional. defence of a master thesis, and followed
It is of course also true that a company by a three-year legal traineeship based
may be represented by a company lawyer on an employment relationship between
in litigation, and special regulations apply a particular advocate (trainer) and a
for the representation of the state, for trainee. Within the framework of the legal
which the lawyers employed by the Office traineeship, the trainee must participate
of the Government Representation in in compulsory professional education
Property Affairs act before courts. organized by the CBA. When the above
The quintessence derives from conditions are met, the trainee must pass
the fundamental rule that the advocate the advocate examination, which consists
provides legal assistance under his/her of a three-day written exam (every day
disciplinary liability and covered by the a written test from one of the three main

8
Before Creating a Law

subjects: Civil Law including Family Law primary emphasis on the principle
and Labour Law, Commercial Law and of independence. The fundamental
Criminal Law) and subsequent oral exams requirement for the formation of an
before the five-member commission (each independent advocacy is a creation of an
of the aforementioned law areas plus autonomous Bar Association ensuing from
Constitutional and Administrative Law and a legislative act, i.e. not merely on the basis
Regulations of the Advocacy Profession). of a legislative act, whereby the autonomy
The head of the Examination Commission (i.e. self-governance) must be complete
is an advocate, but the Commission is in the sense that all competences of the
also composed of judges, academics, public-law nature i.e. those that enable
etc. Each member of the Commission the complete and integral management of
examines an area of law. the advocate profession are delegated
It is important that the attorneys- to the Bar Association.
at-law keep up with the changing legal Any interference of the government
and business environment. Therefore, in the autonomous operation of the
the role of the Bar Association, as advocacy is an interference in the
the organisation for the advanced independence and as such a dangerous
education of its members is important. intervention in the very mission of the
Do the Czech advocates need to advocacy, thereby also in the principles
participate in obligatory training of democratic justice. We will surely agree
programs? that advocacy is undoubtedly a part of the
As already mentioned, the Czech justice in a broader sense.
advocacy ensures mandatory training of It is essential to realize that to
the legal trainees (Konzipient). During my the independence is linked another
tenure at the head of the Bar Association, fundamental principle of the advocate
we tried to enact compulsory education profession, and this is the duty of
of advocates in the range of about 20 confidentiality. The advocacy would not
hrs. per year, but the legislative proposal be able to protect this duty if e.g. the
did not pass the Czech Parliament. The government interfered in the independence
truth is that today we are coming back to of advocacy. Therefore, for example,
this question again and the need for the the CBA speaks loudly today about the
compulsory education of advocates is need to professionalise the control and
voiced louder and louder. On the other disciplinary functions although solely
hand, I may mention perhaps that under within the framework of the autonomy of
my leadership two permanent training the advocacy when we at present see
centres were established, in Prague and the signals of attacks by government
Brno, whereby their utilization rate and authorities against the exercise of the
the interest of responsible advocates are control and disciplinary competences
enormous. by the Bar Association. There is no
The 25 years following the doubt that any intrusion by a state
fall of communism in Mongolia official in the control powers vis--vis the
yielded many positive results, as advocates would be totally unacceptable
well as many new challenges. One interference with their independence, and,
of the biggest challenges is the at the same time, a manifest breach of the
independence of the judiciary. The duty of confidentiality. In this context, it is
lack of strong independent law firms necessary to constantly remind that the
further underscores the importance duty of confidentiality was not established
of this challenge. What would be your to cover the back of the advocate but
advice for the Mongolian lawyers in virtually exclusively in order to protect the
this regard? interests of the client.
The independence of advocate And what I wish the Mongolian
profession is an essential prerequisite advocacy and the Mongolian advocates?
for the fulfilment of its mission. That A single self-governing organization
is why the Act on Advocacy puts the compulsorily uniting independent,

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LAW REVIEW 2016 5(60)

disciplinary liable and adequately insured This interview was prepared by Dr.
advocates. Uyanga Delger, legal advisor in Intellectual
Mr. Jirousek, thank you for the Property Law
interview!

---o0o---

10
Legal Thoughts: Reflection

COMPETITION LAW: ALIGNMENT OF PRIVATE LAW AND


PUBLIC LAW
M.Munkh-Erdene, LL.M, University of practical requirements, or how effective
Vienna the regulation is. Also, the question
whether the regulation has a direct
consequence, and the professionality of
1. Foreword the public administrative apparatus, which
In the world-renowned law dictionary implements a direction towards controlling
Creifelds, the concept of Economic and stopping unfair competition, is directly
Competition is described as a competition liked to growth and development.
between independent economic entities, Therefore, a thorough theoretical and
when they emerge in the market together practical knowledge on the competition law
or independently, on making an offer and is required for business sectors lawyers,
a deal with clients or suppliers a more lawenforcing public administrative
profitable and favourable terms than organisations and their staff.
others1. The concept is no longer foreign 2. The Competition Law A
for Mongolia as the decided to embrace Distinctive Sector Law
the free market economy2 and adopted In modern time, the competition law
the Constitution of Mongolia in 1992. is being developed to become distinctively
Competition is a fundamental concept sector law. For example, the competition
of the market economy. A fair competition law has the natures of both public and
keeps the economy sound and brings private laws and is connected to their
development while underdevelopment, regulating items in many aspects.
poverty and destruction are caused A systematic division of the law
by an unfair economy3. As part of the into the public and the private is one of
priority to prevent unfair competition, a the achievements of civil law (Romano-
mechanism for the competition law has Germanic law). The basic principle of
been constituted with a perpetual focus Mongolias laws and other legal standards
on the effective nature and innovation is based on the civil law4. The private law
of any countrys legal regulation for the is a complex set of standards that regulate
competition law. the relations between legal subjects with
Numerous studies and practices from equal rights while the public law regulates
many countries reveal that a countrys the relations of legal subjects with unequal
economic growth and development rights which belong to the public oris under
directly rely on how optimised the management of the public or other public
regulation is, whether it meets the law entities.5
In plain words, the civil law, which is
1
Creifelds law dictionary., 19th edition., Munich., 2007., the main sector of the private law, regulates
page 1370
agreements. Administrative law, which is
2
Please notice that according to the Constition of Mongolia
1992, the choice was the market economy system with the
the main sector of public law, deals with
appropriate state regulation. A legal basis for this is stated in administrative acts and contracts.
Article 5, Clause 4 of the Constition:The state/government Competition law and its regulations
regulates the economy consistently with the aim to ensure
the economic security and social development of economic
and standards are subject to both private
entities and population. Another thing to notice is that some and public law, which leads competition
national researchers including PhD in law G.Banzragch
said: As the constitutiondoes not specify type of the econo- 4
Please note that it is mentioned in some recent literatures
my, it would be reasonable to consider that this is the econo- on law theory that the common law and the civil law are
my withneutral and open nature. G. Banzragch., Economic intensively covering each other this is being evidenced
Administraive Law.,Ulaanbaatar., 2013., page59. through practices by German and US courts to some extent.
3
G. Banzragch., Economic Administraive Law., Ulaan- 5
Creifelds law dictionary., 19th edition., Munich., 2007.,
baatar., 2013., page 160 page 907.

11
LAW REVIEW 2016 5(60)

law to become a distinguished sector law. unfair competition.


3. Connection between the (2) Any act of competition contrary
Competition Law and the Private Law to honest practices in industrial or
The origin of competition law dates commercial matters constitutes an act of
back to the end of the 19th century unfair competition.
when a number of strong trusts new (3) The following in particular shall
type of economic entity emerged be prohibited:
in the US economic sector and then (i) all acts of such a nature as to
dominated the main economic sectors create confusion by any means whatever
and started running operations against with the establishment, the goods, or the
consumer interests. This forced the US industrial or commercial activities, of a
governmenttomake a policy to control and competitor;
regulate the market competition and limit (ii) false allegations in the course
monopole operations, which created ever- of trade of such a nature as to discredit the
first well-arranged understanding on the establishment, the goods, or the industrial
prohibition of unfair competition.6 or commercial activities, of a competitor;
Since then, some other countries (iii) indications or allegations
started forming their own legal regulations the use of which in the course of trade
for competition7. For example, Germany is liable to mislead the public as to the
adopted the Act against Unfair Competition nature, the manufacturing process, the
(AAUC) in 1896. characteristics, the suitability for their
Mongolia first adopted the Law purpose, or the quantity, of the goods.
on Prohibition of Unfair Competition This article is to make its readers
(LPUC) in 1993 and its updated version understand its aim to consider how the
was passed by the parliament in 2010, prohibition of agreements and deals,
renaming it the Competition Lawof which might cause bottleneck in the
Mongolia. The law aims at creating a LPUC, is regulated so that the competition
condition which enables fair competition law directly relies on the private law.
of economic entities in the market, the To understand this, four main objects
prevention, prohibition and limitation of protected by the competition law need to
any dominations or operations against be considered frist. These include:
fair competition, and determination of a This article aims at explaining the
legal basis for the government agency to regulation of
regulate the competition. 1) Protection of a competitor against
As part of international conventions unfair competition;
for the prohibition of unfair competition, 2) Protection of a consumer against
the statement of Article 10bis of the Paris unfair competition;
Convention for the Protection of Industrial 3) Decentralisation of power; and
Property adopted in 1883 reads:8 4) Limitation of an agreement
(1) The countries of the Union are against fair competition.
bound to assure to nationals of such Protection of competitors: One
countries effective protection against subject protected by the competition
law is the competitors. Article 1 of the
6
The Unfair Competition Supervising and Regulatory Agen- AAUC reads: The Act aims at protecting
cy of Mongolia, 2005-2007 /report, research, audit/., Ulaan- competitors, consumers and other
baatar., 2007., page 4
stakeholders against unfair agreement
7
Gesetz gegen der Wettbewerbsbeschrnkungen and Ge-
setz gegen den unlauteren Wettbewerb in Germany; Anti-
activities. At the same time, it also
trust law (Sherman Act, 1890, Clayton Act, 1914, Federal aims at protecting the public interests
Trade Commission Act, 1914) in the US; Restrictive Trade in the competition.9 According to the
Practice 1976, Fair Trading Act, 1973, Resale Price Act,
1978 Competition Act 1980 in the UK;Monopoly Regulation
above statement, the main goal of the
and Fair Trade Act, 1981 in the Republic of Korea; Prohibi- competition law has clearly and accurately
tion of Monopoly and Maintenance of Fair Trade Act, 1947 been determined by the Act.
in Japan; and Law on Prohibition of Unfair Competition in
Mongolia, 1993, 2000, 2010.
Protection of consumers: The
8
http://www.legalinfo.mn/law/details/1194?lawid=1194 9
Art. 1. Gesetz gegen den unlauteren Wettbewerb, BRD

12
Legal Thoughts: Reflection

competition law also functions to protect ) Vertical Agreement;


consumers against unfair competition. ) Data Exchange Agreement11.
The issue is not completely regulated by The horizontal agreement is made
the Mongolias competition law and the between competitors in the same sector
law does not serve from the perspective of while the vertical agreement is made
unfair competition. However, competition between competitors in different sectors.
law is an independent law. In fact, it The data exchange agreement is an
only protects the consumers interests in activity of data collection through data
terms of non-competition issues including exchange from/to one another or through
hygienic requirements during processes competition limitation and data distortion.
such as sale, purchase, work performance The most common type of
and service provision. But German and the horizontal agreement is price
European competition laws focus on fixing agreements, which are when
the issue without putting the consumers manufacturers, suppliers and vendors
protection issue aside. agree to sell the same product in the
Decentralisation of power: The market at the same price. Another
purpose of this objective is to prevent common type of price fixing agreements is
centralization of economic powers an equal market sharing agreements. This type of
distribution of the economic resources. In agreements includes manufacturers and
his address to the US Congress, the 26th suppliers sharing the market and agreeing
President of the United States Theodore on a specific market segment and
Roosevelt said that when private power geographical location to run operations.
becomes stronger than the democratic Besides that, the agreement also
state, the liberty of democracy is unsafe10. involves quota arrangements between
In the past, AT&T, of one of manufacturer and supplier on the quantity
the worlds largest corporations was of products, exclusive supplier vendor
weakened through the US competition relationship and much more.
law, to prevent monopolization of power. The horizontal agreement is
Also some court decisions made against considered to be in contradiction of
tech giants such as Microsoft, Apple and competition as it limits the competition.
Samsung could be mentioned. In Mongolia, it is also deemed an
Limitation of agreements against invalid agreement that contains legal
competition: The most important consequence that was per se illegal12
objective of the competition law is the according to Clause 56.1.1 of the
limitation of anti-competition agreement. Civil Code of Mongolia. Besides, the
The core value of this article is subject agreement could also possibly create a
to the object and the way that the cartel agreement in its classical meaning.
competition law becomes part of the European Unions competition law
private law is clearly proved on this regards the issue in the same fasion
point. Because very many number of and Clause 101.2 of the Treaty on the
agreements are discussed on the point. Functioning of the European Union13
The agreements of competition law are a states that the horizontal agreement or
major subject of discussion by lawyers in cartel is illegal.
business sector. One of the Most commonly found
Stakeholders in the market usually vertical agreement is the tying agreement.
make various agreements that cause For the content, a manufacturer and
bottlenecks in the competition in order
to protect themselves against the 11
Regarding this
competition. Theoretically, they fall under 12
The term Per se illegal means the act is inherently illegal.
The principle is an essential part of the US anti-trust law
the following three categories: as it undoubtedly considers any horizontal agreements an
) Horizontal Agreement; invalid/ineffective and imposes criminal liability. Please refer
10
... the liberty of a democracy is not safe if the people toler- to Northern Pacific Railway v. United States, 1958, 356 US
ate the growth of private power to a point where it becomes 1 (US Supreme Court).
stronger than their democratic State itself. - Message to 13
Art. 101 Abs. 2 AEUV, http://www.aeuv.de/aeuv/dritter-teil/
Congress on Curbing Monopolies. April 29, 1938. titel-vii/kapitel-1/abschnitt-1/art-101.html

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supplier make a mutual agreement in insolvency, or provide consumers with


which a vendor conditions the sale of a misleading figures.
particular product on a vendees promise The importance of categorising the
to purchase an additional unrelated anti-competition agreements determines
product. a causal relationship that becomes the
The other common types are the basis of legal responsibilities. The type
exclusive dealing agreements in which of responsibility to be imposed depends
manufacturer and supplier agree that on the agreement type; whether the
they will only deal with a certain vendor agreement is a horizontal or a vertical. If
and the resale (retail) price maintenance any cases of the horizontal agreement are
agreements in which manufacturer and found and confirmed, it would be the basis
supplier set the prices of products. to impose the legal responsibility which is
Data exchange agreements are relatively heavier than that of the vertical
activities in which manufacturer and agreement.
supplier exchange their information on How the three types of agreements
the industrial cost, price, know-how, are defined by the Competition Law of
technique and technological indicator, Mongolia14 is as follows:
or exchange data on consumers face
14
http://www.legalinfo.mn/law/details/12?lawid=12

No Agreements and activities prohibited by the Competition Law of Mongolia


Type of Agreement: Horizontal Agreement
The Competition Law of Mongolia 11.1
- Agree and set the prices of products;
- Divide the market into territory, production, service, sales, product description,
and buyer;
- Limit production, supply, sale, loading and transportation of a product, market
penetration opportunity, investment, equipment and technological innovation;
- Pre-agree the price of products and other conditions and requirements before
taking part in competitive selection, tender and the public procurement of a
product, work and service.
The Competition Law of Mongolia 11.2
- Object to the establishment of any economic relations without carrying out a
1
feasibility study;
- Limit sales and purchase of goods to/from a third party;
- Co-object to any agreements that are important for the competition;
- Hinder competitor in becoming a member of any organisations to increase the
profitability of an economic entity.
The Competition Law of Mongolia 7.1
- Set the price and identify the territory of a product to be resold;
- Demand any economic entities unreasonably to transfer its financial tool,
property, their rights and workforce to oneself;
- Demand competitor to reorganise his/her company in ways of incorporation,
merger and acquisition, division and separation.
Type of Agreement: Vertical Agreement

14
Legal Thoughts: Reflection

The Competition Law of Mongolia 7.1


- Creating an artificial scarcity, halt the production and sales of a product and limit
the quantity of a product;
- Setting unreasonably high price for a product;
- Demanding additional condition from an economic entity, charge different prices
for the same product sold in the market and object to product sales without any
reasonable base;
2 - Hindering other economic entities in emerging in the market and charge lower
prices than the market price in order to push them away from the market;
- Objecting to establishing other economic relations without a feasibility study
and set criteria without reasonable bases;
- Demanding vendor not to buy its competitors product by setting a condition
when selling own product;
- Demanding vendor to include irrelevant provisions in the agreement on a certain
product and set a discriminatory condition for other stakeholders in the market.
Type of Agreement: Data Exchange Agreement
The Competition Law of Mongolia 12.1
- Spreading a misleading, biased or distorted data and information that damage
the reputation of the competitor and its products, or might bring loss to the
competitor;
- Misleading others using untruthful data and information such as providing
misleading or biased data on its product, or distorting the truth;
- Placing an advertisement that causes negative consequences for the
competition;
- Using a trademark, label, name and product quality guarantee of other economic
entities without their permission, and imitating their names and packing;
3
- Selling, publishing or distributing confidential information on science, technology,
industry and trade without permission of a patent owner or author;
- Concealing the product quality deficiency or the natures of its harmfulness to
human life, health and the environment;
- Spreading misleading information that products that are on sale, or intentionally
organising false sales while it has already been agreed with parties in advance
through offer;
- When taking part in the activities including competitive selection, tender and
the public procurement, misleading competitors about that activitys realistic
condition and putting them under pressure.

Another prohibition stated in aim to limit the competition, an economic


Clause 12.1.10 of the Competition Law entity,it means that competitors cannot
of Mongolia, which is not included in the use any trade methods that are against
above table, is a concept that reads: legal interests of one another through any
Using a trade method that is against activities aimed at limiting the competition
legal interest and that illegally damages among them15.
consumer.
The statement considers two types
of actions: Using a trade method that is
against legal interest and Using a trade
method that illegally damages consumer. 15
There have been several practicesinthe court stages that
settled disputes by using Clause 12.1.10 of the Competition
The formers legal interest should be Law of Mongolia and an explanation on how to understand
considered covering legal interests of the statements content has been given by the court. With
overall competitors in the market. Because regards to this, please refer to the Supreme Court of Mon-
golias Decision No. 96 dated on April 20, 2015 on a legal
Clause 12s general provision of the law case related to National University of Mongolia (plaintiff) and
is interpreted as it starts with With the AFCCP (defendant).

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LAW REVIEW 2016 5(60)

4. Connection Between the conclusions; or


Competition Law and the Public Law B) As the administrative act is the only
The competition law is not only subject way to identify the competition limitations
to the private law as aforementioned, or anti-competition agreements, the acts
but it is also connected to the public law legal basis should be proven through
according to the ideology and trend of certain documented evidences that are
a modern legal science. The public law deemed sufficient.
internally serves as a special study of the In plain words, it means that if M
administrative law. At the same time, it (manufacturer) and S (supplier) provided
has become an important subject for the C (consumer) with false and biased
economic administrative law16. product information when M and S sell
A pioneering rationale which is subject their product to C, then C should prove
to the competition and administrative law it through evidence collected by using
is that the way the public administrative evidence methods and tools acceptable
agency Agency for Fair Competition by the law.
and Consumer Protection of Mongolia Without evidence, general and
(AFCCP) is given a direction and abstract conclusions cannot be made
function to examine, identify and impose and an audit cannot be conducted just
responsibilities on any competitors in the based on a hypothesis that once M and S
market that entered into any agreements damaged C then they might have damaged
or actions against the competition, P (person), or there might be damage to
including cartel agreement. P. If it is audited without any evidence,
Business sector lawyers are required then the State Principle for Audit (to be
to have an in-depth knowledgeon the conducted within the scope of eyewitness
general and special categories of the testimony and evidences derived from the
administrative law when they have any testimony) will lose credibility, and it might
legal disputes in relation to the competition cause a serious deficiency in the activities
law based on the above rationale. They of the Rule of Law.
also need a deep understanding of the There is an independent and detailed
administrative act the main study of the rule against anti-competition agreement
administrative law issued by the public and cartel17 adopted by EU.According
administrative agency and its officers. to the rule, processes for identifying
Simultaneously, a sufficient knowledge on and auditing any illegal competition
the agencys function is also required. agreements or cartels have been put in
The AFCCP examines and identifies order.
any agreements or actions against the When it comes to the Competition
competition based on the rationale and Law of Mongolia, it does not regulate the
provision stated in the law, and has as issue above in detail and a special rule for
prime responsibility proving the results the regulation is still absent.
before the court. In conclusion, the competition law is a
In proving the results, the AFCCP distinctive sector law which contains legal
should consider the following legal natures of both private and public law. In
requirements: terms of these natures, the competition
) As the public administrative law exists between an alignment of
agency in charge of fair competition the public and private law, which is
does not issue an act by identifying any the same as that of the labour law. The
agreements/actions limited or against the article aims at making it certain that an
competition (it is impossible to do so), it issue of the competition law for business
would be impossible to prove if there were sector lawyers absolutely requires high
any unfair agreements or limitations in the knowledge on the public and private laws.
competition through general and abstract
---o0o---
16
Detailed information is available in a literature by G.Banz-
ragch.,The Economic Administrative Law., Ulaanbaatar., 17
Verordnung 1/2003, Durchfhrung von Verfahren 773/04,
2013. Europischer Rat

16
Legal Thoughts: Reflection

INTRODUCTION TO MONGOLIAN LAW

Ts.Odgerel, LLM, Researcher of National peoples right to govern. The Parliament


Legal Institute is unicameral and consists of 76 members
elected by election.2
The main sources of law in Mongolia
I. INTRODUCTION are: (i) the Constitution; (ii) parliamentary
The purpose of this article is to laws, or statutes; (iii) other types of
introduce an outline and main aspects legislative acts; (iv) international treaties
of the legal system of Mongolia and to and law; (v) emergency executive orders;
provide readers with general information (vi) orders; and (vii) municipal ordinances
on Mongolian law. and municipal rules of local governments.3
The political transition of 1990- B. Categories of Status
1992 saw Mongolia move away from i. Constitution
the previous communist ideology and With the Constitution of Mongolia
Soviet system toward a constitutional being enacted in 1992 by the State
democracy, free market economy, a multi- Great Hural (the Parliament), the country
party political system, and a unicameral codified its acceptance of human rights,
parliament. To undertake changes of such democratic values, the market economy,
sweeping sociopolitical and economic and the rule of law. The 1992 Constitution
scope in such a short period, Mongolia is the fourth in the Nations history,
effectively managed a deliberate and following those of 1924, 1940 and 1960.
expansive process. To some degree, the All other constitutions were established
transition is still a work in progress, and with regard to socialist structures and
much of this can be seen through the lens the communist model for government
of Mongolias ongoing legal and judicial and society. The 1992 Constitution has
reforms. 6 chapters and 70 articles; included are
It is important to recognize from chapters on Sovereignty of the Mongolian
the beginning that Mongolian law follows State, Human Rights and Freedoms,
the Germanic, or Continental, tradition state systems of Mongolia, administrative
of law; that is to say that common law, and territorial units of Mongolia and their
or case law, does not exist in Mongolia governing bodies, the Constitutional Court
as it does in the U. S., U. K., and other of Mongolia, and amendments to the
countries that follow some form of the Constitution of Mongolia. Amendments
common law tradition. No new law is to this Constitution have thus far been
made by Mongolian courts through their made in 1999 and 2000 only. By the 1992
rulings; there is no precedential value Constitution, the highest organ of state
in Mongolian jurisprudence, only the power and the highest legislative power
application of existing laws by the courts. is vested solely in the Parliament; the
With this in mind, we will first discuss highest executive body of the State is
briefly the sources of current Mongolian the Government; and the judicial power
law before examining the laws of Mongolia. is vested exclusively in the independent
II. LEGISLATIVE SYSTEM courts in Mongolia. Therefore, the
A. Overview President is the Head of State and living
Supreme legislative authority in
Mongolia is vested in the Parliament.1
2
The State Great Hural (Parliament) of Mongolia,
About State Great Hural, http://www.parliament.mn/en/
The mission of the Parliament is to build stategreathural, (last visited Jul. 18, 2016).
a nation with humane and civil democratic 3
Overview of the Mongolian Legal System and Laws,
society and to ensure the Mongolian Sources of Law http://www.nyulawglobal.org/globalex/Mon-
golia_Research.html#SourcesofLaw (last visited Jul. 22,
1
Mong. const. art. XX (1992). 2016).

17
LAW REVIEW 2016 5(60)

embodiment of the unity of the Mongolian it is dissolved upon either resignation of


people. the Prime Minister or the simultaneous
Article 1.2 of the Constitution states resignation of half of the Cabinet, or
that the Constitution of Mongolia is the upon a parliamentary vote for dissolution.
core of Mongolian law, and the foundation The Cabinet and its ministries are
of the countrys legal system. directly accountable to Parliament.
According to the Constitution and The main function of the Cabinet is
related laws of Mongolia, the parliament, to implement the laws of Mongolia, in
executive body (the Government) and accordance with its constitutional duties
judicial branch (Court system) shall to direct economic, social and cultural
exercise the following powers: development of Mongolia. The Cabinet is
1. Parliament. currently composed of 13 ministries, each
Per the Constitution, Parliament has charged with carrying out the various
both legislative and oversight authority as programs and projects within their scope
delineated below: of responsibility, and with formulating
- Legislative functions are primarily policies in their relevant areas.
the preparation for and the conduct of 3. Judicial system.
plenary sessions or standing committee The Supreme Court of Mongolia
sittings, discussing drafts of laws or other is the highest judicial organ of the State
decisions of the Parliament and adopting, and the national court of last resort. The
and passing laws and resolutions. Supreme Court is comprised of a Chief
- Parliamentary oversight authority Justice and 16 Justices, and its jurisdiction
includes the power to: conduct hearings is exercised by three chambers: Criminal,
and call for reports, presentations and Civil and Administrative. The main duties
briefings from the Cabinet and other of each chamber is to adjudicate cases
organizations directly accountable to under their jurisdiction and to provide
Parliament; holding the Prime Minister, professional guidance to judges within
cabinet members and executives of other those corresponding areas of law. These
organizations directly accountable to the chambers were created by the Supreme
Parliament, and to that end generate Court and their membership is approved
debate of government responses and by the Chief Justice. The judicial system
issues in its sessions; holding the Prime of Mongolia is composed of the Supreme
Minister, cabinet members and executives Court (the court of cassation or review),
of other organizations directly accountable lower province and capital city courts
to Parliament, and in the course of that (the court of appeals), the soum (sub-
duty demand appearances of those administrative unit under province), or
officials to deliver responses to inquiries; inter-soum courts, and district courts
assessing implementation of laws and (courts of first instance).
other resolutions of the Parliament at Soum, inter-soum and district courts
the cabinet and other organizations that have jurisdiction only at first instance;
directly accountable to the Parliament and Province courts, found in the
generate debates through the Standing province capitals, deal with appeals from
Committee, or if necessary at the plenary the lower level courts;
sessions; and delivering the verdict on The Supreme Court is the highest
professional or ethical offenses committed court in the land, and deals with any
by the Prime Minister, cabinet members, matters of first instance that are not
those who have been appointed by the specifically within the jurisdiction of the
Parliament, and executives and members lower courts. It also hears appeals of
of other organizations that are otherwise decisions of the provincial courts as well
directly accountable to the Parliament. as the Capital city court.
2. Executive Body.
The highest organization of the
executive body is the Cabinet, which
shall serve for a four-year term unless

18
Legal Thoughts: Reflection

medals;
Grant pardons;
Decide matters related to granting
and withdrawing Mongolian citizenship
and granting asylum;
Head the National Security
Council of Mongolia;
Declare general or partial
conscription;
Declare a state of emergency or
a state of war in any portion or throughout
the entirety of the national territory in
an emergency situation as described
in paragraphs 2 and 3 of Article 25 of
the Constitution of Mongolia, where
such circumstances of urgency exist
4. President. when Parliament is in recess, and to
The President of Mongolia possesses issue ordinances commencing military
and exercises the full rights and powers operations. The Parliament shall consider
as promulgated by the Constitution of within 7 days any such Presidential Decree
Mongolia, as follows: declaring a state of emergency or a state
The right to veto, either in part of war and shall approve or disapprove
or in its entirety, those laws and other it. If Parliament makes no decision
decisions that are adopted by Parliament. whatsoever within the prescribed time, the
The laws or decisions shall remain in Presidential Decree shall automatically be
force if two thirds of the members present void.
in the session of the Parliament override Serve as the Commander-in-
the Presidents veto; Chief of the armed forces of Mongolia.
Propose to Parliament the The president may address messages
nominations for appointment to the post of to Parliament and/or to the people. The
the Prime Minister, in consultation with the President may at his or her own discretion
majority party or parties in the Parliament attend sessions of Parliament and report
if none of them has majority of seats, on and submit proposals concerning vital
as well as to propose to Parliament the issues of domestic and foreign policies of
dissolution of the government; the country.
Instruct the government on ii. Substantive Laws
issues within scope of his authority. If In general, laws passed, other
the President issues a lawful decree, than the Constitution, are classified as
that decree shall become effective upon substantive law in Mongolia, and are
signature by the Prime Minister; divided into two categories; public law and
Represent the state with full private law. Private law regulates relations
powers in foreign relations and, in between equal parties, and public law
consultation with Parliament, to conclude regulates all disputes between a private
international treaties on behalf of citizen or group and a public body or
Mongolia; the government. The Civil Code is the
Appoint and recall ambassadors, core of private law in Mongolia, and the
diplomats, and representatives of Mongolia Criminal Code and Administrative General
to foreign countries in consultation with Law govern public law. Statutes are the
the Parliament; primary source of law in Mongolia; and as
Receive the credentials or recall of July 2016, 596 laws exist. Legislation
of heads of diplomatic missions of foreign may be enacted solely by Parliament
states to Mongolia; pursuant to its constitutional authority,
Confer state titles and higher by prescribed means and such that it
military ranks and award orders and becomes the law governing conduct within

19
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its scope. Members of the Parliament, laws. Presidential decrees must conform
the Government, and the President of to the rights granted by the Law on the
Mongolia may initiate a draft of a law in Presidency (also generally known as
accordance with Law on Legislation of Presidency Law). These rights were
Mongolia. originally promulgated in the Constitution,
In Mongolia, legal acts, in the and have been restated in the Law on the
broad sense of the word, may take any Presidency.5
number of forms, to include parliamentary v. Orders
resolutions, presidential decrees, cabinet 1. Overview
ministry resolutions, and ministry rules In Mongolia, orders can take
and orders. Parliamentary resolutions several forms, including Parliamentary
may regulate the following issues: resolutions, presidential decrees, cabinet
Government and other organizations. resolutions, and ministerial or agency
Parliamentary resolutions are most rules, procedures, and orders.6
frequently concerned which specific topics 1. Presidential Decree
for the implementation of a broad range of The Constitution of Mongolia
Government activities. specifically grants the President the
iii. Treaty and International Law authority to issue decrees; the Law on the
The status of international law in the Presidency further codifies the Presidents
Mongolian legal system was dramatically decree powers. The aim of both is to limit
transformed by the 1992 Constitution of the Presidents powers by requiring that all
Mongolia; as part of its transition since decrees must be in accordance with, and
1990 and commitment to the rule of law, not be in violation of, any of the Nations
Mongolia is a signatory or party to a laws.
number of international treaties that bind 2. Ordinances of Prime Ministers
the government to honor international and Ministerial Ordinances
standards and norms of law. The 1992 Executive power in Mongolia is
Constitution of Mongolia provides that the vested in the Government, which, in
international treaties to which Mongolia accordance with the limitations prescribed
is a party, shall become effective as by the Constitution, laws, and normative,
domestic legislation upon the entry into or regulatory, acts of Parliament, issues
force of the laws or on their ratification or resolutions and ordinances. Cabinet
accession. Mongolia shall not abide by any ministry resolutions have many forms
international treaty or other instruments and functions. In their simplest from they
incompatible with its Constitution.4 are a formality used to adopt decisions
International treaties to which by a higher level of the Government. For
Mongolia is party to are bilateral or example, the Government may issue
multilateral written agreements to be a resolution formally adopting a piece
regulated by international law. These of legislation which has already been
determine the rights and responsibilities voted on by Parliament. Resolutions can,
of Mongolia, the Parliament of Mongolia, however, also rise to the same legal status
the Government of Mongolia, as well as of regulations. If these resolutions and
single or multiple foreign countries their ordinances are incompatible with laws
governments or international organizations and regulations, the Government itself or
with regard to certain issues. Parliament has the constitutional power to
The term international treaties refers invalidate them.
to all interstate, intergovernmental, or All ministries and agencies have the
interdepartmental documents irrespective power to issue regulatory acts pursuant
of their form and appellation. 5
Overview of the Mongolian Legal System and Laws, Sourc-
iv. Emergency Executive Order es of Law, http://www.nyulawglobal.org/globalex/Mongolia_
The President is specifically Research.html#SourcesofLaw (last visited Jul. 21, 2016).
authorized to issue decrees in accordance 6
Overview of the Mongolian Legal System and Laws,
with the Constitution and Mongolian Sources of Law, http://www.nyulawglobal.org/globalex/Mon-
golia_Research.html#KeyElementsofModernMongolianLe-
4
Mong. const. art. X, 1-3 (1992). galSystem

20
Legal Thoughts: Reflection

to specific delegations of authority processes of a legislation database,


promulgated by Parliament and the publication, public access, and the
Government. The acts of ministries and organization of implementation and
other government offices of Mongolia subsequent implementation evaluation of
are sometimes called instructions or all legislation.
instructive regulations. Ministries issue, B. Legislative Procedures
as a rule, an order or instruction. i. Laws proposed by Legislators
vi. Municipal Ordinances and The Constitution assigns Parliament
Municipal Rules of Local Governments and its members their role as legislators in
2. According to Law on Mongolia. However, in addition to members
Administration and territorial units and its of Parliament, the President and the
governance, local governance shall be Government also have the constitutional
exercised by following organizations: right to propose, or otherwise initiate,
- Bag7 or Khoroo8 Civil meeting and legislation. Legislators are required by
Governor; law to follow the procedures of the Law
- Soum or District Civil on Legislation during the processes
Representative Meeting and Governor; of initiating laws and Parliamentary
- Province or Capital city Civil resolutions. The different types of initiated
Representative Meeting and Governor. laws are prescribed as the first draft of
3. All of above civil or representative law, draft of law amendments, draft of
meetings has a right to issue its own renewed law, and draft of package law.
resolution for the local level governance A member of Parliament shall introduce
for its implementation. the law draft to the Government for further
III. LEGISLATIVE PROCEDURES research and comments. If circumstances
A. Overview warrant such a course of action, a
Legislation in Mongolia consists legislator may also introduce a draft of
of law, presidential decrees and orders, pending legislation directly to the public or
resolutions of the government, ministers, related government organizations in order
and agencies, and resolutions of the to receive their input and gauge support
capital city and province, or soum, level for the drafted law.
citizens representative meetings. With the ii. Legislation/Bills proposed by
exception of province-level resolutions, Government
all legislation is enforceable throughout The Government of Mongolia has
Mongolian jurisdiction. the constitutional right to initiate a law
In order to establish clear legislative and submit the draft to Parliament for
procedures and best practices of sessional discussion and enactment. The
promulgating law and other resolutions Government also has the constitutional
of Parliament, the Law on Legislation of authority to issue decrees and Prime
Mongolia was adopted on May 29, 2015 by Ministers ordinances for the purpose of
Parliament and will be effective beginning implementing changes to the Constitution,
on January 1, 2017. This law governs: the laws and other regulations. Government
process of initiating, drafting, content, and decrees and Prime Ministers ordinances
format requirements for the first drafts of are to be effective throughout Mongolia
proposed laws; drafting and submission and enforceable to all legal entities,
requirements of Parliament resolutions; officials and citizens.
and the process and requirements for In accordance with Administrative
public discussion and comments regarding general law of Mongolia, administrative
legislation drafts which are to be adopted authority is exercised through
by the Parliament of Mongolia. Additionally, administrative acts, regulatory acts
this law codifies the administration and of administrative organizations,
and administrative agreements. All
7
Bag is a lower level of Public administration body in prov- procedures for drafting are set forth in the
ince governance.
Administrative General Law of Mongolia.
8
Khoroo is lower level of Public administration body in Dis- IV. BASIC LAWS IN MONGOLIA
trict and Capital city governance.

