Jurisdiction

Lotus Case (Summary)

Permanent Court of International Justice, Contentious Case: The Lotus Case (France vs Turkey);

Year of the decision: 1927.

Overview:

A collision occurred on the high seas between a French vessel and a Turkish vessel. Victims were Turkish nationals and the alleged offender was French. Could Turkey exercise its jurisdiction over this French national under international law? 

 

Facts of the Case:

A collision occurred on the high seas between a French vessel – Lotus – and a Turkish vessel – Boz-Kourt. The Boz-Kourt sank and killed eight Turkish nationals on board the Turkish vessel. The 10 survivors of the Boz-Kourt (including its captain) were taken to Turkey on board the Lotus. In Turkey, the officer on watch of the Lotus (Demons), and the captain of the Turkish ship were charged with manslaughter. Demons, a French national, was sentenced to 80 days of imprisonment and a fine. The French government protested, demanding the release of Demons or the transfer of his case to the French Courts. Turkey and France agreed to refer this dispute on the jurisdiction to the Permanent Court of International Justice (PCIJ).

Questions before the Court:

Did Turkey violate international law when Turkish courts exercised jurisdiction over a crime committed by a French national, outside Turkey? If yes, should Turkey pay compensation to France?

The Court’s Decision:

Turkey, by instituting criminal proceedings against Demons, did not violate international law.

Relevant Findings of the Court:

Establishing Jurisdiction: Does Turkey need to support its assertion of jurisdiction using an existing rule of international law or is the mere absence of a prohibition preventing the exercise of jurisdiction enough?

The first principle of the Lotus Case: A State cannot exercise its jurisdiction outside its territory unless an international treaty or customary law permits it to do so. This is what we called the first principle of the Lotus Case. The Court held that:

“Now the first and foremost restriction imposed by international law upon a State is that – failing the existence of a permissive rule to the contrary – it may not exercise its power in any form in the territory of another State. In this sense jurisdiction is certainly territorial; it cannot be exercised by a State outside its territory except by virtue of a permissive rule derived from international custom or from a convention.” (para 45)

The second principle of the Lotus Case: Within its territory, a State may exercise its jurisdiction, in any matter, even if there is no specific rule of international law permitting it to do so. In these instances, States have a wide measure of discretion, which is only limited by the prohibitive rules of international law.The Court held that:

“It does not, however, follow that international law prohibits a State from exercising jurisdiction in its own territory, in respect of any case which relates to acts which have taken place abroad, and in which it cannot rely on some permissive rule of international law. Such a view would only be tenable if international law contained a general prohibition to States to extend the application of their laws and the jurisdiction of their courts to persons, property and acts outside their territory, and if, as an exception to this general prohibition, it allowed States to do so in certain specific cases. But this is certainly not the case under international law as it stands at present. Far from laying down a general prohibition to the effect that States may not extend the application of their laws and the jurisdiction of their courts to persons, property and acts outside their territory, it leaves them in this respect a wide measure of discretion, which is only limited in certain cases by prohibitive rules; as regards other cases, every State remains free to adopt the principles which it regards as best and most suitable. This discretion left to States by international law explains the great variety of rules which they have been able to adopt without objections or complaints on the part of other States …In these circumstances all that can be required of a State is that it should not overstep the limits which international law places upon its jurisdiction; within these limits, its title to exercise jurisdiction rests in its sovereignty.” (paras 46 and 47)

This applied to civil and criminal cases. If the existence of a specific rule was a pre-requisite to exercise jurisdiction, the Court argued, then “it would…in many cases result in paralysing the action of the courts, owing to the impossibility of citing a universally accepted rule on which to support the exercise of their [States’] jurisdiction” (para 48).

The Court based this finding on the sovereign will of States. It held that:

International law governs relations between independent States. The rules of law binding upon States therefor emanate from their own free will as expressed in conventions or by usages generally accepted as expressing principles of law and established in order to regulate the relations between these co-existing independent communities or with a view to the achievement of common aims. Restrictions upon the independence of States cannot therefore be presumed”

[Note: This was one of the more debated aspects of the judgement. Some argued that the Court placed too much emphasis on sovereignty and consent of States (i.e. took a strong positivist view)].

