You are on page 1of 88

NATIONAL LEGAL INSTITUTE OF MONGOLIA

NATIONAL LEGAL INSTITUTE OF MONGOLIA

LAW REVIEW
Journal of legal and academic research, theory and practice
LAW REVIEW 2015 №5 (60)

Journal of legal and academic research, theory and practice
2015 №5 (60)

Ulaanbaatar 2016

Ulaanbaatar 2016
LAW REVIEW 2015 ¹5(60)

2
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
S.Enkhtsetseg Director of National Legal Institute
Kh.Erdem-Undrakh (Dr.jur)
A.Erdenetsogt (Ph.D)

Editor-in-Chief
E.Batbayar
Acting Assistant Editor
B.Gonchigsumlaa
Designed by
Z.Erdenetugs
Магк, Ундрах, Одгэрэл

State Registration Number: 279 Address: Ulaanbaatar-46, Chingeltei District,
ISSN: 2226-9185 Chinggis khaan Square -7
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

3
4
CONTENT

BEFORE CREATING A LAW (UNDERLINE ARTICLE AND INTERVIEW)

Establishing a Forward-Looking Lawyers’ Association
An nterview with Mr. Vladimir Jirousek, the former president of the Czech Bar Association

LEGAL THOUGHTS: REFLECTION

Competition Law: Alignment of Private Law and Public Law
M.Munkh-Erdene (LL.M), University of Vienna

IMPLEMENTATION OF LAW, EFFICIENCY AND ISSUES

Introduction to Mongolian Law
Ts.Odgerel, Researcher of National Legal Institute

Criminal Justice System in Mongolia
B.Enkhbold, (Ph.D), Head of Police Research Center, Research and
Development Institute, Law Enforcement University

Major Characteristics of the Hungarian Prison Service
Ts.Ganbadrakh, Studentof the Doctoral School of Military Science, National University of
Public Service, Hungary

LEGAL RESEARCH OVERVIEW

Das reformierte mongolische Sanktionensystem aus der Sicht
des deutschen Strafrechts
Kh.Erdem-Undrakh (Dr.jur), Wissenschaftliche Sekretärin, National Legal Institut der
Mongolei.

Plea Agreements in America: does Anyone Really Win?
Major Sean M. Shea, USMC (Retired), J. D. Candidate, California Western School of Law,
San Diego, California

INTERNATIONAL EXPERIENCE

5
6
Before Creating a Law

ESTABLISHING A FORWARD-LOOKING LAWYERS’ ASSOCIATION

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

7
LAW REVIEW 2015 ¹5(60)

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 CCА? 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
fundamental steps involved in starting economically integrated with the
an independent bar association, then European common market and the
it should be mentioned the followings: world market strongly. There are many
laying down the conditions for practising foreign law firms in the Czech Republic.
the legal profession while ensuring a It seems, however, that the Czech law
free (liberal) exercise of the profession, firms are highly competitive against
i.e. an absolute abolition of the principle the foreign law firms.
of “numerus clausus”, introduction of Already in the 90s of the last century
compulsory insurance of legal services the CBA allowed the operation of foreign
and defining the rules of the disciplinary lawyers and foreign law firms in the
responsibility of advocates. Czech Republic. Although the move

8
Before Creating a Law

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 Republic’s 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.
were these companies led by foreign Normally, the owners of law firms
lawyers, then it meant almost exclusively should be lawyers by themselves.
the matters of management. Today, also This principle seems to be global, so
these positions are held mostly by Czech that worldwide law firms are owned by
advocates. I would like to emphasis here lawyers only.
that the openness of the Czech advocacy But it is not true that the principle that
to the world paid off. partners in a law firm could only be lawyers
In Germany, for example, the applies throughout the world. One can
law firms are led by partners who are find multifunctional companies providing,
entitled to share the profits. A contract among others, legal services in the
for provision of legal services is in Anglo-Saxon concept. To my knowledge,

9
LAW REVIEW 2015 ¹5(60)

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
compulsory insurance for damage. subjects: Civil Law including Family Law
In Mongolia, the system tends to and Labour Law, Commercial Law and
create two different markets, namely Criminal Law) and subsequent oral exams
the one for the legal advice and the before the five-member commission (each
other one for the legal representation of the aforementioned law areas plus
before courts. In your opinion, what Constitutional and Administrative Law and
are the risks or benefits associated Regulations of the Advocacy Profession).
with this system? The head of the Examination Commission
I am not able to fully assess the is an advocate, but the Commission is
practice in Mongolia that you describe. also composed of judges, academics,
However, I am convinced that a division etc. Each member of the Commission

10
Before Creating a Law

examines an area of law. public-law nature – i.e. those that enable
It is important that the attorneys- the complete and integral management of
at-law keep up with the changing legal the advocate profession – are delegated
and business environment. Therefore, to the Bar Association.
the role of the Bar Association, as Any interference of the government
the organisation for the advanced in the autonomous operation of the
education of its members is important. advocacy is an interference in the
Do the Czech advocates need to independence and as such a dangerous
participate in obligatory training intervention in the very mission of the
programs? advocacy, thereby also in the principles
As already mentioned, the Czech of democratic justice. We will surely agree
advocacy ensures mandatory training of that advocacy is undoubtedly a part of the
the legal trainees (Konzipient). During my justice in a broader sense.
tenure at the head of the Bar Association, It is essential to realize that to
we tried to enact compulsory education the independence is linked another
of advocates in the range of about 20 fundamental principle of the advocate
hrs. per year, but the legislative proposal profession, and this is the duty of
did not pass the Czech Parliament. The confidentiality. The advocacy would not
truth is that today we are coming back to be able to protect this duty if e.g. the
this question again and the need for the government interfered in the independence
compulsory education of advocates is of advocacy. Therefore, for example,
voiced louder and louder. On the other the CBA speaks loudly today about the
hand, I may mention perhaps that under need to professionalise the control and
my leadership two permanent training disciplinary functions – although solely
centres were established, in Prague and within the framework of the autonomy of
Brno, whereby their utilization rate and the advocacy – when we at present see
the interest of responsible advocates are the signals of attacks by government
enormous. authorities against the exercise of the
The 25 years following the control and disciplinary competences
fall of communism in Mongolia by the Bar Association. There is no
yielded many positive results, as doubt that any intrusion by a state
well as many new challenges. One official in the control powers vis-à-vis the
of the biggest challenges is the advocates would be totally unacceptable
independence of the judiciary. The interference with their independence, and,
lack of strong independent law firms at the same time, a manifest breach of the
further underscores the importance duty of confidentiality. In this context, it is
of this challenge. What would be your necessary to constantly remind that the
advice for the Mongolian lawyers in duty of confidentiality was not established
this regard? “to cover the back” of the advocate but
The independence of advocate virtually exclusively in order to protect the
profession is an essential prerequisite interests of the client.
for the fulfilment of its mission. That And what I wish the Mongolian
is why the Act on Advocacy puts the advocacy and the Mongolian advocates?
primary emphasis on the principle A single self-governing organization
of independence. The fundamental compulsorily uniting independent,
requirement for the formation of an disciplinary liable and adequately insured
independent advocacy is a creation of an advocates.
autonomous Bar Association ensuing from Mr. Jirousek, thank you for the
a legislative act, i.e. not merely on the basis interview!
of a legislative act, whereby the autonomy This interview was prepared by Dr.
(i.e. self-governance) must be complete Uyanga Delger, legal advisor in Intellectual
in the sense that all competences of the Property Law
---o0o---

11
LAW REVIEW 2015 ¹5(60)

COMPETITION LAW: ALIGNMENT OF PRIVATE LAW AND
PUBLIC LAW

M.Munkh-Erdene (LL.M), University of regulation is, whether it meets the
Vienna practical requirements, or how effective
the regulation is. Also, the question
whether the regulation has a direct
1. Foreword consequence, and the professionality of
In the world-renowned law dictionary the public administrative apparatus, which
Creifelds, the concept of Economic implements a direction towards controlling
Competition is described as “a competition and stopping unfair competition, is directly
between independent economic entities, liked to growth and development.
when they emerge in the market together Therefore, a thorough theoretical and
or independently, on making an offer and practical knowledge on the competition law
a deal with clients or suppliers a more is required for business sector’s lawyers,
profitable and favourable terms than lawenforcing public administrative
others”1. The concept is no longer foreign organisations and their staff.
for Mongolia as the decided to embrace 2. The Competition Law – A
the free market economy2 and adopted Distinctive Sector Law
the Constitution of Mongolia in 1992. In modern time, the competition law
Competition is a fundamental concept is being developed to become distinctively
of the market economy. A fair competition sector law. For example, the competition
keeps the economy sound and brings law has the natures of both public and
development while underdevelopment, private laws and is connected to their
poverty and destruction are caused regulating items in many aspects.
by an unfair economy3. As part of the A systematic division of the law
priority to prevent unfair competition, a into the public and the private is one of
mechanism for the competition law has the achievements of civil law (Romano-
been constituted with a perpetual focus Germanic law). The basic principle of
on the effective nature and innovation Mongolia’s laws and other legal standards
of any country’s legal regulation for the is based on the civil law4. The private law
competition law. is a complex set of standards that regulate
Numerous studies and practices from the relations between legal subjects with
many countries reveal that a country’s equal rights while the public law regulates
economic growth and development the relations of legal subjects with unequal
directly rely on how optimised the rights which belong to the public oris under
management of the public or other public
1
Creifelds law dictionary., 19th edition., Munich., 2007., law entities.5
page 1370 In plain words, the civil law, which is
2
Please notice that according to the Constition of Mongolia the main sector of the private law, regulates
1992, the choice was the market economy system with the
appropriate state regulation. A legal basis for this is stated in agreements. Administrative law, which is
Article 5, Clause 4 of the Constition:“The state/government the main sector of public law, deals with
regulates the economy consistently with the aim to ensure administrative acts and contracts.
the economic security and social development of economic
entities and population”. Another thing to notice is that some Competition law and its regulations
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.

12
Before Creating a Law

and standards are subject to both private bound to assure to nationals of such
and public law, which leads competition countries effective protection against
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.
Protection of competitors: One
6
The Unfair Competition Supervising and Regulatory Agen- subject protected by the competition
cy of Mongolia, 2005-2007 /report, research, audit/., Ulaan- law is the competitors. Article 1 of the
baatar., 2007., page 4
AAUC reads: “The Act aims at protecting
7
Gesetz gegen der Wettbewerbsbeschränkungen and Ge-
setz gegen den unlauteren Wettbewerb in Germany; Anti-
competitors, consumers and other
trust law (Sherman Act, 1890, Clayton Act, 1914, Federal stakeholders against unfair agreement
Trade Commission Act, 1914) in the US; Restrictive Trade activities. At the same time, it also
Practice 1976, Fair Trading Act, 1973, Resale Price Act,
1978 Competition Act 1980 in the UK;Monopoly Regulation
aims at protecting the public interests
and Fair Trade Act, 1981 in the Republic of Korea; Prohibi- in the competition.”9 According to the
tion of Monopoly and Maintenance of Fair Trade Act, 1947 above statement, the main goal of the
in Japan; and Law on Prohibition of Unfair Competition in
Mongolia, 1993, 2000, 2010.
competition law has clearly and accurately
8
http://www.legalinfo.mn/law/details/1194?lawid=1194 9
Art. 1. Gesetz gegen den unlauteren Wettbewerb, BRD

13
LAW REVIEW 2015 ¹5(60)

been determined by the Act. the following three categories:
Protection of consumers: The А) Horizontal Agreement;
competition law also functions to protect Б) Vertical Agreement;
consumers against unfair competition. В) Data Exchange Agreement11.
The issue is not completely regulated by The horizontal agreement is made
the Mongolia’s 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 world’s 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 Union’s 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
make various agreements that cause 11
Regarding this
bottlenecks in the competition in order 12
The term “Per se illegal” means the act is inherently illegal.
The principle is an essential part of the US anti-trust law
to protect themselves against the as it undoubtedly considers any horizontal agreements an
competition. Theoretically, they fall under 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

14
Before Creating a Law

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

15
LAW REVIEW 2015 ¹5(60)

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 competitor’s 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 activity’s 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 former’s “legal interest” should be Law of Mongolia and an explanation on how to understand
considered covering legal interests of the statement’s 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-
golia’s Decision No. 96 dated on April 20, 2015 on a legal
Clause 12’s general provision of the law case related to National University of Mongolia (plaintiff) and
is interpreted as it starts with “With the AFCCP (defendant).