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A. Overview to contract, stipulating that parties to a


The Constitution of Mongolia was contract are entitled, within the applicable
adopted in 1992 and sets forth the goals legal framework, to conclude contracts
and priorities of the state in terms of freely and to define the contents of their
the preservation and advancement of contracts. Mongolian law is based on an
human rights, individual liberties, and overarching principle reminiscent of the
the maintenance of a free, sovereign, English legal constitutional concept that
and independent democracy. From the everything that is not prohibited is allowed.
Constitution additional specific sets of This is codified in the Article 13.2 of the
laws have been promulgated to specialize Civil Code, which states that Participants
in the various legal areas that compose to civil legal relationship may, at their own
Mongolias functioning legal system, will, exercise any rights and duties that are
such as criminal, civil, and administrative not prohibited or directly stated in the law.
matters. These basic laws regulate the The Civil Codes recognition of
workings of all legal processes within the freedom to contract introduces an
Mongolian society, and further serve as element of liberality for contracting under
the primary legal sources for further laws Mongolian law. For example, aside
and regulations that are promulgated as from certain agreements relating to a
may be deemed necessary. real property or shareholder rights and
B. Constitution obligations, parties to a contract are free
The Constitution of Mongolia has to accept the laws of any state to govern
announced that the supreme principles of the interpretation of the contracts terms in
the activities of the State shall be to ensure the event of a dispute. If the parties agree,
democracy, justice, freedom, equality, a foreign-language version of the contract
and national unity and respect for the may prevail over the Mongolian language
law. Since 1992, Mongolian society has version.
been re-structured in accordance with the Contract parties may agree to
Constitution and its associated freedoms, submit disputes for final resolution to
and since the transition has been an an arbitral tribunal either in Mongolia or
enormous undertaking, there are still some overseas, with London and Singapore
missing implementations of Constitutional being frequently selected forums. As a
provisions today. As in other countries, signatory to the New York Convention for
the Mongolian constitutional scheme has the Mutual Recognition and Enforcement
functioned differently depending on local of Foreign Commercial Arbitral Awards,
politics, cultural influences, and the policy Mongolian Courts are obliged to recognize
of ruling party which won at the most and enforce foreign arbitral awards. In
recent Parliament election. addition, the country is party to the Hague
In July 2016, the seventh parliament Convention on Civil Procedure, making it
election has been held in Mongolia, in legally possible to recognize and enforce
which 65 members of Mongolian Peoples requests and decisions of courts in any
Party were elected to a Parliament with 76 foreign country which is also party to the
total members. As for a party which has a convention.
concept of radical democracy, the current D. Administrative General Law
ruling party re-structured the government After a decade of experience in
and announced their ideology for more Administrative Procedure Law and
attention on policy of effective labor and Administrative Court in Mongolia, the
social development including health and Government initiated its first draft of
education issues. Please find an English Administrative General Law, which was
translation of the Constitution of Mongolia enacted by the Parliament on June 19,
from www.ilo.org and www.unesco.org. 2015. The purpose of this law is to fulfill
C. Civil Code the basic and legal grounds of activities on
The Civil Code of Mongolia, enacted relations between administrative bodies
in 2002, as amended, recognizes the and citizens or legal entities in the course
freedom of citizens and business entities of exercising executive/government

22
Legal Thoughts: Reflection

power under public law framed by issuing responsible to the citizens for the creation
administrative acts, administrative of guarantees for ensuring human rights
normative acts, and administrative and freedoms, to fight against violation of
contract/agreement. This law determined human rights and freedoms and to restore
the administrative legislation as related of infringed rights and also Article 48.1
part of the Constitution, Administrative states that Specialized courts such as
general law and other laws which pertain administrative courts may be formed.
to administrative activities. Under this constitutional regulation, the
Administrative General Law shall not first Administrative Procedure Law was
govern the below relations: enacted and also the first Administrative
- Activities of law drafting and courts were established in the capital city
legislative procedures; and 21 provinces. The main concepts and
- Procedure of international treaty principles of Administrative Procedure
acceptance and signature; Law was adopted from German law which
- Proceeding of the Constitutional is a strong representation of Romano-
Court and all level court for trial and Germanic legal tradition. After a decade
litigation of criminal, civil and administrative of practice of the Administrative Court of
cases; Mongolia, scholars and practitioners were
- Investigation procedure of cases, made an assessment and evaluation for
prosecutors control, and correctional the more developed procedure law and
service activities; court of administrative cases.
- Intelligence, national security, The purpose of the first Administrative
and all related activities for direct Procedure Law was to regulate the
implementation of state foreign policy; relations connected with the preliminary
- Procedures for political discussion decision making on administrative cases
and decisions. according to the complaints and claims
Administrative organizations in submitted by citizens and legal entities
Mongolia consist of: who have considered an administrative act
- Central and local organizations as illegal in order to protect their infringed
which implement the executive power of rights, and with the proceedings of
the state; administrative cases in the Administrative
- Non-Government agencies or Cases Courts.
other public law entities which have duties On this basis, the court is dedicated
to implement legislation and have the right to secure and protect the rights and
to issue orders for the public; freedoms of citizen and legal entity from
- Legal persons who transferred illegal administrative acts and unlawful
administrative duties based on action of Public administrative body.
administrative contracts or legislation; Thus, the Administrative Court of
- Executive bodies of state- Mongolia is an independent institution
owned or joint school, hospital, media, of the Judiciary power that protects the
communication, transportation, and lawful rights of citizen and legal entity
energy organizations for public service; from the unlawful action of the Public
Local self-managing organizations administrative body.9
and other organizations such that On the demands of rapidly developing
decisions and activities are sorted out society and the weaknesses of the first
by public law decisions and are thereby Administrative procedure law, a renewed
eligible to make a claim to administrative draft of Administrative Procedure Law
court. was enacted by Parliament in February
E. Administrative Procedure Law 04, 2016 and enforced from July 1, 2016.
The first Administrative Procedure The main purposes of this law are that
Law was enacted in 2002 and enforced till it will: regulate relation in relevance with
June 30, 2016. Legal basis of this law and
administrative court is stated on Article 19.1 9
The Administrative Court of Mongolia as a Protector of
of the Constitution as The State shall be Human rights, Erdenetsogt.A, Law review, National Legal
Institute, page 47, Series 55.

23
LAW REVIEW 2016 5(60)

proceedings of administrative cases at in Mongolia, such a company must


courts for protecting the persons or legal be registered with the Legal Entities
entitys infringed or potential risks of rights Registration Office (the LERO) as a
and interests due to illegal decision of business entity with foreign investment
administrative organization; and regulate (BEFI). Under the Law on Investment
relation in relation to proceedings of (Investment Law), each foreign investor
administrative cases which are claimed by of a BEFI must invest US$ 100,000 or an
the authorized legal entity or administrative equivalent amount in Mongolian tugrugs
body for protecting public rights. (MNT). This capital requirement must be
In Mongolia, each province has the paid in before the entity can be registered
first instance administrative cases court by LERO. As a measure of the progress
and there is a single national appellate made in this area, it is worth noting that
court which operates in Ulaanbaatar. World Bank Groups Ease of Doing
An intermediate appellate court is one Business 2015 Index ranks Mongolia
chamber of a Supreme Court and it 42nd out of 189 economies in the world.
has power to make decisions on the Investing in Mongolia
administrative cases and disputes. Legal Framework
The establishment of an independent Replacing the 1993 Law on Foreign
Administrative Court in Mongolia had Investment and the controversial 2012 Law
brought a brand new institutional aspect on the Regulation of Foreign Investment in
to the judicial structure and it has a great Business Entities Operating in Sectors of
opportunity to become a trademark of the Strategic Importance, Parliament passed
judiciary power of Mongolia. The function a new Investment Law in 2013.
of the Administrative Court is to ensure The new Investment Law eased
that administrative bodies shall not issue the regulatory approval requirements
disputable acts and to further define the and streamlined the registration process
legal ways of issuing lawful administrative for foreign direct investment. Further, it
acts. This is the nature, dedication, and sets out certain legal guarantees and
main purpose of the Administrative Court incentives so as to promote investment
of Mongolia. activities in Mongolia.
Business Law Environment Intellectual Property Rights
Opening a Business The Law on Trademarks and
Seeing the ease of registering legal Geographical Indications, the Law
entities as an important step to ensure on Patents, the Law on Copyright
a business-enabling environment, the and Related Rights, and the Law on
Government attempted to simplify Technology Transfer are the main laws
the registration process when in May that regulate intellectual property in
2015 it revised the Law on Legal Entity Mongolia. In addition, Mongolia is a
Registration, eliminating some of the member of the World Intellectual Property
bureaucratic steps and allowing for online Organization and signatory of the World
registration. Trade Organization Agreement on Trade
Corporate Legal Environment Related Aspects of Intellectual Property
The enactment of the revised Law on Rights. Although the Intellectual Property
Company (Company Law) in 2011 was an Office of Mongolia (IPOM), the main
important step towards the governments enforcer of intellectual property rights in
aim of bringing Mongolian corporate Mongolia, has made significant progress
governance standards closer to those in protecting intellectual property in
found in more developed jurisdictions. Mongolia in the last 25 years, due to
The law broadly regulates various aspects capacity and resource constraints, the
from reorganization to obligations of IPOM usually acts only upon receiving
shareholders of companies operating complaints, rather than taking a more
in Mongolia. proactive approach.
If a foreign investor wishes to Anti-Corruption Legislation
establish a limited liability company In Mongolia, acts of corrupt behavior

24
Legal Thoughts: Reflection

are primarily regulated by the Law of The Law on Environment is aimed


Mongolia on Anti-Corruption, enacted on to reduce duplication and improve the
6 July 2006 (Anti-Corruption Law), the quality of regulation, ensure responsible,
Criminal Code, enacted on 3 January environmentally-friendly and sustainable
2002, and the Law of Mongolia on development, improve economic
Regulating Public and Private Interests in efficiency, introduce international
Public Service and Preventing Conflicts standards in environmental auditing and
of Interest, enacted on 19 January 2012 the polluter pays principle, increase
(Conflict of Interest Law). In 2014, public participation in environmental
Transparency International Corruption decision-making, and secure funds for
Perception Index ranked Mongolia 80th environmental protection.
out of 175 countries in terms of the Banking/Finance
perception of the level of corruption in the The Law on Banking, enacted on
public sector. 28 January 2010, as amended, currently
Mining provides the general regulatory framework
Minerals Regulations for carrying out banking activities and
Mongolia has effected several offering banking-related services in
important changes in the past few years Mongolia. Parliament approved the
to its minerals regime, such as the revised version of the Law on Securities
adoption of the State Policy on Minerals, Market (Securities Market Law) on 24
the enactment of the Law on Common May 2013, which came into force on 1
Minerals and the Amendment to the Law January 2014. As a framework regulation
on Minerals (Minerals Law), all in an it is subject to additionally implemented
effort to support the mining sector and regulations which are to be issued by the
ensure continued economic growth. relevant regulators.
Environmental Regulations Although the Mongolian banking
The mining sector plays an important sector is quite developed, the Mongolian
role in the economy of Mongolia and securities market is still at early stage of
accounted for 20% of GDP in 2015. It is development and the applicable regulatory
thought that it will become the major force framework is not as sophisticated as that
of economic growth for the development of other more established jurisdictions.
of Mongolia in coming years. However, Reforms are underway to modernize
the increasing level of mining activities the legal and institutional framework of
also raises, among others, issues of securities market.
environmental protection and restoration. Petroleum Sector
Although a comprehensive Mongolian Mongolia is nearly entirely
environmental regulatory regime dependent on the import of refined
existed, and the Minerals Law covers petroleum products. Given the risk to the
license holders obligations towards the countrys national security posed by this
environment, the government did not dependence, Mongolia has been working
consider it to be adequate in practice. to develop its domestic petroleum sector
Attempts had been made to resolve this by attracting foreign investors through
issue on a piecemeal basis by adopting a revision of its legal framework and by
several measures in last few years, such introducing tax incentives for oil refineries.
as increasing water abstraction fees, The Law on Petroleum (Petroleum
imposing stricter environmental obligations Law), enacted on 1 July 2014,
on mining license holders and requiring distinguishes between two main categories
the deposit of environmental restoration of petroleum products: (i) oil and (ii)
bonds. Further, in July 2009, Parliament unconventional oil. Oil refers to crude
adopted the Law on Prohibition of Mineral oil and natural gas in addition to refined
Exploration and Mining Activities in areas petroleum, whereas unconventional oil
in the Headwaters of Rivers, Protected refers to oil sands and oil shale.
Water Reservoir Zones and Forested The Petroleum Law identifies three
Areas to address environmental concerns. types of petroleum-related activities:

25
LAW REVIEW 2016 5(60)

(i) research, (ii) exploration, and (iii) locate and no integrated source to find
extraction. Exploration and extraction English translation of Mongolian law
activities for oil and unconventional oil exists.
are subject to licensing procedures under However, the National Legal Institute
the Petroleum Law while other activities, operates a web portal for free distribution
such as research and the storage and of all legislation in Mongolian language
transportation of petroleum, are subject to and updates makes in daily basis. The
the issuance of permissions or approvals Institute and the Government both
from the relevant authorities. Such regularly publish updated paper series of
permissions usually involve a simple laws.
approval process, whereas licenses Source in Mongolian language:
involve more complicated procedures www.legalinfor.mn.
whereby applicants must satisfy more Source in English language: The
rigorous requirements provided under user can find via Google search many
the relevant laws and regulations Mongolian laws in English, but the most
including the entry into of a production recent amendments could be missing.
sharing agreement until the Mongolian This author recommends that if someone
government. needs updated laws or opinions he/she
V. HOW TO FIND MONGOLIAN should contact odugerel@gmail.com at
LAWS the National Legal Institute.
A. Overview
Currently, free Mongolian legal
resources in English are still difficult to

---o0o---

26
Implementation of Law, Efficiency and Issues

TRUST LAW CONCEPTS IN


TRUST LAW
MONGOLIA1 CONCEPTS IN MONGOLIA1

J.Oyuntungalag, LL.D, Chief Judge of the conducted in a rather informal way. These
Appellate Court for Civil Cases factors have contributed to increased
fraud crimes8, breach of confidential
relationships, and the abuse of legal
Introduction tools for unjust purposes. Poor quality
Mongolia is a developing country in management service has brought
which is making efforts to move from a potentially serious harm to society, through
centrally planned economy to a property- loss of trust in law and the marginalization
based open market economy.2 This of courts (nihilism) in the pursuit of pure
transition process began in the 1990s,3and advantage or of remedies for violated
since then, as a result of extensive rights. These bad effects on the legal
industrial and trade sector privatization, mentality of general public are a potential
Mongolian people have begun4to engage barrier to the development of a free and
in various business activities which their transparent economy. It is necessary to
educational background and former life provide an adequate system for protecting
style have not prepared them. citizens property rights, in order to close
Lack of knowledge and experience in the shutters on this bad scenery.
property management, in the commercial5, Trust law can help address these
social6 and personal7 spheres combine problems, as a flexible regulatory
with inadequate legal infrastructure to mechanism which applies to both the
create difficulties for the people. Moreover, structure of property management
in Mongolias young and developing and protection against malfeasance in
market, business and private affairs are following ways:
- As a general legal structure,9 trust
1
This is the first chapter of the master thesis written the au- law can extend or build upon existing
thor in Graduate School of Law of Nagoya University in
2007 legislation,10 by providing standards for
2
UndsenKhuuli [Constitution of Mongolia] (Mong.) determining the status of property held in
3
The new Constitution of Mongolia was adopted in 1992, law by one party in anothers interest;
which is followed by much legislation, particularly in the - Trust law can provide a set of
economic sector, including the new Civil Code 1994 and
2002. default provisions applicable to fiduciary
4
S. Narangerel Legal System of Mongolia 102 (Matthew Lin- relationships and the management of
ley et al. eds., Interpress. 2004), As before 1992 Mongolians property by another;
were allowed to have no private property, but only personal
property, such as cars and clothing. - Examples of trust law practice in
5
P. Tsenguun. Stock exchange, monetary policy, tax.2005 8
MongoliinTsagdaagiinErunkhiiGazriinStatistikSudak-
Liberal economy fund. (authors translation from Mongo- gaaniiHeltesiinStatistikMedee [Statistical data of Statistic
lian language) the only way to secure money of people is Survey of general department of Police] (2006) (From this
known as a saving and the most popular form of fundrais- statistic data fraud increased until 1997 and, although
ing of companies is loans from the banks. decreasing from 1998 to 2005 in quantity, in quality these
6
Various social, pension and other public benefit funds, types of crimes are getting more serious, as characterized
schools and hospitals are still state owned being heavy by a rise in the professionalism of the criminals, and in the
burden on the state budget and can not meet the public number of victims affected).
demand. So it is already decided (the Social sector privat- 9
Noomi Yoshihisa, Modern Trust Law in Japan [GendaiS-
ization program) to separate some of them from state man- intakuHou] 2 (2004)
agement. 10
Company Law, Civil Code, Law on Social Insurance,
7
For example, overseas remittance constitutes a majority Law on Issuing pension allowance and payment from the
of the income of beneficiary households in Mongolia but is social welfare funds, Law on the fees of the pension of the
losing value due to inflation, unproductive investment by personalized pension accounts are covering some areas of
agents and increased levels of fraud. common law trust law in Mongolia

27
LAW REVIEW 2016 5(60)

other jurisdictions can contribute to the two elements of the trust are generally
improvement of the remedial system; considered to be essentially common
- As a comprehensive device law concepts, and not recognized in civil
external to the tradition of the Mongolian law jurisdictions (like Mongolia) due to
legal system, the study of trust law can incompatibility with the underlying legal
stimulate fresh thinking about property system.13 However, rules relating to the
law issues among Mongolian lawyers, management of anothers property and
policymakers and commentators. to relationships based on personal trust
At the same time, an incorrect can be a source of good examples for the
or incomplete understanding of trust formulation of legal regulations necessary
principles may give rise to problems to protect property rights in a system
such as the defrauding of creditors, the undergoing transition.
circumvention of laws prohibiting certain Chapter 1 will identify Civil Code
activities,11 or the unfair distortion of the concepts having similar characteristics to
fabric of existing law. the trusts of the common law, and identify
This paper will cover the standards the applicable scope of the trust concepts
applicable to trust relationships in the in this enquiry. Chapter 2 will compare
legal systems of the United States of ownership rights of the parties to a trust
America and Japan, for the purpose participants with ownership concepts
of identifying norms that may help in in the Civil Code of Mongolia, and will
the further development of the property identify the monitoring requirements for
relationship in Mongolia from a legal trust property, which can be useful tools
and economic point of view. The author for the identification identify and control of
has chosen these two jurisdictions as property in the hands of another. Chapter
a particular reference not only because 3 will concentrate on fiduciary duties of
of the size of their economies, but also the trustees and ways to enforce them,
because of the characteristics of their with particular attention to the core of
social and legal structure. Japan is a civil duties and responsibilities arising from the
law country which has more than 80 years fiduciary relationship and the justification
experience with trust regulation, and is of legal remedies for breach. The final
now in the process of reforming its own chapter will compare property remedial
law. The United States is a country having system of Mongolia and constructive
statutory trust regulation and successfully trust, to find ways to improve the current
developing trust structure in both of the remedial system of Mongolia.
social and commercial sphere. Chapter 1. Fundamental
The objective of the current thesis is principles, usages and types of trusts
not to suggest the transplantion of Anglo- Section 1.1. Description of trust
American trust law12 to Mongolia, but and its requirements
ultimately to explore ways of improving 1.1.a Trusts and other related
the civil remedial system by drawing regulations in Mongolian legislation.
upon constructive trusts concepts. The The eventual purpose of this thesis is
fundamentals common to all forms of to find proper ways to develop trust
trust, such as the concept of trust property concepts which can contribute to or
and fiduciary duty must be outlined first, in enable the development of measures
order to understand trust principles. These to support property management and
11
In Mongolia Non bank institutions are prohibited to deal 13
Adair Dyer, Recognition of Common Law Trusts and
saving and loan activities, but now they are taking saving Their Adoption in Civil Law Societies. Vanderbilt Journal
from the public under the name of the trust service. of Transnational Law. October,(1999) (idea of division of
12
AndreyA.Zdanov, Transplanting the Anglo-American ownership seemed irrelevant,and even dangerous, since
Trusts in Russian soil, Review of Central and Eastern Euro- some civil law systems had a comprehensive division of
pean Laws 31 (2006) 179-231 ownership as an absolute concept)

28
Implementation of Law, Efficiency and Issues

protection as well as to reinforce existing regulation is lacking possibility of third


legal relationships by escaping various party beneficiary.
side effects produced by the gaming of Nonbank financial institutions have
existing regulations.14. Many gaps remain already begun to offer trust banking
in legislation in Mongolia in areas that services under the Law on Non Bank
involve trusts or trust-like relationships. Financial Activities.22 Whether the Civil
Estate entrustment15 This is a Code provisions on Treuhand will apply
new type of contract in the Civil Code to these activities only, or whether these
of Mongolia originating from the German provisions regulate trust relationships
Treuhand. According to the legislative more generally is waiting comprehensive
definition, such a trust is a contract in answers from the policymakers.
which a settlor is obliged to transfer Trusts dealt by Non Bank
moveable property or a right16 to a trustee Financial Organizations23. Law On
and the latter is obliged to receive it and Non-bank Financial Activities determined
dispose of the settlors right and interest trust as following24: Trust service shall
for the benefit of the settlor.17 Although the mean an arrangement whereby a trustee
law18 refers to the recipient of the property temporarily controls, uses and manages
or right as a trusted owner and stipulates assets (cash, loan, other assets) of a
that he enjoys the powers of the real beneficiary on the basis of an agreement
owner of the trust property agains third with the beneficiary with the purpose
parties, there is no transfer of the owners of preserving the value of the assets
right, because expenses and risks still fall and earning a profit. The problem here
on the settlor.19 So it is used like agency is that the regulations related to this
for long term period to perform fiduciary activity is limited only by this definitions,
duty on his own name20. however the legislation should provide
It is not clear whether there can be standards related to the trustees property
any third parties benefiting from the trust management.
property however if we will refer to article The other question is that Is there
406.621of the Civil Code of Mongolia, any similar or equivalent to trust legal
settlor is the only beneficiary from the instrument in Mongolian legislation?,
trusts. Consequently, it seems that the consequently the following institutions,
14
For example, legislation allowed Non bank institutions which have some characteristics of the
deal with trusts, but did not give any regulations related to trust.
the duties and rights of the trust participants, that is putting
the consumers in very dangerous situations.
Contract for third parties.25According
Translation of the title as well as following provisions are
15 to the Civil Code both of the third person
made by the author and obligation assignee of the contract
16
Irgeniikhuuli [I.H] [Civil Code of Mongolia] art.8.4.5 can require the performance of the
(Mong.) (Right is understood as one of the non materi-
al assets, which gives to its possessor benefit and right on
contract from obligee. The existence of
claim) the third parties right to require and how
17
I.H art. 406.1. (Subject to contract on estate entrustment, a to exercise the right will be determined by
trustor is obliged to transfer moveable property or right to a
trusted owner and the trusted owner is obliged to receive it
the contract and objectives of the contract,
and dispose for the trustors right and interest.) if these issues are not specially stipulated
18
I.H art. 406.4. (A trusted owner executes power of the real by the contract. Third person-beneficiarys
owner in relation to third parties and is responsible for its
consequences and obliged to compensate damage to the
position is very vague, but this is a
trustor arisen by his activity against trustors interests.)
19
I.H art. 406.3. (A trusted owner is obliged to dispose trust-
22
Bank bus sankhuugiinuilajillagaaniitukhaikhuuli
ed property on his own name by expenses and risk of the [B.B.S.H] [Law on Non Bank Financial Activities] Art.7.1.8
trusts.) (Mong.)
20
Compare to agency in this part
23
B.B.S.H Art. 7.1.8.
21
I.H art. (406.6. A trustor will own income and benefit from
24
B.B.S.H Art. 4.1.7.
trusted property.) 25
I.H Art. 203.

29
LAW REVIEW 2016 5(60)

contract, but not property relationship, it the legal title is transferred to others
is assumed that no property right is given and fiduciary relationship, but it is not
to the beneficiary of this contract, whose independent contract. From the scholastic
counterpart in trusts relationship has such interpretation the transferor of the
rights. property is losing all his property right, so
Usufruct26 .Usufruct is defined he has only right on damage claim but not
in Civil Code of Mongolia as a right to property claim from the fiduciary, that is
possess and use others property with evidencing impossibility of the ownership
limits for earning property and benefit. separation29
The usufruct possessor is entitled on Agency30.According to the contract
the same right as the real owner except an agency is to do certain actions on
to dispose it through the comprehensive behalf of and at the expenses of a
transfer to third person. The usufruct principle and the principle should pay
possessor should take permission from for a service. It differs from trusts as an
the owner in case of pledge and rent of action undertaken by the agent is on the
the property. This is similar to the trusts in name of the principle. There is no transfer
sense of that it limits the owners right, but of the ownership right, although agent is
it is not the complete limit of the ownership acting for the benefit of others and holding
rights like trusts, because the usufruct the fiduciary duties like trustees, but he is
possessor has no right to dispose. entitled only on certain actions instructed
Transfer of the immovable property by the principle.
to the others administration27. This will Guardianship.31The article is also one
be attached only to the immoveable of the confusing articles of the Civil Code
subject to the hypothec. It is one type of and it does not stipulate directly that the
the measures to ensure the performance guardian has ownership rights and some
of the obligation and an alternative other property rights on the assets of the
method of selling property by auction and ward. But it is assumed that guardian is
established by the court on the request legally entitled on the property as article
of the obligation assignee with hypothec 485.2 stipulates that in case of death
claiming rights on the property. It is very of the guardian the successor of the
similar to trusts, since administrator has transferred property will have obligation
a right of ownership, such as right to to take care of the ward Here the
dispose and distribute benefits earned transferred property means the property
from the administration to the entitled on it transferred to the guardian from the ward
people according to the plan approved by for guardianship as the article 483.2
the court. But it is distinguished from the stipulates that in case of the contract
trusts as a short term structure and can be termination the transferred property
initiated only by the obligation assignee shall be returned to the ward. If the
who is not the owner of the property. successor of the guardian can receive the
Moreover after the complete performance transferred property, logically it means that
of the obligation the remained property the property is included into the guardians
should be returned to the owner of the will. Consequently, the guardian has a
property. legal title on the property like trustee in the
Fiducia28.It is also one way of trusts, but he is not entitled on disposition,
ensuring performance of obligation by because law requires the consent of the
transferring a legal title to an obligation
assignee. It is similar to the trust in that KhuuliZuinUndesniiTuv [National Legal Center],
29

Irengiikhuuli: ShinelegZokhitsuulalt [Civil Law: Newer


26
I.H Art. 152. Regulations] 89, 92 (GTZ.2003)
27
I.H Art. 181. 30
I.H Art. 399.
28
I.H Art. 235. 31
I.H Art. 483.

30
Implementation of Law, Efficiency and Issues

ward for it. This provision is evidencing the trust form37 but the characteristic and
the sensitiveness of the civil law system in content of the trust relationship, as an
division of ownership rights. instrument to cause trustee to administer
However these above listed and dispose the property for the benefit of
relationships are having some elements others.
of the trusts, they can not be considered Basing on the opinions of the scholars
as trust relationship32 due to lack of one and definition of the legislations the author
or more of the following characteristics of compared the common characteristics of
the trusts. the trusts given by them38, the following
1.1.b Definition of the trust. There description is made for trusts:
is no strictly stated trust definition in Trust is a legal relationship where
common law, because its structure is very a person (trustee) to manage the others
clear and deceptively simple for common property (trust property) for special
law system. Thus Scott has stated that purpose (charitable or for the benefit of
the definition results from the rules, and the beneficiary)39. The main binding40
not the rules from the definition33 and he characteristics of the trust are following:
has mentioned that trust is understood in - Ownership and interests in related
two ways, such as broader and narrower property are separated between trustee
sense. In broader sense, trust is a fiduciary and beneficiary;
relationship including all like bailment, - Fiduciary duties of the trustee
executorships, guardianship and so on. in administration and disposition of trust
In narrower sense, the term is applied to property;
the definition of the Second Restatement - For benefit of other than legal
and he gave main characteristics of trusts, owner (trustee) of the property.
such as intentionally created fiduciary The composition of these 3 main
relationship, related to the property, and characteristics makes trusts distinct from
existence of equitable duties, benefit of other similar institutions, such as bailment,
another people34. agency, guardianship and others.
But the definitions is needed for Distinction of the trusts from other
giving general idea, namely for answering similar relationships41
question What is trust?35and for
distinguishing it from other concepts,
like bailment, and agency for civil lawyer.
Specially in statute based system of law
like Mongolia regulations begin from the
definition. Thus according to the Article
1 of the Trust Law of Japan36 trust is
a transfer and otherwise dispose of a 37
Trust form means how or by what document trust can
property right and cause another person be created
to administer or dispose the property for a 38
Stevan L. Schwarcz, Commercial Trusts as Business
specific purpose. This article did not give Organizations: An Invitation to Comparatists 43 Duke J.
Comp.&IntlL.321 (2003), Hayton and Marshall Commen-
tary and Case Law of Trusts and Equitable Remedies 1,
Donavan W.M.Waters, The Institution of the Trust in Civil
and Common Law 449 (1995), the Hague Convention on the
32
See table Distinction of the trusts from other similar rela- Law Applicable to Trusts and on their recognition,
tionships of this chapter
39
Definition applies only to the express trust
33
1 Austin W. Scott, The Law of Trusts 37 (3rd ed., 1967)
40
binding is used as that if even one of these characteris-
34
Id. tics is missing it can not be considered as an express trust
35
ItineraFiduciae: Trust and Treuhand in Historical Perspec- 41
The table is based on the Bogerts comparisons, though
tive 37 (R.Helmholz R.Zimmermann ed., Duncker&Humblot. there are many other comparisons, for instance Edward
1998) and Stockwell made comparison with contract, bailment,
36
ShintakuHou [S.T.H] [Trust Law] art.1. (Japan) administration of estate, condition and power.

31
LAW REVIEW 2016 5(60)

ship
Trust

Bailment1

Agency

Guardian

decision/
/by court
Receivership2
parties
Contract for third

Usufruct

fiducia

Organizations.
Financial
by Non Bank
Trusts dealt

Civil Code
entrustment in
Asset
administration
to others
immoveable
Transfer of
For benefit of + + + + + + - - + + +
other than legal
owner
Fiduciary duty + - + + + + - + + + +/-
Separation of + - - -/+ - - + - +/- - +
ownership and
interest

Section 1.2 Usages and types of of usages and types of the trusts will help
the trusts to compare trusts to the civil law concepts
The significance of this chapter fulfilling similar functions and to identify
is to show the reason why trust or trust applicable sphere of trust concepts in civil
like devices are employed by the people law.
as a legal device. Economic behavior is 1.2.a. Usages of the trusts. Modern
a social exchange model in which people usages of trust is wide arranging from
want resources from others and engage family asset planning to investment and
in organized life, where the motivation is a security tools. For instance, in the USA
desire to maximize their gain of resources historically, the trust is being used and
and minimize losses42. The trust is a recognized as a device for intra-family
flexible device that opens possibilities of wealth transfer, but in recent times it
exchange that are not supported by the has begun to play a significant role in
strict rules of a Civil Code or judicially the capital market as a commercial tool,
establish property regime. as shown by the fact that pension trusts
In the legal theory trust as a legal and mutual funds hold 40 percent of all
concept is born by Courts of Equity in US equity securities and 30 percent of
England to avoid unjust results under corporate and foreign bonds45. Since
inflexible Common law rule on land modern usages of trust is very diverse
rights43.Trust law has become an and uncountable, as a summary of
established element of English law various views of the opinion leaders in
because it has proven to be useful this sense, followings are some of more
instrument for dealing managing of common uses of trusts in common law
settled land and property, establishment jurisdiction46.
of business entities and pursuing charity, 1. Family and personal property
defining right and obligation in various planning and preservation. Trust is used
types of transactions44. So understanding for many purposes, like transferring
property or benefit for his desired
42
2 Russel Safe Foundation Series in Trust, Tom. R Tylor,
persons, at the same time managing
Why People Rely on Others? Social Identity and Social As- and preserving wealth professionally and
pects of Trusts. Trust in Society 287 (2001)
43
Black`s Law Dictionary, 579 (8 th ed., 2004) (equity 4. 45
H.Hansmann&U.Mattei, Trust law in the United States.
The system of Law or Body of originating in the English A Basic study of its Special Contributions, 46 Am.J.
court of Chancery and superceding common and statute Comp.L.133 (Supplement, 1998)
law when two conflict 46
Almost all books on trust issues clearly describes the trust
44
R.Edward&N.Stockwell, Trusts and Equity 5 (Pitman, usages, therefore the author generalized these purpose and
1992) mentioned which are more popular and common.

