Lecture 11 - State and Diplomatic Immunity Flashcards
State and Diplomatic ‘Immunity’ here means ______from the national jurisdiction of another State – specifically, from the ________ and _______ jurisdiction.
This exemption from foreign State courts/police jurisdiction incorporates both individual/personal and State organ/body immunity.
Therefore, Immunity from jurisdiction is granted not only to States, but to their diplomats and consular representatives, and international organisations.
State and Diplomatic ‘Immunity’ here means exemption from the national jurisdiction of another State – specifically, from the adjudicatory and enforcement jurisdiction.
This exemption from foreign State courts/police jurisdiction incorporates both individual/personal and State organ/body immunity.
Therefore, Immunity from jurisdiction is granted not only to States, but to their diplomats and consular representatives, and international organisations.
Why do we need State /Diplomatic Immunity?
Par in parem non habet imperium (Equals have no _______ over each other)
State/Sovereign Immunity derives from the notion that the immunity of a sovereign State, and indeed of the person of the Sovereign himself/herself, cannot be subject to the jurisdiction- whether investigatory, enforcement, adjudicatory of another State, as a State/Sovereign cannot be subjected to the domestic legal system of another Sovereign/State, and can only be subjected to the jurisdiction of an international court/tribunal (upon its consent)
Why do we need State /Diplomatic Immunity?
Par in parem non habet imperium (Equals have no sovereignty over each other)
State/Sovereign Immunity derives from the notion that the immunity of a sovereign State, and indeed of the person of the Sovereign himself/herself, cannot be subject to the jurisdiction- whether investigatory, enforcement, adjudicatory of another State, as a State/Sovereign cannot be subjected to the domestic legal system of another Sovereign/State, and can only be subjected to the jurisdiction of an international court/tribunal (upon its consent)
Sovereign Immunity is a creation of ______international law and derives from principles of _________ and equality of sovereign States.
Since States are independent and legally equal, no State may exercise jurisdiction over another State without its consent.
Although these originate from common law, they have since being incorporated in international treaties (e.g. 1972 European Convention on State Immunity), or in national legislation (e.g. U.K State Immunities Act)
Sovereign Immunity is a creation of customary international law and derives from principles of independence and equality of sovereign States.
Since States are independent and legally equal, no State may exercise jurisdiction over another State without its consent.
Although these originate from common law, they have since being incorporated in international treaties (e.g. 1972 European Convention on State Immunity), or in national legislation (e.g. U.K State Immunities Act)
Historically, the head of a State (a sovereign) was associated with the State. Originally, both of them enjoyed under customary International Law absolute immunity, in all areas of their activities, from the jurisdiction of another State.
While the head of a State continues today to enjoy such absolute immunity, even for his private activities, a State nowadays enjoys only ______(restrictive) immunity.
Under the qualified immunity, a State enjoys immunity only in respect of its governmental acts (acts jure imperii), not in respect of its commercial acts (acts jure gestionis)
Historically, the head of a State (a sovereign) was associated with the State. Originally, both of them enjoyed under customary International Law absolute immunity, in all areas of their activities, from the jurisdiction of another State.
While the head of a State continues today to enjoy such absolute immunity, even for his private activities, a State nowadays enjoys only qualified (restrictive) immunity.
Under the qualified immunity, a State enjoys immunity only in respect of its governmental acts (acts jure imperii), not in respect of its commercial acts (acts jure gestionis)
The Schooner Exchange v. McFadden (1812), US Supreme Court:
- One of these is admitted to be the exemption of the person of the sovereign from arrest or detention within a foreign territory.
- A second case, standing on the same principles with the first, is the immunity which all civilized nations allow to foreign ministers.
- A third case in which a sovereign is understood to cede a portion of his territorial jurisdiction is where he allows the _____of a foreign prince to pass through his dominions.
The Schooner Exchange v. McFadden (1812), US Supreme Court:
- One of these is admitted to be the exemption of the person of the sovereign from arrest or detention within a foreign territory.
- A second case, standing on the same principles with the first, is the immunity which all civilized nations allow to foreign ministers.
- A third case in which a sovereign is understood to cede a portion of his territorial jurisdiction is where he allows the troops of a foreign prince to pass through his dominions.