16
Before Creating a Law

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 act’s
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 agency’s 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
А) 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
16
Detailed information is available in a literature by G.Banz-
ragch.,The Economic Administrative Law., Ulaanbaatar., 17
Verordnung 1/2003, Durchführung von Verfahren 773/04,
2013. Europäischer Rat

17
LAW REVIEW 2015 ¹5(60)

Links of interesting cases:
1. Case - NINTENDO
http://europa.eu/rapid/press-release_CJE-11-6_en.htm

2. Case- DAIMLERChrysler AG / Commission
http://curia.europa.eu/juris/liste.jsf?td=ALL&language=en&jur=C,T,F&num=T-325/01

3. Case- Bildröhren
http://eur-lex.europa.eu/legal-content/EN/TXT/PDF/?uri=CELEX:52013XX1019(03)&rid=1

4. Сase- O2 (GERMANY)
http://curia.europa.eu/juris/liste.jsf?td=ALL&language=en&jur=C,T,F&num=T-328/03

5. Case- Intel
http://ec.europa.eu/competition/antitrust/legislation/swd_2014_230_en.pdf

---o0o---

18
Before Creating a Law

CRIMINAL JUSTICE SYSTEM IN MONGOLIA

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 institutions—the police and the
especially in the courts and the police courts—is 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, country’s 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
over 6000 inmates are serving in prison relationship between the state and the
in Mongolia. It requires further following people.
studies which support to evaluate Within last 20 years, numerous
Mongolian Criminal Justice System. studies on legal reforms of criminal justice
system and its component organizations
Keywords: Mongolia, Criminal such as court, prosecutor, police and
justice system, transition, legal reform, correction agencyhowever those studies
criminal law, crime clearance, punishment, were focused on their respective fields
prison population solely. Following issues have mainly been
covered on above mentioned studies. 1)
1. Introduction Making analysis on the consequence of
With Mongolia being a unitary state, implementation of enacted laws based on

19
LAW REVIEW 2015 ¹5(60)

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 judiciary’s 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
offenders convicted (responsibility to reform the criminal justice system in
of court), and prison population democratic Mongolia.
(responsibilityof correction service) were Accordingly, the Parliament of
applied as general objectsin the research Mongolia developed its very first law
forthe criminal justice analysis. of court, prosecutor and police in
This article is not only focused on 1993 (Jantsan, 2009). The laws define
the analysis of crime combat system, its the organizational structure of each
reform process, and current situation of the component and prescribe its rights and
reform in Mongolia but also included some duties. At the time, most countries in the
recommendations for discussion which developing world move from authoritarian
may contribute to further development of to democratic criminal justice system
the reform process. especially in policing. Mongolia has

20
Before Creating a Law

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 today’s 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
Independence, Responsiveness, the legitimacy of the legal system.
Accountability, Fairness, Effectiveness, Moreover, citizen representatives will
and Accessibility. boost public confidence in the courts,
Within this scope, several laws and while increasing popular awareness of
legislations directly related to criminal and civic involvement in the judiciary.
justice were amended including court and Recently, Political leaders have
prosecutor’s laws. In 2002, criminal code, been taking following steps to upgrade
criminal procedure law, and correction the criminal justice system: 1) Establish
law were passed first time reflecting the transparent and human right reflected
concept of Constitution (Lundendorj, fundamental to crime combat,2) Abolish
2002).It is considered the third stage of the authority of prosecutor to conduct
the reform when Democratic Party won special operations which contain some

21
LAW REVIEW 2015 ¹5(60)

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
crimes and criminal justiceby the National rate in Mongolia. (2004-2014)
statistics agency is too generalized Number
Number Rate per
therefore,official datadirectly taken from Year of 100.000
of Clearance
the statistics departments under police, cleared rate (%)
crimes population
crime
court, and correction services was applied
as reference in this research. It is limited 2004 18905 750 15472 81,8
to use national criminal justice relateddata 2005 17411 682 14576 83,7
collected by the National criminal justice 2006 18253 707 15203 83,2
components in Mongolia.In this analysis, 2007 21268 812 6092 28,6
the form of simple descriptive statistics 2008 20704 777 8147 39,3
such as frequencies, percentages, rates 2009 20373 750 12721 62,4
and rates of change were applied. Below 2010 19825 718 13466 67,9

22
Before Creating a Law

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
reported crimesto police when 37.8 percent year. The lowest rate happened in 2010
replied that they are notconfident enough at 202.2which is lower than the average
that police would transparently and fairly imprisonment rate of a year. Comparing the
solve the crime followed by 28.6 percent statistics of 2004, the rate of imprisonment
answered criminal proceduretakes too per 100,000 personsdecreased by
long time to be solved (Tamir et al, 2010).In 21.6 percent in 2014and the trend is
contrast with these, there are other studies to continuously drop. Rate of imposing
concluded the rate of solving crimes is other punishments per100, 000 people is
relatively high in Mongolia because police constantly decreasing since 2007.
organizations openly receive information Table 3.Punishments for offenders
and complaints from public concerninga convicted per 100.000 populations. (2004-
crime where the suspect of the crime 2014)
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

23
LAW REVIEW 2015 ¹5(60)

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
44.5 percent was given probation, 2750 is gradually going down. Rate of women
or 44.7 percent sent to prison while 659 inmate per 100,000 persons throughout
or 10.7 percent released from criminal all prison population was 12.8 or 6.2
liability according to the Pardon law(CSR, percent while rate of juvenile prisoners
2014). was 1.3 or o.6 percent out of total number
of prisoners. The rate of women inmate
Prison population in Mongolia per 100,000 persons peaked at 15.7
2004-2014. in 2010 whereas it reached its lowest
According to below line graph, prison point at 8.5 in 2007 followed by constant
population per 100,000 personsreached increase since 2008. The rate of juvenile
its peak in the last 10 years at 278 in 2005, inmates reduced to minimum at 0.1 in
which is 11 percent more than the that of 2006 and 2009 and reached the highest

24
Before Creating a Law

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.
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
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

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
by the Parliament in 2006. According to code. Analyzing on the crimes committed
that law, all prisoners except for those by women, 56.3 percent committed
committed grave crimes and crime against fraud, causing significant amount of
the national security were pardoned and monetary damages to others,19.3 percent
released from prison including juvenile for intentional murder, 5.6 percent for
inmates who committed crime before human trafficking and drug related crimes
reaching 18 year old. Statistically, it can (Nasanbat 2011).Due to above mentioned
be seen that total of 2424 prisoners were particular character of crimes committed
pardoned, of which 1971 or 81.3 percent by females, length of incarceration is
was released from prison in 2006 while relatively long for women and very small
1290 or 51.4 percent out of 2524 inmates number of women inmates are released
were released in 2009 (Batchimeg,2010). from prison per year. For instance, as

25
LAW REVIEW 2015 ¹5(60)

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 inmate’s 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 Mongolia’s 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
justice sector operations, especially in practically required as follows:
the courts and the police service, public First:to decrease the number of
trust in the rule of law is still not well types of crimes under the criminal code in
established; and critics often question Mongolia which imposes to imprisonment;
the capacities and fairness of the criminal Second: abolishing the death penalty
justice system. from the criminal code; Third:establishing
One of the important indicators of flexible legal regulationwhich encourages
criminal justice system performance is non-imprisonment punishment to
rate of crime and punishment related convicted people;Fourth:to develop
policy. Average crime rate per 100,000 effective parole system and juvenile
persons was 767 last 11 years. Since justice system in order to effectively
2007 the crime rate was constantly manage the juveniles under probation;

26
Before Creating a Law

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.
it’s 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.23−36).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,
Journal of State Information, 5:5-63 Ulaanbaatar, Mongolia 30 June to 1 July
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 it’s 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
Erdenebat, G. (2013), Protection of criminal justice, 1:7-19.
values that declared by the constitution Nyamgombo, B. (2013). Effects
of Mongolia: tangible legal reforms and trends of imprisonment and other
fight against crime. The brochure of types of criminal sanctions.The brochure
implementation and tendency of state of implementation and tendency of state
policy on combating crime, (International policy on combating crime, (International
Scientific Conference).pp.33-42. Scientific Conference).pp.76-81.
Ginsburg, T. (2003). Judicial review in National Police Agency. (2015).
New Democracies, Constitutional Courts Current conditions of crimes committed
in Asian Cases, New York,Cambridge in Mongolia: 2004-2014, Ulaanbaatar:
University Press, 2003 National Police Agency of Mongolia.
Goldstein, H. (1977), Policing a NCS, (2014).Correction White Paper

27
LAW REVIEW 2015 ¹5(60)

2004-2013. Ulaanbaatar, Mongolia: Tamir, Ts., Bold, Ch., Batbaatar,
Mongolian Correction Agency Press. M., &Tumennast, G (2010). Distribution,
NHRCM. (2012). Human Right reason and circumstance of urban crimes,
Report: Mongolia 2011, Ulaanbaatar: research report, Ulaanbaatar: Mongolian
National Human Rights Commission of Sociological Academy.
Mongolia, (1)14:68. Tsend. TS. (2010). Judicial
Oyunbadam.R. (2003). Prison Procedure for Administrative case in
related statistics, current situation and Mongolia.SSRN Electronic Journal, DOI:
future issue. The journal of Mongolian law 10.2139/ssrn.1695283.
and state. 4, 25-31. Yanjindulam.P. (2012). Reduction
Pomfret, R. (2000). Transition and of tuberculosis burden among prisoners
Democracy in Mongolia: Europe-Asian in Mongolia: review of case notification,
Studies, 1, 149-160. 2001–2010. The International Journal of
Police law of Mongolia, (2013). Tuberculosis and Lung Disease (Impact
Journal of State Information, 2:2-56 Factor: 2.76).03/2012; 16(3):327-9. DOI:
Susanne, K. (2003). Legacies of 10.5588/ijtld.11.0251
a culture of inequality: The Janus faces Yoon, O. (1998). The economy,
of crime in post-communist countries. political repression and crime control: A
Journal of Crime, Law and Social time-series analysis of Korean data. 1964-
Change.40(2),295-320 1993. Unpublished doctoral dissertation,
Supreme Court, (2014).Court university of Georgia, Athens, GA.
statistic report 2004-2014. Ulaanbaatar
Mongolia: Supreme court of Mongolia.

---o0o---

28
Before Creating a Law

MAJOR CHARACTERISTICS OF THE HUNGARIAN PRISON
SERVICE

Ts.Ganbadrakh, Studentof 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.

29
LAW REVIEW 2015 ¹5(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 (Fegyház), 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 MrAndrás
stable operation. The amended spending
Csóti6. The senior management team
allowances on December 31(2014)
includes the first Deputy Director Major
called for 61,5% personnel and related
General Dr. Tamás Tóth, the Deputy
cost, 33,9% material cost, and only
Director General responsible for financial
the remaining 4,6% were dedicated
matters Major General József Lajtár
to other operational and savings cost.
and Deputy Director General, Security
The HPS used some of savings to make
and Incarceration Major  General János
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 (Fogház), 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 (Börtön), holding the majority Prison population: Prisoners numbers
of prisoners on remand(Bv. Intézet) 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.