32
Implementation of Law, Efficiency and Issues

effectively. 1.2.b. Types of the trusts. Hence


2. To make gift or charity. It enables its usages are potentially unrestricted and
the purpose achieved and enforced trusts can fulfill so many functions because
by the beneficiary, who are not strictly of its flexibility which is expressed by its
identified by name or by certain relation, structure and various types. The main two
but by common characteristics or criteria. characteristics of the trusts make it similar
3. To provide safe pension fund for to the corporate structure by the separate
employees. Its advantage is that trust patrimony49 as well as to contracts,
can provide safety of the pension funds giving freedom of identify relationship by
on case of employers financial difficulty, the agreement50. Understanding about
improper use, and it gives tax advantages general types of the trusts will help to
for the employers, where such kind tax understand rules applying different types
regulation is provided by law. of the trusts.
4. For commercial purposes. In Most traditional classification of
this respect we can name many kinds trust is related to the creation of trusts
of trusts, like investment trusts, unit trusts, dividing it into express and implied, which
voting trusts and so on. These kind of is divided into types such as resulting and
trusts give possibility for non professional constructive51. Express trusts is a trust
investors to utilize their money through createdby the intentional expression of the
investing into the stock markets. settlor.52 Theoretically, it is not necessary
5. To minimize tax burden. One to use exactly the word trust, but it should
of the first usages of trusts was to avoid be clear that settlor is intended to create
feudal dues of trust. Recently, trust is trust from the declaration of the settlor, in
often used to avoid or minimize present other words all necessary characteristics
day taxes, especially, income tax, capital should be included into the statement
tax, and inheritance tax47. of the settlor. In authors opinion, trust
6. Business control. Trustees is possible to be created as express or
play a simple role in stock voting trusts, statutory trusts in civil law counties, since
where they will pay dividends to the main source of law is statutory legislation.
beneficiaries and to support the corporate Implied (resulting) and constructive is a
management, their registered ownership trust imposed by the court for providing
of stocks prevents stock being sold to justice and good conscience in property
strangers, and the unwelcome takeover relationship. Although there can be
bid. This kind of trust is also very popular difficulty directly impose due to current
in the investment schemes, for example, level of court experience and statutory
in pension trusts, the board of trustees will legislation, main principles of the
determine the investment policy, usually constructive trusts can enrich and fulfill
relying upon investment consultants for gaps in the remedial system in Mongolia.
the immediate day to day purchase and Depending on the purposes trust
sale decisions, and actual securities at is classified private (family, commercial
any one time will be registered in the and other) and public (charitable), where
name of the custodial trustees, invariably types of the beneficiary is differed. For
in the corporate trustee48. example in case of the commercial and
7. Remedial instrument. Courts 49 Patrimony used as set of not only assets and rights, but
in common law system imposing also obligations related to the property
constructive trusts to the prevent unjust 50 Supra note 49 at 6
enrichment and recover fair parties right. 51 D.J.Hayton, Hayton& Marshall Commentary and Cases
on the Law of Trusts and Equitable Remedies 43 (10 th ed.,
47
Supra note 45 at 47 Sweet&Maxwell. 1996)
48
Donavan W.M. Waters, The Common Law Trust in The 52 D.B. Parker& A.R. Mellows, The Modern Law Of Trusts
Modern World, 11 (Forum Internatianale No.5, Oct., 1984) 31 ( 2nd ed., Sweet&Maxwells. 1970)

33
LAW REVIEW 2016 5(60)

private trusts, it is necessary that the property. But in active trusts trustee has
beneficiary is identified more clearly and active management responsibility56 and
individually. But in the charitable trusts, as depending on the level of his discretionary
the beneficiaries are multiple subjects, power it also can be divided into two types
the important is the purpose rather than like, ministerial and discretionary57. In
individually identified persons. More over, the ministerial or fixed trusts the settlor
according to the UTC private trusts require determines the exact benefit which
determined (ascertainable) beneficiaries, each beneficiary should receive and
on the other hand charitable trusts are in the discretionary trusts, the trustee
created for public interests. Interesting has a power to decide the shares of the
is that the UTC allowed to create trusts beneficiary.
for animals, and other trust of non Section 1.3. Conclusion from the
charitable purposes, which is named as chapter
honorary trusts. Valid period, requirement From the trust descriptions and its
for identifying beneficiary purposes and comparison to the Mongolian Civil law
enforceability53 and property distribution concepts having similar characteristics,
at the end of the trust is differed, so the the author has come into the conclusion
principles of charitable activities also will that there is no similar concepts fulfilling
be applied to it. the functions Anglo American trusts. So
Depending on the possibility of from the summarizing of various usages
withdrawal by the settlor trust is sorted of the trusts in common law jurisdictions,
as a revocable and an irrevocable. In it is becoming clear that trust concepts
the revocable trusts settlor preserves can not be applied in such broad sphere
some rights on trust, namely the rights in civil law jurisdiction like its counterpart
to appoint, resign or change trustees in common law jurisdiction, because
and others. Revocable trust is used for some of these usages are covered by
avoiding probable process as a substitute the current legislation related to the
for a will in the USA54. In contrary to the corporation, non government organization
common law concepts, according to the and contract law. But its standards
UTC trusts are presumed to be revocable. related to the holding of trust property
On the other hand, in irrevocable trust, a independently, imposing fiduciary duty
setllor loses all his property interest on the on managers of others funds can help
trust property and the beneficiary who is to address the deregulations of the
the only capable person to enforce duties current legislation related to the property
by the trustee. Consequently, the rights of management and protection. Since the
the creditors of the trust parties also will rules related to the above mentioned
be quite different in this two types of the trusts differ depending on the types of the
trusts, so is the distribution of the trusts trusts and such types are arisen from the
property after the end of period of the case laws as a result of social needs for
trusts. them, it would be impossible challenge to
Relating to the duties of the trustee, develop all types of the trust in Mongolia.
trust is classified like simple and special Because Mongolian economy and legal
trusts.55 In simple trust, sometimes structure is still young and immature
named as passive or bare trusts, trustee comparing to the conditions of the Japan
has only duty to hold legal title to the and USA, when trust was introduced. For
example, for developing express trusts,
53
David M. English, Uniform Trust Code and Its Appli- there should be more justified legal and
cation to Ohio, Capital University L.Rev., 1 (2002) 56
Nicole Y. Emnett, Case note: McCollunm v. McCollunm: Merg-
54
Id. er ad Fiduciary dutyin Arkansas, Ark.L.Rev. (1999)
55
Supra note 56 at 33 57
Supra note 45 at 58

34
Implementation of Law, Efficiency and Issues

economic infrastructure, on contrary it (Footnotes)


would be either a law on paper in best 1 I.H Art.233. (bailment is arisen
case, or the tools to abuse unsophisticated when one of the contract delivers a mon-
citizens, like in current scandals related ey to other party as a guarantee of per-
to the Loan& credit cooperatives, where forming obligations)
citizens are blaming the government for
legislations lacking institutional and legal 2 Dampuurliintukhaikhuuli [D.H]
tools to protect citizens from abuses. [Bankruptcy Law] Art. 3.1.4 (This function
But trust principles related to the trust is performed by a trustee in bankruptcy
property and fiduciary duties will be a procedure, who is a person appointed by
good standards which can shape property the court with claimants proposals for ex-
remedial system of Mongolia. ecuting work of liquidation and recapital-
ization, protecting and controlling assets
of the defendant)

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35
LAW REVIEW 2016 5(60)

THE EXTRACTIVE INDUSTRY: LEGAL, ECONOMIC AND


POLICY FRAMEWORK
opportunities to investors, and promote
sustainable development and economic
diversification.
The Minerals policy of Mongolia
highlights improving the legal
environment, promoting international
initiatives for transparent and responsible
mining, and understanding the impact
of mining on social and economic
conditions. In addition, the same policy
J.Battuya, Managing Partner of discusses about preparing specialized
Chinggis Law LLP lawyers, economists, analysts, and
arbitrators in the extractive industry and
bringing dispute resolution systems up to
1. Minerals law and Minerals international standards.
policy of Mongolia Another highlight of the Minerals
The legal and policy framework in policy of Mongolia is that the new policy
Mongolia for the extractive industry has seeks the governments oversight and
been developing with its own specifics ability to regulate strategically significant
along with adopting international policy deposits to increase their returns and
trends. benefits to the countrys social and
In general, the non-renewable and economic development.
finite character of oil, gas, and mineral The Minerals law of Mongolia
resources is the primary premise of an defines a strategically significant deposit
extractive industries (EI) sector policy.1In as one which has greater impact on the
this article, a greater focus is given to the national security, and socio-economic
mining sector legal and policy framework. development of the country. Such deposits
Mongolia, as a resource rich nation, are expected to produce over 5% of the
adopted its last Minerals Law in 2006 national Gross Domestic Product (GDP).
(amended in 2014 and 2016) and the Bringing mining closure, and
Minerals policy in 2014. Until 2006, rehabilitation to an international standard,
Mongolian minerals policies and practices encourage prevailing use of surface
were governed by the 1997 Minerals law. waters rather than underground water for
The minerals policy of Mongolia minerals extraction and processing, and
adopted for the period of 2014-2025 has water re-use and utilization of advanced
been shaped to create a stable environment technologies in the mining sector are
for foreign investment. The aim is to, draw also and notable themes discussed in the
on the private sector, develop transparent Mongolian minerals policy.
and responsible mining, produce value Mongolia also aims to create targeted
added, export-oriented and internationally funds from mining revenues for economic
competitive products, provide equal diversification and environmental
protection.
1
A World Bank Study, 2015, The Extractive Industries Sec- It is noteworthy that Mongolias
tor, Essentials for economists, public finance professionals, legal and policy frameworks have been
and policy makers, page 11

36
Implementation of Law, Efficiency and Issues

responsive to commodities boom and bust The mining industry and investment
cycles as well as investors interests. The flows are international in nature.
objectives of mining sector policies have Improving the Minerals laws and Minerals
increasingly moved beyond mobilized policy is not sufficient to attract increased
revenue. In recent years, lower demand foreign investment, and promote social
for bulk commodities, combined with a development and economic growth.
bleak global outlook and a production The mining industry is a business.
hangover, sent commodity prices down,2 Therefore, a profit making goal is its
although in 2016 some commodity essential element. In addition, the mining
prices have improved, and the outlook is industry is subject to the requirement of
somewhat more promising. However, it is responsible mining which implies safe
not safe to assume a direct connection mining practices for the environment,
between legal and economic cycles. The people, and supporting the social and
duration of the investment downturn and economic development of a host country.
recovery prospects are likely to be uneven Transparent mining practices ensure
in various countries.3 that mining revenues are clearly and
The Minerals law of Mongolia has accurately reported, disclosed, and are
certain provisions to highlight which are managed at fair and equitable terms.
outlined below: In this regard, a resource rich country
An exploration or mining license like Mongolia must pay ad equate attention
may be pledged with banks or non- to its taxation, accounting, revenue
banking institutions as security for administration, contract negotiation and
receiving finance together with work management capacity. In addition, it is
result reports, geological information, and crucial that the host country understands
feasibility studies. (Article 51) the economic meaning and effects of
A deposit use agreement may various taxes, and fees associated with
be entered into between the government the mining well.
and a mining business. The government 3. Legal and contractual regimes
participation in mining projects may be The legal obligations placed on a
agreed by such agreement. Up to a 50% company operating in the mining sector
participation right may be permitted to may be enshrined in a mining law, in an
the government if the government funded individually negotiated agreement, or within
the costs of exploration for a strategically model contracts with specified exceptions.
significant deposit. (Article 5) In a pure permit regime, the government
The governments participation in details all the major obligations for mining
the strategically significant deposit may companies in legislation, and companies
be substituted by a royalty. (Article 5) apply for permits for exploration and
Mineral royalties are increased extraction under the defined terms of
to reflect market price rises for mineral laws. This framework allows little scope
products. (Article 47) for discretion in granting differential terms
An extraction license holder is for companies involved in the extraction
required to trade no less than 10% of its of the same mineral. In a pure contractual
shares at the Mongolian stock exchange. regime, the obligations of individual
(Article 5.6) companies are negotiated and detailed in
2. Mining industry is a business a contract often referred to as a mineral
2
PWC, Review of global trends in the mining industry, Mine development agreement. In practice, most
2016, page 5 countries do not operate a pure permit or
3
African mining industry developments and opportunities: A a pure contractual regime. The range of
Global Perspective, Presentation delivered at Norton Rose
Full bright Event by Professor Peter Cameron, Mining Inda-
obligations that a typical mining company
ba, Cape Town, 9 February 2016, page 2

37
LAW REVIEW 2016 5(60)

faces under a resource contract includes governments mining tax system is to


fiscal regimes, operational commitments, ensure the greatest possible benefit for
environmental obligations, worker safety the public while encouraging investment
obligations, and social obligations.4 in the sector. For companies, the overall
4. Role of the relevant ministries tax level influences incentives to explore
In general, the ministry of mining/ and develop. The timing of tax charges
resources is responsible for the overall also influences investment patterns.
management of the extractive industry Although taxes on corporate profits are
sector, including setting resource more efficient and recognize the inherent
policies, drafting laws and regulations, risks in mining operations (particularly
managing exploration and extraction wide fluctuations in minerals prices
rights, regulating the sector and monitors and geological, technical, financial and
operations, developing technical political factors over a mines lifetime)
specifications and standards, developing the challenge is that they are complex
and maintaining geological maps and and have greater potential for corruption
databases, and maintains a reliable and tax fraud- key concerns in the EITI
information on national earth science context. When deciding whether or not to
infrastructure.5 invest, companies consider not only the
Production plans are critical profitability but also the stability of the tax
in providing bottom-up estimates of regime.
production and should be submitted by Different mines have differing
the companies to the sector ministry capacities to pay taxes at various stages
for monitoring, together with revenue of mining. For instance, exploration is a
forecasts. substantial cost phase without any income
Responsibilities for the ministry of and is highly risky. Governments typically
finance include ensuring that resource respond by allowing losses to be carried
revenues are shared, participating in forward and to be off-set against profits in
the formulation of resource policy and the production phase. Mine development
administrative guidelines, in particular is a high cost phase requiring the purchase
with respect to revenue collection and of capital inputs, most of which need to be
administration, management of resource imported. Typical responses are to enable
revenues (including the creation and accelerated recovery (depreciation) of
governance of sovereign wealth funds), capital costs once production begins, and
ensuring transparency of resource to have low import duties and value added
contracts and revenues, and monitoring taxes (VATs). Production is the longest
the build-up of liabilities arising from and most profitable phase in the mining
extractive exploration and production, cycle and is usually when payments to
including maintenance costs associated the government begin to be generated.
with public infrastructure built by mining However, minerals are sold into
companies, costs of environmental competitive markets and prices fluctuate,
damage, and costs of resettling displaced meaning that governments often provide
communities. flexibility, such as relief from export duties
5. Mining cycles and the tax and VATs.
system Post mining or after mining ceases,
The ultimate goal of any projects often incur significant rehabilitation
4
A World Bank Study, 2015, The Extractive industries sec- costs. The typical response is to provide
tor, Essentials for economists, public finance professionals, tax deductibility to encourage companies
and policy makers, page 71
to set aside funds progressively during
5
A World Bank Study, 2015, The Extractive industries sec-
tor, Essentials for economists, public finance professionals,
the production phase. Given the diversity
and policy makers, pages 36-37

38
Implementation of Law, Efficiency and Issues

of operations in the mining sector, it is future) and expenditures associated with


impossible to define an ideal tax system a mining business to deal appropriately
for all jurisdictions. There is, however, with the mining industry.
a common objective of encouraging It should be noted that the mining
successful projects while avoiding social investment involves an opportunity cost,
costs. Tax systems must be neutral which means that the current use of mineral
and progressive to motivate corporate resources reduces or depletes the supply
innovation and profit-seeking. Given that of mineral resources available for future
any set of tax rates and the mix of taxes use. This is particularly relevant to subsoil
will be based on assumptions about prices resources which are nonrenewable.
and costs, and these will change over Capital costs are normally high and
time, there should be a preference for these are often sunk costs, and operating
transparency. This can be implemented and maintenance costs may vary due
by multi-stakeholder bodies to conduct to extraction, labor, processing and
regular reviews of key assumptions, so transportation costs.
that any policy change is predictable An efficient, fair and effective
and decision making is consensual. As taxation policy is a key issue for the
tax systems increasingly converge, the development of the mining industry, and
question of whether mining tax revenues the governments ability to implement
are being properly utilized will become public programs. It is also important that
more important than the division of wealth people of the host country are provided a
between companies and the state.6 fair share in mining profits. The best tax
6. Taxes, fees, and costs policy is the one which reflects the type
There are several different types of of commodities, the method of extraction,
fees and taxes the host country normally and the one which enables sustainable
collects. They are: mining.
- Royalty this is rent paid by a 7. Transparency of the extractive
mining business to the government (or the industry and international initiatives
owner of minerals) for granting the right Timely and regular release of
to extraction to non-renewable subsoil comprehensive information about
asset; resource licenses, contracts, and
- Land fees (normally charged for revenues allows governments, legislators,
any portion of land/tenure used for mining and citizens to exercise oversight and
and related operations) conduct an informed debate about the
- Minerals license fees (exploration best use of revenues.
or extraction license fees) which are In addition, the legal framework is
normally charged annually for per hectare the main pillar of resource transparency
tenure whereon exploration or mining and provides the basis for reconciling
activities are conducted; the possibly divergent interests of key
- Water fees (charged for water stakeholders.
used for extraction or processing); In the experience of many developing
- Business income tax, which is countries, setting up a special structure
assessed on profits made by a mining to control large taxpayer compliance has
business; and generated both increased compliance
- Contributions or monies provided and more effective tax administration.7
to the communities located close to mines. Regardless of the institutional structure
In addition, it is important to employed for resource taxation to be
understand the costs (past, current or 7
A World Bank Study, 2015, The Extractive industries sec-
6
Paul Mitchell, Taxation and investment issues in mining, tor, Essentials for economists, public finance professionals,
https://www.oecd.org/site/devaeo10/44282904.pdf and policy makers, page 77

39
LAW REVIEW 2016 5(60)

effective, the very large imbalances in to force any member to adopt such
expertise between governments and rules, governments clearly recognize
resource companies must be reduced the benefits of taxpayer disclosure over
by appropriate staffing, and staff training. government/auditing agent searches.
Here, quality is more important than Any required disclosure that includes
quantity. payments to foreign persons may increase
In respect of international initiatives, the risk of scrutiny by anti-fraud regulators,
in 2014, members of the Organization for especially regarding semi-legal payments
Economic Co-operation and Development to public officials for transport permits and
(OECD) including several developed other essential tools of business.8
nations in Europe and Latin America and Various countries, including Australia
many tax havens such as the British Virgin (in particular Western Australia) and
Islands, issued a joint statement calling South Africa, have reviewed the rules
for a global standard for the automatic for determining royalty rates. The royalty
exchange of information between tax rates reflect the depth of a mine (deep
authorities. They believe that such underground, underground or open cut
exchanges can help to clamp down on tax mines) different levels of value added
evasion, and shift the burden of proof from processing (semi-processed, concentrate
tax authorities to tax payers who would or metal) and the profitability of mining
have to defend their structures. projects.
The move towards transparency Any country contemplating changing
is nothing new for mining companies, royalty rates should be aware of the
having already experienced the Extractive significant risk of capital being withdrawn
Industries Transparency Initiative (EITI) due to sovereign risk perceptions. Mining
which passed in 2003 and which calls companies look for certainty. They are
for certain disclosure of payment and using tools such as advanced compliance
revenues. Annual EITI reports produced agreements, ruling requests and tax
by mining companies are subsequently policy submissions to policy makers.
reconciled by the national tax authorities. When investing into new projects,
Country-by-country reporting is a more mining companies are using advanced
recent trend. pricing agreements, bilateral investment
In 2013 the OECD began a treaties, and fiscal stability agreements to
collaboration to address international obtain certainty around key tax variables
rules that enable profit shifting, allow underlying their investment decisions.9
double non-taxation and erode domestic 8. Profits sharing and policy
tax bases. Its September 2014 draft objectives
recommended revised standards for It is commonly argued that resource
transfer pricing documentation with rich countries are not always economically
multinationals required to annually report advanced or are not experiencing
revenue, profits, income taxes paid, and/ noticeable growth. It is also claimed that
or accrued, the number of employees, mining revenues do not promote social
stated capital and retained earnings, and equity. There are countries where mining
tangible assets for each country in which revenues are managed successfully. For
they do business. Additionally, companies example, the Alaska Permanent Fund has
would have to identify each entity within been in place since 1977 and it receives
the group that operates in a particular about 10 per cent of the states income
tax system, and indicate the nature of its
8
KPMG, Trends in taxation, Coping with transparency, min-
business. ing royalties and volatility, kpmg.com/mining
Although the OECD has no power 9
KPMG, Trends in taxation, Coping with transparency, min-
ing royalties and volatility, kpmg.com/mining

40
Implementation of Law, Efficiency and Issues

from oil and annually distributes a share subsoil assets with investments in human
of the accrued interest to all citizens as resources, infrastructure, and broader
a dividend. Advocates suggest that such and long term productive capacity and
a plan would do a better job than the diversification;
government in allocating rents by keeping - Ensure that resource extraction
part of the oil revenues out of the hands of takes place in a manner that minimizes
politicians, hence reducing corruption and environmental degradation and promotes
government inefficiency, and becomes a biodiversity;
powerful tool for achieving social goals.10 - Ensure benefits for communities
Although there are several methods are defined through a fair process;
of profits sharing, there are legitimate - Develop capacity for local,
interests in the host country that local regional, and national value adding
regions develop, new jobs are created, through the development of upstream
targeted public programs are supported and downstream linkages -as well as side
and the gap between the poor and rich stream linkages to skills and technology-
narrows. based sectors and infrastructure and
At the end, the objectives of the support for entrepreneurs at the local and
mining sector policies may be, among national levels;
others, to: - Ensure health and safety
- Offset the depletion of finite standards.11
10
Macartan Humphreys, Jeffrey D. Sachs, and Josepth E.
Stiglitz, Escaping the resource curse, 2007, Page 242-243

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11
A World Bank Study, 2015, The Extractive Industries Sec-
tor, Essentials for economists, public finance professionals,
and policy makers, page 13

41
LAW REVIEW 2016 5(60)

CRIMINAL JUSTICE SYSTEM IN MONGOLIA

over 6000 inmates are serving in prison


in Mongolia. It requires further following
studies which support to evaluate
Mongolian Criminal Justice System.

Keywords: Mongolia, Criminal


justice system, transition, legal reform,
criminal law, crime clearance, punishment,
prison population

1. Introduction
With Mongolia being a unitary state,
B.Enkhbold, Ph.D, Head of Police the criminal justice system in the country
Research Center, Research and comprises a composite whole. The legal
Development Institute, Law Enforcement and social institutions for enforcing the
University criminal law thus apply uniform rules and
procedures in all twenty one administrative
units of the country in executing their
Abstract respective mandates.The criminal
The objective of this article is to justice system in Mongolia has changed
introduceabout criminal justice reform in significantly over the 20 years since the
Mongolia and its outcome of performance country became democratic.The criminal
encompassing last 11 years. Data on justice system is deemed a focal area in
criminal justice statistics for period the transition to democracy, and in the
between 2004 and 2014 obtained from process of democratization of institutions
three different criminal justice agencies and civil society. Police and courts are
police, court and correction services. seen as the vanguard of democratic
Despite the passage of significant legal change. It is a significant characteristic of
reforms and considerable changes such claims that the legitimacy of criminal
in criminal justice sector operations, justice institutionsthe police and the
especially in the courts and the police courtsis seen as decisive in securing
service, public trust in the rule of law is legitimacy for the transition to democracy,
still not well established; and critics often and for democratic government, and
question the capacities and fairness of the thus the contribution of these institutions
criminal justice system.Statistics shows to the political stability in the transitional
that average crime rate per 100,000 environment is of major importance
persons were 767 last 11 years. According (Susanne, 2003).
to statistics, 20973crimes were reported ComparingMongolia with other
to police and 13036 or 63.1percent out of countries within the region, the
the total number were solved. Averagely, countrys reform efforts have been
19308 persons were investigated as generally successful. During the early
suspects per year and 8359 or 43.9 and economically difficult times since
percent out of that number were ruled as democracy was established, reform
guilty and convicted by court. As for types activities naturally focused on legal
of punishment per 100,000 persons, 0.2 reforms, including the creation of a
percent was imposed by death penalty, legislative framework for democratic
73.5 percent by imprisonment, and 26.3 institutions, the transition to a market
percent by other punishments. Currently, economy, and significant changes in the

42
Implementation of Law, Efficiency and Issues

relationship between the state and the offenders convicted (responsibility


people. of court), and prison population
Within last 20 years, numerous (responsibilityof correction service) were
studies on legal reforms of criminal justice applied as general objectsin the research
system and its component organizations forthe criminal justice analysis.
such as court, prosecutor, police and This article is not only focused on
correction agencyhowever those studies the analysis of crime combat system, its
were focused on their respective fields reform process, and current situation of the
solely. Following issues have mainly been reform in Mongolia but also included some
covered on above mentioned studies. 1) recommendations for discussion which
Making analysis on the consequence of may contribute to further development of
implementation of enacted laws based on the reform process.
the criminal justice reform being effective II. Reform of Criminal justice in
since 1990 andits process as well as Transition
upgrading the process as a whole(Carlos, In 1990, Mongolia went through a
2001;Gramckow & Allen, 2011;Landman transition, establishing political democracy
et al, 2005; Jantsan,2005; Narangerel, and creating market economy while
2001;Tavanjin, 2004),2) Transparency of abolishing the totalitarian regime and
law enforcement organizations, ensuring began a comprehensive transition toward
of human rights,freedoms and its legal a new political system(Pomfret, 2000).The
guarantees,and public attitude towards Rule of Law is equally important for both
the performance of law enforcement objectives: the development of a market
organizations(Brent, 2008; Dolgorsuren, economy and a democratic state. Strong,
2014; ICFMC 2008; Tsend, 2010),3) autonomous, and respected criminal
HR policy, definition of legal condition justice system are the necessary parts
of law enforcement personnel (Batayev, of an effective legal order(Carlos, 2001).
2005; Dumburai,1999;Lundendorj, In order to achieve the above goals there
2002). Although the studies have was an urgent need to establish a basic
covered quite broad areas as mentioned legal framework within which society could
above,unitaryresearch onoutcome of evolve itself politically and economically
the establishment of law enforcement while maintaining its culture and identity.
organizations and its purpose has not The first stage of criminal justice
been conducted yet. New aspectof reform culminated in 1992 with the
this article is to make analyseson legal adoption of a new democratic Constitution.
reforms of law enforcement organizations The Constitution formalized the separation
and their performances. of powers between the judicial and other
The core objective of this article branches of the government, ensuring
is to introduceabout legal reform of the judiciarys independent status. The
criminal justice systemas a whole as Constitution also introduced judicial
well as on the outcome of performance standards, such as the right to a fair trial,
of law enforcement organizations the right to counsel, and the presumption
such as police, court, and correction of innocence. The court structure has
encompassing last 11 years. In order been transformed by significantly
to reach to the objectives, numerous reducing the number of courts, abolishing
fundamental issues onhistorical and both military and railway courts and those
political background of legal reform,reform for hearing the state-owned enterprises,
of criminal justice in transition, crime and introducing a constitutional
and punishment under Mongolian court(Narangerel, 2001).Moreover, role
criminal code, currentcriminaljustice and authority of the prosecutor had been
administrationandcriminal justice specifiedwhile police organization was
statisticshave been taken into legalized to bea separate agency under
consideration. Moreover, crime and crime the government with authorized roles of
clearance rate in Mongolia (responsibility ensuring public security and fight against
of police), criminal punishments for crimes, which became the fundamental

43
LAW REVIEW 2016 5(60)

to reform the criminal justice system in Independence, Responsiveness,


democratic Mongolia. Accountability, Fairness, Effectiveness,
Accordingly, the Parliament of and Accessibility.
Mongolia developed its very first law Within this scope, several laws and
of court, prosecutor and police in legislations directly related to criminal
1993 (Jantsan, 2009). The laws define justice were amended including court and
the organizational structure of each prosecutors laws. In 2002, criminal code,
component and prescribe its rights and criminal procedure law, and correction
duties. At the time, most countries in the law were passed first time reflecting the
developing world move from authoritarian concept of Constitution (Lundendorj,
to democratic criminal justice system 2002). It is considered the third stage of
especially in policing. Mongolia has the reform when Democratic Party won
undergone tremendous reforms to in the presidential election in 2009 and
establish court and prosecutor function parliamentary election in 2012 with action
and police service led by rule of law, justice, plan -Bring national mechanism to secure
equality, respecting human rights and thejustice, enhance legislation-oriented
freedom of people and police become an governance, and fight against corruption
independent state central administrative into next developmentstage.
body in charge of combating crime and Reform programs included law
securing public safety. The goals of the environment, structure of criminal
innovation were establish an image of justice organization including police,
the criminal justice system as trusted and correction, court and using equipment law
feared by the public. enforcement, the method of investigation,
The second step of reform the collect in evidence practice, monitoring
Mongolian Government adopted the civil rights violations by police. Especially,
Legal Reform Program in 1998 that was the government officials recognized
aimed at consolidating the push for a new shortcomings todays system of National
political and economic system(Landman, Police agency. They concluded that
Claire,&McEvoy 2005). This was followed National Police Agency has been keeping
in 2000 by the adoption by Mongolian bureaucratic old system remained in effect,
legislature of the Strategic Plan for the however, except when superseded by the
Justice System of Mongolia. To further new regulations and police investigation
achieve the objectives of the Legal practice and law enforcing activity system
Reform Program the following areas for that had been utilized unchanged since
assistance were identified:1. Legislative 1990s. Also one study founded that
drafting: development and coordination.2. the most pervasive factor affecting the
Judicial and criminal justice reform.3. police department and the functioning
Legal profession: improvement of legal of the police are the vestiges of the old
education and bar development.4. Legal communist regime(ICFMC, 2008).
scholarship: development of materials and In 2011, it was convened a Judicial
research databases.5. Public awareness: Reform and Justice Forum encompassing
dissemination of legal information.6. legislative and institutional reforms, while
Coordination and harmonization of guaranteeing political, economic and
International treaties(Gramckow & Allen legal security for the judiciary. The reform
2011).The Strategyalso stressed the ensures open and transparent trials. It
need for the judiciary to strengthen its also introduced laws to guarantee the
political, economic, organizational and impartiality of judges while establishing
decision-making independence as the first mechanisms to ensure that new judges
fundamental value. This was a significant are selected fairly and strictly on merit.
step and the first time a developing nation Also, an important tenet of the judicial
embarked on such comprehensive and reform is promoting the role of citizens
inclusive strategic planning process. in judicial procedures. To that end, the
The Strategyoutlined detailed action reform will enable citizen representatives
plans under each of six overall goals: to participate in trials in order to promote

44
Implementation of Law, Efficiency and Issues

the legitimacy of the legal system. crimes and criminal justiceby the National
Moreover, citizen representatives will statistics agency is too generalized
boost public confidence in the courts, therefore,official datadirectly taken from
while increasing popular awareness of the statistics departments under police,
and civic involvement in the judiciary. court, and correction services was applied
Recently, Political leaders have as reference in this research. It is limited
been taking following steps to upgrade to use national criminal justice relateddata
the criminal justice system: 1) Establish collected by the National criminal justice
transparent and human right reflected components in Mongolia.In this analysis,
fundamental to crime combat,2) Abolish the form of simple descriptive statistics
the authority of prosecutor to conduct such as frequencies, percentages, rates
special operations which contain some and rates of change were applied. Below
characteristics of human rights violation simple formulas can provide several basic
during interrogation processand transfer standards such as what was the crime
the this authority to judges, 3) Provide rates and rate of incarceration in Mongolia
secure working environment to law between 2004 and 2014. It is based on the
enforcement personnel and equip the law number of crimes, rate of incarceration
enforcement organizations with cutting- per 100,000 people.
edge technologies, increase HR capability, Crime and crime clearance rate
offer competitive benefits, and enhance Public trust on the police is closely
legal environment of the organizations in related to the police performance in
order to bring their performance to world crime control (Jang & Hwang, 2014).
standard. Thereforecrime prevention and control
III. Criminal justice statistics have been considered the primary
Data source responsibility of the police. In particular, the
Data on criminal justice statistics for crime rate of a society is commonly used
period between 2004 and 2014 obtained as one of the most important indicators
from three different criminal justice of police performance (Goldstein, 1977;
agencies; police, court and correction. Kelling, 1996). However, there has been
The content of criminal justice statistics is a significant increase in recorded crime
established by the criminal legal system rates, especially since 1990, and it has
of nation. It is the criminal legal system fluctuated over the last 10 years. As
that defines crimes and consequently indicated in below table-2, averagely
designates individuals as offenders. 20973 crimes have been reported to
Transnational differences in definitions police in 11 years and 63.1 percent out of
of such widely used terms as crime, that was solved whilecrime rate was 767
offender, suspect, charge or conviction per 100,000 people in 11 years. Starting
are inevitable. Similar observations apply from 2007, crime rate decreasedgradually
to data from the administrative records of while it started to increase again from
the police, courts and prisons. Mongolia 2012 reaching its peak in 2014. The crime
has a centralized data-collection system rate went by 33.8 percent or 8413 crimes
and each criminal justice components that comparing the rate between 2004 and
cover all areas of Mongolia are required 2014. Rate of clearance the crimes was
to follow standardized national procedure the highest about more than 80 percent
to record crime, offender, charges and between 2004 and 2006 whereas it
sentence and prison related statistics. reached the lowest between 2007 and
Statistics departments under police, 2008 followed by constant decrease from
prosecutor, court, and correction services 2010. Comparing to the year 2004, rate
make analysis on data, sent by local level of crime clearance went down by 23.2
law enforcement organizations, which percent in 2014. During socialist regime,
ismonthly, quarterly, and yearly, sent to the rate of solving crime was over 90
National statistics office that is responsible percent however this trend significantly
for publishing all data for public purpose. went down from mid-1990.
The content of published information on Table 2.Crime and crime clearance

45
LAW REVIEW 2016 5(60)

rate in Mongolia. (2004-2014) reported crimesto police when 37.8 percent


Number replied that they are notconfident enough
Number Rate per
Year of 100.000
of Clearance that police would transparently and fairly
cleared rate (%) solve the crime followed by 28.6 percent
crimes population
crime
answered criminal proceduretakes too
2004 18905 750 15472 81,8 long time to be solved (Tamir et al, 2010).In
2005 17411 682 14576 83,7 contrast with these, there are other studies
2006 18253 707 15203 83,2 concluded the rate of solving crimes is
2007 21268 812 6092 28,6 relatively high in Mongolia because police
2008 20704 777 8147 39,3 organizations openly receive information
2009 20373 750 12721 62,4 and complaints from public concerninga
2010 19825 718 13466 67,9 crime where the suspect of the crime
2011 19197 683 12552 65,3 is already clear (Enkhbold, 2011). A
2012 22089 770 14323 64,8 reality reveals that official statistical data
2013 25362 865 14836 58,5 needs to be thoroughly analyzedthrough
2014 27318 911 16008 58,6 research conducted by the third party.
Avg 20973 767 13036 63.1 Criminal punishments for offenders
Source: National Police Agency (NPA) convicted 2004-2014
As shown in table 3, average
Analyzing above statistics, it can number of suspects per 100,000 persons
be observed that crime rate increased in last 11 years is 701 and 43.2 percent
year by year from 2011 while rate of or 308.2 of total suspects was played
solving crimes decreased, which caused guilty by court. Compared to the year
by fiscal crisis happened since 2011 of 2004, suspect rate was risen by 14.2
and influenced to boom violent crimes percent at 792per 100,000 persons in
and crimes against property.Statistically, 2014 while rate for convicted offenders
violent crime increased by 19 percent decreased by 27.7 percent at 274 per
and crimes against property grew by 14.6 100,000 persons. A trend of convicted
percent comparing 2011 with 2014 (NPA offendershas been steadily going down
2015). The reason why the rate of solving since 2007. As per types of punishment
crimes reached its lowest point is that new per 100,000 people, 0.6 or 0.2 percent
method to calculate the rate was newly was imposed death penalty, 226.2 or 73.5
introduced and applied in police. percentfor imprisonment, and 81.6 or 26.4
Public trust toward police still percent for other punishments. The death
remains considerably low even though penalty was at its peak in 2007 however,
police conducts activities on combating it has not been practically imposed since
crimes and maintaining public security. 2012. Average imprisonment rate per
Results of several studies conducted in 100,000 people was at 226.6 and reached
Mongolia show that only 17.5 percent of its peak at 273.9in 2005, which is 20.8
peopleresponded to the survey that they percent more than the average rate of a
Sentence to Other
Year Total Suspect Punished Imprisonment
death punishment
2004 679,5 377,6 0,9 266,5 111,1
2005 645,4 400,3 1,2 273,9 126,4
2006 655,4 303,5 0,9 212,5 91,1
2007 684,5 325,3 1,0 225,4 99,9
2008 705,3 321,4 1,0 232,7 88,7
2009 728,8 279,2 0,4 213,4 65,8
2010 707,6 266,3 0,7 202,2 64,1
2011 645,4 294,7 0,4 228,2 66,5
2012 694,9 293,1 0,2 227,4 65,7
2013 760,5 275,2 0,0 209,8 65,4
2014 792,3 273,0 0,0 209,5 63,5
Avg 701,8 308,2 0,6 226,6 81,6