Criminal Jurisdiction: Territorial Jurisdiction

France alleged that the flag State of a vessel has exclusive jurisdiction over offences committed on board the ship in high seas. The Court disagreed. It held that France, as the flag State, did not enjoy exclusive territorial jurisdiction in the high seas in respect of a collision with a vessel carrying the flag of another State (paras 71 – 84). The Court held that Turkey and France both have jurisdiction in respect of the whole incident: in other words, there was concurrent jurisdiction.

The Court held that a ship in the high seas is assimilated to the territory of the flag State. This State may exercise its jurisdiction over the ship, in the same way as it exercises its jurisdiction over its land, to the exclusion of all other States. In this case, the Court equated the Turkish vessel to Turkish territory. The Court held that the “… offence produced its effects on the Turkish vessel and consequently in a place assimilated to Turkish territory in which the application of Turkish criminal law cannot be challenged, even in regard to offences committed there by foreigners.” The Court concluded that Turkey had jurisdiction over this case. It further said:

 “If, therefore, a guilty act committed on the high seas produces its effects on a vessel flying another flag or in foreign territory, the same principles must be applied as if the territories of two different States were concerned, and the conclusion must therefore be drawn that there is no rule of international law prohibiting the State to which the ship on which the effects of the offence have taken place belongs, from regarding the offence as having been committed in its territory and prosecuting, accordingly, the delinquent.”

The Lotus Case is also significant in that the Court said that a State would have territorial jurisdiction, even if the crime was committed outside its territory, so long as a constitutive element of the crime was committed in that State. Today, we call this subjective territorial jurisdiction. In order for subjective territorial jurisdiction to be established, one must prove that the element of the crime and the actual crime are entirely inseparable: in other words, if the constituent element was absent – the crime would not have happened. The Court said:

“The offence for which Lieutenant Demons appears to have been prosecuted was an act – of negligence or imprudence – having its origin on board the Lotus, whilst its effects made themselves felt on board the Boz-Kourt. These two elements are, legally, entirely inseparable, so much so that their separation renders the offence non-existent… It is only natural that each should be able to exercise jurisdiction and to do so in respect of the incident as a whole. It is therefore a case of concurrent jurisdiction.”

Customary International Law

The Lotus case gave an important dictum on creating customary international law. France had alleged that jurisdictional questions on collision cases are rarely heard in criminal cases, because States tend to prosecute only before the flag State. France argued that this absence of prosecutions points to a positive rule in customary law on collisions.The Court disagreed and held that, this:

 “…would merely show that States had often, in practice, abstained from instituting criminal proceedings, and not that they recognized themselves as being obliged to do so; for only if such abstention were based on their being conscious of having a duty to abstain would it be possible to speak of an international custom. The alleged fact does not allow one to infer that States have been conscious of having such a duty; on the other hand, as will presently be seen, there are other circumstances calculated to show that the contrary is true.” 

In other words, opinio juris is reflected not only in acts of States (Nicaragua Case), but also in omissions when those omissions are made following a belief that the said State is obligated by law to  refrain from acting in a particular way. (For more on opinio juris click here)

Subsequent ICJ Decisions and Separate Opinions That Referred to Principles of the Lotus Case

Advisory Opinion on the Unilateral Declaration of Kosovo (2010)

In the Kosovo Advisory Opinion the Court had to decide if the unilateral declaration of Kosovo of February 2008 was ‘in accordance with’ international law. The Court inquired and concluded that the applicable international law did not prohibit an unilateral declaration of independence. Based on this finding, the Court decided that ‘the adoption of the declaration of independence  did not… violate any applicable rule of international law’.

Judge Simma disagreed, inter alia, with  Court’s methodology in arriving at this conclusion. He imputed the method to the principle established in the Lotus case: that which is not prohibited is permitted under international law. He criticised the Lotus dictum as an out dated, 19th century positivist approach that is excessively differential towards State consent. He said that the Court should have considered the possibility that international law can be deliberately neutral or silent on the international lawfulness of certain acts. Instead of concluding that an the absence of prohibition ipso facto meant that a unilateral declaration of independence is permitted under international law, the  Court should have inquired whether under certain conditions international law permits or tolerates unilateral declarations of independence. Read more here. 

© Ruwanthika Gunaratne at https://ruwanthikagunaratne.wordpress.com, 2008 – present. Unauthorized use and/or duplication of this material without express and written permission from this blog’s author and/or owner is strictly prohibited. Excerpts and links may be used, provided that full and clear credit is given to Ruwanthika Gunaratne with appropriate and specific direction to the original content.

