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Pinochet Follow Up: The End of Sovereign Immunity?

Published online by Cambridge University Press:  21 May 2009

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The decisions rendered by the House of Lords in ex parte Pinochet have not only held the attention of the general public, but also have been broadly considered in academic writing. Most of the public international lawyers1y’ comments concentrate on analysing the judgments, which is absolutely necessary as, owing to the particularities of procedure, twelve Law Lords – thus twelve distinguished lawyers of a court held in highest regard throughout the world – have given lengthy opinions on very intricate questions of international and domestic law. Consequently, the present article intends to refrain as far as possible from further comment and critique on what was decided by the House of Lords. Instead, it will undertake a closer look at the aftermath of the Pinochet decision. The main question is whether the decisions in ex parte Pinochet have resulted in a change in the relevant public international law rules concerning heads of state immunity. The ‘classic’ content of these rules shall be provided, together with the uncertainties and inconsistencies which existed well before ex parte Pinochet, and the new trends and developments that are calling them into question (infra section 3). The whole analysis is based on the assumption that the issues touched upon in the House of Lords' decisions are at the heart of the fundamental changes which international legal scholarship is currently undergoing, particularly since the 1990s. We are thus not only facing a possible change of legal rules, but must also reflect on the potential modification of basic concepts in the areas of statehood, sources of law and the position of the individual (infra section 4).

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Copyright © T.M.C. Asser Press 2001

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References

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11. Cour d'appel, supra n. 9, at p. 3; Gattegno, Le Monde, supra n. 8, last section.

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22. Cour de cassation, supra n. 21, sixth and seventh grounds of appeal.

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27. Gerechtshof, supra n. 25, sub 4.2.

28. Gerechtshof, supra n. 25, sub 5.2 (following the expert professor C.J.R. Dugard).

29. Gerechtshof, supra n. 25, sub 6.3–6.5.

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41. Application, supra n. 36, sub IV B.

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61. 28 USC paras. 1330, 1602–1611 (1994). Para. 1603(a) refers to political subdivisions, which is not identical with heads of state.

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73. Under SC Res. 1315 (2000) of 14 August 2000, an agreement between the government of Sierra Leone and the UN shall be negotiated.

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106. See supra n. 27.

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108. Cf., Pinochet No. 3, supra n. 2, at p. 594 per Lord Browne-Wilkinson.

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114. , Crawford, loc. cit. n. 112, at p. 673.Google Scholar It is subject to debate whether this might include punitive damages: , Tams, op. cit. n. 113, at p. 410.Google Scholar

115. , Tams, op. cit. n. 113, at p. 417.Google Scholar

116. Cf., also Art. 42(3) which provides that Art. 42 is without any prejudice to other consequences under international law.

117. The relationship between ius cogens and erga omnes rules is an extremely difficult one: Byers, M., Custom, Power and the Power of Rules (Cambridge, Cambridge University Press 1999) p. 197.CrossRefGoogle Scholar

118. Very strong argument in Horwitz, J., ‘Regina v. Bartle and the Commissioner of Police for the Metropolis and Others Ex Parte Pinochet: Universal Jurisdiction and Sovereign Immunity for Jus Cogens Violations’, 23 Fordham ILJ (1999) p. 489 at pp. 521 et seq.Google Scholar

119. Kelley, G. A., ‘Does Customary International Law Supersede a Federal Statute?’, 37 Colum. JIL (1999) p. 507 at pp. 519 et seq.Google Scholar

120. Prosecutor v. Furundzija, ICTY, Case 17–95–17/1-T, para. 155.

121. Idem, at para 157. See also Pinochet No. 3, supran 2, at p. 589 per Lord Browne-Wilkinson; , Ambos, loc. cit. n. 104, at p. 22.Google Scholar

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122. Byers, . op. cit. n. 117, at p. 193Google Scholar; Cf., ingeneral Degan, V.D., Sources of International Law (The Hague, Nijhoff 1997) p. 219.Google Scholar