Heads of State Immunity in Practice:
- The immunity attached to Heads of State is derived from their status (aka immunity ratione personae).
Serving Heads of State enjoy “full immunity from criminal jurisdiction and inviolability” which protect them “against any act of authority of another State which would hinder hinm or her in the performance of his or her duties”: Congo v. Belgium (Arrest Warrants Case) ICJ 2002. - The Court in the Arrest Warrant case accepted there could be no true distinction between acts performed by those with ratione personae immunity in their official capacity and those performed in their _____ capacity.
- Absolute immunity is lost upon _____________, but there is residual functional immunity (rationae materiae) for official acts carried out during their time in office.
Heads of State Immunity in Practice:
- The immunity attached to Heads of State is derived from their status (aka immunity ratione personae).
Serving Heads of State enjoy “full immunity from criminal jurisdiction and inviolability” which protect them “against any act of authority of another State which would hinder hinm or her in the performance of his or her duties”: Congo v. Belgium (Arrest Warrants Case) ICJ 2002. - The Court in the Arrest Warrant case accepted there could be no true distinction between acts performed by those with ratione personae immunity in their official capacity and those performed in their private capacity.
- Absolute immunity is lost upon leaving office, but there is residual functional immunity (rationae materiae) for official acts carried out during their time in office.
Pinochet:
- Augusto Pinochet was the dictator of Chile from 1973-1990. He began as leader of a military junta before self-declaring himself as President of the Republic and thereafter establishing a Constitution in which he became de jure President.
- His regime was responsible for many human rights abuses, including forced disappearance, murder, and torture of political opponents.
- Chile transitioned to a democracy following a series of constitutional amendments and elections in 1989/1990.
However, he remained as Commander-in-Chief of the Army until March 1998. Thereafter, he was sworn in as _____________.
On 10th October 1998, Pinochet was indicted in Spain for human rights violations committed in Chile against Spanish nationals. It was alleged that he had authorised acts of torture while in office.
Accordingly, an international arrest warrant was issued against Pinochet who was subsequently arrested in the UK having travelled there for medical treatment.
The question before the House of Lords was whether he could be immune from crimes of universal jurisdiction under customary international law and which in, any event, attracted universal jurisdiction under the _______Convention.
The House of Lords confirmed absolute immunity in respect of serving Heads of State: “[t]his immunity enjoyed by a head of state in power…is a complete immunity attaching to the person of the Head of State…and rending him immune from all actions or prosecutions whether or not they relate to matters done for the benefit of the State”.
The question was therefore whether the acts of torture as were complained of could still be said to be officially performed notwithstanding that they were criminal per domestic Chilean law such that Pinochet, as an ex-Head of State, could avail of _______ rationae materiae.
The House of Lords held that Pinochet did not have subject matter immunity for any acts of torture committed whilst in office and allowed his _______to Spain.
The definition of torture set out in the Torture Convention recognised that it was committed by or with the acquiescence of a public official. It could not have been the intention of the parties to the Torture Convention to exclude all those public officials who sanctioned torture and those who carried it out on their behalf from criminal liability. Otherwise universal jurisdiction would be frustrated in practice as cases could only be brought in the countries in which they took place.
The charges that could be brought against Pinochet were limit to those said to have occurred post-1988 (the UK’s ratification of the Torture Convention) on the basis that Lord Browne-Wilkinson questioned whether universal jurisdiction existed before the advent of the Torture Convention in respect of such international crimes.
The silver bullet was that Pinochet was no longer a serving Head of State. The judgment suggests he would be entitled to immunity from universal jurisdiction if he had still been _________ (although a case could have been brought against him in Chile or by a competent international court in those circumstances).
The stinger in the tail is that a combination of poor health and a string of cases questioning his mental capacity to stand trial ultimately result in Pinochet dying without ever having been convicted for any crimes committed during his regime.
Pinochet:
- Augusto Pinochet was the dictator of Chile from 1973-1990. He began as leader of a military junta before self-declaring himself as President of the Republic and thereafter establishing a Constitution in which he became de jure President.