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Lesson 6.2. Types of Extra-Territorial Criminal Jurisdiction

© Ruwanthika Gunaratne and Public International Law at https://ruwanthikagunaratne.wordpress.com, 2008 – present. Unauthorized use and/or duplication of this material without express and written permission from this blog’s author and/or owner is strictly prohibited. Excerpts and links may be used, provided that full and clear credit is given to Ruwanthika Gunaratne and Public International Law with appropriate and specific direction to the original content.

In this lesson, we discussed the basis of jurisdiction a national court will have over offenses when these offenses are committed in its country and abroad. These were:

Territorial jurisdiction

Jurisdiction based on nationality

Passive Personality Principle

Protective Principle

Universal Jurisdiction

Effects Doctrine

Territorial Jurisdiction

We said that national courts will always have jurisdiction over offenses that took place in its territory. This is called “territorial jurisdiction”. For example, if Kithmini shot and injured Liam Fox in SL: the SL Police can enter BCIS, arrest her and take her to a SL Court.

We call this situation: objective territoriality. ✐ Read the Lotus case where the PCIJ said that Turkey could exercise jurisdiction over France because a constituent element of the offense – death – occurred in Turkish territory.

Consider this situation: What if Kithmini (in SL) sends a parcel bomb to Fox in UK? In this case, the bomb exploded, or the crime happened, outside SL. Kithmini is in SL: does the SL courts still have jurisdiction?

They can; because, a vital element of the crime took place in SL/ the crime began in SL: Kithmini posted the bomb from SL.

We call this situation: subjective territoriality.

We also discussed the situation of cross border shooting.

Remember that there is no problem in enforcing the law in Kithmini’s case (arresting and taking her to Court and punishing her under SL law) because she is in SL. The situation becomes complicated if, say, she had escaped to Namibia and was living there. We will discuss these cases later.

Jurisdiction over offenses that took place wholly outside the State’s territory

We are now at the second principle in the Lotus Case – International law doesn’t prohibit a State from exercising jurisdiction in its territory over acts that took place abroad. If the person who committed the crime is present in that State, the State can arrest her and try her in court (enforce its jurisdiction) even if there is no rule in international law expressly permitting the States to do so.

Nationality Principle

States have jurisdiction over their nationals over crimes specified in their national law. For example: the Suppression of Terrorist Bombing Act of Sri Lanka gives the High Court the jurisdiction to try a Sri Lankan national who blasts a bomb in a foreign country – even if his only connection to SL is the fact that he is a Sri Lankan. In the Trail of Earl Russel a UK national was convicted of bigamy even though the second marriage took place outside UK. (This is also an example of subjective territoriality principle because the first marriage took place in UK).

It becomes complicated when a person is a dual national, lets say of Australia and SL, and both countries want to enforce their jurisdiction based on nationality. In this case, jurisdiction goes to the country where the person has a genuine link (Nottebohm Case); i.e., where is he living and working, where his home is and his family.

Passive Personality Principle

In this situation, the crime was committed abroad and the person who committed the offense was not a national of that State. In this situation, only the victim is a national of the State which claims jurisdiction. In the Yunis case, US courts decided that they had jurisdiction over Yunis (a Lebanese national) based on the passive personality principle because two US nationals were abroad the Jordanian airline that Yunis hijacked.

Protective Principle

In this situation, the crime was committed abroad and neither the person who committed the crime, nor the victims, were nationals of that State. In this case, jurisdiction is asserted on the basis that the security or the interests of the State is affected by an act committed abroad. In Eichmann’s case, the Israeli Court based its jurisdiction on the protective principle and said that the crimes committed by Eichmann against the Jewish people affected the ‘vital interests’ of Israel.

Both passive personality and protective principles are among the less accepted basis of jurisdiction; although, they are increasingly used to get jurisdiction over acts of terrorism committed abroad against nationals (passive personality principle) and against the interests of the State (protective principle).

 

© Ruwanthika Gunaratne and Public International Law at https://ruwanthikagunaratne.wordpress.com, 2008 – present. Unauthorized use and/or duplication of this material without express and written permission from this blog’s author and/or owner is strictly prohibited. Excerpts and links may be used, provided that full and clear credit is given to Ruwanthika Gunaratne and Public International Law with appropriate and specific direction to the original content.