30
Before Creating a Law

• 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 least3.5m² 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 4m² 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.

31
LAW REVIEW 2015 ¹5(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 Discipline and punishment
capacity (restructuring institutions
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
(Martonvásár), 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 theprison’s
a prison hospital25. cultural or sport facilities either30. As part
of ongoing IT application development
Food and medical services 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

32
Before Creating a Law

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 prosecutor’s
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.

33
LAW REVIEW 2015 ¹5(60)

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

educator discusses accommodation 46
Ibid.
and employmentprospects, and there 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

34
Before Creating a Law

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 (könyvtár)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 prisoner’s 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

35
LAW REVIEW 2015 ¹5(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 prisoners”61. 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.

36
Before Creating a Law

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

37
LAW REVIEW 2015 ¹5(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 ‘Évkönyve’. 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

38
Before Creating a Law

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
The Visegrad Group, is an alliance of four Central Euro- • The fact that there are not enough
pean states – Czech Republic, Hungary, Poland and Slova-
kia – for the purposes of furthering their European 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.

39
LAW REVIEW 2015 ¹5(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---

40
Before Creating a Law

DAS REFORMIERTE MONGOLISCHE SANKTIONENSYSTEM AUS
DER SICHTDES DEUTSCHEN STRAFRECHTS

Kh.Erdem-Undrakh (Dr.jur), die mit drei unterschiedlichen Ansätzen
Wissenschaftliche Sekretärin, National Legal begründet wird: mit der Veränderung
Institut der Mongolei des zu Bestrafenden zum Besseren
(Spezialprevention), mit dem Ziel des
Schutzes anderer (z. B. der sonstigen
1. Überblick über das deutsche Bevölkerung), mit dem Ziel der
Strafrecht und das Sanktionensystem Abschreckung potentieller anderer
1.1 Die deutsche Straftäter (Generalprevention), mit der
Strafrechtsentwicklung und Grundsätze Wiederherstellung der Gerechtigkeit
der Kriminalpolitik (Schuldausgleich) sowie mit Vergeltung.
Das deutsche materielle Die gegen den Täter verhängte 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. Straßenverkehrsgesetz, Begründung der Strafe, sondern nur zu
Betäubungsmittelgesetz, ihrer Begrenzung herangezogen werden2.
Abgabenordnung, Urheberrechtsgesetz, In seiner Leitentscheidung betont das
Waffengesetz, Gesetz gegen den Bundesverfassungsgericht zunächst in
unlauteren Wettbewerb) geregelt. Das Kurzform: „Schuldausgleich, Prävention,
geltende deutsche Strafgesetzbuch Resozialisierung des Täters, Sühne und
geht zurück auf das Strafgesetzbuch Vergeltung für begangenes Unrecht
für das Deutsche Reich von 1871, das werden als Aspekte einer angemessenen
rechtsphilosophisch von der strengen Strafsanktion bezeichnet“3.
Vergeltungsidee der Philosophie Im Mittelpunkt des
Kants und Hegels bestimmt war. Die Sanktionensystems stand ursprünglich
wesentlichen Grundstrukturen des die Freiheitsstrafe, während heute die
Strafgesetzbuches sind bis heute erhalten Geldstrafe die am häufigsten verhängte
geblieben. Je nach den Bedürfnissen Strafe geworden ist.
der Zeit ist das Strafgesetzbuch immer Bei der Betrachtung des deutschen
wieder verändert bzw. mehrfach neu Rechtssystems in der Nachkriegszeit soll
bekanntgemacht worden. Besonders hier nur das Rechtssystem der Bundesre-
deutlich verändert haben sich seit der publik Deutschland näher betrachtet und
Einführung des Reichsstrafgesetzbuchs mit der Mongolei verglichen werden. Die
von 1871 die Regelungen über die damalige DDR hatte ein vollkommen an-
strafrechtlichen Sanktionen. Das deres sozialistisch geprägtes Rechtssys-
strafrechtliche Sanktionensystem damals tem, in dem es z. B. bis 1987 die Todesstrafe
bestand aus Geldstrafe, Freiheitsstrafe gab, das hier nicht betrachtet werden
und Todesstrafe.
soll. Wenn im Folgenden von „Deutsch-
Vorherrschend vertreten wird in der
land“ die Rede ist, dann beziehen sich
Rechtsprechung und Lehre in Deutschland
die so genannte Vereinigungstheorie1, die Aussagen nur auf die Bundesrepublik

1
Zur Diskussion und zur Vereinigungstheorie siehe näheres
2
Meier, 2006, S. 21 ff.; zur empirischen Sanktionsforschung
Meier, 2006, S. 33 ff.; Jescheck & Weigend, 1996, § 8 V; und der Begründbarkeit von Kriminalpolitik siehe Albrecht,
Roxin, 2006, § 3, Rn. 33 ff.; aus der Sicht des BVerfG grun- H.-J., Dünkel, F. & Spieß, G., 1981, S. 310 ff.
dlegend: BVerfGE, 45, 187, 253 ff. 3
BVerfGE, 45, 187 ff., Rn. 219.

41
LAW REVIEW 2015 ¹5(60)

Deutschland. die Strafrechtsreform des Jahres 1969
Die Todesstrafe ist seit der Gründung zurück. Das Kernstück des 1. StrRG
der Bundesrepublik Deutschland 1949 vom 25.06.19696 waren die Ersetzung
auf Bundesebene de jure und de facto der bis dahin verfügbaren vier Arten
abgeschafft. Nur in der Verfassung des von Freiheitsentziehung (Zuchthaus,
Bundeslandes Hessen ist in Art. 21 Abs. 1 Gefängnis, Einschließung und Haft)
HV die Todesstrafe für besonders schwere durch die einheitliche Freiheitsstrafe, die
Verbrechen zulässig. Weil jedoch laut Einräumung der Prioritäten der Geldstrafe
Art. 102 GG die Todesstrafe abgeschafft im Bereich der unteren und mittleren
ist und gemäß Art. 31 GG Bundesrecht Kriminalität, ferner die „ultima ratio“-
das Landesrecht bricht, und weil auch Klausel für die Verhängung der kurzen
das deutsche StGB die Todesstrafe Freiheitsstrafe (heute § 47 StGB), die
nicht enthält, ist die Todesstrafe in Erweiterung des Anwendungsbereichs
der Hessischen Verfassung de facto der Strafaussetzung zur Bewährung
gegenstandslos und nur ein juristisches sowie die Einführung der Möglichkeit
Kuriosum. zum Absehen von Strafe.
Auch die Mitgliedstaaten Die Vereinheitlichung der
des Europarats haben sich im 6. Freiheitsstrafen erfolgte im Einklang
Zusatzprotokoll zur EMRK verpflichtet, mit der internationalen Reformtendenz,
die Todesstrafe abzuschaffen4, und die wobei die Abschaffung der als
Mitgliedstaaten der Europäischen Union besonders diskriminierend und
haben in Art. 2 Abs. 2 der Grundrechte- resozialisierungsfeindlich wirkenden
Charta festgelegt, dass niemand zur Zuchthausstrafen gefordert wurde. Bei der
Todesstrafe verurteilt oder hingerichtet Einheitsfreiheitsstrafe gibt es deswegen
werden darf. Körperstrafen sind in keine abstrakte Unterscheidung nach
Deutschland verboten, explizit folgt der Strafart mehr, sondern es wird eine
dieses Verbot aus der EMRK. Die sinnvolle Differenzierung nur nach der
Vermögensstrafe (§ 43a StGB) ist nach Persönlichkeit des Täters und der Dauer
der Entscheidung des BVerfG vom der Strafe vorgenommen.
20.03.2002 (entgegen der Auffassung Das deutsche Strafrecht verzichtet
des Bundesgerichtshofs) wegen seit dieser Strafrechtsreform absichtlich
Unvereinbarkeit mit Artikel 103 Abs. 2 des auf die kurze Freiheitsstrafe. Die Idee der
Grundgesetzes für verfassungswidrig und Einschränkung der Verhängung kurzer
nichtig erklärt worden5. Als Alternative Freiheitsstrafen geht bereits auf die schon
zur Strafe sowie zu gängigen gerichtlichen vor fast 130 Jahren erhobene Forderung
Strafverfahren in Deutschland wurde von Franz v. Liszt aus dem Jahre 1883
das Konzept „Restorative Justice“ zurück, der die kurze Freiheitsstrafe
eingeführt, welches eine alternative Form als „eine Strafe, die das Verbrechen
der Konfliktschlichtung bzw. -lösung fördert“ definierte7. Die Gefahr der
darstellt. Der Täter-Opfer-Ausgleich und kriminellen Ansteckung, die schädliche
die Schadenswiedergutmachung sind als Unterbrechung der sozialen Beziehungen
Diversionsmaßnahmen im allgemeinen des Täters zu seiner Familie, Arbeitsplatz
Strafrecht verankert. Ferner ist die und Umwelt, sowie die Unmöglichkeit
informelle Verfahrenserledigung durch § einer Resozialisierung innerhalb kurzer
153a StPO im Bereich der mittelschweren Zeit und nicht zuletzt die finanziellen
Kriminalität möglich. Fragen waren die ausschlaggebenden
1.2 Die Sanktionenrechtsreformen Gesichtspunkte gegen die kurze
in Deutschland Freiheitsstrafe.
Das System der Strafarten des Das ursprünglich im Jahr 1953 in das
geltenden Rechts geht in seinen 6
In Kraft getreten zum Teil am 01.09.1969, zum Teil am
wesentlichen Grundstrukturen auf 01.04.1970. Zur Reform des Sanktionensystems siehe
Laun, S., 2002.
4
Zum 6. Zusatzprotokoll zur EMRK genauer Calliess, 1989, 7
Maurach, Gössel & Zipf, 1989, § 64 Rn. 1 ff., Baumann
S. 1019 ff. u. a. 1969, S. 75, kritisch hierzu Weigend JZ 1986, 262 ff;
5
BGBl. I 1340. Jescheck & Weigend, 1996, S. 760.