- His regime was responsible for many human rights abuses, including forced disappearance, murder, and torture of political opponents.
- Chile transitioned to a democracy following a series of constitutional amendments and elections in 1989/1990.
However, he remained as Commander-in-Chief of the Army until March 1998. Thereafter, he was sworn in as Senator-for-Life.
On 10th October 1998, Pinochet was indicted in Spain for human rights violations committed in Chile against Spanish nationals. It was alleged that he had authorised acts of torture while in office.
Accordingly, an international arrest warrant was issued against Pinochet who was subsequently arrested in the UK having travelled there for medical treatment.
The question before the House of Lords was whether he could be immune from crimes of universal jurisdiction under customary international law and which in, any event, attracted universal jurisdiction under the Torture Convention.
The House of Lords confirmed absolute immunity in respect of serving Heads of State: “[t]his immunity enjoyed by a head of state in power…is a complete immunity attaching to the person of the Head of State…and rending him immune from all actions or prosecutions whether or not they relate to matters done for the benefit of the State”.
The question was therefore whether the acts of torture as were complained of could still be said to be officially performed notwithstanding that they were criminal per domestic Chilean law such that Pinochet, as an ex-Head of State, could avail of immunity rationae materiae.
The House of Lords held that Pinochet did not have subject matter immunity for any acts of torture committed whilst in office and allowed his extradition to Spain.
The definition of torture set out in the Torture Convention recognised that it was committed by or with the acquiescence of a public official. It could not have been the intention of the parties to the Torture Convention to exclude all those public officials who sanctioned torture and those who carried it out on their behalf from criminal liability. Otherwise universal jurisdiction would be frustrated in practice as cases could only be brought in the countries in which they took place.
The charges that could be brought against Pinochet were limit to those said to have occurred post-1988 (the UK’s ratification of the Torture Convention) on the basis that Lord Browne-Wilkinson questioned whether universal jurisdiction existed before the advent of the Torture Convention in respect of such international crimes.
The silver bullet was that Pinochet was no longer a serving Head of State. The judgment suggests he would be entitled to immunity from universal jurisdiction if he had still been President (although a case could have been brought against him in Chile or by a competent international court in those circumstances).
The stinger in the tail is that a combination of poor health and a string of cases questioning his mental capacity to stand trial ultimately result in Pinochet dying without ever having been convicted for any crimes committed during his regime.
Congo v Belgium (arrest warrant case).
- The Congo brought a suit against Belgium in the International Court of Justice asking it to declare that Belgium, by issuing the international arrest warrant, violated the legal obligation Belgium owes to the Congo (immunity to the serving Congolese Minister) and that Belgium must therefore cancel the arrest warrant.
- This case concerned the then servicing Congolese Minister of Foreign Affairs who had been implicated in serious violations of international humanitarian law, including crimes against humanity.
- A Belgian judge issued an international arrest warrant citing universal jurisdiction in respect of such crimes.
- The ICJ confirmed that there was ___________ in custom relating to immunity from criminal jurisdiction and inviolability to incumbent Ministers of Foreign Affairs even where they were suspected of war crimes or crimes against humanity.
- The principles therein also apply to Heads of State.
Congo v Belgium (arrest warrant case).
- The Congo brought a suit against Belgium in the International Court of Justice asking it to declare that Belgium, by issuing the international arrest warrant, violated the legal obligation Belgium owes to the Congo (immunity to the serving Congolese Minister) and that Belgium must therefore cancel the arrest warrant.
- This case concerned the then servicing Congolese Minister of Foreign Affairs who had been implicated in serious violations of international humanitarian law, including crimes against humanity.
- A Belgian judge issued an international arrest warrant citing universal jurisdiction in respect of such crimes.
- The ICJ confirmed that there was no exception in custom relating to immunity from criminal jurisdiction and inviolability to incumbent Ministers of Foreign Affairs even where they were suspected of war crimes or crimes against humanity.
- The principles therein also apply to Heads of State.