46
Implementation of Law, Efficiency and Issues

year. The lowest rate happened in 2010 44.5 percent was given probation, 2750
at 202.2which is lower than the average or 44.7 percent sent to prison while 659
imprisonment rate of a year. Comparing the or 10.7 percent released from criminal
statistics of 2004, the rate of imprisonment liability according to the Pardon law(CSR,
per 100,000 personsdecreased by 2014).
21.6 percent in 2014and the trend is
to continuously drop. Rate of imposing Prison population in Mongolia
other punishments per100, 000 people is 2004-2014.
constantly decreasing since 2007. According to below line graph, prison
Table 3.Punishments for offenders population per 100,000 personsreached
convicted per 100.000 populations. (2004- its peak in the last 10 years at 278 in 2005,
2014) which is 11 percent more than the that of
Source: Court Statistic Report (CSR) 2004.This indicator became 201 in 2006,
The president of Mongolia, declining by 27 percent compared to 2005
ElbegdorjTsakhia, proposed to abolish and dropped till188 in 2009 reaching its
death penalty based on 8 provisions and lowest point. Between 2010 and 2012,
2 specific rationales on Jan 14, 2010 to prison population per 100,000 persons
the Parliament of Mongolia and it resulted steadily increased whereas it descended
to proclaim moratorium for death penalty between the year of 2013 and 2014. As
in Mongolia. By the first 4 months of 2010- per 2014 statistics, prison population per
2011, total of 14 inmates were sentenced 100,000 persons was 201 which is 19.1
to 30 years in a prison with the strictest percent lower than that of 2004.
control, who were pardoned by the
president of Mongolia according to Article Figure 1.Prison population in
15, provision 15.2 of Presidential law Mongolia (2004-2014)
(NHRCOM, 2012).
The government of Mongolia voted
for abolishing death penalty at the general
Assembly of UN on Nov 2, 2010 and the
Presidential office drafted 7 amendments
in the criminal code. The moratorium for
death penalty has not been legalized and
officially passed by the Parliament yet but
it has been avoided to be applied in judicial
practice.Due to punishment policy in new Source: National Correction Service (NCS)
criminal code enacted in 2002, there is no Table 5 shows prison population per
significant fluctuation on the imprisonment 100,000 persons in Mongolia including the
rate per 100,000 persons between 2004 rate of sentenced and remanded prisoners
and 2012. Although number of accused along with their genders. According to
individual is decreasing, it is relatively several clauses stated in the criminal
high percentage that 73.5 percent of total code, court has an authority to transfer
criminals has been imposed imprisonment, controlling responsibility to local police if
revealing that the punishmentpolicy is very the court ruled that the convicted person
strict in Mongolia. In the effective criminal does not have to be physically imprisoned.
code, 449 acts are considered as a crime, Study presents thatthe imprisonment rate
of which 330 crimes are determined to be per 100,000 persons was 101.4 or 44.6
imprisoned (Erdenebat, 2013).According percent out of total punishments(NCS,
to the criminal code, there are two ways to 2014).Number of new inmates coming
executing court decision on the accused to prison per 100,000 persons reached
person: imprisonment and probation. The its peak at 123.6 in 2005 followed by
figure 1 shows that the trend of execution 88 or 27.9 percent decline in 2006. This
of court decision. By the average of last indicator significantly escalated till 109.9
11 years, total of 6147 individuals were in 2007 which is 26.5 percent more than
imposed imprisonment, of which 2738 or the previous year. Since 2009, the rate

47
LAW REVIEW 2016 5(60)

is gradually going down. Rate of women by the Parliament in 2006. According to


inmate per 100,000 persons throughout that law, all prisoners except for those
all prison population was 12.8 or 6.2 committed grave crimes and crime against
percent while rate of juvenile prisoners the national security were pardoned and
was 1.3 or o.6 percent out of total number released from prison including juvenile
of prisoners. The rate of women inmate inmates who committed crime before
per 100,000 persons peaked at 15.7 reaching 18 year old. Statistically, it can
in 2010 whereas it reached its lowest be seen that total of 2424 prisoners were
point at 8.5 in 2007 followed by constant pardoned, of which 1971 or 81.3 percent
increase since 2008. The rate of juvenile was released from prison in 2006 while
inmates reduced to minimum at 0.1 in 1290 or 51.4 percent out of 2524 inmates
2006 and 2009 and reached the highest were released in 2009 (Batchimeg,2010).
at 3.3 which is 2.5 times more than the Moreover, all 74 inmates being imprisoned
average rate of last 10 years. Inmates in juvenile prison were pardoned by the
released from prison per 100,000 persons law.
Rate of prison Rate of sentenced Rate of female Rate of juvenile Rate of remand
Year
population prisoners prisoners prisoners prisoners
2004 250 116.6 11.0 3.0 137,0
2005 278 123.6 12.1 3.3 126,2
2006 201 88.0 10.3 0.1 196,6
2007 236 109.9 8.5 0.8 97,2
2008 227 113.9 12.3 1.3 126,4
2009 188 114.2 12.3 0.1 176,9
2010 215 92.9 15.7 0.7 73,7
2011 234 99.8 14.2 1.1 79,7
2012 240 94.8 14.3 1.6 98,4
2013 222 80.2 14.1 1.2 73,2
2014 201 81.5 14.9 1.3 68,9
Avg 205 101.4 12.8 1.3 114,0

were averagely 140.0 or 12.1 percent Some researchers claim that


lower than the number of those coming increased number of prison population per
to prison. In contrast, this indicator rose 100,000 persons in 2007 and 2009 directly
till 196.6 or 183.3 percent more than correlates with the people released from
the number of new prisoners in 2006 prison by the pardon law committed crime
and 176.9 or 78 percent more in 2009. again and re-incarcerated. The main
Except for 2006 and 2009, the rate of new cause is because there is no rehabilitation
inmates was constantly higher than the program and/or environment to support
rate of released ones. the released people, which impacts them
Table 5. Prison population in to be involved in crime again (Nymgombo
Mongolia per 100.000 population. 2012). According to study, 48.3 percent
(2004-2014) of all prisoners were previously pardoned
by the law but incarcerated again
Source: National Correction Service (NCS)
by being involved in repeated crime
As shown above table, prison (Batchimeg,2010). Furthermore, number
population and number of women and of female inmates increased per 100,000
juvenile inmates per 100,000 persons persons since 2008. Percentage of crime
dramatically descended in 2006 and 2009. committed by women accounts for small
In contrast, the rate of inmates released amount compared to total crimes however
from prison significantly rose up. The key statistics shows thecrimes they committed
reason behind this increase is because are mainlyclassified as serious and grave
of implementation of pardon law initiated crimes and get imposed by incarceration
by the President of Mongolia and enacted punishment as indicated in the criminal

48
Implementation of Law, Efficiency and Issues

code. Analyzing on the crimes committed justice sector operations, especially in


by women, 56.3 percent committed the courts and the police service, public
fraud, causing significant amount of trust in the rule of law is still not well
monetary damages to others,19.3 percent established; and critics often question
for intentional murder, 5.6 percent for the capacities and fairness of the criminal
human trafficking and drug related crimes justice system.
(Nasanbat 2011).Due to above mentioned One of the important indicators of
particular character of crimes committed criminal justice system performance is
by females, length of incarceration is rate of crime and punishment related
relatively long for women and very small policy. Average crime rate per 100,000
number of women inmates are released persons was 767 last 11 years. Since
from prison per year. For instance, as 2007 the crime rate was constantly
for last 11 years, averagely 29 women decreasing while it started rising year by
were released while 112 women were year from 2012 reaching its peak in 2014.
imprisoned per year (NCS, 2014). Low rate According to statistics, 20973 crimes
of juvenile inmates is linked with pending were reported to police and 13036 or
imprisonment for 2-5 years if juvenile is 63.1 percent out of the total number were
imposed imprisonment punishment and solved. Averagely, 19308 persons were
rehabilitation responsibility is transferred investigated as suspects per year and
to the inmates parentsand/or public 8359 or 43.9 percent out of that number
instead. Due to the mass release of were ruled as guilty and convicted by
juvenile inmates from prison in 2006 court. As for types of punishment per
and 2009 implementing the pardon law, 100,000 persons, 0.6 or 0.2 percent was
number of juvenile prison population imposed by death penalty, 226.2 or 73.5
was significantly low however it started percent by imprisonment, and 81.6 or
escalating since 2010. According to recent 26.4 percent by other punishments. This
study, juveniles who committed grave statistics reveals that the harsh sentencing
crime and/or re-committed other crimes policy influences to the increased number
are serving in prison now. of prison population.Also, decline in
VII. Discussion and conclusion imposing non-imprisonment punishments
The modern criminal justice system year to year manifests that there is a
recognizes the importance of rule of law, strong tendency forthe increased rate of
due process, protection of individual rights, imprisonment.
and judicial independence and all police Over 6000 prisoners are serving
officers are required to understand laws in 38 prisons, 26 detention centers. It
and due process pertinent to police work reveals that prison structure, its location,
through education and training (Yoon, management, and personnel, budget,
1998). The adoption of Mongolias new and equipment are scattered throughout
Constitution in 1992 marked the departure the country resulting in facing difficulty to
from 70 years of communismand laid the organize rehabilitation activities among
groundwork for a series of significant prisoners. Therefore, it is needed to
criminal justice related legislative and upgradeprotection technologies and to
institutionalreforms that have spanned the establish centralized prison systems
last two decades and are still continuing. in world standard and high qualified
But reforms have not systematically rehabilitation programs for inmates by the
addressed the long-term implications governments support.
of criminal justice system reform As for effective police law, juveniles
efforts, including the need for ongoing who imposed probation and commute
assessment and further development imprisonment punishment are controlled
of a comprehensive modernization by police. There is no specific organization
plan, adequate and sustained funding, designated to deal with people under
enhanced institutional capacity. Despite probation period and rehabilitation
the passage of significant legal reforms managements in order to prevent from
and considerable changes in criminal recommitting crime.In the conclusion it is

49
LAW REVIEW 2016 5(60)

practically required as follows: Erdenebat, G. (2013), Protection of


First:to decrease the number of values that declared by the constitution
types of crimes under the criminal code in of Mongolia: tangible legal reforms
Mongolia which imposes to imprisonment; fight against crime. The brochure of
Second: abolishing the death penalty implementation and tendency of state
from the criminal code; Third:establishing policy on combating crime, (International
flexible legal regulationwhich encourages Scientific Conference).pp.33-42.
non-imprisonment punishment to Ginsburg, T. (2003). Judicial review in
convicted people;Fourth:to develop New Democracies, Constitutional Courts
effective parole system and juvenile in Asian Cases, New York,Cambridge
justice system in order to effectively University Press, 2003
manage the juveniles under probation; Goldstein, H. (1977), Policing a
Fifth:conducting crime victimization Free Society. Cambridge, MA: Ballinger
survey every two year in order to evaluate Publishing Company.
performances of the police. Gramckow, H.,& Allen, F.(2011).
Justice Sector Reform in Mongolia:
Reference Looking Back, Looking Forward. The
Altanzul, A. (2005). Concept of the justice and development working paper
punishment in criminal code of Mongolia, series, 16, 12-23.
its purpose and type. (Unpublished M. ICFMC (2008). Mongolia survey:
Phil. Thesis).University of the Krasnador Community-oriented policing in Mongolia.
of the Cubana, Russian Federation. Ulaanbaatar, Mongolia.
Batbayar, E. (2005). Circumstances Jang, H., & Hwang, E. (2014).
Which Mitigate responsibility and Confidence in the police among Korean
aggravate Liability under Mongolian people: An expressive model versus an
criminal code. (Unpublished M. Phil. instrumental model. International Journal
Thesis). University of the Krasnador of the of Law, Crime and Justice, 42, 306-323.
Cubana, Russian Federation Jantsan, S. (2009). Theory of
Rabindra. B.(2008).Principles of criminal law, doctrines of crime: Admon
Sentencing in Criminal Justice System. press, Ulaanbaatar, pp. 56-63
Kathmandu Law Review. 1, 1-6 Jantsan, S.(2013). The nature,
Brent, T.W. (2008). Report on the actuality and tendency of state policy
status of court reform in Mongolia. The on fighting against crimes.The brochure
journal of open society forum 18, 36-42. of implementation and tendency of state
Budkhand, TS. (2000) Historical policy on combating crime, (International
Development of Prosecutor in Mongolia Scientific Conference).pp.10-23.
-70 years. Munkhiin Useg express , pp.11- Kelling, G. (1996). Defining the
18 bottom line in policing: Organizational
Carlos, R.E. (2001). Legal and philosophy and accountability. In L.
judicial reform project in Mongolia: East T. Hoover (Ed.), Quantifying quality in
Asia and pacific region. The World Bank policing (pp.2336).Washington, DC:
Report 23286-MOG, 14-17. Police Executive Research Forum.
Chimed.B. (2004). Concept of Landman, T., Larizza, M., & M.
constitution in Mongolia: general issue (I (2005). Paper prepared for Democracy
book). Ulaanbaatar express, pp.12-23 Development in Mongolia: Challenges
Criminal code of Mongolia, (2002). and Opportunities: National Conference,
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Dolgorsuren, J. (2014). Mongolian 2005.
police legislation Law.Soyombo press, Narangerel, S. (2001). Mongolian
pp.45-52. and World legal system: comparative law,
Enkhbold, B. (2011). Urbanization Admon press, pp.146-152.
factors to influence criminality and its Nasanbat, D. (2011). Characteristic
prevention: The journal of Mongolian of Woman crime in Mongolia; time series
criminal justice 3: 9-11. study 2004-2013, Journal of Mongolian

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criminal justice, 1:7-19. a culture of inequality: The Janus faces


Nyamgombo, B. (2013). Effects of crime in post-communist countries.
and trends of imprisonment and other Journal of Crime, Law and Social
types of criminal sanctions.The brochure Change.40(2),295-320
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Scientific Conference).pp.76-81. Mongolia: Supreme court of Mongolia.
National Police Agency. (2015). Tamir, Ts., Bold, Ch., Batbaatar,
Current conditions of crimes committed M., &Tumennast, G (2010). Distribution,
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Susanne, K. (2003). Legacies of university of Georgia, Athens, GA.

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51
LAW REVIEW 2016 5(60)

DAS REFORMIERTE MONGOLISCHE


SANKTIONENSYSTEM AUS DER SICHT DES
DEUTSCHEN STRAFRECHTS
Rechtsfamilie war, das aber doch noch
wesentliche Zge des deutschen Rechtes
beibehalten hatte. ber die Brcke
des sowjetischen Rechts, das ebenfalls
auf dem rmisch-germanischen und
damit dem deutschen Recht aufbaute,
hat auch nach dem Ersten Weltkrieg,
also in der Zeit der Unabhngigkeit
der mongolischen Republik bis hin
zur Wende 1990er Jahre, das deutsche
Recht Einfluss auf die Entwicklung in
Kh.Erdem-Undrakh, Dr.jur, der Mongolei gehabt. Deshalb war die
Wissenschaftlich Sekretaerin, Mongolei mit westlichem und damit
National Legal Institute der Mongolei speziell deutschem Recht schon ber
einen lngeren Zeitraum vertraut. Daher
sollte es keine berraschung sein, warum
I. Einfhrung die Mongolei fr die Modernisierung
II. berblick ber das deutsche ihres Rechtssystems das deutsche Recht
Strafrecht und das Sanktionensystem als Vorbild ausgewhlt hat.
III. Das mongolische Nach der politischen Wende von 1990
Sanktionensystem aus der Sicht des verfolgt die Politik der Bundesregierung
deutschen Strafrechts Deutschland das Ziel, die Mongolei
IV. Fazit zwischen den beiden groen Nachbarn
Russland und China als freiheitlich-
I. Einfhrung demokratischen Rechtsstaat zu etablieren.
Im Einklang mit der Bundespolitik hat
Die Tatsache, dass sich die deutsche sich die Hanns-Seidel-Stiftung zum
Rechtswissenschaft bereits zu Beginn des Ziel gesetzt, die Mongolei auf dem Weg
19. Jahrhunderts mit dem mongolischen zu einem modernen Verfassungsstaat
Recht beschftigt hat, ist erstaunlich. zu begleiten und zu untersttzen.
Der groe deutsche Jurist Paul Johann Die Kernpunkte der Zusammenarbeit
Anselm v. Feuerbach (17751833) hatte seit 1995 waren die juristische
in seinem Versuch einer universalen Ausbildung, die Rechtsberatung und
Rechtsgeschichte auf die verschiedenen die Rechtsentwicklung. Im Rahmen
Rechtsfamilien hingewiesen, zu welchen dieser Zusammenarbeit waren Richter
er auch die mongolische Rechtsfamilie und Professoren aus Bayern durch
als eigenstndige Entwicklung eines Fachvortrge ber Menschenrechte
Nomadenvolks zhlte1. Auerdem und den Verfassungsstaat ttig, durch
beschftigten sich zahlreiche mongolische Untersttzung beim Aufbau der
junge Juristen, die in Russland und Verwaltungsgerichtsbarkeit in der
spter auch in der DDR studiert haben, Mongolei, Schulungen fr die Richter der
mit dem DDR-Recht, das zwar Teil Verfassungs- und Verwaltungsgerichte
einer sozialistischen Rechtsordnung und und auch Beratungsarbeiten bei
der Entwicklung des reformierten
1
Siehe dazu Scholler, 2010, S. 127 ff. und die dort zitierte
weiterfhrende Literatur.

52
Legal Research Overview

Strafgesetzbuch von 20022. deutlich verndert haben sich seit der


Um eine Bewertung ber Einfhrung des Reichsstrafgesetzbuchs
das mongolische strafrechtliche von 1871 die Regelungen ber die
Sanktionensystem aus der Sicht des strafrechtlichen Sanktionen. Das
deutschen Strafrechts machen zu strafrechtliche Sanktionensystem damals
knnen, mchte ich zunchst zeigen, bestand aus Geldstrafe, Freiheitsstrafe
von welcher Grundeinstellung ber und Todesstrafe.
die strafrechtliche Sozialkontrolle das Vorherrschend vertreten wird in der
deutsche Strafrecht ausgeht, um deutlich Rechtsprechung und Lehre in Deutschland
zu machen, aus welcher Perspektive das die so genannte Vereinigungstheorie3,
Sanktionensystem des mongolischen die mit drei unterschiedlichen Anstzen
Strafrechts hier bewertet wird. begrndet wird: mit der Vernderung
des zu Bestrafenden zum Besseren
II. berblick ber das deutsche (Spezialprevention), mit dem Ziel des
Strafrecht und das Sanktionensystem Schutzes anderer (z.B. der sonstigen
Bevlkerung), mit dem Ziel der
2.1 Die deutsche Abschreckung potentieller anderer
Strafrechtsentwicklung und Grundstze Straftter (Generalprevention), mit der
der Kriminalpolitik Wiederherstellung der Gerechtigkeit
(Schuldausgleich) sowie mit Vergeltung.
Das deutsche materielle Die gegen den Tter verhngte Strafe
Strafrecht ist im Strafgesetzbuch darf nicht ungerecht sein, insbesondere
in strafrechtlichen Hauptgesetzen im Verfassungsstaat des Grundgesetzes.
(Jugendgerichtsgesetz, Wehrstrafgesetz) Die Gerechtigkeit kann aber als lediglich
und in zahlreichen Nebengesetzen abstrakte Wertorientierung nicht zur
(z.B. Straenverkehrsgesetz, Begrndung der Strafe, sondern nur zu
Betubungsmittelgesetz, ihrer Begrenzung herangezogen werden4.
Abgabenordnung, Urheberrechtsgesetz, In seiner Leitentscheidung betont das
Waffengesetz, Gesetz gegen den Bundesverfassungsgericht zunchst in
unlauteren Wettbewerb) geregelt. Das Kurzform: Schuldausgleich, Prvention,
geltende deutsche Strafgesetzbuch Resozialisierung des Tters, Shne und
geht zurck auf das Strafgesetzbuch Vergeltung fr begangenes Unrecht
fr das Deutsche Reich von 1871, das werden als Aspekte einer angemessenen
rechtsphilosophisch von der strengen Strafsanktion bezeichnet5.
Vergeltungsidee der Philosophie Im Mittelpunkt des
Kants und Hegels bestimmt war. Die Sanktionensystems stand ursprnglich
wesentlichen Grundstrukturen des die Freiheitsstrafe, whrend heute die
Strafgesetzbuches sind bis heute erhalten Geldstrafe die am hufigsten verhngte
geblieben. Je nach den Bedrfnissen Strafe geworden ist.
der Zeit ist das Strafgesetzbuch immer Bei der Betrachtung des deutschen
wieder verndert bzw. mehrfach neu Rechtssystems in der Nachkriegszeit soll
bekanntgemacht worden. Besonders hier nur das Rechtssystem der Bundes-
republik Deutschland nher betrachtet
2
Ausfhrlicher dazu s. Gebhardt, I. (2002): Justizreform in
der Mongolei. In: Jahrbuch fr Ostrecht 43, 1. Halbbd, S. und mit der Mongolei verglichen wer-
237257; Nelle, D. (2003): Die Reform von Strafrecht, Straf- den. Die damalige DDR hatte ein voll-
prozess und Strafvollzug in der Mongolei. ZStW 115, H. 2, kommen anderes sozialistisch geprgtes
S. 5188; Kajuth, J. (2003):
(Empfehlungen zur weit- Rechtssystem, in dem es z.B. bis 1987 die
eren Entwicklung des mongolischen Strafrechts, acht Jahre 3
Zur Diskussion und zur Vereinigungstheorie siehe nheres
der mongolischen Rechtsreform), Ulaanbaatar, S.503528; Meier, 2006, S.33ff.; Jescheck & Weigend, 1996, 8 V; Roxin,
Konferenzunterlagen zum Thema Reformen des ffentli- 2006, 3, Rn. 33 ff.; aus der Sicht des BVerfG grundlegend:
chen Rechts und des Strafrechts, Ulaanbaatar, 2002; Kon- BVerfGE, 45, 187, 253 ff.
ferenzbuch Die Verfassung und demokratischer Rechtssta-
at in Zusammenarbeit mit der GTZ, KAS zum Anlass des
4
Meier, 2006, S. 21 ff.; zur empirischen Sanktionsforschung
30. Jahrestages der Aufnahme diplomatischer Beziehungen und der Begrndbarkeit von Kriminalpolitik siehe Albrecht,
zwischen der Bundesrepublik Deutschland und der Mongo- H.-J., Dnkel, F. & Spie, G., 1981, S. 310 ff.
lei, Ulaanbaatar 2004. 5
BVerfGE, 45, 187 ff., Rn. 219.

53
LAW REVIEW 2016 5(60)

Todesstrafe gab, das hier nicht betrachtet 2.2 Die Sanktionenrechtsreformen


werden soll. Wenn im Folgenden von in Deutschland
Deutschland die Rede ist, dann bezie-
hen sich die Aussagen nur auf die Bun- Das System der Strafarten des
desrepublik Deutschland. geltenden Rechts geht in seinen
Die Todesstrafe ist seit der Grndung wesentlichen Grundstrukturen auf
der Bundesrepublik Deutschland 1949 die Strafrechtsreform des Jahres 1969
auf Bundesebene de jure und de facto zurck. Das Kernstck des 1. StrRG
abgeschafft. Nur in der Verfassung des vom 25.06.19698 waren die Ersetzung
Bundeslandes Hessen ist in Art. 21 Abs.1 der bis dahin verfgbaren vier Arten
HV die Todesstrafe fr besonders schwere von Freiheitsentziehung (Zuchthaus,
Verbrechen zulssig. Weil jedoch laut Gefngnis, Einschlieung und Haft)
Art.102GG die Todesstrafe abgeschafft durch die einheitliche Freiheitsstrafe, die
ist und gem Art.31GG Bundesrecht Einrumung der Prioritten der Geldstrafe
das Landesrecht bricht, und weil auch im Bereich der unteren und mittleren
das deutsche StGB die Todesstrafe Kriminalitt, ferner die ultima ratio-
nicht enthlt, ist die Todesstrafe in Klausel fr die Verhngung der kurzen
der Hessischen Verfassung de facto Freiheitsstrafe (heute 47 StGB), die
gegenstandslos und nur ein juristisches Erweiterung des Anwendungsbereichs
Kuriosum. der Strafaussetzung zur Bewhrung
Auch die Mitgliedstaaten sowie die Einfhrung der Mglichkeit
des Europarats haben sich im 6. zum Absehen von Strafe.
Zusatzprotokoll zur EMRK verpflichtet, Die Vereinheitlichung der
die Todesstrafe abzuschaffen6, und die Freiheitsstrafen erfolgte im Einklang
Mitgliedstaaten der Europischen Union mit der internationalen Reformtendenz,
haben in Art.2 Abs.2 der Grundrechte- wobei die Abschaffung der als
Charta festgelegt, dass niemand zur besonders diskriminierend und
Todesstrafe verurteilt oder hingerichtet resozialisierungsfeindlich wirkenden
werden darf. Krperstrafen sind in Zuchthausstrafen gefordert wurde. Bei der
Deutschland verboten, explizit folgt Einheitsfreiheitsstrafe gibt es deswegen
dieses Verbot aus der EMRK. Die keine abstrakte Unterscheidung nach
Vermgensstrafe ( 43a StGB) ist nach der Strafart mehr, sondern es wird eine
der Entscheidung des BVerfG vom sinnvolle Differenzierung nur nach der
20.03.2002 (entgegen der Auffassung Persnlichkeit des Tters und der Dauer
des Bundesgerichtshofs) wegen der Strafe vorgenommen.
Unvereinbarkeit mit Artikel 103 Abs.2 des Das deutsche Strafrecht verzichtet
Grundgesetzes fr verfassungswidrig und seit dieser Strafrechtsreform absichtlich
nichtig erklrt worden7. Als Alternative auf die kurze Freiheitsstrafe. Die Idee der
zur Strafe sowie zu gngigen gerichtlichen Einschrnkung der Verhngung kurzer
Strafverfahren in Deutschland wurde Freiheitsstrafen geht bereits auf die schon
das Konzept Restorative Justice vor fast 130 Jahren erhobene Forderung
eingefhrt, welches eine alternative Form von Franz v. Liszt aus dem Jahre 1883
der Konfliktschlichtung bzw. -lsung zurck, der die kurze Freiheitsstrafe
darstellt. Der Tter-Opfer-Ausgleich und als eine Strafe, die das Verbrechen
die Schadenswiedergutmachung sind als frdert definierte9. Die Gefahr der
Diversionsmanahmen im allgemeinen kriminellen Ansteckung, die schdliche
Strafrecht verankert. Ferner ist die Unterbrechung der sozialen Beziehungen
informelle Verfahrenserledigung durch des Tters zu seiner Familie, Arbeitsplatz
153a StPO im Bereich der mittelschweren und Umwelt, sowie die Unmglichkeit
Kriminalitt mglich. 8
In Kraft getreten zum Teil am 01.09.1969, zum Teil am
01.04.1970. Zur Reform des Sanktionensystems siehe Laun,
S., 2002.
6
Zum 6. Zusatzprotokoll zur EMRK genauer Calliess, 1989, 9
Maurach, Gssel & Zipf, 1989, 64 Rn. 1 ff., Baumann u.a.
S. 1019 ff. 1969, S. 75, kritisch hierzu Weigend JZ 1986, 262 ff; Jescheck
7
BGBl. I 1340. & Weigend, 1996, S. 760.

54
Legal Research Overview

einer Resozialisierung innerhalb kurzer fr besondere Ttergruppen. In der


Zeit und nicht zuletzt die finanziellen jngeren Vergangenheit werden darber
Fragen waren die ausschlaggebenden hinaus Tendenzen sichtbar, die auf
Gesichtspunkte gegen die kurze eine Verschrfung der Rechtsfolgen
Freiheitsstrafe. hindeuten13.
Das ursprnglich im Jahr 1953 in das Hervorzuheben sind die
deutsche Sanktionensystem eingefhrte folgenden seit der Strafrechtsreform
Rechtsinstitut, die Aussetzung zur der 1960er/1970er Jahre ergangenen
Bewhrung der Freiheitsstrafen, wurde Gesetzesnderungen im Bereich der
durch das 1. StrRG weiter ausgebaut. strafrechtlichen Rechtsfolgen:
Die Grenze der Anwendung wurde von Das Gesetz zur Neuordnung des
neun Monaten auf bis zu zwei Jahre Betubungsmittelrechts vom 28.07.1981
angehoben, wobei bei Freiheitsstrafen von schuf fr betubungsmittelabhngige
ber einem Jahr erhhte Anforderungen Tter die Mglichkeit der
an die Strafaussetzung gestellt werden Therapieberleitung ( 35 ff. BtMG).
(56 Abs.2 StGB). Auerdem ist die Das 20. StrndG vom 08.12.1981
Strafaussetzung im deutschen Strafrecht erffnete die Mglichkeit zur Aussetzung
mit bestimmten Bewhrungsauflagen des Strafrechts fr Tter, die zu
und/oder Weisungen gebunden (56b lebenslanger Freiheitsstrafe verurteilt
und 56c StGB). wurden ( 57a, 57f. StGB).
Inhalt des 2. StrRG vom 04.07.196910 Durch das 23. StrndG vom
waren neben einer Neufassung der 13.04.1986 wurden die Mglichkeiten
Paragraphenfolge vor allem die zur Aussetzung des Strafrests nach
Anhebung des Mindestmaes der Verbung der Hlfte der verhngten
Freiheitsstrafe auf einen Monat, die Freiheitsstrafe erweitert ( 57 Abs.2
Umgestaltung der Geldstrafe nach StGB).
dem skandinavischen Tagessatzsystem Durch das 23.StrndG von 1986
und die Einfhrung der Verwarnung wurden ferner die Voraussetzungen fr
mit Strafvorbehalt. Auerdem wurden die Abwendung der Vollstreckung der
in Zusammenhang mit dem 1. und 2. an die Stelle einer uneinbringlichen
StrRG weitere Reformen durch das Geldstrafe tretenden Ersatzfreiheitsstrafe
EGStGB vom 02.03.1974 durchgefhrt: durch gemeinntzige Arbeit (Art. 293
die Aufhebung der Deliktskategorie der Einfhrungsgesetz zum Strafgesetzbuch
bertretungen und die Einfhrung der [EGStGB]) neu gefasst.
prozessualen Lsung fr die Ahndung Das Gesetz zur Bekmpfung des
der Bagatellkriminalitt durch 153 und illegalen Rauschgifthandels und anderer
153aStPO. Durch die neuen Regelungen Erscheinungsformen der Organisierten
sollte u.a. die moderne Ausgestaltung Kriminalitt vom 15.07.1992 (OrgKG)
des Sanktionensystems als taugliches erweiterte die Mglichkeiten, mit Hilfe
Instrument der Kriminalpolitik mit dem der strafrechtlichen Sanktionen illegal
Ziel einer Verhtung knftiger Straftaten, erlangte Gewinne abzuschpfen ( 43a,
vor allem durch Resozialisierung des 76d StGB).
Straftters erreicht werden11. Damit D a s
wurde die Idee der Spezialprvention Verbrechensbekmpfungsgesetz vom
wesentlich gestrkt und in den 28.10.1994 (VerbrBekG) erffnete
Vordergrund gerckt12. die Mglichkeit, nach freiwilliger
Die vom Gesetzgeber seit dieser Schadenswiedergutmachung die Strafe
Zeit vorgenommenen nderungen nach den Grundstzen des 49 Abs. 1
beinhalten vor allem die weitere StGB zu mildern oder ganz von einer
Ausdifferenzierung des Strafensystems Strafe abzusehen (46a StGB).
Durch das Gesetz zur
10
In Kraft getreten am 01.01.1975.
11
Sonderausschuss fr die Strafrechtsreform, BT-Drucks. 13
Ausfhrlicher zur Strafrechtsreform und Sanktion-
V/4094, S. 3. ierungspraxis siehe Heinz, 2007, S. 10 ff., und die dort aus-
12
Kaiser, G. 1996, S. 986 ff.; Roxin, C. 1997, S. 86 ff. gefhrten Literatur.

55
LAW REVIEW 2016 5(60)

Bekmpfung von Sexualdelikten verschiedenen Reaktionsmitteln als


und anderen gefhrlichen Straftaten Rechtsfolgen der Straftat zur Verfgung.
vom 26.01.1998 (SexBG) wurden Hier haben die o.g. Gesetze zur Reform
die Prognosevoraussetzungen fr des Strafrechts einige erhebliche
die Entlassung aus dem Straf- und Vernderungen gebracht, die zu einer
Maregelvollzug verschrft und die Erweiterung der sanktionsrechtlichen
Mglichkeiten zur Anordnung von Palette fhrten. Theoretisch sind die
Sicherungsverwahrung fr bestimmte Strafen, deren Bezugspunkte eine in
Ttergruppen erweitert (57 Abs.1, 66 der Vergangenheit liegende Tat und
Abs. 3, 67d Abs. 2 StGB). die Schuld des Tters sind, und die
Das am 26.01.1998 erlassene 6. Maregeln zur Besserung und Sicherung,
StrRG hatte die Harmonisierung der die sich an der Gefhrlichkeit des Tters
Strafrahmen zum Ziel. Der Gesetzgeber, orientieren und zukunftsgerichtet sind,
dem es vor allem um die Beseitigung zu unterscheiden. Daneben kennt das
von Wertungswidersprchen Gesetz weitere Sanktionen eigener Art,
ging, nahm die angestrebte die zwischen den Strafen und Maregeln
Harmonisierung durch Verschrfung der der Besserung sowie Sicherung
Strafdrohungen und Vermehrung von stehen und Nebenfolgen genannt
Qualifikationstatbestnden vor. bzw. zu den Manahmen gerechnet
Durch das Ende Dezember 2006 werden. Auerdem gibt es weitere
in Kraft getretene Zweite Gesetz zur sogenannte verschonende Sanktionen:
Modernisierung der Justiz wurde die Strafaussetzung zur Bewhrung,
Verwarnung mit Strafvorbehalt mit Verwarnung mit Strafvorbehalt, Absehen
dem Ziel einer hufigeren Anwendung von Strafe und Einstellung des Verfahrens
moderat erweitert. nach 153 ff. StPO.
Die Vermgensstrafe gem 43a Im Bereich der Strafen differenziert
StGB kann nicht mehr verhngt werden, das Gesetz zwischen Haupt- und
weil die Vorschrift wegen Verstoes gegen Nebenstrafen. Die Hauptstrafe besteht
das Bestimmtheitsgebot des Art.103IIGG aus zwei Arten von Strafen, nmlich
verfassungswidrig und daher nichtig ist14. die Geldstrafe und die Freiheitsstrafe,
Sie war in gesetzlich bestimmten Fllen whrend als Nebenstrafe nur das
schwerer Kriminalitt, insbesondere bei Fahrverbot vorgesehen ist. Im folgenden
Delikten der organisierten Kriminalitt, werden die Sanktionsarten im deutschen
neben lebenslanger oder zeitiger Strafrecht sehr knapp wiedergegeben,
Freiheitsstrafe von mehr als 2 Jahren um einen kurzen berblick zu geben,
zugelassen. Die Vermgensstrafe war eine denn es ist nicht Gegenstand dieser
Geldsummenstrafe, deren Hhe durch Arbeit das deutsche Sanktionensystem
den Wert des Vermgens des Tters, das zu analysieren und zu beurteilen.
geschtzt werden kann, begrenzt war. Die bersicht wird bentigt, um
eine Beurteilung des mongolischen
2.3 Das gegenwrtige strafrechtlichen Sanktionensystems aus
Sanktionensystem im deutschen der Perspektive des deutschen Strafrechts
Strafrecht zu ermglichen.