42
Before Creating a Law

deutsche Sanktionensystem eingeführte hindeuten11.
Rechtsinstitut, die Aussetzung zur Hervorzuheben sind die
Bewährung der Freiheitsstrafen, wurde folgenden seit der Strafrechtsreform
durch das 1. StrRG weiter ausgebaut. der 1960er/1970er Jahre ergangenen
Die Grenze der Anwendung wurde von Gesetzesänderungen im Bereich der
neun Monaten auf bis zu zwei Jahre strafrechtlichen Rechtsfolgen:
angehoben, wobei bei Freiheitsstrafen von – Das Gesetz zur Neuordnung des
über einem Jahr erhöhte Anforderungen Betäubungsmittelrechts vom 28.07.1981
an die Strafaussetzung gestellt werden schuf für betäubungsmittelabhängige
(§ 56 Abs. 2 StGB). Außerdem ist die Täter die Möglichkeit der
Strafaussetzung im deutschen Strafrecht Therapieüberleitung (§§ 35 ff. BtMG).
mit bestimmten Bewährungsauflagen – Das 20. StrÄndG vom 08.12.1981
und/oder Weisungen gebunden (§§ 56b eröffnete die Möglichkeit zur Aussetzung
und 56c StGB). des Strafrechts für Täter, die zu
Inhalt des 2. StrRG vom 04.07.19698 lebenslanger Freiheitsstrafe verurteilt
waren neben einer Neufassung der wurden (§§ 57a, 57 f. StGB).
Paragraphenfolge vor allem die – Durch das 23. StrÄndG vom
Anhebung des Mindestmaßes der 13.04.1986 wurden die Möglichkeiten
Freiheitsstrafe auf einen Monat, die zur Aussetzung des Strafrests nach
Umgestaltung der Geldstrafe nach Verbüßung der Hälfte der verhängten
dem skandinavischen Tagessatzsystem Freiheitsstrafe erweitert (§ 57 Abs. 2
und die Einführung der Verwarnung StGB).
mit Strafvorbehalt. Außerdem wurden – Durch das 23. StrÄndG von 1986
in Zusammenhang mit dem 1. und 2. wurden ferner die Voraussetzungen für
StrRG weitere Reformen durch das die Abwendung der Vollstreckung der
EGStGB vom 02.03.1974 durchgeführt: – an die Stelle einer uneinbringlichen
die Aufhebung der Deliktskategorie der Geldstrafe tretenden – Ersatzfreiheitsstrafe
„Übertretungen“ und die Einführung der durch gemeinnützige Arbeit (Art. 293
„prozessualen Lösung“ für die Ahndung Einführungsgesetz zum Strafgesetzbuch
der Bagatellkriminalität durch §§ 153 und [EGStGB]) neu gefasst.
153a StPO. Durch die neuen Regelungen – Das Gesetz zur Bekämpfung des
sollte u. a. „die moderne Ausgestaltung illegalen Rauschgifthandels und anderer
des Sanktionensystems als taugliches Erscheinungsformen der Organisierten
Instrument der Kriminalpolitik mit dem Kriminalität vom 15.07.1992 (OrgKG)
Ziel einer Verhütung künftiger Straftaten, erweiterte die Möglichkeiten, mit Hilfe
vor allem durch Resozialisierung des der strafrechtlichen Sanktionen illegal
Straftäters“ erreicht werden9. Damit erlangte Gewinne abzuschöpfen (§§ 43a,
wurde die Idee der Spezialprävention 76d StGB).
wesentlich gestärkt und in den – Das
Vordergrund gerückt10. Verbrechensbekämpfungsgesetz vom
Die vom Gesetzgeber seit dieser 28.10.1994 (VerbrBekG) eröffnete
Zeit vorgenommenen Änderungen die Möglichkeit, nach freiwilliger
beinhalten vor allem die weitere Schadenswiedergutmachung die Strafe
Ausdifferenzierung des Strafensystems nach den Grundsätzen des § 49 Abs. 1
für besondere Tätergruppen. In der StGB zu mildern oder ganz von einer
jüngeren Vergangenheit werden darüber Strafe abzusehen (§ 46a StGB).
hinaus Tendenzen sichtbar, die auf – Durch das Gesetz zur
eine Verschärfung der Rechtsfolgen Bekämpfung von Sexualdelikten
und anderen gefährlichen Straftaten
vom 26.01.1998 (SexBG) wurden
die Prognosevoraussetzungen für
8
In Kraft getreten am 01.01.1975.
9
Sonderausschuss für die Strafrechtsreform, BT-Drucks. 11
Ausführlicher zur Strafrechtsreform und Sanktion-
V/4094, S. 3. ierungspraxis siehe Heinz, 2007, S. 10 ff., und die dort aus-
10
Kaiser, G. 1996, S. 986 ff.; Roxin, C. 1997, S. 86 ff. geführten Literatur.

43
LAW REVIEW 2015 ¹5(60)

die Entlassung aus dem Straf- und Palette führten. Theoretisch sind die
Maßregelvollzug verschärft und die Strafen, deren Bezugspunkte eine in
Möglichkeiten zur Anordnung von der Vergangenheit liegende Tat und
Sicherungsverwahrung für bestimmte die Schuld des Täters sind, und die
Tätergruppen erweitert (§§ 57 Abs. 1, 66 Maßregeln zur Besserung und Sicherung,
Abs. 3, 67d Abs. 2 StGB). die sich an der Gefährlichkeit des Täters
– Das am 26.01.1998 erlassene 6. orientieren und zukunftsgerichtet sind,
StrRG hatte die Harmonisierung der zu unterscheiden. Daneben kennt das
Strafrahmen zum Ziel. Der Gesetzgeber, Gesetz weitere Sanktionen eigener Art,
dem es vor allem um die Beseitigung die zwischen den Strafen und Maßregeln
von Wertungswidersprüchen der Besserung sowie Sicherung
ging, nahm die angestrebte stehen und Nebenfolgen genannt
Harmonisierung durch Verschärfung der bzw. zu den Maßnahmen gerechnet
Strafdrohungen und Vermehrung von werden. Außerdem gibt es weitere
Qualifikationstatbeständen vor. sogenannte verschonende Sanktionen:
– Durch das Ende Dezember 2006 Strafaussetzung zur Bewährung,
in Kraft getretene Zweite Gesetz zur Verwarnung mit Strafvorbehalt, Absehen
Modernisierung der Justiz wurde die von Strafe und Einstellung des Verfahrens
Verwarnung mit Strafvorbehalt mit nach §§ 153 ff. StPO.
dem Ziel einer häufigeren Anwendung Im Bereich der Strafen differenziert
moderat erweitert. das Gesetz zwischen Haupt- und
Die Vermögensstrafe gemäß § 43a Nebenstrafen. Die Hauptstrafe besteht
StGB kann nicht mehr verhängt werden, aus zwei Arten von Strafen, nämlich
weil die Vorschrift wegen Verstoßes gegen die Geldstrafe und die Freiheitsstrafe,
das Bestimmtheitsgebot des Art. 103 II GG während als Nebenstrafe nur das
verfassungswidrig und daher nichtig ist12. Fahrverbot vorgesehen ist. Im folgenden
Sie war in gesetzlich bestimmten Fällen werden die Sanktionsarten im deutschen
schwerer Kriminalität, insbesondere bei Strafrecht sehr knapp wiedergegeben,
Delikten der organisierten Kriminalität, um einen kurzen Überblick zu geben,
neben lebenslanger oder zeitiger denn es ist nicht Gegenstand dieser
Freiheitsstrafe von mehr als 2 Jahren Arbeit das deutsche Sanktionensystem
zugelassen. Die Vermögensstrafe war eine zu analysieren und zu beurteilen.
Geldsummenstrafe, deren Höhe durch Die Übersicht wird benötigt, um
den Wert des Vermögens des Täters, das eine Beurteilung des mongolischen
geschätzt werden kann, begrenzt war. strafrechtlichen Sanktionensystems aus
1.3 Das gegenwärtige der Perspektive des deutschen Strafrechts
Sanktionensystem im deutschen zu ermöglichen.
Strafrecht 1.3.1 Die Geldstrafe
Im Laufe der Geschichte hat sich das Im Bereich der kleinen und mittleren
deutsche strafrechtliche Sanktionensystem Kriminalität kommt der Geldstrafe
immer weiter ausdifferenziert und die grundsätzlich der Vorrang zu. Sie wird
Strafdauer und -härte sind allmählich sehr nach einem sogenannten Tagessatzsystem
zurückgegangen. Heutzutage werden auf verhängt13. Zunächst wird die Anzahl
sehr unterschiedliche Weise Verstöße der Tagessätze bestimmt, die zwischen
gegen das Strafrecht sanktioniert.  Das fünf und in der Regel maximal 360
gegenwärtige deutsche strafrechtliche Tagessätzen umfassen können (§ 40
Sanktionensystem stellt eine Reihe von Abs. 1 StGB). Bei einer Gesamtstrafe
verschiedenen Reaktionsmitteln als sind jedoch 720 Tagessätze möglich (§ 54
Rechtsfolgen der Straftat zur Verfügung. Abs. 2 Satz 2 StGB). Mit dieser Anzahl
Hier haben die o. g. Gesetze zur Reform sollen das Unrecht und die Schuld des
des Strafrechts einige erhebliche Täters zum Ausdruck gebracht werden,
Veränderungen gebracht, die zu einer unabhängig von dessen wirtschaftlichen
Erweiterung der sanktionsrechtlichen Verhältnissen. Diese werden erst bei
12
BVerfG, NJW 2002, 1779. 13
Siehe dazu näheres Albrecht, H.-J., 2005, S. 1354 ff.

44
Before Creating a Law

der Höhe des Tagessatzes (von 1 bis soll dem Täter die Möglichkeit eröffnen, im
30 000 Euro) berücksichtigt, wobei man Vollzug die für ein Leben ohne Straftaten
in der Regel vom Nettoeinkommen erforderlichen Voraussetzungen zu
ausgeht, das der Täter durchschnittlich erwerben, sie soll abschrecken, sie
an einem Tag hat oder haben könnte. Der soll die Gesellschaft durch die sichere
größte Nachteil der Geldstrafe, nämlich Unterbringung des Verurteilten schützen
die ungleichmäßige Wirkung auf Arm und sie soll das durch die Tat erschütterte
und Reich, wird dadurch einigermaßen Vertrauen der Allgemeinheit in die
ausgeglichen und damit soll in dieser Bestands- und Durchsetzungskraft des
Hinsicht eine größere Gerechtigkeit Rechts wiederherstellen14.
erreicht werden. Es werden hohe Sowohl in der Wirklichkeit als auch
Geldstrafen ermöglicht, welche den im Rahmen der Kriminalpolitik werden
Täter zum Konsumverzicht zwingen. positive Wirkungen der Bestrafung
Dafür werden auch Möglichkeiten der für den Täter weniger als die Regel,
Zahlungserleichterung in Form von sondern eher als Ausnahme betrachtet.
Stundung oder Ratenzahlung gemäß § 42 Repressive Formen der Sanktionierung
StGB geboten. Zahlungserleichterungen werden angesichts zahlreicher
können auch dann gewährt werden, wenn schädlicher Neben- und Folgewirkungen
ohne sie die Schadenswiedergutmachung für die Betroffenen insbesondere beim
durch den Verurteilten erheblich Vollzug einer Freiheitsstrafe in Frage
gefährdet wäre. gestellt. Aus kriminalpolitischer Sicht
An die Stelle einer uneinbringlichen haftet der Freiheitsstrafe dabei eigene
Geldstrafe tritt die Ersatzfreiheitsstrafe Problematik an. Häufig wirkt der Vollzug
(§ 43 StGB). Ein Tag Freiheitsstrafe einer Freiheitsstrafe negativ auf die
entspricht einem Tagessatz. Da die Lebensumstände des Verurteilten. Für
Geldstrafe in Tagessätzen verhängt die Begrenzung der Eingriffsintensität
wird, ist die Anrechnung der sprechen sowohl humanitäre als
Ersatzfreiheitsstrafe sehr simpel. Die auch rationale, an Effizienzkriterien
Vollstreckung der Ersatzfreiheitsstrafe orientierte Erwägungen15. Um die
kann nach geltendem Recht nicht mit ihr einhergehenden Gefahren
ausgesetzt werden. Die Vollstreckung für die soziale Reintegration des
dieser Ersatzfreiheitsstrafe kann jedoch Verurteilten anzumildern, hat der
dann unterbleiben, wenn das Gericht deutsche Gesetzgeber versucht, den
dies wegen einer „unbilligen Härte“ für Anwendungsbereich der Freiheitsstrafe
den Verurteilten anordnet (§ 459 f. StPO). auf unterschiedlichen Ebenen
Ist der Verurteilte einverstanden, so einzugrenzen und deutlich zu machen,
kann er anstelle der Ersatzfreiheitsstrafe dass die Freiheitsstrafe nur als „ultima
gemeinnützige Arbeit leisten und auf ratio“ des Strafensystems in Betracht
diese Weise die Geldstrafe tilgen (§ 293 kommt. So hat sich in Deutschland in
EGStGB). den Jahren zwischen 1882 und 2005 das
1.3.2 Die Freiheitsstrafe Verhältnis von verhängten Freiheitsstrafen
Die Freiheitsstrafe ist die härteste und Geldstrafen im Ergebnis umgekehrt.
Strafe, die das deutsche Sanktionensystem 1882 waren noch 76,8 % aller verhängten
von heute kennt. Sie kann entweder Strafen Freiheitsstrafen und 22,2 %
als zeitige oder als lebenslange Geldstrafen. 2007 waren dagegen 69,6 %
Freiheitsstrafe verhängt werden. In der aller verhängten Strafen Geldstrafen und
kriminalpolitischen Diskussion wird lediglich 8,3 % Freiheitsstrafen16.
meist davon ausgegangen, dass sich mit Das Höchstmaß der zeitigen
dieser am tiefsten in die Rechtsstellung Freiheitsstrafe beträgt fünfzehn Jahre,
des Verurteilten eingreifenden Strafart ihr Mindestmaß einen Monat (§ 38.2
das gesamt Spektrum der in Betracht StGB). Die lebenslange Freiheitsstrafe
kommenden Strafzwecke abdecken lässt. 14
Meier, B.D. 2006, S. 79 ff.
Die Freiheitsstrafe soll Vergeltung für die 15
Albrecht, H.-J., Dünkel, F. & Spieß, G., 1981, S. 323.
Tat üben und die Sühne ermöglichen, sie 16
Heinz. W., 2007, S. 40 ff.