“The Court emphasizes, however, that the Immunity from jurisdiction enjoyed by incumbent Ministers for Foreign Affairs does not mean that they enjoy impunity in respect of any crimes they might have committed, irrespective of their gravity. Immunity from criminal jurisdiction and individual criminal responsibility are quite separate concepts. While jurisdictional immunity is procedural in nature, criminal responsibility is a question of substantive law. Jurisdictional immunity may well bar prosecution for a certain period or for certain offences; it cannot exonerate the person to whom it applies from all criminal responsibility… “Accordingly, the immunities enjoyed under International law by an incumbent or former Minister for Foreign Affairs do not represent a bar to criminal prosecution in certain circumstances.
- First, such persons enjoy no criminal immunity under international law in their own countries, and may thus be tried by those countries’ courts in accordance with the relevant rules of domestic law.
- Secondly, they will cease to enjoy immunity from foreign jurisdiction if the State which they represent or have represented decides to waive that immunity.
- Thirdly, after a person ceases to hold the office of Minister for Foreign Affairs, he or she will no longer enjoy all of the immunities accorded by international law in other States. Provided that it has jurisdiction under international law, a court of one State may try a former Minister for Foreign Affairs of another State in respect of acts committed prior or subsequent to his or her period of office, as in respect of acts committed during that period of office in a private capacity.
- Fourthly, an incumbent or former Minister for Foreign Affairs may be subject to criminal proceedings before certain international criminal courts, where they have jurisdiction”
Article 2 of the UN Convention on Jurisdictional Immunities of States and their property 2004.
“State” means:
- the State and its various organs of government;
- constituent units of a federal State or political subdivisions of the State, which are entitled to perform acts in the exercise of sovereign authority, and are acting in that capacity;
- agencies or instrumentalities of the State or other entities…
- representatives of the State acting in that capacity.
Article 2 of the UN Convention on Jurisdictional Immunities of States and their property 2004.
“State” means:
- the State and its various organs of government;
- constituent units of a federal State or political subdivisions of the State, which are entitled to perform acts in the exercise of sovereign authority, and are acting in that capacity;
- agencies or instrumentalities of the State or other entities…
- representatives of the State acting in that capacity.
Appropriate test is whether the activity is of itself sovereign (jure imperil) or non-sovereign (Jure gestionis)
acta jure imperii - Any action by a state is the exercise of its ______ rights. Examples:
- law making,
- granting of a license to an investor,
- acts of expropriation
acta jure gestionis - Any commercial activity by a _____
examples:
* The purchase of fighter planes for the air force,
* Renting out of state owned property in a foreign country for commercial purposes.
Appropriate test is whether the activity is of itself sovereign (jure imperil) or non-sovereign (Jure gestionis)
acta jure imperii - Any action by a state is the exercise of its sovereign rights. Examples:
- law making,
- granting of a license to an investor,
- acts of expropriation
acta jure gestionis - Any commercial activity by a state
examples:
* The purchase of fighter planes for the air force,
* Renting out of state owned property in a foreign country for commercial purposes.
Article 5 UN Convention on Jurisdictional Immunities of States and their property 2004.
- ‘A State enjoys _______ in respect of itself and its property, from the jurisdiction of the courts of another state subject to the provisions of the present Convention’
‘Immunity of any state’ means:
- from jurisdiction of other states,
- from execution of judgements or awards by arbitral
tribunals by courts of other states into its property or
any of its assets within the other state.
(ICJ Reports 2012, Germany v. Italy)
EXCEPT for:
- Commercial transactions(Art 10),
- Employment Contracts(Art 11),
- Civil Proceedings for damages for death/injury/ damage to property alleged to be attributable to the state (Art 12),
- Serious breach of Criminal International Law (Ex Parte Pinochet)
Article 5 UN Convention on Jurisdictional Immunities of States and their property 2004.
- ‘A State enjoys immunity in respect of itself and its property, from the jurisdiction of the courts of another state subject to the provisions of the present Convention’
EXCEPT for:
- Commercial transactions(Art 10),
- Employment Contracts(Art 11),
- Civil Proceedings for damages for death/injury/ damage to property alleged to be attributable to the state (Art 12),
- Serious breach of Criminal International Law (Ex Parte Pinochet)
Waiver of State Immunity on Jurisdiction -
A State may waive its immunity from jurisdiction and consequently submits itself to the jurisdiction of a foreign court. Such submission (waiver of immunity), although gives the court of a State the competence to adjudicate and enter a judgment against a foreign State, does not authorize the execution of the court’s decision against such State.