123. Gerechtshof Amsterdam, supra n. 28.

124. But cf., the suggestion by , Craig Barker, loc. cit. n. 45, at p. 949.Google Scholar

125. Cf., Degan, , op. cit. n. 122, at p. 149;Google ScholarMendelson, M.H., ‘The Formation of Customary International Law’, 272 RdC (1998) p. 155 at p. 198Google Scholar, and Verdross, A. and Simma, B., Universelles Völkerrecht, 3rd edn. (Berlin, Duncker und Humblot 1984) para. 584CrossRefGoogle Scholar, as opposed to Strupp, K., ‘Les règies générales du droit de la paix’, 47 RdC (1934) p. 257 at pp. 313315Google Scholar, and Berber, , op. cit. n. 57, at para. 5, pp. 44 et seq.Google Scholar

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127. , Mendelson, loc. cit. n. 125, at p. 200.Google Scholar

128. Cf., Verdross and Simma, op. cit. n. 125, at para. 563.

129. Starting point: H. Lauterpacht, ‘Survey of International Law in Relation to the Work of Codification of the International Law Commission’, UN Doc. A/CN.4/1/Rev. 1, paras. 27 et seq. (reprinted in Lauterpacht, E., ed., International Law Being the Collected Papers of Hersch Lauterpacht, Vol. 1 (Cambridge, Cambridge University Press 1970) pp. 469 et seq.).Google Scholar

130. Schröder, op. cit. n. 70, at para. 34.

131. See in particular Aceves, W.J., ‘’Liberalism and International Legal Scholarship: The Pinochet Case and the Move toward a Universal System of Transnational Law Litigation’, 41 Harv. ILJ (2000) p. 129 at pp. 160 et seq. in particular;Google Scholar, Chibundu, loc. cit. n. 52, at p. 1072. On the concept of transnational law litigationGoogle Scholar see generally Koh, H.H., ‘Transnational Public Law Litigation100 Yale LJ (1991) p. 2347.CrossRefGoogle Scholar

132. , Aceves, loc. cit. n. 131, at p. 137.Google Scholar See also , Bröhmer, loc. cit. n. 59, at p. 237: ‘… significant piece of state practice elevating the sovereignty of the individual …’Google Scholar

133. , Aceves, loc. cit. n. 131, at p. 134.Google Scholar

134. Lutz and Sikkink, loc. cit. n. 24, sub I A.

135. , Aceves, loc. cit. n. 131, at pp. 138 et seq.Google Scholar

136. Cf., Brownlie, op. cit. n. 87, at pp. 46 et seq.

137. Pinochet No. 3, supra n. 2, at p. 595 per Lord Browne-Wilkinson, pp. 621–626 per Lord Hope, p. 641 per Lord Hutton, and p. 643 per Lord Saville. Cf., , Bianchi, loc. cit. n. 5, at p. 243.Google Scholar

138. Cf., Villalpando, S., ‘L'affaire Pinochet: Beaucoup de bruit pour rien? L'apport au droit international de la decision de la Chambre des Lords du 24 mars 1999’, 104 RGDIP (2000) p. 393 at pp. 404 and 411.Google Scholar

139. Gormley, L. W., Kapteyn, P.J.G. and VerLoren, P. van , Themaat, Introduction to the Law of the European Communities, 3rd edn. (The Hague, Kluwer Law International 1998) pp. 525 et seq.;Google ScholarRuffert, M., in Calliess, C. and Ruffert, M., eds., Kommentar zum Vertrag über die Europaöische Union und zum Vertrag zur Gründung der Europöischen Gemeinschaft – EUV/EGV (Neuwied, Luchterhand 1999) Art. 249 EGV, paras. 17 et seq.Google Scholar

140. Cf., the famous dichotomy established by Koskenniemi, op. cit. n. 93.

141. See the press release by Human Rights Watch, supra n. 24.

142. It should be noted that there are also proceedings against Habré in Belgium; cf., ‘Hissène Habré fait 1'objet d'une plainte en Belgique pour crimes centre l'humanité’, available at: <http://www. diplomatiejudiciaire.com/Habre.html>.