45
LAW REVIEW 2015 ¹5(60)

ist insbesondere für Mord oder und 1969 sowie 1986 stark erweiterten
Völkermord angedroht. Früher bedeutete Sanktionsoption besteht in der Förderung
„lebenslang“ bis zum Lebensende, was des Strafzwecks der Spezialprävention.
heute jedoch anders definiert wird. Das Bei Strafaussetzung zur Bewährung wird
Bundesverfassungsgericht hat 1977 die eine Bewährungszeit zwischen zwei
Dauer der lebenslangen Freiheitsstrafe und fünf Jahren festgesetzt (§ 56a StGB),
begrenzt17: Der Gesetzgeber wurde wobei diese Dauer nachträglich vor ihrem
verfassungsrechtlich gezwungen, auch Ablauf bis auf das Höchstmaß verlängert
dem zu lebenslanger Freiheitsstrafe oder bis auf das gesetzliche Mindestmaß
Verurteilten eine Chance auf verkürzt werden kann.
Wiedereingliederung in die Freiheit Im Bereich der leichteren und
und in die Gesellschaft zu ermöglichen. mittleren Kriminalität (bis zu 2 Jahren
Er müsse die Möglichkeit haben, „je Freiheitsstrafe), in denen dies mit
wieder der Freiheit teilhaftig zu werden“. den Strafzwecken vereinbar ist, kann
Die Möglichkeit 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 Bewährung
eines neuen Paragraphen im StGB angeordnet werden (§ 56 StGB). Darüber
diesem Urteilsspruch nachgekommen: hinaus zielt der deutsche Gesetzgeber
Ein Gericht kann die Vollstreckung des darauf ab, in geeigneten Fällen an die
Restes einer lebenslangen Freiheitsstrafe Stelle des Strafvollzugs eine Form der
nun unter bestimmten Voraussetzungen ambulanten Sanktionierung treten zu
zur Bewährung aussetzen, wenn 15 Jahre lassen, die dem Täter einerseits Hilfe
der Strafe verbüßt sind18. und Unterstützung bei der Bewältigung
Das deutsche Jugendstrafrecht kennt von Problemlagen gewährt, und ihn
keine lebenslange Freiheitsstrafe. Das andererseits mit dem Druck des drohenden
Höchstmaß einer Jugendstrafe beträgt Widerrufs dazu zwingt, künftig ein
für Heranwachsende 15 Jahre (§ 105 III straffreies Leben zu führen20. So kann
2 JGG). Wenn für 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 verhängen (§ 106 I JGG). z. B. eine Schadenswiedergutmachung,
Weitere Differenzierungen ergeben die Zahlung eines Geldbetrages an
sich daraus, dass die Freiheitsstrafe nicht eine gemeinnützige Einrichtung oder
zwingend vollstreckt zu werden braucht. zugunsten der Staatskasse, dienen „der
Die Vollstreckung kann entweder Genugtuung für das begangene Unrecht“
bereits im Urteil oder nach Verbüßung (§ 56b Abs. 1 Satz 1 StGB). Mit dieser
einer bestimmten Mindestdauer zur Festlegung knüpft der Gesetzgeber an die
Bewährung ausgesetzt werden. Schuldausgleichs-Funktion der Strafe an.
1.3.3 Strafaussetzung zur Bewährung Weisungen, wie z. B. die Unterstellung
Im deutschen strafrechtlichen unter die Aufsicht und Leitung eines
Sanktionensystem ist die Bewährungshelfers, „Anordnungen
Bewährungsstrafe eine Form der Reaktion zu befolgen, die sich auf Aufenthalt,
nicht freiheitsentziehender Art19. Das Ausbildung, Arbeit oder Freizeit oder
kriminalpolitische Ziel dieser durch das auf die Ordnung seiner wirtschaftlichen
3. StrÄndG im Jahr 1953 eingeführten Verhältnisse“ beziehen, bestimmte
Gegenstände nicht zu besitzen, die
17
BVerfGE 45, 187, 222 ff. Vgl. hierzu auch BVerfG NStZ
1996, S. 614.
„Gelegenheit oder Anreiz zu weiteren
18
Die Voraussetzungen sind in § 57a Abs. 1 Nr. 1–3 dStGB
Straftaten bieten können“, dienen
festgelegt. ausschließlich dem Zweck, Straftaten
19
Albrecht, H.-J. Rechtsvergleichendes Gutachten, in: Ab- des Verurteilten in Zukunft zu verhüten.
schlussbericht der Kommission zur Reform des strafrecht- Kommt der Verurteilte den ihm erteilten
lichen Sanktionensystem, 2000, S. 20; zur historischen En-
twicklung genauer Dünkel, F., 1983, S. 1039 ff. 20
Meier, B.D., 2006, S. 99 ff.

46
Before Creating a Law

Verpflichtungen nicht nach, dann wird psychiatrischen Krankenhaus (§ 63 StGB),
die Aussetzungsentscheidung widerrufen in einer Entziehungsanstalt (§ 64 StGB)
und die Freiheitsstrafe vollstreckt. oder in der Sicherungsverwahrung (§§ 66-
Sowohl bei zeitiger als auch bei 66b StGB) zu den stationären Maßregeln
lebenslanger Freiheitsstrafe besteht die gehören.
Möglichkeit, die Vollstreckung eines Mit dem sogenannten
Strafrestes zur Bewährung auszusetzen Gewohnheitsverbrechergesetz wurden im
(§§ 57, 57a StGB). Jahre 1933 neben den eigentlichen Strafen
1.3.4 Das Fahrverbot als Nebenstrafe Maßregeln eingeführt. Damit wurde
Das deutsche Strafensystem kennt das sogenannte zweispurige System im
auch eine Nebenstrafe, das befristete deutschen Sanktionenrecht errichtet. Die
Fahrverbot. Das befristete Fahrverbot Dauer der Maßregeln wird vom Gesetz
kann im Urteil nicht selbständig, sondern nicht befristet und auch nicht durch das
nur in Kombination mit einer Hauptstrafe gerichtliche Urteil bestimmt, sondern erst
verhängt werden21. Das Fahrverbot kann während des Vollstreckungsverfahrens
von 1 bis zu 3 Monaten verhängt werden, konkretisiert.
wenn die Tat, wegen der Angeklagte Bei den Maßregeln der Besserung
verurteilt wurde, im Zusammenhang mit und Sicherung kommen kriminalpolitisch
dem Führen eines Kraftfahrzeuges stand (§ die drei Elemente der Spezialprävention
44 StGB). Zum Unterschied der Maßregel zur Erwägung, die Abschreckung (z. B.
der Entziehung der Fahrerlaubnis (§ 69 durch die Entziehung der Fahrerlaubnis),
StGB) zielt das Fahrverbot nicht darauf Besserung und Sicherung. Darüber
ab, die Allgemeinheit vor ungeeigneten hinaus werden bei den Maßregeln
Verkehrsteilnehmern zu schützen. Es der Besserung und Sicherung je nach
hat die spezialpräventive Funktion, der Art und den Einwirkungsmitteln
nachlässigen oder leichtsinnigen im einzelnen sehr verschiedenartige
Kraftfahrern, die zum Führen von kriminalpolitische Zwecke verfolgt. Alle
Kraftfahrzeugen nicht grundsätzlich Arten von Maßregeln verfügen jedoch
ungeeignet sind, zusätzlich zur über gemeinsame Ziele: die Verhinderung
Hauptstrafe eine Mahnung zu erteilen. von Straftaten und die Sicherung der
Das Fahrverbot hat zur Konsequenz, Allgemeinheit22.
dass es dem Verurteilten untersagt ist, Die Maßregel der
im Straßenverkehr Kraftfahrzeuge zu Sicherungsverwahrung stellt die
führen. Der Führerschein wird in amtliche „ultima ratio“ des strafrechtlichen
Verwahrung genommen (§ 44 Abs. 2 Satz Sanktionensystems dar und ist sie in
2 StGB), die eigentliche Fahrerlaubnis Deutschland kriminalpolitisch umstritten.
bleibt aber vom befristeten Fahrverbot Hierbei wird weniger kritisiert, dass
unberührt. Der Verstoß gegen dieses es grundsätzlich nicht legitimiert sei,
Verbot stellt eine erneute Straftat dar (§ 21 Sanktionen schuldunabhängig zu
Abs. 1 und 2 StVG). verhängen und den Täter im Interesse
1.3.5 Maßregeln der Besserung und der Allgemeinheit über den Endzeitpunkt
Sicherung der Strafe hinaus sicher zu verwahren23;
Das deutsche Strafrecht kennt vielmehr gibt es Kritik daran, dass der
insgesamt sechs Maßregeln der Gesetzgeber den Anwendungsbereich
Besserung und Sicherung, drei der Maßregel in den Jahren 1998 bis
nichtfreiheitsentziehende (sogenannte 2004 kontinuierlich ausgeweitet und
ambulante) und drei freiheitsentziehende damit die durch das 1. StrRG geschaffene
(sogenannte stationäre) Sanktionen. Grenzlinie der „Notmaßnahme der
Die Entziehung der Fahrerlaubnis,
Führungsaufsicht und Berufsverbot
gelten als die ambulanten Maßregeln,
während die Unterbringung in einem 22
Dazu ausführlicher Meier, 2006, S. 219 ff.
23
Unter Bezugnahme auf die erste Entscheidung zur leb-
Näheres zu dieser Sanktion Kulemeier, R., 1993, S. 212 ff.;
21
enslangen Freiheitsstrafe (BVerfGE 109, 133 (151)) ist sie als
Meier, B. D., 2006, S. 137 ff. legitim und als mit der Verfassung vereinbar angesehen.