Im Laufe der Geschichte hat sich das 2.3.1 Die Geldstrafe


deutsche strafrechtliche Sanktionensystem
immer weiter ausdifferenziert und die Im Bereich der kleinen und mittleren
Strafdauer und -hrte sind allmhlich sehr Kriminalitt kommt der Geldstrafe
zurckgegangen. Heutzutage werden auf grundstzlich der Vorrang zu. Sie wird
sehr unterschiedliche Weise Verste nach einem sogenannten Tagessatzsystem
gegen das Strafrecht sanktioniert. Das verhngt15. Zunchst wird die Anzahl
gegenwrtige deutsche strafrechtliche der Tagesstze bestimmt, die zwischen
Sanktionensystem stellt eine Reihe von fnf und in der Regel maximal 360
14
BVerfG, NJW 2002, 1779. 15
Siehe dazu nheres Albrecht, H.-J., 2005, S. 1354 ff.

56
Legal Research Overview

Tagesstzen umfassen knnen ( 40 als zeitige oder als lebenslange


Abs. 1 StGB). Bei einer Gesamtstrafe Freiheitsstrafe verhngt werden. In der
sind jedoch 720 Tagesstze mglich ( 54 kriminalpolitischen Diskussion wird
Abs. 2 Satz 2 StGB). Mit dieser Anzahl meist davon ausgegangen, dass sich mit
sollen das Unrecht und die Schuld des dieser am tiefsten in die Rechtsstellung
Tters zum Ausdruck gebracht werden, des Verurteilten eingreifenden Strafart
unabhngig von dessen wirtschaftlichen das gesamt Spektrum der in Betracht
Verhltnissen. Diese werden erst bei kommenden Strafzwecke abdecken lsst.
der Hhe des Tagessatzes (von 1 bis Die Freiheitsstrafe soll Vergeltung fr die
30000Euro) bercksichtigt, wobei man Tat ben und die Shne ermglichen, sie
in der Regel vom Nettoeinkommen soll dem Tter die Mglichkeit erffnen, im
ausgeht, das der Tter durchschnittlich Vollzug die fr ein Leben ohne Straftaten
an einem Tag hat oder haben knnte. Der erforderlichen Voraussetzungen zu
grte Nachteil der Geldstrafe, nmlich erwerben, sie soll abschrecken, sie
die ungleichmige Wirkung auf Arm soll die Gesellschaft durch die sichere
und Reich, wird dadurch einigermaen Unterbringung des Verurteilten schtzen
ausgeglichen und damit soll in dieser und sie soll das durch die Tat erschtterte
Hinsicht eine grere Gerechtigkeit Vertrauen der Allgemeinheit in die
erreicht werden. Es werden hohe Bestands- und Durchsetzungskraft des
Geldstrafen ermglicht, welche den Rechts wiederherstellen16.
Tter zum Konsumverzicht zwingen. Sowohl in der Wirklichkeit als auch
Dafr werden auch Mglichkeiten im Rahmen der Kriminalpolitik werden
der Zahlungserleichterung in Form positive Wirkungen der Bestrafung
von Stundung oder Ratenzahlung fr den Tter weniger als die Regel,
gem 42StGB geboten. sondern eher als Ausnahme betrachtet.
Zahlungserleichterungen knnen auch Repressive Formen der Sanktionierung
dann gewhrt werden, wenn ohne sie die werden angesichts zahlreicher
Schadenswiedergutmachung durch den schdlicher Neben- und Folgewirkungen
Verurteilten erheblich gefhrdet wre. fr die Betroffenen insbesondere beim
An die Stelle einer uneinbringlichen Vollzug einer Freiheitsstrafe in Frage
Geldstrafe tritt die Ersatzfreiheitsstrafe gestellt. Aus kriminalpolitischer Sicht
(43 StGB). Ein Tag Freiheitsstrafe haftet der Freiheitsstrafe dabei eigene
entspricht einem Tagessatz. Da die Problematik an. Hufig wirkt der Vollzug
Geldstrafe in Tagesstzen verhngt einer Freiheitsstrafe negativ auf die
wird, ist die Anrechnung der Lebensumstnde des Verurteilten. Fr
Ersatzfreiheitsstrafe sehr simpel. Die die Begrenzung der Eingriffsintensitt
Vollstreckung der Ersatzfreiheitsstrafe sprechen sowohl humanitre als
kann nach geltendem Recht nicht auch rationale, an Effizienzkriterien
ausgesetzt werden. Die Vollstreckung orientierte Erwgungen17. Um die
dieser Ersatzfreiheitsstrafe kann jedoch mit ihr einhergehenden Gefahren
dann unterbleiben, wenn das Gericht fr die soziale Reintegration des
dies wegen einer unbilligen Hrte fr Verurteilten anzumildern, hat der
den Verurteilten anordnet (459f. StPO). deutsche Gesetzgeber versucht, den
Ist der Verurteilte einverstanden, so Anwendungsbereich der Freiheitsstrafe
kann er anstelle der Ersatzfreiheitsstrafe auf unterschiedlichen Ebenen
gemeinntzige Arbeit leisten und auf einzugrenzen und deutlich zu machen,
diese Weise die Geldstrafe tilgen ( 293 dass die Freiheitsstrafe nur als ultima
EGStGB). ratio des Strafensystems in Betracht
kommt. So hat sich in Deutschland in
2.3.2 Die Freiheitsstrafe den Jahren zwischen 1882 und 2005 das
Verhltnis von verhngten Freiheitsstrafen
Die Freiheitsstrafe ist die hrteste und Geldstrafen im Ergebnis umgekehrt.
Strafe, die das deutsche Sanktionensystem 16
Meier, B.D. 2006, S. 79 ff.
von heute kennt. Sie kann entweder 17
Albrecht, H.-J., Dnkel, F. & Spie, G., 1981, S. 323.

57
LAW REVIEW 2016 5(60)

1882 waren noch 76,8% aller verhngten 2.3.3 Strafaussetzung zur


Strafen Freiheitsstrafen und 22,2% Bewhrung
Geldstrafen. 2007 waren dagegen 69,6%
aller verhngten Strafen Geldstrafen und Im deutschen strafrechtlichen
lediglich 8,3% Freiheitsstrafen18. Sanktionensystem ist die
Das Hchstma der zeitigen Bewhrungsstrafe eine Form der Reaktion
Freiheitsstrafe betrgt fnfzehn Jahre, nicht freiheitsentziehender Art21. Das
ihr Mindestma einen Monat ( 38.2 kriminalpolitische Ziel dieser durch das
StGB). Die lebenslange Freiheitsstrafe 3. StrndG im Jahr 1953 eingefhrten
ist insbesondere fr Mord oder und 1969 sowie 1986 stark erweiterten
Vlkermord angedroht. Frher bedeutete Sanktionsoption besteht in der Frderung
lebenslang bis zum Lebensende, was des Strafzwecks der Spezialprvention.
heute jedoch anders definiert wird. Das Bei Strafaussetzung zur Bewhrung wird
Bundesverfassungsgericht hat 1977 die eine Bewhrungszeit zwischen zwei
Dauer der lebenslangen Freiheitsstrafe und fnf Jahren festgesetzt ( 56a StGB),
begrenzt19: Der Gesetzgeber wurde wobei diese Dauer nachtrglich vor ihrem
verfassungsrechtlich gezwungen, auch Ablauf bis auf das Hchstma verlngert
dem zu lebenslanger Freiheitsstrafe oder bis auf das gesetzliche Mindestma
Verurteilten eine Chance auf verkrzt werden kann.
Wiedereingliederung in die Freiheit Im Bereich der leichteren und
und in die Gesellschaft zu ermglichen. mittleren Kriminalitt (bis zu 2 Jahren
Er msse die Mglichkeit haben, je Freiheitsstrafe), in denen dies mit
wieder der Freiheit teilhaftig zu werden. den Strafzwecken vereinbar ist, kann
Die Mglichkeit einer Begnadigung dem Verurteilten aus dem Grund
allein sei nicht ausreichend. Der der Vermeidung von Desintegration
Gesetzgeber ist 1981 mit dem Erlass die Strafaussetzung zur Bewhrung
eines neuen Paragraphen im StGB angeordnet werden (56StGB). Darber
diesem Urteilsspruch nachgekommen: hinaus zielt der deutsche Gesetzgeber
Ein Gericht kann die Vollstreckung des darauf ab, in geeigneten Fllen an die
Restes einer lebenslangen Freiheitsstrafe Stelle des Strafvollzugs eine Form der
nun unter bestimmten Voraussetzungen ambulanten Sanktionierung treten zu
zur Bewhrung aussetzen, wenn 15 Jahre lassen, die dem Tter einerseits Hilfe
der Strafe verbt sind20. und Untersttzung bei der Bewltigung
Das deutsche Jugendstrafrecht kennt von Problemlagen gewhrt, und ihn
keine lebenslange Freiheitsstrafe. Das andererseits mit dem Druck des drohenden
Hchstma einer Jugendstrafe betrgt Widerrufs dazu zwingt, knftig ein
fr Heranwachsende 15 Jahre ( 105 III straffreies Leben zu fhren22. So kann
2 JGG). Wenn fr Heranwachsende das das Gericht dem Verurteilten bestimmte
allgemeine Strafrecht angewandt wird, Auflagen und Weisungen anordnen,
kann das Gericht anstelle von lebenslanger denen nachzukommen er verpflichtet
Freiheitsstrafe eine zeitige Strafe bis zu 15 ist ( 56b, 56c ff. StGB). Auflagen wie
Jahren verhngen (106IJGG). z.B. eine Schadenswiedergutmachung,
Weitere Differenzierungen ergeben die Zahlung eines Geldbetrages an
sich daraus, dass die Freiheitsstrafe nicht eine gemeinntzige Einrichtung oder
zwingend vollstreckt zu werden braucht. zugunsten der Staatskasse, dienen der
Die Vollstreckung kann entweder Genugtuung fr das begangene Unrecht
bereits im Urteil oder nach Verbung ( 56b Abs. 1 Satz 1 StGB). Mit dieser
einer bestimmten Mindestdauer zur Festlegung knpft der Gesetzgeber an die
Bewhrung ausgesetzt werden. Schuldausgleichs-Funktion der Strafe an.
18
Heinz. W., 2007, S. 40 ff. 21
Albrecht, H.-J. Rechtsvergleichendes Gutachten, in: Ab-
19
BVerfGE 45, 187, 222 ff. Vgl. hierzu auch BVerfG NStZ schlussbericht der Kommission zur Reform des strafrecht-
1996, S. 614. lichen Sanktionensystem, 2000, S. 20; zur historischen En-
20
Die Voraussetzungen sind in 57a Abs. 1 Nr. 13 dStGB twicklung genauer Dnkel, F., 1983, S. 1039 ff.
festgelegt. 22
Meier, B.D., 2006, S. 99 ff.

58
Legal Research Overview

Weisungen, wie z.B. die Unterstellung bleibt aber vom befristeten Fahrverbot
unter die Aufsicht und Leitung eines unberhrt. Der Versto gegen dieses
Bewhrungshelfers, Anordnungen Verbot stellt eine erneute Straftat dar ( 21
zu befolgen, die sich auf Aufenthalt, Abs. 1 und 2 StVG).
Ausbildung, Arbeit oder Freizeit oder
auf die Ordnung seiner wirtschaftlichen 2.3.5 Maregeln der Besserung
Verhltnisse beziehen, bestimmte und Sicherung
Gegenstnde nicht zu besitzen, die
Gelegenheit oder Anreiz zu weiteren Das deutsche Strafrecht kennt
Straftaten bieten knnen, dienen insgesamt sechs Maregeln der
ausschlielich dem Zweck, Straftaten Besserung und Sicherung, drei
des Verurteilten in Zukunft zu verhten. nichtfreiheitsentziehende (sogenannte
Kommt der Verurteilte den ihm erteilten ambulante) und drei freiheitsentziehende
Verpflichtungen nicht nach, dann wird (sogenannte stationre) Sanktionen.
die Aussetzungsentscheidung widerrufen Die Entziehung der Fahrerlaubnis,
und die Freiheitsstrafe vollstreckt. Fhrungsaufsicht und Berufsverbot
Sowohl bei zeitiger als auch bei gelten als die ambulanten Maregeln,
lebenslanger Freiheitsstrafe besteht die whrend die Unterbringung in einem
Mglichkeit, die Vollstreckung eines psychiatrischen Krankenhaus ( 63 StGB),
Strafrestes zur Bewhrung auszusetzen in einer Entziehungsanstalt ( 64 StGB)
( 57, 57a StGB). oder in der Sicherungsverwahrung ( 66-
66b StGB) zu den stationren Maregeln
2.3.4 Das Fahrverbot als gehren.
Nebenstrafe Mit dem sogenannten
Gewohnheitsverbrechergesetz wurden im
Das deutsche Strafensystem kennt Jahre 1933 neben den eigentlichen Strafen
auch eine Nebenstrafe, das befristete Maregeln eingefhrt. Damit wurde
Fahrverbot. Das befristete Fahrverbot das sogenannte zweispurige System im
kann im Urteil nicht selbstndig, sondern deutschen Sanktionenrecht errichtet. Die
nur in Kombination mit einer Hauptstrafe Dauer der Maregeln wird vom Gesetz
verhngt werden23. Das Fahrverbot kann nicht befristet und auch nicht durch das
von 1 bis zu 3 Monaten verhngt werden, gerichtliche Urteil bestimmt, sondern erst
wenn die Tat, wegen der Angeklagte whrend des Vollstreckungsverfahrens
verurteilt wurde, im Zusammenhang mit konkretisiert.
dem Fhren eines Kraftfahrzeuges stand ( Bei den Maregeln der Besserung
44 StGB). Zum Unterschied der Maregel und Sicherung kommen kriminalpolitisch
der Entziehung der Fahrerlaubnis ( 69 die drei Elemente der Spezialprvention
StGB) zielt das Fahrverbot nicht darauf zur Erwgung, die Abschreckung (z.B.
ab, die Allgemeinheit vor ungeeigneten durch die Entziehung der Fahrerlaubnis),
Verkehrsteilnehmern zu schtzen. Es Besserung und Sicherung. Darber
hat die spezialprventive Funktion, hinaus werden bei den Maregeln
nachlssigen oder leichtsinnigen der Besserung und Sicherung je nach
Kraftfahrern, die zum Fhren von der Art und den Einwirkungsmitteln
Kraftfahrzeugen nicht grundstzlich im einzelnen sehr verschiedenartige
ungeeignet sind, zustzlich zur kriminalpolitische Zwecke verfolgt. Alle
Hauptstrafe eine Mahnung zu erteilen. Arten von Maregeln verfgen jedoch
Das Fahrverbot hat zur Konsequenz, ber gemeinsame Ziele: die Verhinderung
dass es dem Verurteilten untersagt ist, von Straftaten und die Sicherung der
im Straenverkehr Kraftfahrzeuge zu Allgemeinheit24.
fhren. Der Fhrerschein wird in amtliche Die Maregel der
Verwahrung genommen ( 44 Abs. 2 Satz Sicherungsverwahrung stellt die
2 StGB), die eigentliche Fahrerlaubnis ultima ratio des strafrechtlichen
Sanktionensystems dar und ist sie in
Nheres zu dieser Sanktion Kulemeier, R., 1993, S. 212 ff.;
23

Meier, B. D., 2006, S. 137 ff. 24


Dazu ausfhrlicher Meier, 2006, S. 219 ff.

59
LAW REVIEW 2016 5(60)

Deutschland kriminalpolitisch umstritten. das jngste Gesetz zur bundesrechtlichen


Hierbei wird weniger kritisiert, dass Umsetzung des Abstandgebotes im
es grundstzlich nicht legitimiert sei, Recht der Sicherungsverwahrung am
Sanktionen schuldunabhngig zu Konzept des Neuordnungsgesetzes fest29.
verhngen und den Tter im Interesse Mit diesen Gesetzesnderungen wurde
der Allgemeinheit ber den Endzeitpunkt die traditionelle Form der Maregel
der Strafe hinaus sicher zu verwahren25; eingeschrnkt und dafr die vorbehaltene
vielmehr gibt es Kritik daran, dass der Sicherungsverwahrung ausgeweitet.
Gesetzgeber den Anwendungsbereich Bei der Reform zur Fhrungsaufsicht
der Maregel in den Jahren 1998 bis vom 22.03.2007 wird eine straffere und
2004 kontinuierlich ausgeweitet und effizientere Kontrolle der Lebensfhrung
damit die durch das 1. StrRG geschaffene von Strafttern zur Verhinderung
Grenzlinie der Notmanahme der von Rckfllen erzielt, und dies mit
Kriminalpolitik26 berschritten hat. weiteren neuen Weisungen wie mit
Aus kriminalpolitischer Sicht Strafe bewehrtes Kontaktverbot, Verbot
dient die Unterbringung in der Alkohol zu trinken, regelmige
Sicherungsverwahrung dem Schutz Vorstellung bei Arzt etc. erweitert.
der Allgemeinheit vor Ttern, die Bei schuldhaften Versten gegen
erhebliche Straftaten begangen haben Weisungen sah der Gesetzgeber eine
und die wegen ihres bekannten Hangs Erhhung der Freiheitsstrafenandrohung
zur Begehung weiterer erheblicher auf 3 Jahre nach 145a StGB vor. Weitere
Straftaten fortdauernd gefhrlich sind. nderungen sind die Erweiterung der
Die Maregel verfolgt ausschlielich das Befugnisse der Fhrungsaufsichtsstellen
Ziel der Sicherung der Allgemeinheit. und die Einfhrung einer stationren
Der Besserungsgedanke spielt auf der Krisenintervention fr Personen,
Anordnungsebene keine, aber auf der die nach ihrer Entlassung aus einer
Vollzugsebene nur eine untergeordnete Klinik fr psychisch oder suchtkranke
Rolle. Straftter in eine krisenhafte Entwicklung
Seit 2008 wurde der geraten (z.B. unkontrolliert in groen
Anwendungsbereich der Mengen Alkohol konsumieren) durch
Sicherungsverwahrung mehrfach vorbergehende Unterbringung im
erweitert (66aStGB, Vorbehalt Maregelvollzug sowie die Anordnung
der Unterbringung in der unbefristeter Fhrungsaufsicht fr die
Sicherungsverwahrung und Durchsetzung von Medikamenten und
66bStGB. Nachtrgliche Anordnung sonstiger Compliance.
der Sicherungsverwahrung). Zwar
wurden nach einer Neuordnung dieser 2.3.6 Verwarnung mit
Maregel, die mit Beginn des Jahres Strafvorbehalt und Absehen von Strafe
2011 in Kraft getreten war27, durch das
Bundesverfassungsgericht die meisten Unterhalb der Geldstrafe gibt
Vorschriften ber die Sicherungsverwahrung es zwei weitere Strafarten, deren
fr verfassungswidrig erklrt. Dabei sttzte sich Anwendungsbereich etwas unscharf
das Gericht jedoch ausschlielich auf das mit ist: das Absehen von Strafe und die
diesem Urteil ausdifferenzierte Gebot eines Verwarnung mit Strafvorbehalt. Beim
hinreichenden Abstands zur Freiheitsstrafe Absehen von Strafe begngt sich das
und ihrem Vollzug28. Dementsprechend hlt Gericht mit einem Schuldspruch und
erlegt dem Tter kein Strafbel auf.
25
Unter Bezugnahme auf die erste Entscheidung zur leb-
enslangen Freiheitsstrafe (BVerfGE 109, 133 (151)) ist sie als
Voraussetzung fr das Absehen von Strafe
legitim und als mit der Verfassung vereinbar angesehen. nach 60 StGB ist, dass der Tter bereits
26
Dazu siehe den 1. schriftlichen Bericht, BT-Drucks. durch die Folgen der Tat schwer getroffen
V/4094, S. 19. ist. Das Absehen von Strafe ist nur dann
27
Gesetz zur Neuordnung des Rechts der Sicherungsver- mit den Strafzwecken vereinbar, wenn
wahrung und zu begleitenden Regelungen vom 22. 12. 2010
(BGBl. I 2300).
die Folgen, die den Tter getroffen haben,
28
BVerfGE 128, 326 (Beschluss vom 04. 05. 2011) 29
Gesetz vom 5. 12. 2012 (BGBl. I 2425).

60
Legal Research Overview

die Schuld als hinreichend kompensiert Nach 153 StPO kann ein
erscheinen lassen und es keine Ermittlungsverfahren eingestellt werden,
prventiven Gesichtspunkte gibt, die wenn die gesetzlichen Voraussetzungen
eine Verhngung von Strafe erforderlich erfllt sind. Voraussetzungen fr die
machen. Das Absehen von Strafe nach Einstellung wegen Geringfgigkeit
60 StGB kommt grundstzlich bei gem. 153 StPO sind, dass die Schuld
allen Delikten in Betracht. Aber der des Tters gering anzusehen wre, kein
Gesetzgeber hat eine gewisse Grenze ffentliches Interesse an der Verfolgung
aufgestellt, dass der Tter fr die Tat der Tat besteht und es sich bei der Tat um
keine Freiheitsstrafe von mehr als einem ein Vergehen handelt. In der Praxis hat
Jahr erhalten haben darf ( 60 Satz 2 die Einstellung nach 153 StPO enorme
StGB). Eine Besonderheit beim Absehen Bedeutung. Ein Strafverfahren kann im
von Strafe stellt dar, dass es als alleinige Ermittlungsverfahren oder auch noch
Form der Reaktion anzuwenden ist. in der Hauptverhandlung eingestellt
Erachtet das Gericht die Voraussetzungen werden, ohne dass es zu einer Bestrafung
fr gegeben, so muss es das Absehen von des Beschuldigten kommt.
Strafe im Urteil zwingend whlen. Es gibt Auch gem. 153a kann eine
keine Wahlmglichkeit. Dem Gericht ist Verfahrenseinstellung gegen Auflagen
ein Ermessen nicht eingerumt. oder Weisungen erfolgt werden. Die
Bei der Verwarnung mit Voraussetzungen dafr sind: es muss
Strafvorbehalt verwarnt das Gericht sich um ein Vergehen handeln, bei
den Tter zustzlich zum Schuldspruch, einem Verbrechen ist die Einstellung
bestimmt bereits eine (Geld-)Strafe, gegen Auflagen ausgeschlossen. Die
und setzt die Verhngung zu dieser Schwere der Schuld und das ffentliche
Strafe aber zur Bewhrung30 aus ( 59 Interesse durfen einer Einstellung nicht
StGB). Allerdings ist die Verwarnung entgegenstehen. Diese Art der Einstellung
mit Strafvorbehalt nur bei Geldstrafen ist bei Delikten bis in den Bereich der
bis zu 180 Tagesstzen zulssig. Ziel mittleren Kriminalitt. Darber hinaus
der Verwarnung mit Strafvorbehalt ist sind im deutschen Strafrecht weitere
es, im unteren Bereich der Kriminalitt Einstellungen eines Strafverfahrens nach
der Tter insbesondere dem Ersttter 154 und 170 StPO mglich.
die Bestrafung zu ersparen. Aber die
Verwarnung mit Strafvorbehalt spielt in 2.3.8 Gemeinntzige Arbeit
der Praxis nur eine geringe Rolle.
Ist die Geldstrafe uneinbringlich, so
2.3.7 Einstellung des Verfahrens ist mit Androhung bzw. Anordnung der
nach 153 ff. StPO Ersatzfreiheitsstrafe nach entsprechenden,
gem. Art. 293 EGStGB erlassenen
Durch das EGStGB vom 02.03.1974 Rechtsverordnungen und Verfgungen
wurde der Justiz in Deutschland die der einzelnen Bundeslnder (die seit
Mglichkeit geboten, Verfahren aus Anfang 1987 berall und flchendeckend
Opportunittsgrnden einzustellen. gelten) dem Verurteilten gleichzeitig
Es geht dabei nicht darum, dass sie mitzuteilen, dass er die Geldstrafe auch in
nicht wegen des fehlenden (oder nicht Form der freiwilligen Arbeit leisten kann.
beweisbaren) Tatverdachts erfolgen, Es setzt die Freiwilligkeit von Seiten
sondern wegen des fehlenden ffentlichen des Verurteilten voraus, jedoch gibt es
Interesses an der weiteren Verfolgung der fr ihn keine eigene Wahlmglichkeit
Tat.31 zwischen der Bezahlung der Geldstrafe
und einer Leistung durch Arbeit, sondern
30
Eine Aussetzung der Vollstreckung der Geldstrafe zur
Bewhrung sieht das StGB nicht vor. Die Verwarnung
das Gericht entscheidet. Nachdem
mit Strafvorbehalt im Anwendungsbereich der Geldstrafe entsprechende Projekte bereits Anfang
hat jedoch eine hnliche Wirkung. Zur Verwarnung mit der 1980er Jahre erfolgreich waren,
Strafvorbehalt und Absehen von Strafe siehe nheres Al-
brecht, H.-J., 2005, S. 1751 ff. und 1759 ff.
wurde die Ableistung gemeinntziger
Arbeit schrittweise in den verschiedenen
31
Siehe nheres dazu Meier, B.D., 2006, S. 8 ff.

61
LAW REVIEW 2016 5(60)

Landgerichtsbezirken eingefhrt32. Es sind35. Die Regelungen des JGG beziehen


ermglicht Verurteilten, die Vollstreckung Jugendliche im Alter von 14 bis unter
einer Ersatzfreiheitsstrafe durch Leistung 18-Jhrige und Heranwachsende im
von gemeinntziger Arbeit abzuwenden, Alter von 18 bis unter 21-Jhrige ein.
wenn sie die in erster Linie verhngte Hierfr ist das Alter zum Zeitpunkt der
Geldstrafe auch nicht in Raten bezahlt Tat entscheidend. Das Jugendstrafrecht
knnen. Der Verurteilte kann in diesen wird bei Heranwachsenden angewandt,
Fllen einen Antrag bei der fr die wenn der Tter nach seiner sittlichen
Vollstreckung der Geldstrafe zustndigen und geistigen Entwicklung zur Tatzeit
Staatsanwaltschaft stellen. Die Anzahl der einem Jugendlichen entsprach oder
abzuleistenden Stunden ergibt sich aus die Tat als eine Jugendverfehlung
der Anzahl der Hafttage, die zu verben eingeordnet werden kann. Unter
wren. Pro Hafttag mssen je nach Letzterem versteht man Straftaten, die
Bundeslndern vier bis sechs Stunden Ausdruck einer typischen jugendlichen
Arbeit geleistet werden. Damit werden Lebenssituation sind, die beispielsweise
nicht nur Haftkosten gespart, sondern aus Imponiergehabe, jugendlichem
auch unntige Gefngniserfahrungen Leichtsinn, Neugier oder Gruppendruck
vermieden. Verurteilte, die schon lange begangen worden sind.
arbeitslos sind, knnen wieder einen Das Rechtsfolgensystem des
geregelten Arbeitsrhythmus erlernen JGG umfasst drei Kategorien von
und ihre Chancen auf dem Arbeitsmarkt formellen Rechtsfolgen, nmlich
erhhen. Auch kommt die gemeinntzige Erziehungsmaregeln, Zuchtmittel und
Ttigkeit der Allgemeinheit zugute. Jugendstrafen. Darber hinaus sind auch
die Anwendung von Nebenfolgen aus
2.3.9 Das Jugendstrafrecht dem StGB, insbesondere das Fahrverbot
sowie einige der Maregeln der Besserung
Das Jugendstrafrecht stellt sich seit und Sicherung zulssig.
192333 als selbststndiger Rechtsbereich Als Erziehungsmaregeln gelten
im deutschen Sanktionensystem dar, der Weisungen (10JGG) und Hilfe zur
in den 1980er Jahren durch eine Reform Erziehung (Erziehungsbeistandschaft (
durch die Praxis34 weiterentwickelt 12 JGG) und Heimerziehung ( 12 JGG)).
wurde. Im Rahmen dieser Reform wurden Als Zuchtmittel gelten die Verwarnung,
neue ambulante Manahmen erprobt die Erteilung und der Jugendarrest ( 13
und das Konzept der Diversion wurde in Abs. 2 JGG).
hohem und wachsendem Mae umgesetzt,
die die traditionellen Sanktionen 2.4 Entwicklung der
(Geldbue, Jugendarrest, Jugendstrafe) Sanktionierungspraxis in Deutschland
weitgehend ersetzen knnen. Als solche
ambulante Manahmen gelten der Tter- Deutschland ist in Bezug auf die
Opfer-Ausgleich, die Betreuungsweisung, Sanktionierung eines von wenigen
ein sozialer Trainingskurs und guten Vorbildern auf der Welt36. Im Jahr
eine Arbeitsweisung, bei denen die 1882 waren nur 22,2% aller verhngten
Besonderheiten der Kriminalitt im Strafen Geldstrafen und noch 76,8%
Jugendalter in vollem Mae bercksichtigt Freiheitsstrafen37. Vor den Reformen in
den 1960er und 1970er Jahren lag das
32
Zu solchen Projekten wie z. B. Schwitzen statt Sitzen Verhltnis von verhngten Geldstrafen zu
Projekt in Baden-Wrttemberg siehe http://www.justiz- Freiheitsstrafen ohne Bewhrung schon
portal-bw.de/pb/,Lde/Startseite/THEMEN+UND+AK- bei 70:20 von 100% aller Strafen. Diese
TUELLES/Schwitzen+statt+Sitzen.
33
In 1923 wurde das Jugendgerichtsgesetz verabschiedet
und damit wurde erstmals in Deutschland ein Sonderstra-
35
Zur Sanktionen und Sanktionierungspraxis im Jugend-
frecht fr jugendliche Straftter geschaffen. Siehe dazu aus- strafrecht detailierter in Heinz, 2006.
fhrlicher Heinz, 2007, S. 25 ff. 36
Vgl. dazu Albrecht, H.-J., 2004, S. 20-25.
34
Vergleiche hierzu BMJ [Hrsg.]: Jugendstrafrechtsreform 37
Zur Entwicklung der Sanktionierungspraxis in Deutsch-
durch die Praxis, Bonn 1989; Albrecht, H.-J. & Hotter, I. land und des deutschen strafrechtlichen Sanktionensystems
(2003), S. 282 ff. ausfhrlicher Heinz, 2007, S. 40 ff.;

62
Legal Research Overview

Entwicklung setzte sich in den folgenden Freiheitsstrafen zwischen 5 und 15


Jahrzehnten noch erheblich weiter fort Jahre lediglich 1,4 % (1517) der Flle
und steht derzeit in einem Verhltnis betragen. Es gibt nur 92 Flle, in denen
82,8% Geldstrafen zu nur noch 5,2% die lebenslange Freiheitsstrafe verhngt
Freiheitsstrafen (vergleiche das Schaubild wurde. Dies macht 0,1 % der Flle aus40.
1). Was die Verurteilungen zu
Geldstrafen betrifft, liegt jeweils knapp
die Hlfte der rund 560 000 Flle bei bis
zu 30 Tagesstzen sowie zwischen 31 und
90 Tagesstzen. Whrend 6 % der Flle
ber 90 Tagesstze ausmachen, werden
in nur 0,5 % der Flle ber 180 Tagesstze
verhngt. Die Hhe des Tagessatzes
bewegt sich mit 37 % am hufigsten bei
Betrgen zwischen 10 und 25 Euro, in nur
2,7 % der Flle bei Tagesstzen bis zu 5
Schaubild 1. Sanktionen nach Euro. Bei nur 2 % aller zu Geldstrafen
allgemeinem Strafrecht in Deutschland38 Verurteilten betrgt der Tagessatz mehr
Dies wird in der Literatur mit einem als 51 Euro.
gewissen Stolz wie folgt beschrieben: In
der Neuregelung des Sanktionensystems 2.5
Das Europarecht und das
steht das gegenwrtige Recht mit deutsche Strafrecht
dem bergang von der Freiheitsstrafe
zur Geldstrafe als weitaus hufigster Deutschland ist ein Mitgliedstaat
Strafart an einem hnlich bedeutsamen der Europischen Union (EU). Die EU hat
Wendepunkt, wie es einst der bergang zwar bisher keine Befugnis zur Schaffung
von den Leibes- und Lebensstrafen eines einheitlichen europischen
des Mittelalters zur Freiheitsstrafe der Strafrechts, aber sie unternimmt seit
Aufklrungszeit gewesen ist39. lngerer Zeit Anstrengungen zur
2013 wurden insgesamt rund Verbesserung und Vereinheitlichung
674000 Personen in Deutschland nach der Verbrechensbekmpfung in den
allgemeinem Strafrecht verurteilt. Der Mitgliedstaaten. Durch den Vertrag
Anteil der Frauen liegt bei 19,7%. Wie das von Lissabon, der am 01.12.2009 in
Schaubild 22 zeigt, ist bei Verurteilungen Kraft getreten ist, wurde den Organen
die Geldstrafe mit 558 000 Fllen die der EU die Mglichkeit gegeben,
hufigste Strafe. In den brigen 116000 die Mitgliedstaaten zum Erlass von
Fllen werden Freiheitsstrafen oder Strafgesetzen zum wirksamen Schutz
sehr selten Strafarrest verhngt. Zwei des Vermgens der EU zu verpflichten41.
Drittel der Freiheitsstrafen werden zur Darber hinaus sieht Art. 83 AEUV die
Bewhrung ausgesetzt. Harmonisierung der Strafvorschriften
Dies entspricht 12% aller der Mitgliedstaaten fr zahlreiche,
Verurteilungen. Lediglich 5% (35 000) der typischerweise grenzberschreitende
Verurteilungen sind Freiheitsstrafen ohne Deliktsbereiche vor (z.B. Terrorismus,
Bewhrung. 30% aller Freiheitsstrafen Drogenhandel, Computerkriminalitt,
sind kurze Freiheitsstrafen unter 6 organisierte Kriminalitt).
Monaten Dauer, rund 45 % haben eine Die Europische Konvention
Dauer zwischen 6 und 12 Monaten und zum Schutze der Menschenrechte
18 % haben eine Dauer zwischen 1 und und Grundfreiheiten von 1959, zu der
2 Jahren. Die nicht aussetzungsfhigen Deutschland ebenso wie alle brigen
Freiheitsstrafen ber 2 Jahre machen
zusammen 8 % aus, whrend die
40
Siehe nheres zu der Sanktionierungspraxis Jehle 2015,
S. 32 ff.; zur Perspektiven kriminologischer Forschung Al-
38
Quelle: Strafverfolgungsstatistik 2013, Statistischen brecht, H.-J. (2007), S. 177 ff.
Bundesamt, Wiesbaden, Tab. 2.3. Art. 325 Abs. 4 des Vertrages ber die Arbeitsweise der
41

39
Jescheck, 1992, Einleitung, Rndr. 93. EU (AEUV).

63
LAW REVIEW 2016 5(60)

Mitgliedstaaten des Europarats Sicht


beigetreten ist, ist unmittelbar geltendes
nationales Recht im Range eines einfachen In der Mongolei ist die vor etwa
Bundesgesetzes42. Ihre Gewhrleistungen zwei Jahrzehnten in Angriff genommene
sind daher durch die deutschen Reformarbeit in ihren wesentlichen
Gerichte wie anderes Gesetzesrecht Teilen erfolgreich abgeschlossen.
des Bundes im Rahmen methodisch Die Anpassungsgesetze an das
vertretbarer Auslegung zu beachten und demokratische Grundgesetz von 1992, das
anzuwenden43. Strafrechtsreformgesetz von 2002 und das
Die EMRK enthlt in Art. 2 sechs Jahre spter eingefhrte Gesetz zur
Regelungen ber den Schutz des Lebens, nderung und Ergnzung zum StGB vom
in Art. 3 das Verbot von Folter sowie 01.02.2008, welche die kriminalpolitischen
von unmenschlicher und erniedrigender Grundentscheidungen und die
Bestrafung oder Behandlung, in Art. 5 Ausgestaltung des Sanktionensystems
Regeln ber den Freiheitsentzug und der heutigen Mongolei ausformen,
in Art. 7 den Gesetzlichkeitsgrundsatz lassen groe Fortschritte im Bereich
fr Strafvorschriften. Verletzt ein Staat der Strafrechtsordnung erkennen
die Garantien der EMRK, so kann die und wurden dafr wertgeschtzt,
betroffene Person dagegen Beschwerde die Grundvoraussetzungen fr
zum Europischen Gerichtshof ein modernes und rechtsstaatlich
fr Menschenrechte (EGMR) in orientiertes Strafjustizsystem geschaffen
Straburg einlegen und gegebenenfalls zu haben. Andererseits stt das
eine Verurteilung des Staates zu Strafrechtsreformgesetz von 2002 im
Schadensersatz erwirken. Auerdem Hinblick auf die Hrte seiner Strafen
passen die Staaten in der Regel ihre Gesetze auf scharfe Kritik. Mehrfach wurde das
an die Vorgaben der Entscheidungen des strafrechtliche Sanktionensystem in
EGMR an, um weitere Verurteilungen ffentlichen Diskussionen zur Zielscheibe
wegen Menschenrechtsverletzungen zu der Kritik.
vermeiden. Kriminalpolitik umfasst die
Festlegung des Bereichs des Strafbaren
III. Das mongolische und die Bestimmung der staatlichen
Sanktionensystem aus der Sicht des Reaktion auf strafbares Verhalten. Dies
deutschen Strafrechts ist in Deutschland in den strafrechtlichen
Haupt- und Nebengesetzen im
Das deutsche Strafrecht basiert auf StGB festgelegt. Die Auffassungen
die rechtsstaatlichen Prinzipien, bei denen hinsichtlich der verfassungsrechtlichen
u.a. auf die Grundrechte des Einzelnen und und menschenrechtlichen Grenzen des
auf die Verhltnismigkeit der Reaktion Strafrechts, bzw. die Ziele, Mglichkeiten
des Staats groen Wert aufgelegt wird. und Grenzen der strafrechtlichen
Die Mongolei strebt danach, sich diese Sozialkontrolle haben sich in Deutschland
Werte und Wertschtzungen anzueignen. grundlegend gewandelt.
Dies ist u.a. auch bei der Kriminalpolitik Wie im Folgenden hat Jescheck
zu sehen. Im Folgenden wird nun diesen Wandel ganz deutlich beschrieben:
eine Beurteilung des mongolischen Die Erkenntnis, dass das Strafrecht nur ein
strafrechtlichen Sanktionensystems im Mittel der sozialen Kontrolle neben anderen
Vergleich mit dem deutschen Strafrecht ist und wegen der mit seiner Anwendung
sowohl aus kriminalpolitischer Sicht verbundenen tiefen Eingriffe in Freiheit,
als auch von der Sanktionsstruktur her Ansehen und Einkommen der Betroffenen und
erfolgen. wegen der daraus folgenden sozialen Nachteile
3.1
Aus der kriminalpolitischen mglichst sparsam verwendet werden sollte,
hat sich weitgehend durchgesetzt. Zugleich ist
42
BVerfGE 74.358, 370; 111.307, 323 f.; BGHSt 45.321, 329; durch die vielfltigen ideologischen Angriffe
46.178, 186; siehe allgemein ber die Sanktionen in Europa
Albrecht, H.-J., 1999, S. 382 ff.
auf alle repressiven Institutionen des Staates
als Gegeneffekt die berzeugung gewachsen,
43
BVerfGE 111. 307, 323.