143. A different opinion taken by , Cosnard, loc. cit. n. 49, at p. 323;Google Scholar, Mahmoud, loc. cit. n. 5, at p. 1026 (but see also p. 1039, where he underlines the factual impossibility to prosecute rather than legal obstacles);Google ScholarStern, B., ‘La compétence universelle en France: Le cas des crimes commis en ex-Yougoslavie et en Rwanda’, 40 GYIL (1997) p. 280Google Scholar at p. 283. Cf., also Randall, , loc. cit. n. 87, at pp. 808, 818 and 840.Google Scholar

The Gerechtshof Amsterdam appears to follow the Belgian standpoint in the Bouterse case: Gerechtshof, supra n. 25, sub 5. 4.

144. This factual assessment might allay the fear of disorder as formulated by d'Argent, loc. cit. n. 37, at p. 555.

145. Cf., , Watts, loc. cit. n. 45, at p. 111.Google Scholar

146. ICJ, Case Concerning the Arrest Warrant of 11 April 2000 (Democratic Republic of Congo v. Belgium), Provisional Measures, Order of 8 December 2000 (available at: <www.icj-cij.org>), paras. 51 and 72.

147. ICJ, supra n. 146, at para. 56.

148. 630 F. 2d 876 (2nd Cir. 1980).

149. United States v. Noriega, supra n. 15, at pp. 1211 et seq.

150. There are now criminal proceedings against Pinochet in Chile: Kirgis, F.L., ASIL Insight December 2000, available at: <http://www.asil.org/insights/insigh58.htm>;;>Google ScholarPenrose, M.M., ‘It's Good to Be the King!: Prosecuting Heads of State and Former Heads of State under International Law’, 39 Col. J Tranat'l L (2000) p. 193 at p. 203.Google Scholar

151. Argentine Republic v. Amerada Hess Shipping Corp., 488 US 428 at 438 (1989). This applies also to torture: Saudi Arabia v. Nelson, 507 US 349 at 361 (1993). See , Bröhmer, loc. cit. n. 53, at pp. 46 et seq.Google Scholar

152. Supra n. 61.

153. See the assessment by , Bradley and , Goldsmith, loc. cit. n. 6, at pp. 2166 et seq.Google Scholar

154. Lafontant v. Aristide, 844 F. Supp. 128 at 137 (E.D.N.Y. 1994); Jungquist v. Nahyan, 940 F. Supp. 312 at 321 (D.D.C. 1996); First American Corp. v. Al-Nahyan, 948 F. Supp. 1107 at 1121 (D.D.C. 1996).

155. See supra n. 34.

156. There is, however, no way to deny Mugabe's position as head of state, as this could be held with respect to Noriega in United States v. Noriega, supra n. 15, at p. 1212.

157. , Sears, op. cit. n. 67, at p. 146.Google Scholar

158. See also , Gornig, op. cit. n. 42, at p. 485.Google Scholar

159. Paraguay's former dictator Alfredo Stroessner might be added to the list eventually, as Paraguay may request his extradition from Brazil where he is actually exiled: Rohter, L., New York Times, 8 June 2001, available at Westlaw.Google Scholar

160. Byers, M., ‘The Law and Politics of the Pinochet Case’, 10 Duke J Comp. and Int'l L (2000) p. 415Google Scholar at p. 416 and passim, Cosnard, , loc. cit. n. 49, at p. 311.Google ScholarVery sceptical J.-Y. deCara, ‘L'affaire Pinochet devant la Chambre des Lords’, 45 AFDl (1999) p. 72 at pp. 99 et seq.CrossRefGoogle Scholar

161. Cf., Cassese, A., International Law in a Divided World (Oxford, Clarendon Press 1986)Google Scholar para. 13.