47
LAW REVIEW 2015 ¹5(60)

Kriminalpolitik“24 überschritten hat. von Rückfällen erzielt, und dies mit
Aus kriminalpolitischer Sicht weiteren neuen Weisungen wie mit
dient die Unterbringung in der Strafe bewehrtes Kontaktverbot, Verbot
Sicherungsverwahrung dem Schutz Alkohol zu trinken, regelmäßige
der Allgemeinheit vor Tätern, die Vorstellung bei Arzt etc. erweitert.
erhebliche Straftaten begangen haben Bei schuldhaften Verstößen gegen
und die wegen ihres bekannten Hangs Weisungen sah der Gesetzgeber eine
zur Begehung weiterer erheblicher Erhöhung der Freiheitsstrafenandrohung
Straftaten fortdauernd gefährlich sind. auf 3 Jahre nach § 145a StGB vor. Weitere
Die Maßregel verfolgt ausschließlich das Änderungen sind die Erweiterung der
Ziel der Sicherung der Allgemeinheit. Befugnisse der Führungsaufsichtsstellen
Der Besserungsgedanke spielt auf der und die Einführung einer „stationären
Anordnungsebene keine, aber auf der Krisenintervention“ für Personen,
Vollzugsebene nur eine untergeordnete die nach ihrer Entlassung aus einer
Rolle. Klinik für psychisch oder suchtkranke
Seit 2008 wurde der Straftäter in eine krisenhafte Entwicklung
Anwendungsbereich der geraten (z. B. unkontrolliert in großen
Sicherungsverwahrung mehrfach Mengen Alkohol konsumieren) durch
erweitert (§ 66a StGB, Vorbehalt vorübergehende Unterbringung im
der Unterbringung in der Maßregelvollzug sowie die Anordnung
Sicherungsverwahrung und unbefristeter Führungsaufsicht für die
§ 66b StGB. Nachträgliche Anordnung Durchsetzung von Medikamenten und
der Sicherungsverwahrung). Zwar sonstiger Compliance.
wurden nach einer Neuordnung 1.3.6 Verwarnung mit Strafvorbehalt
dieser Maßregel, die mit Beginn des und Absehen von Strafe
Jahres 2011 in Kraft getreten war25, Unterhalb der Geldstrafe gibt
durch das Bundesverfassungsgericht es zwei weitere Strafarten, deren
die meisten Vorschriften über Anwendungsbereich etwas unscharf
die Sicherungsverwahrung für ist: das Absehen von Strafe und die
verfassungswidrig erklärt. Dabei stützte Verwarnung mit Strafvorbehalt. Beim
sich das Gericht jedoch ausschließlich auf Absehen von Strafe begnügt sich das
das mit diesem Urteil ausdifferenzierte Gericht mit einem Schuldspruch und
Gebot eines hinreichenden „Abstands“ erlegt dem Täter kein Strafübel auf.
zur Freiheitsstrafe und ihrem Vollzug26. Voraussetzung für das Absehen von Strafe
Dementsprechend hält das jüngste nach § 60 StGB ist, dass der Täter bereits
Gesetz zur bundesrechtlichen Umsetzung durch die Folgen der Tat schwer getroffen
des Abstandgebotes im Recht der ist. Das Absehen von Strafe ist nur dann
Sicherungsverwahrung am Konzept mit den Strafzwecken vereinbar, wenn
des Neuordnungsgesetzes fest27. Mit die Folgen, die den Täter getroffen haben,
diesen Gesetzesänderungen wurde die Schuld als hinreichend kompensiert
die traditionelle Form der Maßregel erscheinen lassen und es keine
eingeschränkt und dafür die vorbehaltene präventiven Gesichtspunkte gibt, die
Sicherungsverwahrung ausgeweitet. eine Verhängung von Strafe erforderlich
Bei der Reform zur Führungsaufsicht machen. Das Absehen von Strafe nach
vom 22.03.2007wird eine straffere und § 60 StGB kommt grundsätzlich bei
effizientere Kontrolle der Lebensführung allen Delikten in Betracht. Aber der
von Straftätern zur Verhinderung Gesetzgeber hat eine gewisse Grenze
aufgestellt, dass der Täter für die Tat
24
Dazu siehe den 1. schriftlichen Bericht, BT-Drucks. keine Freiheitsstrafe von mehr als einem
V/4094, S. 19. Jahr erhalten haben darf (§ 60 Satz 2
25
Gesetz zur Neuordnung des Rechts der Sicherungsver- StGB). Eine Besonderheit beim Absehen
wahrung und zu begleitenden Regelungen vom 22. 12. 2010
(BGBl. I 2300).
von Strafe stellt dar, dass es als alleinige
26
BVerfGE 128, 326 (Beschluss vom 04. 05. 2011).
Form der Reaktion anzuwenden ist.
Erachtet das Gericht die Voraussetzungen
27
Gesetz vom 5. 12. 2012 (BGBl. I 2425).

48
Before Creating a Law

für gegeben, so muss es das Absehen von Verfahrenseinstellung gegen Auflagen
Strafe im Urteil zwingend wählen. Es gibt oder Weisungen erfolgt werden. Die
keine Wahlmöglichkeit. Dem Gericht ist Voraussetzungen dafür sind: es muss
ein Ermessen nicht eingeräumt. sich um ein Vergehen handeln, bei
Bei der Verwarnung mit einem Verbrechen ist die Einstellung
Strafvorbehalt verwarnt das Gericht gegen Auflagen ausgeschlossen. Die
den Täter zusätzlich zum Schuldspruch, Schwere der Schuld und das öffentliche
bestimmt bereits eine (Geld-)Strafe, Interesse durfen einer Einstellung nicht
und setzt die Verhängung zu dieser entgegenstehen. Diese Art der Einstellung
Strafe aber zur „Bewährung“28 aus (§ 59 ist bei Delikten bis in den Bereich der
StGB). Allerdings ist die Verwarnung mittleren Kriminalität. Darüber hinaus
mit Strafvorbehalt nur bei Geldstrafen sind im deutschen Strafrecht weitere
bis zu 180 Tagessätzen zulässig. Ziel Einstellungen eines Strafverfahrens nach
der Verwarnung mit Strafvorbehalt ist §§ 154 und 170 StPO möglich.
es, im unteren Bereich der Kriminalität 1.3.8 Gemeinnützige Arbeit
der Täter – insbesondere dem Ersttäter Ist die Geldstrafe uneinbringlich, so
– die Bestrafung zu ersparen. Aber die ist mit Androhung bzw. Anordnung der
Verwarnung mit Strafvorbehalt spielt in Ersatzfreiheitsstrafe nach entsprechenden,
der Praxis nur eine geringe Rolle. gem. Art. 293 EGStGB erlassenen
1.3.7 Einstellung des Verfahrens nach Rechtsverordnungen und Verfügungen
§§ 153 ff. StPO der einzelnen Bundesländer (die seit
Durch das EGStGB vom 02.03.1974 Anfang 1987 überall und flächendeckend
wurde der Justiz in Deutschland die gelten) dem Verurteilten gleichzeitig
Möglichkeit geboten, Verfahren aus mitzuteilen, dass er die Geldstrafe auch in
Opportunitätsgründen einzustellen. Form der freiwilligen Arbeit leisten kann.
Es geht dabei nicht darum, dass sie Es setzt die Freiwilligkeit von Seiten
nicht wegen des fehlenden (oder nicht des Verurteilten voraus, jedoch gibt es
beweisbaren) Tatverdachts erfolgen, für ihn keine eigene Wahlmöglichkeit
sondern wegen des fehlenden öffentlichen zwischen der Bezahlung der Geldstrafe
Interesses an der weiteren Verfolgung der und einer Leistung durch Arbeit, sondern
Tat.29 das Gericht entscheidet. Nachdem
Nach § 153 StPO kann ein entsprechende Projekte bereits Anfang
Ermittlungsverfahren eingestellt werden, der 1980er Jahre erfolgreich waren,
wenn die gesetzlichen Voraussetzungen wurde die Ableistung gemeinnütziger
erfüllt sind. Voraussetzungen für die Arbeit schrittweise in den verschiedenen
Einstellung wegen Geringfügigkeit Landgerichtsbezirken eingeführt30. Es
gem. § 153 StPO sind, dass die Schuld ermöglicht Verurteilten, die Vollstreckung
des Täters gering anzusehen wäre, kein einer Ersatzfreiheitsstrafe durch Leistung
öffentliches Interesse an der Verfolgung von gemeinnütziger Arbeit abzuwenden,
der Tat besteht und es sich bei der Tat um wenn sie die in erster Linie verhängte
ein Vergehen handelt. In der Praxis hat Geldstrafe auch nicht in Raten bezahlt
die Einstellung nach § 153 StPO enorme können. Der Verurteilte kann in diesen
Bedeutung. Ein Strafverfahren kann im Fällen einen Antrag bei der für die
Ermittlungsverfahren oder auch noch Vollstreckung der Geldstrafe zuständigen
in der Hauptverhandlung eingestellt Staatsanwaltschaft stellen. Die Anzahl der
werden, ohne dass es zu einer Bestrafung abzuleistenden Stunden ergibt sich aus
des Beschuldigten kommt. der Anzahl der Hafttage, die zu verbüßen
Auch gem. § 153a kann eine wären. Pro Hafttag müssen je nach
Bundesländern vier bis sechs Stunden
28
Eine Aussetzung der Vollstreckung der Geldstrafe zur
Bewährung sieht das StGB nicht vor. Die Verwarnung
Arbeit geleistet werden. Damit werden
mit Strafvorbehalt im Anwendungsbereich der Geldstrafe nicht nur Haftkosten gespart, sondern
hat jedoch eine ähnliche Wirkung. Zur Verwarnung mit 30
Zu solchen Projekten wie z. B. „Schwitzen statt Sitzen“
Strafvorbehalt und Absehen von Strafe siehe näheres Al- – Projekt in Baden-Württemberg siehe http://www.justiz-
brecht, H.-J., 2005, S. 1751 ff. und 1759 ff. portal-bw.de/pb/,Lde/Startseite/THEMEN+UND+AK-
29
Siehe näheres dazu Meier, B.D., 2006, S. 8 ff. TUELLES/Schwitzen+statt+Sitzen.

49
LAW REVIEW 2015 ¹5(60)

auch unnötige Gefängniserfahrungen formellen Rechtsfolgen, nämlich
vermieden. Verurteilte, die schon lange Erziehungsmaßregeln, Zuchtmittel und
arbeitslos sind, können wieder einen Jugendstrafen. Darüber hinaus sind auch
geregelten Arbeitsrhythmus erlernen die Anwendung von Nebenfolgen aus
und ihre Chancen auf dem Arbeitsmarkt dem StGB, insbesondere das Fahrverbot
erhöhen. Auch kommt die gemeinnützige sowie einige der Maßregeln der Besserung
Tätigkeit der Allgemeinheit zugute. und Sicherung zulässig.
1.3.9 Das Jugendstrafrecht Als Erziehungsmaßregeln gelten
Das Jugendstrafrecht stellt sich seit Weisungen (§ 10 JGG) und Hilfe zur
192331 als selbstständiger Rechtsbereich Erziehung (Erziehungsbeistandschaft (§
im deutschen Sanktionensystem dar, der 12 JGG) und Heimerziehung (§ 12 JGG)).
in den 1980er Jahren durch eine „Reform Als Zuchtmittel gelten die Verwarnung,
durch die Praxis“32 weiterentwickelt die Erteilung und der Jugendarrest (§ 13
wurde. Im Rahmen dieser Reform wurden Abs. 2 JGG).
neue ambulante Maßnahmen erprobt
und das Konzept der Diversion wurde in 1.4 Entwicklung der
hohem und wachsendem Maße umgesetzt, Sanktionierungspraxis in Deutschland
die die traditionellen Sanktionen Deutschland ist in Bezug auf die
(Geldbuße, Jugendarrest, Jugendstrafe) Sanktionierung eines von wenigen
weitgehend ersetzen können. Als solche guten Vorbildern auf der Welt34. Im Jahr
ambulante Maßnahmen gelten der Täter- 1882 waren nur 22,2 % aller verhängten
Opfer-Ausgleich, die Betreuungsweisung, Strafen Geldstrafen und noch 76,8 %
ein sozialer Trainingskurs und Freiheitsstrafen35. Vor den Reformen in
eine Arbeitsweisung, bei denen die den 1960er und 1970er Jahren lag das
Besonderheiten der Kriminalität im Verhältnis von verhängten Geldstrafen zu
Jugendalter in vollem Maße berücksichtigt Freiheitsstrafen ohne Bewährung schon
sind33. Die Regelungen des JGG beziehen bei 70 : 20 von 100 % aller Strafen. Diese
Jugendliche im Alter von 14 bis unter Entwicklung setzte sich in den folgenden
18-Jährige und Heranwachsende im Jahrzehnten noch erheblich weiter fort
Alter von 18 bis unter 21-Jährige ein. und steht derzeit in einem Verhältnis
Hierfür ist das Alter zum Zeitpunkt der 82,8 % Geldstrafen zu nur noch 5,2 %
Tat entscheidend. Das Jugendstrafrecht Freiheitsstrafen (vergleiche das Schaubild
wird bei Heranwachsenden angewandt, 1).
wenn der Täter nach seiner sittlichen
und geistigen Entwicklung zur Tatzeit
einem Jugendlichen entsprach oder
die Tat als eine „Jugendverfehlung“
eingeordnet werden kann. Unter
Letzterem versteht man Straftaten, die
Ausdruck einer typischen jugendlichen
Lebenssituation sind, die beispielsweise
aus Imponiergehabe, jugendlichem
Leichtsinn, Neugier oder Gruppendruck
begangen worden sind.
Das Rechtsfolgensystem des Schaubild 1. Sanktionen nach
JGG umfasst drei Kategorien von allgemeinem Strafrecht in Deutschland36