64
Legal Research Overview

dass nur ein am Schuldprinzip orientiertes Im Rahmen dieser Strafrechtsreformen


Strafrecht den Schutz der Allgemeinheit in wurden die Zwecke der strafrechtlichen
Freiheit ermglicht, weil allein ein solches Sanktionen neu definiert sowie die
Recht den Menschen als verantwortlichen Modalitten einzelner Strafen erweitert
Mitbrger betrachtet, indem es durch und besser differenziert. Dies lsst sich
Gebot und Sanktion an seine Einsicht und insbesondere bei Hauptstrafen und ebenso
seine Disziplin appelliert, aber damit auch bei weiteren Rechtsfolgen beobachten.
Ernst macht. Auch die Notwendigkeit Es gibt hier viele gute Erfahrungen, von
der Beschrnkung des Strafrechts durch denen auch die Mongolen lernen knnten.
die Grundstze des Rechtsstaats und die Die in dieser Zeit bereits am
Erkenntnis, dass nicht alles, was fr die hufigsten angewandte Geldstrafe blieb
Behandlung von Rechtsbrechern zweckmig nicht nur die am meisten praktizierte
erscheint, auch gerecht ist, sind heute Strafe im deutschen Sanktionenrecht,
Allgemeingut geworden. Allmhlich beginnt sondern wurde bis zur Gegenwart sogar
man ferner zu verstehen, dass die Humanitt noch weiter ausgebaut. Die Wirkungen
als Grundlage der Kriminalpolitik nicht der Geldstrafe sind weitaus hher als in
nur eine Angelegenheit des Idealismus von der Mongolei. Der Erfolg der deutschen
Einzelnen ist, die sich dieser Sache aus Geldstrafenpolitik liegt nicht daran, dass
Mitgefhl annehmen, sondern auch eine die in Deutschland verurteilten Tter im
Frage der Mitverantwortung der Gesellschaft Vergleich zur Mongolei in einer relativ
fr die Kriminalitt, und dass die Sorge um besseren wirtschaftlichen Lage sind. Es
den Rechtsbrecher nicht eine Gnade, sondern hngt vor allem damit zusammen, weil
ein verbindlicher Auftrag des Sozialstaats ist. die Regeln der Geldstrafe des deutschen
Endlich wird die Strafrechtspflege selbst viel Tagessatzsystems in einem sehr groen
strker als frher nicht mehr nur als Instanz Bereich eine genaue Anpassung an die
fr die Verwirklichung der Gerechtigkeit individuelle finanzielle Leistungsfhigkeit
verstanden, sondern auch als eine soziale des Tters ermglichen, die selbst dann
Aufgabe, die durch die Art und Weise ihrer noch funktioniert, wenn diese Fhigkeit
Erfllung dem strafflligen Menschen fast gegen Null geht. Der entscheidende
eine Lebenshilfe geben soll. Dabei wird die Vorteil des Tagessatzsystems ist seine
Wirksamkeit der Strafrechtspflege nicht so sehr fast beliebige Skalierbarkeit. Die
in dem statistischen Nachweis von Erfolgen mageschneiderte Belastung des
bei der Resozialisierung von Strafttern Tters erleichtert nicht nur sehr die
gesehen, als vielmehr in einer Ausgestaltung Vollstreckbarkeit, sondern vermeidet auch
der gesamten kriminalrechtlichen Ttigkeiten weitgehend soziale Ungerechtigkeiten.
des Staates, die sich mit dem geschrften Nicht zuletzt spielt die Tatsache
sozialen Gewissen unserer Zeit vereinbaren eine ganz wichtige Rolle, dass der
lsst.44 deutsche Gesetzgeber die Anwendung
Man kann mit einem Satz sagen, dass der Freiheitsstrafe als ultima ratio
eine solche wie von Jescheck formulierte vorschreibt und dies auch von Gerichten
Ansicht bzw. Grundeinstellung in dementsprechend in Gebrauch gemacht
der mongolischen Kriminalpolitik im wird.
Allgemeinen fehlt, woraus alle anderen Im deutschen wie im mongolischen
Grundprobleme entstehen. Dies ist ein Strafrecht ist die Schuld als
grundstzlicher allgemeiner Unterschied Voraussetzung der Strafe anerkannt. Bei
zwischen beiden Rechtssystemen. der Sanktionszumessung spielt das Ma
Es gab auch in Deutschland Zeiten, in der Schuld eine besondere Rolle. Es
denen zu hohe Zielsetzungen im Rahmen fehlt jedoch im mongolischen Strafrecht
der Kriminalpolitik angestrebt wurden. sowohl auf theoretischer als auch auf
Dies hat sich allmhlich verndert. gesetzlicher Ebene an der grundstzlichen
Insbesondere die Strafrechtsreformen Einsicht, dass die Strafbemessung sich
nach den 1960er und 1970er Jahren nach der Schuld des Tters richten soll.
haben eine Wende im Strafrecht bewirkt. Der Tenor der Bestrafung ist jedoch, dass
die unrechte Handlung eines Straftters
44
Zit. nach Jescheck, 2004, S. XII ff.

65
LAW REVIEW 2016 5(60)

mit Strafe auszugleichen ist (Vergeltung). beiden Rechtssystemen grob gesehen


Die Aufgabe des Strafrechts erschpft zwar hnlich definiert, aber bei nherer
sich jedoch nicht im Ausgleich von Betrachtung dieser Definitionen scheinen
Schuld, sondern geht darber hinaus. die Auffassungen im mongolischen
Das bergreifende Ziel ist vielmehr die Strafrecht etwas oberflchlicher zu sein
kontrollierte Wiederherstellung und als bei den deutschen Auslegungen der
Sicherung der durch die Tat gestrten Zweckbestimmungen.
Ordnung bzw. die Prvention45. Auf der anderen Seite hat der
deutsche Gesetzgeber in Verbindung
3.2 Betrachtung der mit der Strafzumessungsvorschrift von
Sanktionsstruktur 46 StGB durch die Strafrechtsreform
von 1969 die Idee der Spezialprvention
In der Grundstruktur hnelt wesentlich gestrkt und in den
das mongolische Sanktionensystem Vordergrund gerckt. Die Geldstrafe
dem deutschen. Im groben ist das sollte die Hauptstrafe der Gegenwart
Entwicklungsstadium des mongolischen sein, deren Anwendungsbereich die
Strafrechts in vieler Hinsicht mit dem leichte und mittlere Kriminalitt sein
Stand des deutschen Strafrechts der 1960er sollte. Der Bundesgerichtshof hat die
und 1970er Jahre zu vergleichen. Obwohl Neuorientierung der Strafziele mit der
sich die Ausgestaltung des modernen neuen Bedeutung prventiver Strafzwecke
strafrechtlichen Sanktionensystems der folgendermaen zusammengefasst: Nach
Mongolei bereits ber einen Zeitraum der kriminalpolitischen Gesamtkonzeption,
von fast 100 Jahren erstreckt, wurde von der die Strafrechtsreform ausgeht,
der Entwicklungsprozess in den fast soll in der Regel auf die Verhngung
70 Jahren des Sozialismus in Richtung kurzer und die Vollstreckung mittlerer
einer Weltanschauung geleitet, nmlich Freiheitsstrafen verzichtet werden. [...] Dem
das sozialistische Strafrecht nach der 1. Strafrechtsreformgesetz liegt der Gedanke
sowjetischen Strafrechtsschule. Die zugrunde, dass die Strafe nicht die Aufgabe
Entwicklung des deutschen Strafrechts hat, Schuldausgleich um ihrer selbst willen
konnte ber einen viel lngeren Zeitraum zu ben, sondern nur gerechtfertigt ist, wenn
erfolgen, auch wenn es durch die sie sich zugleich als notwendiges Mittel zur
diktatorische Zeit des Nationalsozialismus Erfllung der prventiven Schutzaufgabe des
von 19331945 eine Unterbrechung Strafrechts erweist.46
gab. In der DDR wurde hnlich wie in Whrend im deutschen Strafrecht
der Mongolei das Rechtssystem unter ausdrcklich die mglichst geringe
sowjetischen Einfluss in eine sozialistische Anwendung der kurzen Freiheitsstrafe
Richtung gelenkt. gefordert wird, wird sie dagegen im
Erst in den 25 Jahren nach dem mongolischen Strafrecht sogar gefrdert
politisch-gesellschaftlichen Umbruch und vergleichsweise hufiger angewandt.
von 1990 erffnete sich fr die Mongolei All die Grnde, die im deutschen
die Mglichkeit, ihre Zielrichtung selbst Strafrecht gegen die kurze Freiheitsstrafe
zu bestimmen und zu ndern, also aussprechen, scheinen im mongolischen
eine Richtungsnderung bezglich der Strafrecht lediglich bei lngeren
Rechtsentwicklung im Allgemeinen. Freiheitsstrafen Probleme zu sein.
Im Folgenden werden die Die Dauer der 2002 in der Mongolei
wichtigsten Bemerkungen ausgefhrt, eingefhrten Einzelhaftstrafe reicht
die den Unterschied der beiden Systeme von einem bis zu sechs Monate. Die
verdeutlichen. Einzelhaftstrafe stellt eine besondere
Art der freiheitsentziehenden Strafe
3.2.1 Die Zweckbestimmungen im mongolischen Strafrecht dar und
einzelner Sanktionen sollte nur im Bereich leichter und
minderschwerer Kriminalitt verhngt
Die Zwecke der Strafe sind in und vollstreckt werden, whrend
45
Meier, 2006, S. 10 ff. 46
Zit. nach BGHSt 24, 42, Entscheidung vom 08.12.1970.

66
Legal Research Overview

die eigentliche Freiheitsstrafe fr der anderen Seite richten. Unzumutbare


minderschwere, schwere und besonders Anforderungen drfen an den
schwere Straftaten vorgesehen ist. In der Verurteilten nicht gestellt werden wie es
Theorie ist die Einzelhaftstrafe als leichtere im 56b Abs. 1 Satz 2 StGB im deutschen
Bestrafung gedacht. Die Manahme der Strafrecht geregelt ist.
Einzelhaft wird jedoch grundstzlich als Das mongolische Strafrecht enthlt
eine besondere Hrte kritisiert und zur diese gesetzlichen Anforderungen nicht,
Frage gestellt. In der Praxis scheitert die nur die Bercksichtigung der wirtschaftli-
Umsetzung der Einzelhaftstrafe an den chen Leistungsfhigkeit des Tters erfolgt
Vollzugsbedingungen. Oft erfolgt ihre ein eher symbolischer, aber nicht in prak-
Vollstreckung in den Vollzugsanstalten tikabler Form. Das mongolische System
fr Freiheitsstrafen mit normalen mit starr festgelegten Geldstrafen stammt
Sicherheitsmanahmen. Es ist deshalb auch aus der Zeit des Sozialismus, als es lan-
nicht selten, dass die zu Einzelhaftstrafen desweit noch relativ einheitliche Lhne
Verurteilten wegen des Platzmangels und Lebensverhltnisse gab. Durch die
zusammen mit den zu Freiheitsstrafen
heutige Marktwirtschaft gibt es enorme
verurteilten Insassen inhaftiert sind. Bei
Unterschiede bei den Lebensverhltnis-
der Haftstrafe werden die Zwecke der
Spezialprvention und der individuellen sen, die ein starres System nicht mehr
Abschreckung in den Vordergrund abdecken kann. Vor allem sind die will-
gestellt, von der Resozialisierung ist krlich festgelegten Geldstrafen so hoch
dagegen gar nicht die Rede. Im Gegensatz bemessen, dass der Groteil der Bevlke-
zum mongolischen Strafvollzug orientiert rung sie gar nicht leisten kann.
sich der deutsche Strafvollzug strker am Was die Entwicklung der Geld- und
Resozialisierungsgedanken. Freiheitsstrafen in der Gerichtspraxis
der beiden Lnder betrifft, zeigt sich
3.2.2 Zur Regelungen und ein differenziertes Bild. Im Jahr 1882
Anwendung der Hauptstrafen waren in Deutschland noch 76,8% aller
verhngten Strafen Freiheitsstrafen und
Was die Hauptstrafe anbetrifft, 22,2% Geldstrafen. Heutzutage liegt der
scheint die Sanktionenpalette im Anteil der Geldstrafe in Deutschland bei
mongolischen Strafrecht auf den ersten ca. 84%, whrend die Freiheitsstrafe ohne
Blick breiter zu sein als das deutsche. Bewhrung bei 5,2% aller Verurteilten
Aber das deutsche Sanktionensystem hat verhngt wird.
eine einfachere und relativ klare Struktur, Die Anwendungsquote der
die aus Geld- und Freiheitsstrafe besteht Geldstrafe in der Mongolei dagegen lag bis
und bereits aus der zweiten Hlfte des 19. zur Strafrechtsreform von 2002 noch bei
Jahrhunderts stammt47. 22%, sank aber ab 2002 im Durchschnitt
Das Sanktionensystem des auf ca. 6% und liegt seit 2009 sogar stndig
mongolischen Strafrechts, insbesondere bei unter 4% aller Kriminalstrafen. Die
im Bereich der Geldstrafe, kann mit Quote der Freiheitsstrafe ohne Bewhrung
dem deutschen nicht verglichen in der Mongolei liegt in den letzten zwei
werden. Whrend die Besonderheit Jahrzehnten im Durchschnitt dagegen bei
der Geldstrafe im deutschen Strafrecht ca. 33 %.
durch das flexible Tagessatzsystem Die gesetzliche Festlegung der hohen
gekennzeichnet ist, hat die Mongolei Mindeststrafen im BT des mongolischen
ein starres Geldstrafensystem, in dem StGB schrnkt nicht nur den richterlichen
die Bemessung an den gesetzlichen Entscheidungsspielraum ein, sondern
monatlichen Mindestlohn geknpft ist. fhrt in der Praxis zu unangemessenen
Beim Tagessatzsystem sollte sich die Bestrafungen sowie auerdem
Hhe des Geldbetrages nach der Schuld zur berfllung der Gefngnisse.
des Tters auf der einen und seiner Deswegen sollte das Zurckdrngen
wirtschaftlichen Leistungsfhigkeit auf des Freiheitsentzugs unntiges Leiden
vermindern und einen Rckfall des Tters
47
Albrecht, H.-J., 2000, S. 21.

67
LAW REVIEW 2016 5(60)

durch eine geeignete Behandlung in der ist die Gefangenenrate pro 100000
Gesellschaft und in Freiheit verhindern. Einwohner in der Mongolei dreimal hher
als in Deutschland. Fr die Mongolei
Tabelle 1. Entwicklungstrend der
Deutschland Mongolei
Bevlkerungszahl* (pro km2) 81,8 Mio. (230) 2,8 Mio. (1,9)
Gesamt- Rate pro Gesamt- Rate pro
Jahr Jahr
zahl 100000 E zahl 100000 E
1992 57 448 71 1993 6085 270
1995 66 146 81 1996 6070 265
Entwicklungstrend bei den 1998 78 592 96 1999 6414 271
Gefngnisinsassen**
2001 80 333 98 2002 7256 296
2004 81 166 98 2005 6998 274
2007 75 719 92 2008 7570 287
2010 72 052 88 2010 7265 269
Anteil weibliche
5,6% 6,2%
Gefngnisinsassen
Anteil jugendliche
Gefngnisinsassen unter 18 3,2% 1%
Jahren

Auslndische Staatsangehrige 26,7% 0,3%

62*** (Stand 2010)


Anzahl Vollzugs- und (davon 25 Gefngnisse;
186
U-Haftanstalten 26 U-Haftanstalten, 11
Arresthuser)
Offizielle Kapazitt des 78 525 8000
Vollzugssystems (30.11.2011) (28.08.2009)

Belegungsrate (basiert auf 86,7% 63%****


offizieller Kapazitt) (30.11.2011) (28.08.2009)

als eines der weltweit am dnnsten


Gefngnisinsassen in Deutschland und in
besiedelten Lnder ist die Gefangenenrate
der Mongolei
extrem hoch. Sie betrgt schon 0,25% der
Gesamtbevlkerung. Nach der Liste der
Wie in der Tabelle 1 gezeigt wird,
222 Lnder mit den weltweit hchsten
*
Stand 2011. Gefangenenraten belegt die Mongolei im
**
Roy Walmsley, ICPS World Prison Brief, aus http://
www.prisonstudies.org/info/worldbrief/wpb_country_print.
Jahr 2015 mit 264 Gefangenen pro 100000
php?country=104; ( und =139), vom 23.05.2012. Einwohner Platz 45, Deutschland mit 78
***
Diese Angabe der Gesamtzahl ist irrefhrend, weil hier Gefangenen pro 100000 Einwohner Platz
einzelne Abteilungen der Gefngnisse separat gezhlt 165.48
werden. Es gibt insgesamt nur 25 Gefngnisse mit integ-
rierten U-Haftanstalten sowie eine separate U-Haftanstalt. Im mongolischen Sanktionenrecht
Die 11 Arresthuser sind ebenfalls in die Gefngnisse bzw. ist eine Zahlungserleichterung der
in die U-Haftanstalten integriert. Geldstrafe mglich, die im Grunde
****
Die amtliche Belegungsrate bezglich der Verteilung der
Gefangenen bzw. der Belegung einzelner Vollzugsanstalten auch der Regelungen der deutschen
ist wegen der Zhlweise nach Abteilungen nicht nachvol- Geldstrafentilgung hnelt. Was das
lziehbar. Die Belegungsrate wurde wohl automatisch ber mongolische Strafrecht bisher gar
die Anzahl der Gefangenen und Anstalten errechnet. In der
Mongolei werden stndig Probleme der berfllung einzel-
ner Vollzugsanstalten mit einfachem und strengem Regime
48
http://www.prisonstudies.org/highest-to-lowest/pris-
berichtet. on_population_rate?field_region_taxonomy_tid=All, letz-
ter Zugriff Okt. 2015.

68
Legal Research Overview

nicht kennt, ist die Verwarnung sind, die alle gleichermaen erfllt werden
mit Strafvorbehalt im deutschen mssen. Es muss also eine minderschwere
Sanktionensystem, die in Verbindung Tat sein, der Tter muss ein Ersttter sein,
mit der Geldstrafe angeordnet wird. Dies den Schaden freiwillig ersetzt und die
ist identisch mit der Strafaussetzung zur Folgen der Tat beseitigt haben. Erst dann
Bewhrung der Freiheitsstrafe, aber es ist kann das Gericht entscheiden, wie lange
eben nur bei der Geldstrafe anwendbar. In die Dauer der Strafaussetzung erfolgt.
den mongolischen Reformdiskussionen Im Gegensatz dazu gibt es im
wurde eine Aussetzungsmglichkeit deutschen Strafrecht wenige Kriterien.
der Geldstrafe gelegentlich erwhnt, Es muss blo eine Straftat sein,
fand aber keine Zustimmung. Fr viele fr die vom Gericht bis zu 2 Jahre
scheint die Aussetzung der Geldstrafe Freiheitsstrafe angedroht wird, wobei
zur Bewhrung unvorstellbar zu sein, es gengt, dass vom Tter zuknftig
denn man kennt die Strafaussetzung in keine Straftaten zu erwarten sind.
der Mongolei nur in Verbindung mit der Dies war der Kernstck des deutschen
Freiheitsstrafe. Aber das heit nicht, dass kriminalpolitischen Programms, die
es nicht machbar wre. hnliche Strafarten nachhaltige Einschrnkung der als
wie die Verwarnung mit Strafvorbehalt resozialisierungsfeindlich angesehenen
des deutschen Strafrechts scheinen kurzen Freiheitsstrafe, die in Zukunft
fr die mongolischen Verhltnisse nur noch in einem ganz engen und auch
kriminalpolitisch durchaus interessant kriminalpolitisch vertretbaren Bereich
zu sein. Es ist zwar im mongolischen verhngt und vollstreckt werden sollte49.
Strafrecht noch ein unbekanntes Feld, Ihre zeitliche Grenze bestimmt sich
welches jedoch in Zukunft entdeckt und ohne Rcksicht auf den Deliktcharakter
erforscht werden sollte. nach der Hhe der erkannten Strafe, so
dass auch wegen Verbrechen verhngte
3.2.3 Die Strafaussetzung zur Freiheitsstrafen aussetzungsfhig sind.
Bewhrung Damit war die Erwartung verbunden,
den Strafvollzug nachhaltig zu entlasten
Was die bedingte Freiheitsstrafe und so berhaupt erst die tatschlichen
betrifft, wurde die Einfhrung der Voraussetzungen fr dessen Reform zu
Strafaussetzung und Entlassung zur schaffen50.
Bewhrung im allgemeinen Strafrecht in Solche Manahmen wie
das deutsche Sanktionensystem erst 1953 die Vereinfachung der Prognose
eingefgt und deren Wiedereinfhrung und der Wegfall der formellen
im Jugendstrafrecht. Im Vergleich dazu Ausschlussvoraussetzungen sind fr die
kannte das mongolische Strafrecht dieses Mongolei kriminalpolitisch sehr ratsam,
spezielle Institut des Strafrechts dank um das Problem der Gefngnisberfllung
des sowjetischen Rechtseinflusses bereits nachhaltig lsen zu knnen.
seit den 1920er Jahren. Es gibt aber einen Im Gegensatz zur deutschen
Unterschied zwischen der beiden Lndern Regelung ber die Strafaussetzung
bei den Anwendungsmglichkeiten der ist im mongolischen Strafrecht
Strafaussetzung zur Bewhrung. Auf keine nachtrgliche Verkrzung
den ersten Blick scheint das mongolische bzw. Verlngerung der Dauer der
Sanktionenrecht bezglich der Strafaussetzung zur Bewhrung
Strafaussetzung zur Bewhrung milder mglich51. Die Grenze der Bewhrung
zu sein, denn es ist gesetzlich mglich liegt zwischen einem und bis zu fnf
die Freiheitsstrafen bis zu 5 Jahre zur Jahren. Die Frist wird in der Gerichtspraxis
Bewhrung auszusetzen, whrend das in hufig sehr einfach festgelegt. Bei
Deutschland nur bei Freiheitsstrafen bis
zu 2 Jahren mglich ist. Der Haken des 49
Erster Schriftlicher Bericht des Sonderausschusses fr die
Strafrechtsreform. BT-Drs. V/4094, S. 6.
mongolischen Strafrechts liegt darin, dass
50
Erster Schriftlicher Bericht des Sonderausschusses fr die
mehrere gesetzliche Voraussetzungen zur Strafrechtsreform. BT-Drs. V/4094, S. 11.
Strafaussetzung auf Bewhrung gesetzt 51
Vgl. dazu 56a Abs.2 Satz 2 dStGB.

69
LAW REVIEW 2016 5(60)

Freiheitsstrafen fr ein Jahr kann ein Jahr nichtfreiheitsentziehenden Maregeln


Bewhrung, bei 3 Jahren Freiheitsstrafe (Entziehung der Fahrerlaubnis und
ebenfalls 3 Jahre Bewhrung und bei 5 das Berufsverbot) des deutschen
Jahren Freiheitsstrafe 5 Jahre Bewhrung Sanktionenrechts. Das mongolische
etc. ausgesprochen werden. Strafrecht kennt die Maregel der
Sicherung und die Fhrungsaufsicht
3.2.4 Das Maregelrecht dagegen nicht.

Obwohl die Maregeln der 3.2.5 Die Jugendstrafe


Besserung und Sicherung etwas frher
in das strafrechtliche Sanktionensystem Ein weiterer wesentlicher Punkt
der Mongolei eingefhrt und angewendet beim Vergleich betrifft die Regelungen
wurde als die in Deutschland52, der Jugendstrafe. Die 1953 erfolgte
entwickelte sich die mongolische noch partielle Einbeziehung der 18- bis unter
nicht in so einem Umfang. Schon 21-Jhrigen (Heranwachsende) in das
im ersten modernen StGB von 1926 deutsche Jugendstrafrecht ist fr die
(Kapitel 2, 5 Abs. 11 mStGB von 1926) mongolische Verhltnisse ganz neu. Das
gab es zwar Regelungen ber die geltende Strafrecht der Mongolei kennt
zwangsweise Behandlung von geistig den Begriff des Heranwachsenden nicht.
gestrten Ttern und Befreiung von Es scheint sehr sinnvoll zu sein, fr
der Strafe fr solche Tter. Die deutsche bestimmte Flle solche Unterscheidung
Variante ist viel umfangreicher, whrend zu machen.
sich die mongolischen Maregeln Im mongolischen Strafrecht wird
nur auf die stationre Behandlung das Jugendalter eines Tters blo als
unzurechnungsfhiger Straftter Strafmilderungsgrund eingestuft. Auer
wegen psychischer Erkrankungen im den erziehungsorientierten Manahmen
psychiatrischen Krankenhaus oder auf die sind keine gesonderten Rechtsfolgen fr
Unterbringung von zurechnungsfhigen Jugendliche vorgesehen. Im Vergleich zur
alkohol- oder drogenabhngigen Mongolei ist das Jugendstrafverfahren
Verurteilten in einer Entziehungsanstalt in Deutschland wesentlich anders und
beschrnken. Die zweite Personengruppe umfangreicher gestaltet. Erstens werden
wird whrend der Maregelzeit nicht dort nur erzieherisch befhigte und in der
von der verhngten Strafe befreit, da Jugenderziehung erfahrene Jugendrichter
die Abhngigkeit von Alkohol oder sowie Jugendstaatsanwlte eingesetzt.
Drogen nicht als unzurechnungsfhig Zweitens wird im gesamten Verfahren,
anzusehen ist. Diese Sanktionsart besteht insbesondere in der Hauptverhandlung,
bis heute, welche aber von Gerichten die Jugendgerichtshilfe herangezogen, die
nicht hufig angeordnet wird. hnlich im mongolischen Strafrechtssystem nicht
wie im deutschen Sanktionsrecht haben existiert. Auerdem haben die Eltern und
die behandlungsorientierten Maregeln gesetzlichen Vertreter ein weitgehendes
des mongolischen Sanktionensystems die Mitwirkungsrecht, whrend das
gesellschaftssichernde Funktion. Mitwirkungsrecht der Eltern in der
Das Verbot der Ausbung Mongolei kaum geregelt ist. Die Sanktionen
einer bestimmten Ttigkeit oder in Form von Erziehungsmanahmen
eines bestimmten Berufes im und Zuchtmitteln werden in
mongolischen Sanktionensystem, Deutschland nicht in das Zentralregister
was sowohl als Hauptstrafe als auch und dementsprechend nicht in das
als Nebenstrafe angedroht werden Fhrungszeugnis aufgenommen, sondern
kann, umfasst in gewisser Weise die in ein sogenanntes Erziehungsregister
eingetragen. Solche Sonderregelungen
52
Die Wurzeln der hinter dem Gesetz von 1933 stehen-
den kriminalpolitischen Konzeption reichen zurck bis
fr Jugendliche Straftter kennt das
zum Marburger Programm Franz von Liszts aus dem mongolische Strafrecht nicht.
Jahre 1882, in der er die Fragen der individualprventiven
Wirkungen der Strafe verdeutlichte. Vgl. dazu Germann,
U., 2009, S. 85 ff.

70
Legal Research Overview

IV. Fazit ein wirkungsvollerer Weg sein, als die


Symptome der Kriminalitt nachtrglich
Angesichts der aufgezeigten mit einem aufwendigen Justizapparat
Entwicklung wre aus Sicht der und dem Bau teurer Gefngnisse zu
Verfasserin in der Mongolei darber bekmpfen.
nachzudenken, folgende nderungen - Das Rechtsstaatsprinzip
im Bereich der strafrechtlichen Sanktion bzw. die Geeignetheit der Mittel,
vorzunehmen. die Verhltnismigkeit und das
Da die Kriminalittsentwicklung Subsidiarittsprinzip gelten als
durch Verschrfung der Sanktionen Leitprinzipien einer rationalen
in der Regel nicht gnstig beeinflusst Strafgesetzgebung. Auerdem gelten
wird, ferner empirische Untersuchungen internationale Einschrnkungen zum
dafr sprechen, dass nicht das Schutz der Menschenrechte54 als
Strafniveau, sondern das subjektive Grenzen der Strafe bzw. der durch Strafe
Strafempfinden positiv generalprventiv zuzufgenden bel. Strafe ist eine Art
wirkt, besteht Spielraum fr einen von Gewalt und daher wird sie zum
Ausbau des Sanktionenkatalogs, z.B. Stigma. Fraglich ist nun, ob das Stigma
bei den nicht freiheitsentziehenden einer Gefngnisstrafe wegen seiner
Alternativsanktionen53. Aus dieser langanhaltenden negativen Wirkung fr
Prmisse brauchen wir die Erfahrungen den Bestraften in der Gesellschaft nicht als
aus Deutschland im strafrechtlichen eine zustzliche Strafe anzusehen ist,
Bereich, wo der Staat eine gesellschaftliche oder ob man deshalb mglichst versuchen
Zielsetzung in den Vordergrund stellt. soll die Stigmatisierung durch die Strafe
Andererseits drfen die zu verringern oder gar zu vermeiden.
Erwartungen an die Wirkung und Fr alle Flle sollten die allgemeinen
Effizienz mancher strafrechtlichen Grundstze des Rechtsstaates und die des
Sanktionen nicht zu hoch angesetzt Strafrechts als Leitprinzipien sowie das
werden. Andere Kontrollmechanismen Stigma durch die Strafe als Nebeneffekte
aus dem weiteren Bereich des Rechts bei der Bestimmung und Anwendung der
und auch auerhalb des Rechts knnen mongolischen strafrechtlichen Sanktionen
die Wirkungen der strafrechtlichen mehr Bercksichtigung finden.
Sanktionen verstrken oder sie Darber hinaus sollte der
neutralisieren. Fr die Neuerrichtung Staat das fundamentale Prinzip der
von Vollzugsanstalten und deren mongolischen Philosophie und das
Finanzierung wurde in der jngsten traditionelle Lebensmotto der Mongolen
Vergangenheit aus dem Staatsbudget gegenseitige Untersttzung ist das
der Mongolei viel Geld ausgegeben. Fundament der Weiterentwicklung
Wrde dieses Geld stattdessen fr die zum Leitthema machen. Fr diejenigen,
Neuschaffung von Arbeitspltzen und die leichtere Verfehlungen begangen
fr die Ausbildung verwendet, wird das haben, sollten zuerst die informellen
sicherlich mehr zum Ziel beitragen, dass Kontrollmechanismen (Familie, Schule,
weniger Straftaten begangen werden. Beruf usw.) benutzt werden.
Dadurch knnte denjenigen Formen der Weiterhin sind vielfltige
Kriminalitt der Nhrboden entzogen Auswahlmglichkeiten der Sanktionen
werden, die durch extreme Armut sowie (Bewhrungsmglichkeit bei Geldstrafe,
vllige Aussichts- und Perspektivlosigkeit gemeinntzige Arbeit, Tter-Opfer
verursacht werden, was das eigentliche Ausgleich, Wiedergutmachung)
Ziel der Sanktionen sein sollte und die sowie eine Erweiterung des
gewnschten positiven Auswirkungen Anwendungsbereichs der alternativen
auf die Gesellschaft bringen wird. Diese 54
Art. 5, 9 und 11 der Allgemeinen Erklrung der Men-
die Kriminalitt frdernden Ursachen schenrechte vom 10. Dezember 1948, Art. 6, 7, 8, 9 und 10
zu beseitigen ist eine Aufgabe der des Internationalen Paktes ber Brgerliche und Politische
Gesellschaft und der Politik, aber es kann Rechte vom 16. Dezember 1966, die UN-Anti-Folter-Kon-
vention vom 10. Dezember 1984, die UN-Kinderrechtskon-
53
Zitat aus Abschlussbericht zur Reform, S. 28. vention vom 20. November 1989 usw.