Art. ___ UN-Convention:
“Express consent to exercise of jurisdiction
1. A State cannot invoke immunity from jurisdiction in a proceeding before a court of another State with regard to a matter or case if it has expressly consented to the exercise of jurisdiction by the court with regard to the matter.
An Example of Express Consent:
Art. 10 (2) German Model BIT 2009:
“If the dispute cannot be settled within six months of the date on which it was raised by one of the parties to the dispute, it shall, at the request of the investor of the other Contracting State, be submitted to _______. The two Contracting States hereby declare that they unreservedly and bindingly consent to the dispute being submitted to one of the following dispute settlement mechanisms of the investor’s choosing:”
Waiver of State Immunity on Jurisdiction -
A State may waive its immunity from jurisdiction and consequently submits itself to the jurisdiction of a foreign court. Such submission (waiver of immunity), although gives the court of a State the competence to adjudicate and enter a judgment against a foreign State, does not authorize the execution of the court’s decision against such State.
Art. 7 UN-Convention:
“Express consent to exercise of jurisdiction
1. A State cannot invoke immunity from jurisdiction in a proceeding before a court of another State with regard to a matter or case if it has expressly consented to the exercise of jurisdiction by the court with regard to the matter.
An Example of Express Consent:
Art. 10 (2) German Model BIT 2009:
“If the dispute cannot be settled within six months of the date on which it was raised by one of the parties to the dispute, it shall, at the request of the investor of the other Contracting State, be submitted to arbitration. The two Contracting States hereby declare that they unreservedly and bindingly consent to the dispute being submitted to one of the following dispute settlement mechanisms of the investor’s choosing:”
State Immunity from Post-Judgment Measures of Constraint.
Art. 19 UN-Convention 2004:
“State immunity from post-judgment measures of constraint. No post-judgment measures of constraint, such as … execution, against property of a State may be taken in connection with a proceeding before a court of another State unless and except to the extent that:
(a) the State has expressly consented to the taking of such measures as indicated:
(i) by international \_\_\_\_\_\_\_ (ii) by an \_\_\_\_\_\_\_agreement;”
State Immunity from Post-Judgment Measures of Constraint.
Art. 19 UN-Convention 2004:
“State immunity from post-judgment measures of constraint. No post-judgment measures of constraint, such as … execution, against property of a State may be taken in connection with a proceeding before a court of another State unless and except to the extent that:
(a) the State has expressly consented to the taking of such measures as indicated:
(i) by international agreement (ii) by an arbitration agreement;”
Ambassadors and Legates - They are the diplomatic agent of first category and are the representative of sovereign state. The representatives appointed by pope are called ‘legates’.
Ministers Pleni-potentiary and Envoys Extra-ordinary - They are the second category of diplomatic agents, theses enjoy lesser ______ and immunities as compared with those of first category.
Ministers-Resident - They are added in 1818 by the congress of Aix-la-chappele. They are below the second category and enjoy lesser privilege than the upper categories.
Charge d’affairs - They are the diplomatic agents of the last category. They are not appointed by the head of the state. They are appointed by the Ministers of _________.
Ambassadors and Legates - They are the diplomatic agent of first category and are the representative of sovereign state. The representatives appointed by pope are called ‘legates’.
Ministers Pleni-potentiary and Envoys Extra-ordinary - They are the second category of diplomatic agents, theses enjoy lesser privileges and immunities as compared with those of first category.
Ministers-Resident - They are added in 1818 by the congress of Aix-la-chappele. They are below the second category and enjoy lesser privilege than the upper categories.
Charge d’affairs - They are the diplomatic agents of the last category. They are not appointed by the head of the state. They are appointed by the Ministers of foreign Affairs.
Issues relating to diplomatic agents like immunities, powers and duties of diplomatic agents are dealt under the _______Convention on ______Relations, 1961.
Issues relating to diplomatic agents like immunities, powers and duties of diplomatic agents are dealt under the Vienna Convention on Diplomatic Relations, 1961.