31
In 1923 wurde das Jugendgerichtsgesetz verabschiedet Dies wird in der Literatur mit einem
und damit wurde erstmals in Deutschland ein Sonderstra- gewissen Stolz wie folgt beschrieben: „In
frecht für jugendliche Straftäter geschaffen. Siehe dazu aus-
führlicher Heinz, 2007, S. 25 ff. 34
Vgl. dazu Albrecht, H.-J., 2004, S. 20-25.
32
Vergleiche hierzu BMJ [Hrsg.]: Jugendstrafrechtsreform 35
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. ausführlicher Heinz, 2007, S. 40 ff.;
33
Zur Sanktionen und Sanktionierungspraxis im Jugend- 36
Quelle: Strafverfolgungsstatistik 2013, Statistischen
strafrecht detailierter in Heinz, 2006. Bundesamt, Wiesbaden, Tab. 2.3.

50
Before Creating a Law

der Neuregelung des Sanktionensystems 1.5 Das Europarecht und das
steht das gegenwärtige Recht mit deutsche Strafrecht
dem Übergang von der Freiheitsstrafe Deutschland ist ein Mitgliedstaat
zur Geldstrafe als weitaus häufigster der Europäischen Union (EU). Die EU hat
Strafart an einem ähnlich bedeutsamen zwar bisher keine Befugnis zur Schaffung
Wendepunkt, wie es einst der Übergang eines einheitlichen europäischen
von den Leibes- und Lebensstrafen Strafrechts, aber sie unternimmt seit
des Mittelalters zur Freiheitsstrafe der längerer Zeit Anstrengungen zur
Aufklärungszeit gewesen ist“37. Verbesserung und Vereinheitlichung
2013 wurden insgesamt rund der Verbrechensbekämpfung in den
674 000 Personen in Deutschland nach Mitgliedstaaten. Durch den Vertrag
allgemeinem Strafrecht verurteilt. Der von Lissabon, der am 01.12.2009 in
Anteil der Frauen liegt bei 19,7 %. Wie das Kraft getreten ist, wurde den Organen
Schaubild 22 zeigt, ist bei Verurteilungen der EU die Möglichkeit gegeben,
die Geldstrafe mit 558 000 Fällen die die Mitgliedstaaten zum Erlass von
häufigste Strafe. In den übrigen 116 000 Strafgesetzen zum wirksamen Schutz
Fällen werden Freiheitsstrafen oder des Vermögens der EU zu verpflichten39.
sehr selten Strafarrest verhängt. Zwei Darüber hinaus sieht Art. 83 AEUV die
Drittel der Freiheitsstrafen werden zur Harmonisierung der Strafvorschriften
Bewährung ausgesetzt. der Mitgliedstaaten für zahlreiche,
Dies entspricht 12 % aller typischerweise grenzüberschreitende
Verurteilungen. Lediglich 5 % (35 000) der Deliktsbereiche vor (z. B. Terrorismus,
Verurteilungen sind Freiheitsstrafen ohne Drogenhandel, Computerkriminalität,
Bewährung. 30 % aller Freiheitsstrafen organisierte Kriminalität).
sind kurze Freiheitsstrafen unter 6 Die Europäische Konvention
Monaten Dauer, rund 45 % haben eine zum Schutze der Menschenrechte
Dauer zwischen 6 und 12 Monaten und und Grundfreiheiten von 1959, zu der
18 % haben eine Dauer zwischen 1 und Deutschland ebenso wie alle übrigen
2 Jahren. Die nicht aussetzungsfähigen Mitgliedstaaten des Europarats
Freiheitsstrafen über 2 Jahre machen beigetreten ist, ist unmittelbar geltendes
zusammen 8 % aus, während die nationales Recht im Range eines einfachen
Freiheitsstrafen zwischen 5 und 15 Bundesgesetzes40. Ihre Gewährleistungen
Jahre lediglich 1,4 % (1517) der Fälle sind daher durch die deutschen
betragen. Es gibt nur 92 Fälle, in denen Gerichte wie anderes Gesetzesrecht
die lebenslange Freiheitsstrafe verhängt des Bundes im Rahmen methodisch
wurde. Dies macht 0,1 % der Fälle aus38. vertretbarer Auslegung zu beachten und
Was die Verurteilungen zu anzuwenden41.
Geldstrafen betrifft, liegt jeweils knapp Die EMRK enthält in Art. 2
die Hälfte der rund 560 000 Fälle bei bis Regelungen über den Schutz des Lebens,
zu 30 Tagessätzen sowie zwischen 31 und in Art. 3 das Verbot von Folter sowie
90 Tagessätzen. Während 6 % der Fälle von unmenschlicher und erniedrigender
über 90 Tagessätze ausmachen, werden Bestrafung oder Behandlung, in Art. 5
in nur 0,5 % der Fälle über 180 Tagessätze Regeln über den Freiheitsentzug und
verhängt. Die Höhe des Tagessatzes in Art. 7 den Gesetzlichkeitsgrundsatz
bewegt sich mit 37 % am häufigsten bei für Strafvorschriften. Verletzt ein Staat
Beträgen zwischen 10 und 25 Euro, in nur die Garantien der EMRK, so kann die
2,7 % der Fälle bei Tagessätzen bis zu 5 betroffene Person dagegen Beschwerde
Euro. Bei nur 2 % aller zu Geldstrafen zum Europäischen Gerichtshof
Verurteilten beträgt der Tagessatz mehr
als 51 Euro. Art. 325 Abs. 4 des Vertrages über die Arbeitsweise der
39

EU (AEUV).
37
Jescheck, 1992, Einleitung, Rndr. 93. 40
BverfGE 74.358, 370; 111.307, 323 f.; BGHSt 45.321, 329;
38
Siehe näheres zu der Sanktionierungspraxis Jehle 2015, 46.178, 186; siehe allgemein über die Sanktionen in Europa
S. 32 ff.; zur Perspektiven kriminologischer Forschung Al- Albrecht, H.-J., 1999, S. 382 ff.
brecht, H.-J. (2007), S. 177 ff. 41
BverfGE 111. 307, 323.

51
LAW REVIEW 2015 ¹5(60)

für Menschenrechte (EGMR) in zwischen den beiden großen Nachbarn
Straßburg einlegen und gegebenenfalls Russland und China als freiheitlich-
eine Verurteilung des Staates zu demokratischen Rechtsstaat zu etablieren.
Schadensersatz erwirken. Außerdem Im Einklang mit der Bundespolitik hat
passen die Staaten in der Regel ihre Gesetze sich die Hanns-Seidel-Stiftung zum
an die Vorgaben der Entscheidungen des Ziel gesetzt, die Mongolei auf dem Weg
EGMR an, um weitere Verurteilungen zu einem modernen Verfassungsstaat
wegen Menschenrechtsverletzungen zu zu begleiten und zu unterstützen.
vermeiden. Die Kernpunkte der Zusammenarbeit
seit 1995 waren die juristische
2.Das mongolische Ausbildung, die Rechtsberatung und
Sanktionensystem aus der Sicht des die Rechtsentwicklung. Im Rahmen
deutschen Strafrechts dieser Zusammenarbeit waren Richter
Die Tatsache, dass sich die deutsche und Professoren aus Bayern durch
Rechtswissenschaft bereits zu Beginn des Fachvorträge über Menschenrechte
19. Jahrhunderts mit dem mongolischen und den Verfassungsstaat tätig, durch
Recht beschäftigt hat, ist erstaunlich. Unterstützung beim Aufbau der
Der große deutsche Jurist Paul Johann Verwaltungsgerichtsbarkeit in der
Anselm v. Feuerbach (1775–1833) hatte Mongolei, Schulungen für die Richter der
in seinem Versuch einer universalen Verfassungs- und Verwaltungsgerichte
Rechtsgeschichte auf die verschiedenen und auch Beratungsarbeiten bei
Rechtsfamilien hingewiesen, zu welchen der Entwicklung des reformierten
er auch die mongolische Rechtsfamilie Strafgesetzbuch von 200243.
als eigenständige Entwicklung eines Für die Gesetzgebung der Mongolei
Nomadenvolks zählte42. Außerdem ist allein das Parlament, das Große
beschäftigten sich zahlreiche mongolische Staatskhural, zuständig, da die Mongolei
junge Juristen, die in Russland und kein Bundesstaat ist und es deshalb
später auch in der DDR studiert haben, dort – anders als in Deutschland –
mit dem DDR-Recht, das zwar Teil keine Landesgesetzgeber gibt. Weiter
einer sozialistischen Rechtsordnung und gibt es auch in der Mongolei keine
Rechtsfamilie war, das aber doch noch Entsprechung zu EU-Richtlinien, die in
wesentliche Züge des deutschen Rechtes Deutschland den Gesetzgeber binden. Bis
beibehalten hatte. Über die Brücke zum gesellschaftspolitischen Umbruch
des sowjetischen Rechts, das ebenfalls in den 1990er Jahren war das anders.
auf dem römisch-germanischen und Besonders das Strafrecht wurde stets
damit dem deutschen Recht aufbaute, an die sowjetischen Rahmengesetze
hat auch nach dem Ersten Weltkrieg, angepasst, die der Mongolei als
also in der Zeit der Unabhängigkeit Vorbild dienten. Mit dem Ende des
der mongolischen Republik bis hin sozialistischen Systems wurde die
zur Wende 1990er Jahre, das deutsche volle Souveränität des mongolischen
Recht Einfluss auf die Entwicklung in Gesetzgebers wiederhergestellt und die
der Mongolei gehabt. Deshalb war die
Mongolei mit westlichem und damit 43
Ausführlicher dazu s.Gebhardt, I. (2002): Justizreform in
speziell deutschem Recht schon über der Mongolei. In: Jahrbuch für Ostrecht 43, 1. Halbbd, S.
237–257; Nelle, D. (2003): Die Reform von Strafrecht, Straf-
einen längeren Zeitraum vertraut. Daher prozess und Strafvollzug in der Mongolei. ZStW 115, H. 2,
sollte es keine Überraschung sein, warum S. 51–88;Kajuth,J. (2003): Монгол улсын эрүүгийн эрх зүйн
die Mongolei für die Modernisierung цаашдын хөгжилд өгөх зөвлөмж (Empfehlungen zur weit-
eren Entwicklung des mongolischen Strafrechts, acht Jahre
ihres Rechtssystems das deutsche Recht der mongolischen Rechtsreform), Ulaanbaatar, S. 503–528;
als Vorbild ausgewählt hat. Konferenzunterlagen zum Thema „Reformen des öffentli-
Nach der politischen Wende von 1990 chen Rechts und des Strafrechts“, Ulaanbaatar, 2002; Kon-
ferenzbuch „Die Verfassung und demokratischer Rechtssta-
verfolgt die Politik der Bundesregierung at“ in Zusammenarbeit mit der GTZ, KAS zum Anlass des
Deutschland das Ziel, die Mongolei 30. Jahrestages der Aufnahme diplomatischer Beziehungen
zwischen der Bundesrepublik Deutschland und der Mongo-
Siehe dazu Scholler, 2010, S. 127 ff. und die dort zitierte
42
lei, Ulaanbaatar 2004.
weiterführende Literatur.