71
LAW REVIEW 2016 5(60)

Sanktionen sehr zu empfehlen. gemeinntzigen Arbeit zu erzielen,


Knftig sollten folgende mssen neue Stellen bzw. Aufgaben
internationale Trends im Rahmen der geschaffen werden, die allgemein
Sanktionspolitik zur berlegung stehen: ntzlich sind und auch von ungelernten
Einfhrung der Diversion und Arbeitskrften gemacht werden knnen,
informellen Konfliktschlichtung in statt neue Gefngnisse zu bauen.
Strafsachen. Eine hnliche Regelung Kriminalpolitisch sollte die
gibt es schon in der StPO der Mongolei Stellung der gemeinntzigen Arbeit
nach 70 StGB, nmlich die Einstellung weitgehend ber ihr Potential hinaus
der leichten Straftaten durch den als Alternative zur Freiheitsstrafe und
Staatsanwalt nach 25, 208 StPO. Dies insbesondere zur kurzen Freiheitsstrafe
knnte in minderschweren Fllen weiter werden lassen. Dadurch knnte es mglich
ausgeweitet werden. werden, die Verhngung unbedingter
Mediation in Strafsachen. Freiheitsstrafen einzuschrnken und
Die ersten Schritte der Mediation die Entwicklung der Gefangenenraten
in Zivilverfahren, in familien- und positiv zu beeinflussen. Die Erweiterung
arbeitsrechtlichen Streitigkeiten sind des Anwendungsbereichs der
schon in der Mongolei vorgenommen gemeinntzigen Arbeit im mongolischen
worden und gewisse positive Erfahrungen Strafrecht kann jedoch nur unter der
sind bereits vorhanden. Das ist als Vorteil Voraussetzung erfolgreich sein, wenn
anzusehen. Praktisch spricht nichts eine ausreichende Zahl von geeigneten
dagegen, die Mediation ebenfalls im Beschftigungsstellen vorhanden ist,
Bereich des Strafrechts einzufhren. bzw. gewonnen werden kann. Durch
Verzicht auf die Zwangsarbeit den Aufwand fr die Vermittlung der
des geltenden Rechts der Mongolei in Beschftigungsstellen und die Betreuung
der jetzigen Form. Dies sollte nicht nur der Verurteilten whrend der Ableistung
durch bloe Umbenennung, sondern der Arbeit entstehen zwar Kosten,
vielmehr durch eine konzeptuelle denen man jedoch mit den weitaus
nderung zur gemeinntzigen Arbeit hheren Kosten der Gefngnisstrafen
weiterentwickelt werden. Diese soll mit entgegenstellen muss, die derzeit
mehr Beteiligungsmglichkeiten und vorrangig praktiziert werden. Schlielich
unter Einbeziehung der Zivilgesellschaft wiegt die Freiheitsstrafe auch als
erfolgen, oder die Form der Arbeit msste Kriminalsanktion bedeutend schwerer
vllig neu organisiert werden. als die Ableistung gemeinntziger Arbeit,
Prinzipiell muss die die die Freiheit des Verurteilten weniger
gemeinntzige Arbeit gegen Entgelt beschrnkt.
abzuleisten sein, wobei ein Abzug in Da sich die Strafziele verndert
bestimmter Hhe als Strafe anzuerkennen haben, sollte der Opferschutz mehr in
ist und dem Verurteilten mindestens den Vordergrund gestellt werden als
das Existenzminimum brigbleiben bisher. So ist die Wiedergutmachung als
muss. Man darf nicht vergessen, dass selbstndige Sanktion bei kleinerer und
manche Tter nur Verbrechen begehen, mittlerer Kriminalitt eingefhrt werden,
um berhaupt berleben zu knnen55. insbesondere scheint sie als Jugendstrafe
In solchen Fllen besteht in immer sehr sinnvoll und angemessen zu sein.
strkerem Mae ein Bedarf fr andere Die Abschaffung der Todesstrafe
Sanktionsformen als die Geldstrafe. de jure, die Streichung der Kerkerstrafe
Um eine bessere Umsetzung der und der Einzelhaftstrafe aus dem
Sanktionensystem sind wegen ihrer
55
Armut ist kein Rechtfertigungsgrund fr Verbrechen, Grausamkeit bzw. der unangemessenen
aber eine Ursache. Es ist leider ein hufig vorkommendes Hrte dringend erforderlich.
Phnomen in der mongolischen Gesellschaft, welches bei
der Normsetzung unbedingt mitbercksichtigt werden
Es ist unabdingbar, gesonderte
sollte. Die Mongolei sollte vielmehr mit sinnvoller sozialer mildere Jugendstrafe anzuschaffen. Hier
Politik nachhaltig die Ursachen der Armut bekmpfen, statt knnen die Erfahrungen in deutschem
mit strengen Sanktionen gegen die Straftter vorzugehen, Jugendstrafrecht ein gutes Beispiel sein.
die wegen ihrer Armut Verbrechen begehen.

72
Legal Research Overview

Nicht zuletzt darf das Strafrecht des Sonderausschusses fr die


nicht mehr als ein Instrument des Strafrechtsreform. BT-Drs. V/4094, S. 6 ff.
parteipolitischen Kampfes benutzt Gebhardt, I. (2002): Justizreform in
werden, damit der Fehler, den die der Mongolei. In: Jahrbuch fr Ostrecht
Mongolei vor der Demokratisierung 43, 1. Halbbd, S. 237257.
begangen hat, nicht wiederholt wird. Germann, U. (2009): Zweispurige
Verbrechensbekmpfung. Rg14/2009 (S.
Literaturverzeichnis 84-121), unter: http://data.rg.mpg.de/
rechtsgeschichte/rg14_084germann.pdf
Albrecht, H.-J. (2007): Perspektiven (abgerufen am 20. 08. 2015).
kriminologischer Forschung. Der Wandel Heinz, W., (2007): Das
im Konzept der Sicherheit und neue strafrechtliche Sanktionensystem und die
Aufgabenfelder der Kriminologie. In: Sanktionierungspraxis in Deutschland
Kriminologie im 21. Jahrhundert. Hrsg. 18822005. Konstanzer Inventar
K. Liebl. Wiesbaden, S. 177201. Sanktionsforschung. Unter: www.
Albrecht, H.-J. (2005): 40-43, uni-konstanz.de/rtf/kis/sanks05.pdf
59, 59a, 59b, 59c und 60. In: Nomos (abgerufen 1/2007).
Kommentar zum Strafgesetzbuch. 2. Aufl. Jehle, J.-M. (2015): Strafrechtspflege
Hrsg. U. Kindhuser, U. Neumann, H.-U. in Deutschland. Fakten und Zahlen.
Paeffgen. Nomos, Baden-Baden. 6. Aufl. Unter: http://www.bmj.
Albrecht, H.-J. & Hotter, I. (2003): de/SharedDocs/Downloads/DE/
Jngste Vorschlge zu Reformen im Broschueren/Strafrechtspflege-
Bereich des Jugendstrafrechts. In: Recht Deutschland.pdf?__blob=PublicationFile
der Jugend und Bildungswesens 51, S. (abgerufen Oktober 2015).
282298. Jescheck, H.-H. (2004):
Albrecht, H.-J. (2000): Strafgesetzbuch. 39. Aufl., Mnchen 2004.
Rechtsvergleichendes Gutachten, in: Jescheck, H.-H. & Weigend, T. (1996):
Abschlussbericht der Kommission Lehrbuch des Strafrechts. Allgemeiner
zur Reform des strafrechtlichen Teil, 5. Aufl., Berlin.
Sanktionensystem, S. 20. Jescheck, H.-H. (1992): in: Leipziger
Albrecht, H.-J. (1999): Strafen, Kommentar, 11. Aufl., Berlin/New York.
Sanktionen, Tabus in Europa Kaiser, G. (1996): Kriminologie. Ein
Bibliographie. In: Das gemeinsame Haus Lehrbuch. 3. Aufl., Heidelberg.
Europa Handbuch zur Kulturgeschichte Kajuth, J. (2003):
Europas. Hrsg. W. Kpke, B. Schmelz.
DTV, Mnchen, S. 382-394. (Empfehlungen zur
Albrecht, H.-J., Dnkel, F. & Spie, G. weiteren Entwicklung des mongolischen
(1981): Empirische Sanktionsforschung Strafrechts, acht Jahre der mongolischen
und die Begrndbarkeit von Rechtsreform), Ulaanbaatar, S.503528.
Kriminalpolitik. MschrKrim 1981, S. 310- Konferenzbuch Die Verfassung
326. und demokratischer Rechtsstaat in
Baumann, J., u.a. (1969): Alternativ- Zusammenarbeit mit der GTZ, KAS zum
Entwurf eines Strafgesetzbuches. Anlass des 30. Jahrestages der Aufnahme
Allgemeiner Teil, 2. Aufl. Tbingen. diplomatischer Beziehungen zwischen
Calliess, R.-P. (1989): Die der Bundesrepublik Deutschland und der
Abschaffung der Todesstrafe Mongolei, Ulaanbaatar 2004.
Zusatzprotokoll Nr. 6 zur Europischen Konferenzunterlagen zum Thema
Menschenrechtskonvention, NJW 1989, Reformen des ffentlichen Rechts und
10191021. des Strafrechts, Ulaanbaatar, 2002.
Dnkel, F. (1983): Rechtliche, Kulemeier, R. (1993): Fahrverbot
rechtsvergleichende und kriminologische und Fahrerlaubnisentzug Sanktionen
Probleme der Strafaussetzung zur zur Bekmpfung der allgemeinen
Bewhrung, ZStW 95, S. 10391075. Kriminalitt? NZV, 212215.
Erster Schriftlicher Bericht Laun, S. (2002): Alternative

73
LAW REVIEW 2016 5(60)

Sanktionen zum Freiheitsentzug und die Walmsley. R., ICPS World Prison
Reform des Sanktionensystems, Frankfurt Brief, unter: http://www.prisonstudies.
am Main. org/info/worldbrief/wpb_country_
Maurach, R., Gssel, K.-H. & Zipf, print.php?country=104; (und =139)
H. (1989): Strafrecht Allgemeiner Teil. (abgerufen am 23.05.2012).
Teilbd. 2: Erscheinungsformen des Weigend, T. (1986): Die kurze
Verbrechens und Rechtsfolgen der Tat Freiheitsstrafe eine Sanktion mit
(C.F. Mller Lehr- und Handbuch). 7. Zukunft? JZ, S.260269.
Aufl., Heidelberg. Wolfrum, R. (2006): Das Recht der
Meier, B. D. (2006): Strafrechtliche Mongolei unter Dschingis Khan und
Sanktionen. Springer-Lehrbuch. 2. Aufl. seinen Nachfolgern: Die Bedeutung
Nelle, D. (2003): Die Reform von des Rechts in nicht-staatlich verfassten
Strafrecht, Strafprozess und Strafvollzug Gesellschaften. In: Verfassung und Recht
in der Mongolei. ZStW 115, H. 2, S. 5188. in bersee (VR). 39. Jg., S. 517.
Roxin, C. (2006): Strafrecht. (Das
Allgemeiner Teil, Bd. 1, 4. Aufl., Mnchen. Strafgesetzbuch der Mongolei),
Roxin, C., (1997): Strafrecht. (Staatsbulletin), 2002 Nr. 5.
Allgemeiner Teil, Bd. 1: Grundlagen, ,
Aufbau der Verbrechenslehre, 3. Aufl.,
Verlag C.H. Beck. (Strafgesetzbuch und Strafprozessgesetz
Scholler, H. (2010): Grundrechte und der Mongolei), Ulaanbaatar 2008.
Rechtskultur auf dem Weg nach Europa.
Berlin.

---o0o---

74
International Experience

MAJOR CHARACTERISTICS OF THE HUNGARIAN


PRISON SERVICE

Ts.Ganbadrakh, Student of the Doctoral decades, accompanied by suitable legal


School of Military Science, National regulation.
University of Public Service, Hungary At the end of World War I up to
the change of regime, which took place
in 1990, the successive political regimes
did not care about the development
Abstract: The aim of this publication of the prison estate. There were some
is to introduce the activities of the attempts to bring the prison system in
Hungarian Prison Service1. The main parts line with the standards of the penitentiary
of article is about the government agency organizations in the most developed
responsible of providing prison service, countries of the world.This is particularly
the main characteristics of Hungarian a characteristic practice since Hungary
Prison Service (HPS); some key data and became a Member of theEuropean
statistics and the future perspective of the Union in 2004, and deriving from the
Hungarian prisons. Membership, several undertakings
Keywords: Hungarian prison have fallen upon the HPS as well. The
Service (HPS), prisons, prisoners and physical upgrading in the conditions of
prison officers. detention, such as the modernization,
repairs, construction constitute only one
Hungarian Prison Service (HPS) part of this developmental process, while
the establishment of forms of adequate
Because there is limited information treatmentand activities for inmates is of
published in English on the HPS, I offer the same importance.
a brief overview of the structure of the
prison system. In Hungary, prison service Legislative framework
fall under the authority of the Ministry of The Criminal Code (Penal Code)
Interior. Prison statistics are updated half of 1978 has been substantially amended
a year on the HPS website (www.http:// onmany occasions, notably by a new
bv.gov.hu/en ).Along with fulfilling Act which came into force in 19932.
its legal obligation of providing data TheCriminal Procedural Code dates
of public interest, the PHS provides a back to 1973, but has been amended to
wide range of up-to-date information for accordwith democratic developments
research and analysis purposes. and a new code was approved by
Parliament in1998; originally expected to
come into force in the year 2000, this date
The historical background of the has beenput back until 1 July 20033.After
Hungarian Prison Service (HPS). the enactment of the European Prison
In Hungary the penal enforcement
became institutionalized by the state in
the last quarter of the 19th century, and
the prison system was established in these

1
The Prison Service carries out custodial detention and sanctions
defined by law. The organization is also responsible for the after-
2
Roy Walmsley, Prisons In Central And Eastern Europe,
care following the release from prison and the tasks related to the HEUNI Paper No. 22, The European Institute For Crime
correctional probation services. The Prison Service is under the Prevention And Control, Affiliated With The United Na-
control of the Ministry of Interior and is an independent and armed tions Helsinki, 2005 (ISSN 1236-8245), pp. 303-3
law enforcement agency. 3
Ibid.

75
LAW REVIEW 2016 5(60)

Rules4 in 2006 and the Hungarian Prison Prisoners may move freely in determined
Code in 2009, many changes followed in areas within the parametersof the prison9;
Hungarian prison policies. These changes iii) High security prisons (Fegyhz), holding
aimed to improve prison conditions, prisoners serving life imprisonment;
though the implementation of the Prison for a sentence ofover three years for
Rules has been gradual and much work crimes against the state, terrorism,
remains. firearms, drugs, homicide,kidnapping,
The new Prison Code, part of the sexual assault, and other violent crimes.
ongoing comprehensive legal reform, Prisoners may move within theparameters
used the new criminal code. Act no. CCXL of the prison only with proper
of 2013 places great emphasis on the social authorization and under supervision.
integration of former prisoners in order Thismay be loosened exceptionally
to facilitate their successful participation after one year of imprisonment10.
in the lives of law-abiding communities Female prisoners are segregated from
after release5. male prisoners and adult prisoners are
segregatedfrom juvenile prisoners under
Organizational structure
21 years of age.Most of the prisons
The Hungarian prison system has were built in the second half of the 19th
been the responsibility of the Ministry century11.
of Interior since1963. The Director
Financial Management: The available
General (head of the National Prison
central funding is sufficient to ensure
Administration) is General MrAndrs
stable operation. The amended spending
Csti6. The senior management team
allowances on December 31(2014)
includes the first Deputy Director Major
called for 61,5% personnel and related
General Dr. Tams Tth, the Deputy
cost, 33,9% material cost, and only
Director General responsible for financial
the remaining 4,6% were dedicated
matters Major General Jzsef Lajtr
to other operational and savings cost.
and Deputy Director General, Security
The HPS used some of savings to make
and Incarceration Major General Jnos
investments and renovations during the
Schmehl7. The HPS Headquarters is
year, including security system upgrades,
based in Budapest.
guard station modernization, installing
General prison conditions new kitchen appliances, renovating cells
Hungary has three and upgrading electric networks12. In 2014
categories of security prisons: every eligible member of staff received
i) Minimum (Foghz), holding those under HUF 61,500 worth of clothing and uniform
18 years of age and prisoners authorized (12M law enforcement summer service
to be in atransition group towards the end boots, summer service jacket and tactical
of their sentence. Prisoners may move belt) and HUF 35,000 in cash as clothing
freely withinthe parameters of the prison8; allowance13.
ii) Medium (Brtn), holding the majority Prison population: Prisoners numbers
of prisoners on remand(Bv. Intzet) and increased at a slower rate than before.
those convicted of nonviolent crimes. Strict and medium regime sentences
continue to dominate; the increase in total
The European Prison Rules, which provide the benchmark prisoner numbers fell almost entirely into
4

for assessing the quality of the management of prisons and


the treatment of prisoners. The Director General and his one of these categories14 (Figure1).
deputies have copies, as do management staff at the nation-
al prison administration and in each prison. Copies are also 9
Ibid.
said to be available to be used by other prison staff and by 10
The report on the visit of the Hungarian penal institutions
prisoners.
(The information was obtained during the visit of Hungari-
5
Annual Report 2014,pp. 88-108 an prisons by author in 2015-2016).
6
www.http://bv.gov.hu/en (Viewed 12 November 2016) 11
Ibid.
7
Ibid. 12
Annual Report 2014, pp. 88-108
8
The report on the visit of the Hungarian penal institutions
(The information was obtained during the visit of Hungari-
13
Ibid.
an prisons by author in 2015-2016). 14
Ibid.

76
International Experience

ADORJAN-TEX Ltd.,
Allampuszta Ltd.,
Annamajor Ltd.,
BUFA Ltd.,
DUNA-MIX Ltd.,
DUNA-PAPIR Ltd.,
On 2015, 17,796 individuals were Ipoly Ltd.,
incarcerated in Hungary (nearly as the Nagyfa-Alfold Ltd.,
same as from the previous year). Hungary
has an overall incarceration rate of 128 Nostra Ltd.,
per100,000 population, compared with Palhalma Agrospecial Ltd.,
a rate of 149 per 100,000 population for Sopronkohida Ltd.
England and Wales, 143 for Australia,
Prison establishments are headed
142 for Spain, 81 for Germany, and 57
by prison governors. They are tied
per 100,000 population for Sweden15.
to the Headquarters through service
While Hungary does not have the highest
agreements. According to the rules, all
imprisonment rate in Europe, these
prisoners would have at least3.5m of
figures have been on the decline over the
space. This increase in planned space
course of the past decade.
per prisoner brought the Hungarian
Accommodation and overcrowding prison system closer to the 4m which
There are 27 prisons, Headquarter is regarded as the minimumacceptable
(HQ) and 6 affiliated institutions to Prison by the European Committee for the
Service Headquarters16: Prevention of Torture (CPT) but, having
Training Center of the Prison been accompanied by an increase in the
Service, National University of Public prisonpopulation, has drawn attention
to the degree of overcrowding in the system
Service, Faculty of Law Enforcement,
(Figure 2).
Penitentiary Department.
Very few prisoners arehoused alone
Further Training and Conference in single cells. Some of new institutions,
Center of the Prison Service. such as the prison section for the life
Central Hospital of the Prison sentenced prisoners follow a policy of
Service, Forensic Psychiatric Mental locating a prisoner in a cell19.
Institution. The prison service provides the
The Museum of the Hungarian toilet paper20. Everyprisoner is able to
have a bath or shower at least once a
Prison Service.
week; those in work canshower every
In addition to these institutions, the day21. Women and juveniles are also able
set of public (prison) limited companies17 to shower every day22. Pretrial detainees
are operating under the control of Prison are given the opportunity of wearing their
Service HQ18: own clothing if it isclean and suitable;
BV Holdings Kft., sentenced prisoners must wear a prison
uniform but may usetheir own underwear
15
Annual Report 2014, pp. 88-108
16
REVIEW OF HUNGARIAN PRISON STATISTICS, The
19
Roy Walmsley, Prisons In Central And Eastern Europe,
Hungarian Prison Service Headquarters, ISSN 2416-1233, HEUNI Paper No. 22, Prisons In Central And Eastern Eu-
2016, pp.3-26 rope, The European Institute For Crime Prevention And
Control, Affiliated With The United Nations Helsinki, 2005
17
Prison limited companies are 100% state owned compa- (ISSN 1236-8245), pp. 303-3
nies, serving outstanding social and public safety interests.
The goal of the companies is to use the resources efficiently
20
The report on the visit of the Hungarian penal institutions
and even strive towards profit oriented operation in a hold- (The information was obtained during the visit of Hungari-
ing structure. an prisons by author in 2015-2016)
18
Annual Report 2014, pp. 88-108
21
Ibid.
22
Ibid.

77
LAW REVIEW 2016 5(60)

and take responsibility for washing it23. prisons budget and from public
YEARLY AVERAGE healthinsurance27. An outside hospital is
OVERCROWDING (%) used if the prison hospital does not have
the specialistrequired. There is also a
forensic psychiatric unit (IMEI) within the
grounds ofBudapest Central Prison which
is used for neurological and psychiatric
treatment and for the observation of those
suspected of being mentally ill.
HIV testing is compulsory in
Hungarianprisons and is part of Ministry
of Health regulations. It forms part of
the processof medical examination on
Figure 2 admission28. The National Ambulance
The average of these indexes is Emergency Service offered emergency
128%,which is a significant decrease care when it was needed. The HPS
(the average overcrowding was 141% also organize preventive measures like
for 2014)24.The overcrowding of prisons screenings, vaccines and protective gear29.
is mainly caused by the changes
in criminal law and the changesin
capacity (restructuring institutions Discipline and punishment
and establishing new places). During The least serious disciplinary
the last year asignificant expansion of sanction is a caution and the most serious
900 capacities took place (e.g. Middle- is solitary confinement.In maximum
Transdanubium NationalPrison security regimes, solitary confinementmay
(Martonvsr), Szombathely National be for up to 30 days, in medium security
Prison, Budapest Strict and Medium up to 20 days and in minimumsecurity
RegimePrison) and furthermore a plan up to 10 days. During this time they
has been accepted to build until 2019 one cannot receive or send parcels,cannot
prison holding 1000inmates and 8 prisons have visitors, cannot buy any items for
holding 500 inmates each and furthermore themselves, and cannot use theprisons
a prison hospital25. cultural or sport facilities either30. As part
Food and medical services of ongoing IT application development
project, an integrated criminal and
The prison authorities have disciplinary record subsystem (module)
assured us that the food they provide is was created under our updated and
a balanced dietsupplying the necessary extended human resource records31.
daily nutritional requirements26. The
quality and quantity of food is regarded
by the head of the health care department Contact with the outside world
as at least equal to average standards The legislation only states that visits,
in communal catering outside,with the both to pre-trial detainees andsentenced
variety and quantity often being superior. prisoners, shall be at least once a month,
Prison health care isfunded
from two sources: from the central
27
Roy Walmsley, Prisons In Central And Eastern Europe,
23
Ibid. HEUNI Paper No. 22, Prisons In Central And Eastern Eu-
rope, The European Institute For Crime Prevention And
24
REVIEW OF HUNGARIAN PRISON STATISTICS, The Control, Affiliated With The United Nations Helsinki, 2005
Hungarian Prison Service Headquarters, ISSN 2416-1233, (ISSN 1236-8245), pp. 303-3
2016, pp.3-26 28
Ibid.
25
REVIEW OF HUNGARIAN PRISON STATISTICS, The
Hungarian Prison Service Headquarters, ISSN 2416-1233,
29
Annual Report 2014, pp. 88-108
2016, pp.3-26 30
The report on the visit of the Hungarian penal institutions
26
The report on the visit of the Hungarian penal institutions (The information was obtained during the visit of Hungari-
(The information was obtained during the visit of Hungari- an prisons by author in 2015-2016).
an prisons by author in 2015-2016). 31
Annual Report 2014, pp. 88-108

78
International Experience

for half an hour32. Low security prisoners Training Council39.


may be permitted to receive a visitor Initial training for new recruits to the
outside the prison;medium security visits prison service as basic level securitystaff
are across a table which has a shelf dividing lasts three weeks at the Prison Service
the prisoner from the visitors, and high Training Centre. A key part of staff training
security visits are closed in that they is aboutchanging attitudes towards
are conductedby telephone through a prisoners but the prison administration
screen33. reports thatdue to staff vacancies and lack
Mail/Parcels and calls of resources such training is not occurring
The prison authorities can open inpractice40.Most educators in prisons
all letters and parcels to check their are women. The male staff are security
contents, unless theletter is between guards, economic andducational experts
you and consular officials, international and the doctor.Security staffs are selected
organizations, or Hungarianauthorities34. either to guard the perimeter or to work
The prisoners are entitled to send one in theprison in contact with the prisoners.
letter free of cost per month35. There were 8,315 approved positions
The prisoners can receive and send in the organizational chart, with funding
one package per month, although the for 8,350. In accordance with applicable
prison director may allow for them to legislation, 30 positions were moved from
send and/or receive parcels at shorter Government Offices to the Prison Service
intervals. Each package should weigh to account for an increased workload
nomore than 5kg. Food stuffs, drinks, (prisoner follow-up, probation services)41.
medicines and objectsdeemed as a threat In terms of human resource management,
to prison security. the HPS Annual Report 2015 reveals
that there was 4,048 staff working across
In regard to the calls, in all cases this
Hungary (HPS 2015)42.
will be decided by the public prosecutors
office or by the judge. Once you The number of prison staff
have been sentenced this would on 2 February 2016 was 8,362,
normally be lifted and you of which 2,639 were female and
would be able to make calls36. To do 5,723 male43.
this you would normally have to buy a
telephone card.
Prison staff
Staff Training: At the Prison Service
training there are short-term (14 week
elementary prison service, intermediate
level, modular) courses37. In addition
to it the main way of training are the
Correctional Supervisor and the stress
management training courses (it was
introduced to help preserve employee Figure 344
health and improve the working In the figure above age
environment)38. The programs were distribution of the total prison staff
approved by the Ministry of the Interior can be seen. The average age for the
32
The report on the visit of the Hungarian penal institutions
total prison staff of 8,362 is 39 years, the
(The information was obtained during the visit of Hungari- 39
Ibid.
an prisons by author in 2015-2016). 40
Ibid.
33
Ibid. 41
Ibid.
34
Ibid. 42
Annual Report 2014, pp. 88-108
35
Ibid. 43
REVIEW OF HUNGARIAN PRISON STATISTICS, the
36
Ibid. Hungarian Prison Service Headquarters, ISSN 2416-1233,
37
Annual Report 2014, pp. 88-108 2016, pp.3-26
38
Ibid. 44
Ibid.

79
LAW REVIEW 2016 5(60)

youngest staff member is 19, and the and employmentprospects, and there
oldest is 71years old. The majority of is a special programme for providing
the staff belongs to the categories of 36- assistance in findingwork46. Long-term
40 and 41-45 years of age,altogether they prisoners are prepared for release during
make up almost half of the staff (more the last two years oftheir sentence47.
than 46%). The two ends of thespectrum They are placed in groups giving them
proportioned by age groups are the under more independence andthe possibility of
25 years of age (5.56%) and the above leaving the prison to find employment48.
50years of age (adding up to more than Non-governmental organizations are also
10% when aggregated). reportedto play an important part in pre-
Treatment and regime activities release preparation.
The prison administration points Prison Enterprises and Central
out that following the political changes in Procurement: Industrial enterprises are
1990the prison system ceased to attempt greatly affected by central procurement,
to change the prisoners but wanted which is a way for the government to
rather togive them the opportunity to regulate demand for the products in
change. This is seen as a long process that order to support prisoner employment.
willdevelop gradually.Each sentenced Agricultural enterprises have a stable
prisoner becomes part of an educators operational background due to the
group, the educatorbeing responsible reliable sectoral structures and subsidies
for the prisoners welfare, progress and in place. The enterprises participated in
activities. Sentenced prisoners spend 8 or government programs under the Ministry
9 hours out of their cell or room if they of the Interior by delegating experts and
havework; otherwise it is 4 or 5 hours on providing support to various programs
average45. Pre-trial prisoners are reported like the START program, public worker
tohave one hour exercise but no additional employment in a sewing factory, and
time out of their cells. document shredding49.
For social and psychological
problems it is sometimes possible to PRISONER EMPLOYMENT
makeuse of social workers, psychologists STATISTICS50
or priests.Sixmonths before release the Table1
Average of prisoners
number employed
(capita) 2012 2013 2014 2015
Employment by the prison ltd. companies 3,570 3,753 4,137 4,405
Of which employed in industrial prison 1,653 1,846 2,082 2,334
ltd. companies:
Of which employed in agricultural prison 1,917 1,907 2,055 2,071
ltd. companies:
Penitentiary employment 2,430 2,765 2,741 2,963
PPP employment 781 723 684 672
Total: 6,781 7,241 7,562 8,040

46
Ibid.
educator discusses accommodation 47
Ibid.
48
Ibid.
45
Roy Walmsley, Prisons In Central And Eastern Europe,
HEUNI Paper No. 22, Prisons In Central And Eastern Eu-
49
Annual Report 2014, pp. 88-108
rope, The European Institute For Crime Prevention And 50
REVIEW OF HUNGARIAN PRISON STATISTICS, The
Control, Affiliated With The United Nations Helsinki, 2005 Hungarian Prison Service Headquarters, ISSN 2416-1233,
(ISSN 1236-8245), pp. 303-3 2016, pp.3-26

80
International Experience

Employment is the key element compared to the number of


and main instrument of the reintegration prisoners obliged to work. This
of prisoners intosociety (Table1). In the ratio of the prisoners was 80% in
table above employment is categorized 2014 and 87% in 201553.
by the nature of work carried out by the
prisoners. It may be seen that both
the employment by the prison
limited companies, and also
the penitentiary employment
shows a constant expansion,
while the rate of the prisoners
employed in the framework of Public
Private Partnership (PPP) construction
decreases.Paid work is available in
accordance with theopportunities of the Sentenced prisoners are required to
prison. When considering a detainee for work if they are fit to do so and if work is
work, physical, psychological,professional available for them.
skills, and interests are taken into
There are now economic
consideration. The time permitted to
companies (public limited companies)
workand the compensation for work done
operating within the prisons but under
is determined by the relevant labor law
directors whoreport to the Ministry of
regulations. The prisoner may request to
Interior through the national prison
take part in primary/secondary education
administration. Prisoners either work for
or vocational training and mayuse the
one of these prison companies or they
prison library (knyvtr)51.
are employed by the prison on work
Employment of prisoners
Average yearly number (capita) 2014 2015
Convicted prisoners obliged to 11,746 11,933
work
Employed in working 7,562 8,040
Other employment 1,819 1,654
Total employed 9,381 9,694

Table 2 52 connected withthe efficient running of


The employment of prisoners the institution (e.g. cleaning, catering,
takes place in the framework and laundry). A prisoners working hours
of budgetary employment, are thesame as those of other workers, as
employment by the prison limited regulated by labor law, generally 40 hours
companies and in other forms. per week54.
The annual average number Conditional release and probation55
of prisoners taking part in the various
Prisoners may obtain conditional
forms of employment is shown in the
early release after two thirds of their
table above (Table 2). Thepie chart
sentenceif they are in a minimum security
below shows the ratio of the prisoners
regime, after three quarters in a medium
in different employment forms, when
security regime, and after four-fifths
51
The report on the visit of the Hungarian penal institutions
(The information was obtained during the visit of Hungari-
53
Ibid.
an prisons by author in 2015-2016). 54
The report on the visit of the Hungarian penal institutions
52
REVIEW OF HUNGARIAN PRISON STATISTICS, The (The information was obtained during the visit of Hungari-
Hungarian Prison Service Headquarters, ISSN 2416-1233, an prisons by author in 2015-2016).
2016, pp.3-26 55
Annual Report 2014, pp. 88-108

81
LAW REVIEW 2016 5(60)

in a maximum security regime. The been establishedbetween the prison


securitystatus is defined by the court at administration and the Ministry of
the time of sentence but can be changed Education.
onapplication to a court, for example if Prisoner education-prisoners programs:
a prisoner has satisfied the prison that In order to facilitate social integration,
adifferent level is appropriate. prisoners are offered education and
Conditional release can be training, in addition to employment. The
grantedearlier, after half the sentence, if increased number of prisoner has been
the sentence is no longer than three years, participating in vocational training60.
ifthere are mitigating circumstances, Many prisoners were included in a priority
and provided that the offender is not project titled TAMOP- 5.6.3-12/1-2012-
a multiple recidivist. By contrast life 0001; Multistage social and labor market
sentence prisoners become eligible for integration and intensive after release
conditional release after a period of care for prisoners61. As part of TAMOP
between 15 and 30 years depending 5.6.3 special project, every correctional
on a minimumperiod decided by the institution in the country organized
sentencing court.Conditional release is community compensation events62.
decided by a penitentiary judge on the Prisoners were offered volunteer work
application ofthe prison. in support of local communities: picking
Three months before eligibility litter, gardening maintenance, painting,
for conditionalrelease the heads of and renovation at parks, playgrounds,
department are consulted and the kindergartens and retirement homes63.
governor decides whether the application Several of our institutions offered
should be made. prisoner integration programs through the
As of August 9, 2014, the Ministry of help of Hungarian and international non-
the Interior is responsible for organizing governmental organizations (NGOs)64.
and supervising the activities of the For example, our service dog training
Probation Services, an area closely related project, in which prisoners participate
to correctional work56. As a result of in the training of assistance dogs for the
organizational changes, 30 county and blind, earned international acclaim65.
metropolitan probation officers were The project follows a training program
moved from under the Justice Services developed by the Hungarian Federation
of Government Offices to the direct for the Blind and Partially Sighted, and its
supervision of the Ministry of the Interior, primary aim is to give puppies as much
which left Prison Service headquarters contact and experience in the world as
in direct control of the area57. The plan possible before they become old enough
is to assign one probation officer to each to undergo real service training66.
of the 28 correctional institutions in the
country58.

Education and vocational training59


General education and vocational
training are regarded as the core of the
rehabilitation programmes. Educational
and vocational training activities occupy
between 6 and 20 hours per week and
have developed significantly in recent 60
Ibid.
years, very good contacts having 61
Annual Report 2014, pp. 88-108
62
Ibid.
56
Ibid. 63
Ibid.
57
Ibid. 64
Ibid.
58
Ibid. 65
Ibid.
59
Ibid. 66
Ibid.

82
International Experience

Data Related to Education and


Training of the Prisoners67

Schooling indicators
Academic Elementary school Secondary school Vocational training High school Total
year
Capita (%) Capita (%) Capita (%) Capita (%)
2010/2011 1,020 42.50 878 36.58 479 19.96 23 0.96 2,400

2011/2012 1,159 42.55 920 33.77 606 22.25 39 1.43 2,724


2012/2013 787 34.78 836 36.94 602 26.60 38 1.68 2,736
2013/2014 1,151 42.07 819 29.93 720 26.32 46 1.68 2,736
2014/2015 1,083 34.91 858 27.66 1,131 36.46 30 0.97 3,102
2015/2016 1,016 25.20 967 23.98 1,993 49.43 56 1.39 4,032

Table 3
2010 2015

Schooling Indicators
(%)
Total Male Female Total Male Female
Illiterate 1.02 0.88 2.93 0.74 0.63 2.14
Less than 8 grade 27.48 27.21 30.5 11.63 11.19 17.25
Elementary 46.28 46.41 44.42 58.32 58.58 55.11
Vocational 14.94 15.52 6.61 16.13 16.87 6.64
General Certificate of
Secondary Education
(GSCE) 7.71 7.56 9.71 9.57 9.34 12.37
University/College 2.57 2.4 4.81 2.50 2.31 4.89
N.a. 0 0 0 1.12 1.08 1.60
Table 4
recommendations and theprison is given
a copy indicating the changes that must
Inspection and monitoring 68
be made.
The prison administration organizes
The third typeof inspection
three kinds of inspection. One-third
is known as target control where
of theprisons are inspected each year,
prisons are visited in order to
involving all departments and sections of
see if they have carried out the
eachestablishment.
recommendations of the inspection or the
Second, there are thematic reviews, thematic review.
for example on health carein all prisons.
Ensuring that penal institutions
In both cases a report is produced with
function within the law is the
responsibilityof the Office of the Public
67
REVIEW OF HUNGARIAN PRISON STATISTICS, The
Hungarian Prison Service Headquarters, ISSN 2416-1233,
Prosecutor.
2016, pp.3-26 Another source of independent
inspection is the Parliamentary
68
The report on the visit of the Hungarian penal institutions
(The information was obtained during the visit of Hungari-
Commissioner for Human Rights, the
an prisons by author in 2015-2016). Ombudsman. Cases dealt with by the

83
LAW REVIEW 2016 5(60)

Commissionerhave focused on ensuring prohibition from public affairs. In this


that prison sentences have been enforced case a prisoner may bebanned from
in a lawfulmanner. voting even after release from prison.
There are a number of methods by An annual report/yearbook is produced
which the law enables prisoners to make vknyve. It is not formally published
complaints: but it is not a secret document. Copies are
sent to Members of Parliament,the Central
They may complain to the prison Statistical Office, research institutes,
governor; universities, heads of media outlets and
They may request a hearing from other organizations with whom the prison
the public prosecutor; service co-operates.
They may take the case to the Leisure and entertainment: All prisons
Ombudsman or the parliamentary in Hungary have a library. Most prisons
commissioner for ethnic minorities also have a wide selection ofsporting
activities which include table tennis,
rights.
football, darts etc. And most prisons
PSHQ is the unit responsible for also offer agym with weight training
managing, supervising and controlling equipment.
activities of the organization69. The new
Drugs: Drugs trafficking in
mobile audit has been added to the
Hungarian prisons is illegal. If you are
activities of the audit teams at PSHQ70.
caught with any kind of illegaldrugs
Non-governmental organizations71 (marijuana, cocaine, etc.) you may face
The prison administration reports punishment according to Hungarian
good cooperation with a large number law.Most prisons also offer a drugs
of nongovernmental organizations, programme for those inmates with a drug
including religious and charitable bodies addiction.
and the campaigning organization the Prison security: The new Prison Code
Helsinki Committee for Human Rights. made some regulatory tasks a priority, for
There arereligious services in the example those related to coercive devices
prisons and also missions; full-time priests and the extended protocol for gradual
are availablefor sentenced prisoners and action preceding the use of firearms73.
part-time priests in the remand houses. Cooperation with partner organizations
There is good co-operation with in law enforcement is key in maintaining
the Catholic charitable organization security and preventing incidents74.
CARITAS, with the InternationalRed For instances, the emergency services
Cross and with the Martyrs. provided courses to our staff in managing
fire incidents75. Suicide prevention was
Other matters72
a priority task (the number of suicides
Convicted prisoners are not is decreasing from year to year but the
allowed to vote in Hungarian elections methods became more diverse)76.
but pre-trialdetainees retain the
Projects77: EU tenders aiming at
right to do so. The court can also
social cohesion, crime prevention, social
impose the secondarypunishment of
and labor market integration of prisoners,
69
Annual Report 2014, pp. 88-108 and intensive post-release care (TAMOP
70
Ibid. 5.6.2 and 5.6.3 priority projects) are
71
Roy Walmsley, Prisons In Central And Eastern Europe, very efficient means to offer prisoner
HEUNI Paper No. 22, Prisons In Central And Eastern Eu- education and improve the chances of
rope, The European Institute For Crime Prevention And
Control, Affiliated With The United Nations Helsinki, 2005 73
Annual Report 2014, pp. 88-108
(ISSN 1236-8245), pp. 303-3 74
Ibid.
72 Roy Walmsley, Prisons In Central And Eastern Europe, HEU- 75
Ibid.
NI Paper No. 22, Prisons In Central And Eastern Europe, The
European Institute For Crime Prevention And Control, Affiliated
76
Ibid.
With The United Nations Helsinki, 2005 (ISSN 1236-8245), pp. 77
Ibid.
303-3

84
International Experience

employment after release. The Hungarian Prison Administration made it possible


prisons used a total of HUF 947 million to the increase in prisoners employment,
under the two projects in 2014. In addition which also contributes of facilitating
to it, they received a total of HUF 351 prisoner social integration. The HPS has
million in support of, from TAMOP and carried out all of its duties with the help of
other international cooperation projects, a dedicated and highly professional staff,
to improve prisoner education and and that of their partner organizations:
employment. local governments, churches, and non-
Infrastructure developments governmental organizations.
aiming at improved energy sufficiency Current objective79: The following are
and the use if renewable energy (under some of the main objectives reported by
the Environment and Energy Operative the HPS:
Program KEOP) were carried out in The continuation of the
2013 and 2014 in a total value of HUF programme of developing the prisons;
812 million at various Prison Service
institutions. The Ministry of Interior The development of staff training;
used its own budget to support some Enlarging the number and scope
investments aiming at reducing energy of treatment programmes for prisoners
costs. IT development worth HUF (including for sex offenders and drug
500 million were carried out under addicts);
the Electronic Public Administration
Operative Program (EKOP). Reducing the prison
International relations: International overcrowding, in order to have more
relations are greatly influenced by space for cultural and leisure activities;
European professional events, especially Modernizing old buildings for
those organized by the Council of Europe new conditions;
directorates for criminal justice and prison
Increasing the number of staff
administration.
and improving their educational level;
In regional cooperation, the Visegrad
Group78 meeting for Director Generals Continuing to ensure a good
in May laid a new foundation for high- atmosphere in the institutions;
level international relations between the Dealing with the problem of
four countries. We organized a consular separating difficult prisoners from others;
meeting for the representatives of 47
Introducing more differentiated
consulates and embassies at Budapest
Strict and Medium Regime Prison. treatment for prisoners.
In addition to keeping in touch with Main problems80: The following were
embassies, these events have special identified by the HPS as some of the
significance in facilitating the contact of mainproblems, which are obstacles to
foreign nationals in custody with their the achievement of the objectives and to
home countries. theadvancement of the prison system:
Perspective The serious overcrowding in
We have seen that the HPS have the institutions (128% occupancy in the
both obstacles and opportunities to the system as a whole at the end of 2015);
further development. The overcrowding The fact that the prison system
of prisons remains a concern. The is insufficiently developed in terms of
enterprises and the continued effort of the facilities;
78
TheVisegrad Group,is an alliance of fourCentral Euro- The fact that there are not enough
peanstatesCzech Republic,Hungary,PolandandSlova-
kia for the purposes of furthering theirEuropean integra-
tion, as well as for advancing military, economic and energy
79
The report on the visit of the Hungarian penal institutions
cooperation with one another. https://en.wikipedia.org/ (The information was obtained during the visit of Hungari-
wiki/Visegr%C3%A1d_Group (Viewed 12 November, an prisons by author in 2015-2016)
2016). 80
Ibid.

85
LAW REVIEW 2016 5(60)

prison staff and they are inadequately Prison Rules82;


prepared by training for their duties; Daily efforts are made to present
The difficulties of the probation to the media a balanced picture of what is
service in reintegrating prisoners into the going on in the prisons, in order to have a
community; positive effect on public opinion.
The need for improved suicide
prevention measures. Reference:
Achievements81: The achievements of Article:
the HPS include: Roy Walmsley, Prisons In Central
Staff attitudes are reported to And Eastern Europe, The European
have changed, with real efforts being Institute For Crime Prevention And
Control, Affiliated With The United
made to deal with prisoners in a way that
Nations Helsinki, (2005) HEUNI Paper
fully respects their human dignity; No. 22. (ISSN 1236-8245).
The education system has ANNUAL REPORT (Yearbook),
developed in the last few years, with very Hungarian Prison Service, (2014)
good contacts having been established Budapest.
with the Ministry of Education; The report on the visit of the
A generally relaxed atmosphere Hungarian penal institutions (The
has been achieved, including among information was obtained during the visit
pre-trial detainees and in seriously of Hungarian prisons by author in 2015-
overcrowded conditions; 2016).
A number of prisoners involved REVIEW OF HUNGARIAN PRISON
STATISTICS, the Hungarian Prison
in education and vocational training are
Service Headquarters, (2016), Budapest.
increasing, and short vocational or basic ISSN 2416-1233
education programmes are available in
some remand houses;
Online resource:
There has been a large expansion
in religious activities in the prisons, https://bv.gov.hu/en (Viewed 12
with full-time priests for sentenced November 2016)
prisoners and part-time priests in pre-trial https://en.wikipedia.org/wiki/
institutions; Visegr%C3%A1d_Group (Viewed 12
November, 2016)
A new penal executive code has 82
The European Prison Rules, which provide the benchmark
been adopted, which is intended to bring for assessing the quality of the management of prisons and
practice in the Hungarian prison system the treatment of prisoners. The Director General and his
deputies have copies, as do management staff at the nation-
fully into conformity with the European al prison administration and in each prison. Copies are also
said to be available to be used by other prison staff and by
prisoners.
81
Ibid.

---o0o---

86
International Experience

PLEA AGREEMENTS IN AMERICA: DOES ANYONE


REALLY WIN?

Major Sean M. Shea, USMC (Retired) quite impossible, in todays judicial system
J. D. Candidate California in America.2
Western School of Law San Diego,
California SMShea@law.cwsl.edu The 1960s saw a series of
jurisprudence from the Supreme Court
of the United States that led to the
Abstract advent of several key legal tenets that
Plea agreements, almost clich contributed to the greater implementation
in their portrayal in American film and of, and subsequent reliance on, plea
television, often seem a uniquely agreements as we know them today.
American phenomenon; in movies such Prior to this transformative period in
as A Few Good Men and The Lincoln legal proceedings, Supreme Court
Lawyer, protagonists start out as smooth- jurisprudence on this subject was
talking hired legal guns that, through a relegated to addressing exceptions and
slick negotiation style and cynical view extraordinary circumstances.3 In its 1963
of the legal system, are successful at decision in Gideon v. Wainwright, the
making these deals with little care about Supreme Court described a defendants
guilt, innocence, or the public interest. But Sixth Amendment right to legal counsel as
in both stories, these attorneys eventually being so indispensable to his assurance
see through the veneer and gain insight into of receiving a fair trial that counsel
the moral, ethical, and legal quandaries must be provided for him if he cannot
associated with a defendant bargaining afford it.4 In their landmark 1966 ruling
away his rights in exchange for a lighter in Miranda v. Arizona, the right to legal
sentence, the avoidance of a trial, or some counsel was even more broadly applied
other legal expediency. The question then by the Supreme Court and conflated
comes to mind, for both the character and with the Fifth Amendment protection
the viewer, as it so often does in society against self-incrimination.5 With the two
writ large: who really benefits from plea aforementioned cases serving to set
agreements? conditions for the increased frequency
and widespread acceptance of structured,
Introduction attorney-crafted plea agreements, 1970s
The origin of plea agreements in Brady v. United States cemented the
America is somewhat murky, but legal legitimacy of plea agreements in every
scholars generally place their beginnings, day criminal proceedings.6 In writing the
in terms of the scope, frequency, and majority opinion of the Supreme Courts
concept we know today, in the 1920s. 2
See Justin H. Dion, Prosecutorial Discretion or Contract
Prior to that time, jury and bench trials Theory Restrictions? - The Implications of Allowing Judicial
were more common, enabled by the Review of Prosecutorial Discretion Founded on Underlying
Contract Principles, 22 W. New Eng. L. Rev. 149, 161 (2000)
distinguishing characteristic that trials (Discussing the dependence of the modern American judi-
were summary proceedings,1 with many cial system on adjudication via plea agreements).
judges presiding over multiple jury trials in 3
Albert Alschuler, Plea Bargaining and Its History, 79 Colum
a single day something unheard of, and L. Rev. 1, 6 (1979).
4
Gideon v. Wainwright, 372 U.S. 335, 344 (1963).
1
John H. Langbein, Understanding the Short History of Plea
5
Miranda v. Ariz., 384 U.S. 436, 469 (1966).
Bargaining, 13 L. & Socy Rev. 261, 263 (1979). 6
Brady v. United States, 397 U.S. 742, 751-52 (1970).

87
LAW REVIEW 2016 5(60)

1971 ruling in Santobello v. New York, as best the term can be applied here,
Chief Justice Warren E. Burger went on three distinct points: the charge,
the sentence, and the facts. Once the
so far as to call the practice of plea two parties have reached an accord on
bargaining an essential component of the these three points, they must submit the
administration of justice.7 agreement to the court to obtain a judges
approval in order for the plea agreement
In the years that followed, the to take effect.10
prevalence of plea agreements in criminal The judges role in plea agreements
proceedings, much like that which is is simple but vital; he or she must
determine whether the defendant knows
represented in film and television, ushered his rights, whether the defendant chooses
in a new norm. The extent of the surge in to voluntarily waive those rights, and
such pleas, and the reliance of the judicial whether there is a factual basis for a
finding of guilty on the charges in the case
system on them as a means to adjudicate even if the defendant still maintains his
the large number of criminal cases that innocence while pleading guilty.11 This role
appear before the bar in jurisdictions is critical in safeguarding the rights of the
accused by ensuring that the accused is
throughout the United States, is best not being victimized by imbalances within
summed up in a single staggering statistic: the legal system.12
up to 95% of all criminal cases in America The facts of a case that is subject
are adjudicated by plea agreements.8 to a plea agreement are generally
straightforward; they are usually either not
What Is a Plea Agreement? in dispute or the accused finds that he or
While the wording varies from one she cannot prove, or afford the expense
statutory source to another, Blacks Law of attempting to prove, his case in front of
Dictionary provides perhaps the most a jury. This highlights the role that a lack
widely accepted definition of a plea of resources, in time and money, may
agreement which best illustrates the play on both sides of any given case that
concept: can directly create incentives to seek a
[a] negotiated agreement between plea agreement. For a prosecutor, any
a prosecutor and a criminal defendant opportunity to obtain a legal victory without
whereby the defendant pleads guilty or the expenditure of scarce public funds and
no contest to a lesser offense or to one limited manpower is likely tempting, as well
of multiple charges in exchange for some as career-enhancing. For a defendant, it is
concession by the prosecutor, usually a often a less desirable choice: an elective
more lenient sentence or a dismissal of fast-tracking of their case in order to avoid
the other charges.9 legal bills, and to either avoid jail time or
The process of plea agreements get out of jail sooner than would otherwise
requires three actors: the prosecutor, be the case. 13
the defendant (usually represented by But these incentives can also lead to
defense counsel), and the court, or judge. opposite outcomes. A prosecutor can be
The prosecutor and defendant negotiate, bullied by a wealthy defendant with a team
of investigators and defense attorneys at
7
Santobello v. New York, 404 U.S. 257, 260 (1971) (The his disposal; a poor defendant is even
Chief Justice further stated that [p]roperly administered, more susceptible to maltreatment at the
[plea bargaining] is to be encouraged. If every criminal hands of a determined prosecutor with
charge were subjected to a full-scale trial, the States and enough state or federal funds to eclipse
the Federal Government would need to multiply by many
times the number of judges and court facilities.).
10
Guide For Users, 39 Geo. L.J. Ann. Rev. Crim. Proc. 1,
419-23 (2010) (Discussing the application of USCS Federal
8
Bureau of Justice Assistance, U.S. Department of Justice, Rules of Criminal Procedure Rules 11 and 13 to the court-
Plea and Charge Bargaining: Research Summary, 3 (2011). room phase of plea agreements).
9
Plea bargain, Blacks Law Dictionary (10th ed. 2014). For 11
Todd A. Berger, After Frye and Lafler: The Constitutional
an example of a state courts sample form, see Appendix Right to Defense Counsel Who Plea Bargains, 38 Am. J.
1, State of Alabama, Court E-forms, http://eforms.alacourt. Trial Advoc. 121, 168 (2014).
gov/Sample%20Forms/Plea%20Agreement.pdf (accessed
Aug. 28, 2016). For an example of a federal district courts
12
Deirdre Bowen, Calling your Bluff: How Prosecutors and
sample form, see Appendix 2, United States District Court, Defense Attorneys Adapt Plea Bargaining Strategies to In-
District of Colorado Forms and Instructions, http://www.cod. creased Formalization, 26 JUST. Q. 2, 26-27 (2009).
uscourts.gov/CourtOperations/RulesProcedures/ Forms. 13
Robert E. Scott & William J. Stuntz, Plea Bargaining as
aspx (accessed Aug. 28, 2016). Contract, 101 Yale L.J. 1909, 1912 (1992).

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International Experience

any feeble attempt he can make with bargaining; without the otherwise normal
a defense. These factors, along with pretrial motions regarding discovery and
statutory requirements, can vary greatly
from one geographic area to another, exculpatory evidence, the prosecutor has
and from one level of government to a much clearer picture than the accused
another. Add the occasional lack of true of the accuseds ability to muster an
consideration of guilt or innocence in
the decisions being made, as well as the effective, potentially charge-defeating
motives for making those decisions, and defense, especially if the accused is
the ramifications of the plea agreement actually innocent.18
process can become quite troubling.
What is also clear, as illustrated by
Ethics In Plea Agreements recent nationwide statistics examining
Socioeconomics make an plea agreements across all levels of
undeniable difference in the type of justice the American legal system, is that
people receive; faced with an already plea agreements, although skewed in
disproportionate enforcement of laws and socioeconomic impact, are still often the
subsequent charging rates for crimes, most practical and relatively desirable
disadvantaged groups are already more outcome given the usually harsher outcome
likely to find themselves in the position achieved through a jury trial.19 While this
of having to consider a plea agreement.14 is encouraging news to proponents of
Add to that the higher conviction rates and plea agreements, this also spotlights the
harsher sentencing that these same groups reality of system-wide bias against those
face if they go to trial,15 one can see why disadvantaged socioeconomic groups
the decision to accept a plea agreement is once they are ensnared, appropriately
virtually reinforced by the criminal justice or not, in the American criminal justice
system. The decision can often be thrust system. The problem is not plea
upon already at-risk members of society, agreements themselves; rather, they are
resulting in a subtle form of coercion; if an but a part even an outgrowth of and
unscrupulous prosecutor leverages this manner of efficiently dealing with of
perception during a negotiation the nature the systemic bias that disproportionately
of the process is blatantly coercive.16 impacts those who are already the most
Unless the accused has the means vulnerable in society.
to afford a team of defense attorneys When considering the impacts of
and private investigators, the prosecutor coercion and bias on the plea agreement
holds the clear majority of power in the process, the importance of the judges
equation. Additionally, his priorities are role emerges as an indispensable judicial
often career- and politically-motivated.17 review mechanism that often is the best
Most commonly seen is the prosecutors and last chance of ensuring fairness
need to at least appear to the public to be and transparency where the accused
tough on crime, sometimes with very little has already forfeited key Constitutional
attention given to whether the accused is safeguards.20
actually guilty of the crime, thus enhancing
the perception and very real sense of Serving the Public Interest
coercion in the process. Prosecutors also Thomas Jefferson once wrote that
frequently benefit from the informational trials are vital to the protection of citizens
imbalance that exists during plea rights from the power of the state; that they
14
U.S. Dept of Justice, supra note 8, at 2-3. 18
Erica Hashimoto, Toward Ethical Plea Bargaining, 30 Car-
15
Id. dozo L. Rev. 949, 951-52 (2008).
16
Ronald Wright & Marc Miller, The Screening/Bargaining 19
U.S. Dept of Justice, supra note 15.
Tradeoff, 55 Stan. L. Rev. 29, 33 (2002). 20
Sanford I. Weisburst, Judicial Review of Settlements and
17
Stephanos Bibas, Plea Bargaining Outside the Shadow of Consent Decrees: An Economic Analysis, 28 J. Legal Stud.
Trial, 117 Harv. L. Rev. 2463, 2470-71 (2004). 55, 58 (1999).

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were one sure way to force the state to be the American criminal justice system.25
transparent in its exercise of power, and Serving the public interest is a
to do so in accordance with the provisions significant tenet of jurisprudence that has
of the Constitution.21 So strongly did been specifically addressed, and there
Jefferson and the other founders believe are binding precedents that require judges
this idea that it was later written into the to consider this when deciding whether
Constitution of the United States as to accept or reject a plea agreement
one of the legal protections afforded either as a whole or in part.26 When
under the Sixth Amendment.22 More applied effectively and consistently, such
recently, however, legal scholars have principles can further temper the process
written about the societal benefits of plea and ensure dispassionate and efficient
arrangements, specifically the efficiency adjudication of criminal cases. This in turn
created in an already overburdened legal serves to foster the public trust in judicial
system.23 proceedings. There are also other second-
What, then, should be done with order effects of the effective use of plea
the practice of plea agreements, where agreements that shore up other areas
one surrenders their Fifth and Sixth of the law. What the majority of scholars
Amendment protections as a means appear to agree on is that the wide
of judicial expediency? The incentive spread use of plea agreements keeps
to serve the public interest via efficient
the criminal trial case load manageable
adjudication methods must be squared
with the inherent flaws that work against to the point that they effectively maintain
another important aspect the public the judicial integrity of the criminal trials
interest: safeguarding the rights of the that do take place; were plea agreements
accused. While there are some that argue to be abolished, overloaded trial courts
for the need to abolish plea agreements would naturally seek other efficiencies
altogether due to the coercion and bias that would ultimately render trials much
that are inherent in the process,24 this less protective of the rights of the accused
is also largely seen as unrealistic. Plea than is the case with the plea agreements
agreements are viewed by many as a that are in practice today.27
solution to a certain problem; where most
disagreement among jurists and scholars
Conclusion
seems to arise is whether plea agreements
have become their own problem, and if When facing criminal charges in
there is a need for them to be or through the American legal system, the very real
which manner they can be improved or disadvantage of the poor and certain
corrected. Many argue that it must be the minority groups should not be conflated
reforms that address these shortcomings with the very real advantage of the wealthy
that will have to shore up the rights of the in terms of seeking the best possible
accused in what is generally regarded as outcome. The incentivized actions that
a rational and necessary process within each of these socioeconomic groups has
at their disposal diverges significantly, and
are a world apart in terms of achievable
21
Thomas Jefferson, Letter to Thomas Paine (Jul. 11, 1789) outcomes. Where a poor person is faced
(may be viewed at http://founders.archives.gov/ documents/
Jefferson/01-15-02-0259). 25
Robert E. Scott & William J. Stuntz, Plea Bargaining as
22
USCS Const. Amend. 6. Contract, 101 Yale L.J. 1909, 1926 (1992).
23
See Fred C. Zacharias, Justice in Plea Bargaining, 39 26
Ellis v. United States Dist. Court (In re Ellis), 356 F.3d
Wm. & Mary L. Rev. 1121, 1129 (1998) (A settlement is 1198, 1209 (9th Cir. 2004) (A federal district court may reject
societally efficient, compared to the alternative of requiring a plea agreement if it believes the sentence related to a ne-
each party to keep what they have; namely, their chance of gotiated charge is inadequate in serving the public interest).
winning at trial, with all attendant risks and benefits.). 27
Robert E. Scott & William J. Stuntz, A Reply: Imperfect
24
Stephen J. Schulhofer, Plea Bargaining as Disaster, 101 Bargains, Imperfect Trials, and Innocent Defendants, 101
Yale L.J. 1979, 2009 (1992). Yale L.J. 2011, 2013 (1992).

90
International Experience

with a decision that may have them plead compromised, in the course of negotiating
guilty to a crime in order to receive a lesser a deal. The single fact that so many plead
charge and reduced sentence, even if guilty to crimes they did not commit, solely
innocent of that crime, a wealthy person for the sake of extricating themselves from
will likely pour resources into fighting the the criminal justice system in which they
have become ensnared, illustrates how
charge and have a very good chance
the public interest is not being adequately
of receiving a lesser charge, reduced served and that reforms are necessary.
sentence, or outright acquittal, even if Abolishment of plea arrangements is not
they are in fact guilty of that crime. This is the answer; nor is maintaining the status
how the inherent bias and coercive effects quo. The answer, as is so often the case
of the plea agreement system play out with the truth, lies somewhere in between.
in millions of cases annually across the What the current state of the
United States. This is where the scales American criminal justice system shows
of American justice can sometimes be is that plea agreements are necessary,
unbalanced. and that they can be concluded without
While there are flaws in the existing violating the rights of the accused. But this
implementation of plea agreements comes with a warning: as with all human
throughout the United States, there is systems and processes, adequate and
also a near-universal sentiment that plea effective safeguards must be in place to
agreements are necessary in order to
prevent biases from negatively influencing
prevent the inundation of American courts
with an unmanageable number of trials outcomes. Effective oversight and
and the subsequent loss of what judicial unyielding vigilance must also be in place
integrity there is to be seen in the trials to ensure that these deals do their part to
that do take place. The accused, the sustain the publics faith in any criminal
prosecutor, and even the public interest justice system in which plea agreements
all compromise, or are to some degree are made an integral part.

APPENDIX 1

Sample Form 21

PLEA AGREEMENT
______________________
State of Alabama Case Number
Municipality of
_________________________ STATE OF ALABAMA
v. In the ____________________Court
_________________________ of ______________________ County
Defendants [The City/Town of
_______________________________]

After discussion and negotiation between the parties, after a full explanation of rights
has been given to defendant as evidenced by the attached Explanation of Rights form,
and after such disclosure of information between the parties as each deems sufficient, it
is agreed in this case, subject to acceptance by the Court, that:
1. Defendant will enter a plea of guilty:
As charged in the complaint/information/indictment.
To the charge of ,

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and the Prosecutor will move for dismissal with prejudice of all other offenses
charged in the compliant/information/indictment.
2. The prosecutor will recommend to the Court that the defendant by given a
sentence of .
The prosecutor will not oppose the Courts giving the defendant a sentence of
.
3. The prosecutor will recommend to the Court that the sentence given to
defendant by the Court be suspended and the defendant be placed on probation
for a period of .
The prosecutor will not oppose the Courts suspending the sentence given to
defendant and placing defendant on probation.
4. (Any other matters agreed upon.)

Date Signature of Defendant




Signature of Defendants Counsel

Signature of Prosecutor

Having reviewed the above agreement entered into by defendant and the prosecutor,
and having reviewed the presentence report, the Court hereby:

Accepts the Plea Agreement. The disposition provided herein will be


embodied in the judgment and sentence.
Rejects the Plea Agreement; therefore, the plea agreement does NOT bind
the defendant, the prosecutor, or the Court to any of the above provisions.

Notice to Defendant

Since the agreement has been rejected, your may withdraw your offer to the
prosecutor to plead guilty to the charged offense. If you do decide to plead
guilty, the disposition of the case may be either more of less favorable to you
than contemplated in the agreement.

The Court will allow the prosecutor to change his recommendation and the parties
may submit further plea agreements for the Courts consideration.
_________________ _______________________________________
Date Judge

Rule 14.3

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International Experience

APPENDIX 2

IN THE UNITED STATES DISTRICT COURT


FOR THE DISTRICT OF COLORADO
Criminal Case No.

UNITED STATES OF AMERICA


Plaintiff(s),

v.

1.
Defendant(s).
_________________________________________________________________

PLEA AGREEMENT
_________________________________________________________________
The United States of America (the government), by and through _____________,
Assistant United States Attorney for the District of Colorado, and the defendant,
____________________, personally and by counsel, ____________________,
submit the following Plea Agreement pursuant to D.C.COLO.LCrR 11.1.

I. AGREEMENT

The defendant agrees to plead guilty to ____________________ of the Indict-


ment [or Information], charging a violation of ________ U.S.C. _________,

__________________________. [Insert additional charges, if any.]


[Set forth the complete agreement between the parties, including whether the
agreement is pursuant to Fed. R. Crim. P. 11(c)(1)(A), (B), or (C), and whether there are
agreements regarding departures, variances or other sentencing matters. Also set forth

Revised: April 25, 2012

any agreements regarding forfeiture or restitution.]


[If the parties intend to tender any agreement regarding waiver of appellate rights,

insert here.]
II. ELEMENTS OF THE OFFENSE(S)
The parties agree that the elements of the offense[s] to which this plea is being
tendered are as follows:

[Set forth each element required by law for the commission of each criminal offense

to which the defendant intends to enter a plea.]


III. STATUTORY PENALTIES

The maximum statutory penalty for a violation of ______ U.S.C. ______ is: not more

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than _________ months imprisonment; there is no country to which the defendant


not more than $______________ fine, may be deported, to be denied admission
to the United States in the future, and to
or both; not more than _________ years
be denied citizenship.]
supervised release; $ __________ special
as-sessment fee; plus ___________ V. STIPULATION OF FACTS
The parties agree that there is a
restitution. [Insert, if applicable: The
factual basis for the guilty plea[s] that the
minimum statutory penalty is ___________ defen-dant will tender pursuant to this
months imprisonment.] plea agreement. That basis is set forth
below. Because the Court must, as part of
[Insert, if applicable, any mandatory
its sentencing methodology, compute the
consecutive term of imprisonment advisory guideline range for the offense[s]
required by law.] of conviction, consider relevant conduct,
[Insert, if the defendant is pleading and consider the other factors set forth
in 18 U.S.C. 3553, additional facts may
to multiple counts: The Court will impose
be included below which are pertinent to
a separate sentence on each count those considerations and computations.
of conviction and may, to the extent To the extent the parties disagree about
the facts set forth below, the stipulation of
permitted by law, impose such sentences
facts identifies which facts are known to
either concurrently with or consecutively be in dispute at the time of the execution
to each other.] of the plea agreement.
[Insert, if applicable, any term of This stipulation of facts does not
preclude either party from hereafter
supervised release: at least _____ years,
presenting the Court with additional facts
but not more than _____ years.] which do not contradict facts to which
If probation or supervised release the parties have stipulated and which
are relevant to the Courts guideline
is imposed, a violation of any condition computations, to other 18 U.S.C. 3553
of pro-bation or supervised release may factors, or to the Courts overall sentencing
decision.
result in a separate prison sentence and
The parties agree that the date
additional supervision. on which relevant conduct began is
__________.
IV. COLLATERAL CONSEQUENCES
The parties agree as follows: [Insert
The conviction may cause the loss
facts and qualifications or disagreements,
of civil rights, including but not limited to
if any]
the rights to possess firearms, vote, hold
elected office, and sit on a jury. [Insert if
VI. ADVISORY GUIDELINE
applica-ble: If the defendant is an alien,
COMPUTATION AND 3553
the conviction may cause the defendant
ADVISEMENT
to be deported or confined indefinitely if
The parties understand that the

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International Experience

imposition of a sentence in this matter the convictions or facts which are believed
is gov-erned by 18 U.S.C. 3553. In to trigger the adjustment and include the
determining the particular sentence to be final offense level and/or criminal history
imposed, the Court is required to consider category.]
seven factors. One of those factors is the H. The advisory guideline range
sentencing range computed by the Court resulting from these calculations is
under advisory guidelines issued by the _______ months. However, in order to be
United States Sentencing Commission. In as accurate as possible, with the criminal
order to aid the Court in this regard, the history category undetermined at this
parties set forth be-low their estimate of time, the offense level(s) estimated above
the advisory guideline range called for by could conceivably result in a range from
the United States Sen-tencing Guidelines. ________ months (bottom of Category I)
To the extent that the parties disagree to ________ months (top of Category VI).
about the guideline computa-tions, the The guideline range would not exceed,
recitation below identifies the matters in any case, the cumulative statutory
which are in dispute. maximums applicable to the counts of
A.The base guideline is _________, conviction.
with a base offense level of _______. I. Pursuant to guideline 5E1.2,
B. [Insert specific offense assuming the estimated offense level
characteristics.] above, the fine range for this offense would
C. [Insert victim-related, role-in- be $ _______________ to $__________,
offense, obstruction and/or multiple- count plus applicable interest and penalties.
adjustments.] J. Pursuant to guideline 5D1.2, if
D. The adjusted offense level the Court imposes a term of supervised
therefore would be ______________. release, that term is [insert if applicable:
E. [Insert the parties positions at least ______ years, but] not more than
on the adjustment for acceptance of _______ years.
responsibility.] The resulting offense level K. Describe any restitution orders or
therefore would be ______________. conditions required by guideline 5E1.1.]
F. The parties understand that the
The parties understand that although
defendants criminal history computation
the Court will consider the parties
is tentative. The criminal history category
estimate, the Court must make its own
is determined by the Court based on the
determination of the guideline range. In
defendants prior convictions. Based on
doing so, the Court is not bound by the
information currently available to the
position of any party.
parties, it is estimated that the defendants
No estimate by the parties regarding
criminal history category would be
the guideline range precludes either party
______________.
from asking the Court, within the overall
G. The career offender/criminal
context of the guidelines, to depart from
livelihood/armed career criminal
that range at sentencing if that party
adjustments [would or would not] apply. [If
believes that a departure is specifically
any of these adjustments applies, identify
authorized by the guidelines or that

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there exists an aggravating or mitigating the Court accepts the plea agreement.
circumstance of a kind, or to a degree, not Alternatively, if the Court determines that
adequately taken into consideration by the it intends to impose a sentence different
United States Sentencing Commission from that agreed to by the parties as part
in formulating the advisory guidelines. of this agreement, the Court must first give
Similarly, no estimate by the parties the parties an oppor-tunity to withdraw
regarding the guideline range precludes from this agreement before it may impose
either party from asking the Court to vary any such different sen-tence.]
en-tirely from the advisory guidelines VII. ENTIRE AGREEMENT
and to impose a non-guideline sentence
This document states the parties
based on other 18 U.S.C. 3553 factors.
entire agreement. There are no other
[Adjust or delete language to account for
promis-es, agreements (or side
any Rule 11 (c) (1)(C) agreement or other
agreements), terms, conditions,
agreement as to departures or variances.]
understandings, or assur-ances, express
The parties understand that the
or implied. In entering this agreement,
Court is free, upon consideration and
neither the government nor the defendant
proper ap-plication of all 18 U.S.C.
has relied, or is relying, on any terms,
3553 factors, to impose that reasonable
promises, conditions, or assurances not
sentence which it deems appropriate in
expressly stated in this agreement.
the exercise of its discretion and that such
sentence may be less than that called for
Date: ___________________________
by the advisory guidelines (in length or
[insert name]
form), within the advisory guideline range,
Defendant
or above the advisory guideline range up
Date: ____________________________
to and including imprison-ment for the
[insert name]
statutory maximum term, regardless of
Attorney for Defendant
any computation or position of any party
Date: ____________________________
on any 18 U.S.C. 3553 factor. [Insert if
[insert name]
Rule 11(c)(1)(C) agreement: However,
because this plea agreement is made
pursuant to Rule 11 (c)(1)(C), the Court
Revised: 04/25/2012
is bound by the parties agreement once

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