52
Before Creating a Law

Mongolei wählte, wie oben erwähnt, aus u. a. auf die Grundrechte des Einzelnen und
Überzeugung das römisch-germanische auf die Verhältnismäßigkeit der Reaktion
Recht zum Vorbild. des Staats großen Wert aufgelegt wird.
Es gab auch in Deutschland Zeiten, in Die Mongolei strebt danach, sich diese
denen zu hohe Zielsetzungen im Rahmen Werte und Wertschätzungen anzueignen.
der Kriminalpolitik angestrebt wurden. Dies ist u. a. auch bei der Kriminalpolitik
Dies hat sich allmählich verändert. zu sehen. Im Folgenden wird nun
Insbesondere die Strafrechtsreformen eine Beurteilung des mongolischen
nach den 1960er und 1970er Jahren strafrechtlichen Sanktionensystems im
haben eine Wende im Strafrecht bewirkt. Vergleich mit dem deutschen Strafrecht
Im Rahmen dieser Strafrechtsreformen sowohl aus kriminalpolitischer Sicht
wurden die Zwecke der strafrechtlichen als auch von der Sanktionsstruktur her
Sanktionen neu definiert sowie die erfolgen.
Modalitäten einzelner Strafen erweitert 2.1 Aus der kriminalpolitischen
und besser differenziert. Dies lässt sich Sicht
insbesondere bei Hauptstrafen und ebenso In der Mongolei ist die vor etwa
bei weiteren Rechtsfolgen beobachten. zwei Jahrzehnten in Angriff genommene
Es gibt hier viele gute Erfahrungen, von Reformarbeit in ihren wesentlichen
denen auch die Mongolen lernen könnten. Teilen erfolgreich abgeschlossen.
Die in dieser Zeit bereits am Die Anpassungsgesetze an das
häufigsten angewandte Geldstrafe blieb demokratische Grundgesetz von 1992, das
nicht nur die am meisten praktizierte Strafrechtsreformgesetz von 2002 und das
Strafe im deutschen Sanktionenrecht, sechs Jahre später eingeführte Gesetz zur
sondern wurde bis zur Gegenwart sogar Änderung und Ergänzung zum StGB vom
noch weiter ausgebaut. Die Wirkungen 01.02.2008, welche die kriminalpolitischen
der Geldstrafe sind weitaus höher als in Grundentscheidungen und die
der Mongolei. Der Erfolg der deutschen Ausgestaltung des Sanktionensystems
Geldstrafenpolitik liegt nicht daran, dass der heutigen Mongolei ausformen,
die in Deutschland verurteilten Täter im lassen große Fortschritte im Bereich
Vergleich zur Mongolei in einer relativ der Strafrechtsordnung erkennen
besseren wirtschaftlichen Lage sind. Es und wurden dafür wertgeschätzt,
hängt vor allem damit zusammen, weil die Grundvoraussetzungen für
die Regeln der Geldstrafe des deutschen ein modernes und rechtsstaatlich
Tagessatzsystems in einem sehr großen orientiertes Strafjustizsystem geschaffen
Bereich eine genaue Anpassung an die zu haben. Andererseits stößt das
individuelle finanzielle Leistungsfähigkeit Strafrechtsreformgesetz von 2002 im
des Täters ermöglichen, die selbst dann Hinblick auf die Härte seiner Strafen
noch funktioniert, wenn diese Fähigkeit auf scharfe Kritik. Mehrfach wurde das
fast gegen Null geht. Der entscheidende strafrechtliche Sanktionensystem in
Vorteil des Tagessatzsystems ist seine öffentlichen Diskussionen zur Zielscheibe
fast beliebige Skalierbarkeit. Die der Kritik.
„maßgeschneiderte“ Belastung des Um eine Bewertung über
Täters erleichtert nicht nur sehr die das mongolische strafrechtliche
Vollstreckbarkeit, sondern vermeidet auch Sanktionensystem aus der Sicht des
weitgehend soziale Ungerechtigkeiten. deutschen Strafrechts machen zu
Nicht zuletzt spielt die Tatsache können, möchte ich zunächst zeigen,
eine ganz wichtige Rolle, dass der von welcher Grundeinstellung über
deutsche Gesetzgeber die Anwendung die strafrechtliche Sozialkontrolle das
der Freiheitsstrafe als „ultima ratio“ deutsche Strafrecht ausgeht, um deutlich
vorschreibt und dies auch von Gerichten zu machen, aus welcher Perspektive das
dementsprechend in Gebrauch gemacht Sanktionensystem des mongolischen
wird. Strafrechts hier bewertet wird.
Das deutsche Strafrecht basiert auf Kriminalpolitik umfasst die
die rechtsstaatlichen Prinzipien, bei denen Festlegung des Bereichs des Strafbaren

53
LAW REVIEW 2015 ¹5(60)

und die Bestimmung der staatlichen Wirksamkeit der Strafrechtspflege nicht so sehr
Reaktion auf strafbares Verhalten. Dies in dem statistischen Nachweis von Erfolgen
ist in Deutschland in den strafrechtlichen bei der Resozialisierung von Straftätern
Haupt- und Nebengesetzen im gesehen, als vielmehr in einer Ausgestaltung
StGB festgelegt. Die Auffassungen der gesamten kriminalrechtlichen Tätigkeiten
hinsichtlich der verfassungsrechtlichen des Staates, die sich mit dem geschärften
und menschenrechtlichen Grenzen des sozialen Gewissen unserer Zeit vereinbaren
Strafrechts, bzw. die Ziele, Möglichkeiten lässt.“44
und Grenzen der strafrechtlichen Man kann mit einem Satz sagen, dass
Sozialkontrolle haben sich in Deutschland eine solche wie von Jescheck formulierte
grundlegend gewandelt. Ansicht bzw. Grundeinstellung in
Wie im Folgenden hat Jescheck der mongolischen Kriminalpolitik im
diesen Wandel ganz deutlich beschrieben: Allgemeinen fehlt, woraus alle anderen
„Die Erkenntnis, dass das Strafrecht nur ein Grundprobleme entstehen. Dies ist ein
Mittel der sozialen Kontrolle neben anderen grundsätzlicher allgemeiner Unterschied
ist und wegen der mit seiner Anwendung zwischen beiden Rechtssystemen.
verbundenen tiefen Eingriffe in Freiheit, Im deutschen wie im mongolischen
Ansehen und Einkommen der Betroffenen und Strafrecht ist die Schuld als
wegen der daraus folgenden sozialen Nachteile Voraussetzung der Strafe anerkannt. Bei
möglichst sparsam verwendet werden sollte, der Sanktionszumessung spielt „das Maß
hat sich weitgehend durchgesetzt. Zugleich ist der Schuld“ eine besondere Rolle. Es
durch die vielfältigen ideologischen Angriffe fehlt jedoch im mongolischen Strafrecht
auf alle repressiven Institutionen des Staates sowohl auf theoretischer als auch auf
als Gegeneffekt die Überzeugung gewachsen, gesetzlicher Ebene an der grundsätzlichen
dass nur ein am Schuldprinzip orientiertes Einsicht, dass die Strafbemessung sich
Strafrecht den Schutz der Allgemeinheit in nach der Schuld des Täters richten soll.
Freiheit ermöglicht, weil allein ein solches Der Tenor der Bestrafung ist jedoch, dass
Recht den Menschen als verantwortlichen die unrechte Handlung eines Straftäters
Mitbürger betrachtet, indem es durch mit Strafe auszugleichen ist (Vergeltung).
Gebot und Sanktion an seine Einsicht und Die Aufgabe des Strafrechts erschöpft
seine Disziplin appelliert, aber damit auch sich jedoch nicht im Ausgleich von
Ernst macht. Auch die Notwendigkeit Schuld, sondern geht darüber hinaus.
der Beschränkung des Strafrechts durch Das übergreifende Ziel ist vielmehr die
die Grundsätze des Rechtsstaats und die kontrollierte Wiederherstellung und
Erkenntnis, dass nicht alles, was für die Sicherung der durch die Tat gestörten
Behandlung von Rechtsbrechern zweckmäßig Ordnung bzw. die Prävention45.
erscheint, auch gerecht ist, sind heute 2.2 Betrachtung der
Allgemeingut geworden. Allmählich beginnt Sanktionsstruktur
man ferner zu verstehen, dass die Humanität In der Grundstruktur ähnelt
als Grundlage der Kriminalpolitik nicht das mongolische Sanktionensystem
nur eine Angelegenheit des Idealismus von dem deutschen. Im groben ist das
Einzelnen ist, die sich dieser Sache aus Entwicklungsstadium des mongolischen
Mitgefühl annehmen, sondern auch eine Strafrechts in vieler Hinsicht mit dem
Frage der Mitverantwortung der Gesellschaft Stand des deutschen Strafrechts der 1960er
für die Kriminalität, und dass die Sorge um und 1970er Jahre zu vergleichen. Obwohl
den Rechtsbrecher nicht eine Gnade, sondern sich die Ausgestaltung des modernen
ein verbindlicher Auftrag des Sozialstaats ist. strafrechtlichen Sanktionensystems der
Endlich wird die Strafrechtspflege selbst – viel Mongolei bereits über einen Zeitraum
stärker als früher – nicht mehr nur als Instanz von fast 100 Jahren erstreckt, wurde
für die Verwirklichung der Gerechtigkeit der Entwicklungsprozess in den fast
verstanden, sondern auch als eine soziale 70 Jahren des Sozialismus in Richtung
Aufgabe, die durch die Art und Weise ihrer einer Weltanschauung geleitet, nämlich
Erfüllung dem straffälligen Menschen 44
zit. nachJescheck, 2004, S. XII ff.
eine Lebenshilfe geben soll. Dabei wird die 45
Meier, 2006, S. 10 ff.

54
Before Creating a Law

das sozialistische Strafrecht nach der üben, sondern nur gerechtfertigt ist, wennsie
sowjetischen Strafrechtsschule. Die sich zugleich als notwendiges Mittel zur
Entwicklung des deutschen Strafrechts Erfüllung der präventiven Schutzaufgabe des
konnte über einen viel längeren Zeitraum Strafrechts erweist.“46
erfolgen, auch wenn es durch die Während im deutschen Strafrecht
diktatorische Zeit des Nationalsozialismus ausdrücklich die möglichst geringe
von 1933–1945 eine Unterbrechung Anwendung der kurzen Freiheitsstrafe
gab. In der DDR wurde ähnlich wie in gefordert wird, wird sie dagegen im
der Mongolei das Rechtssystem unter mongolischen Strafrecht sogar gefördert
sowjetischen Einfluss in eine sozialistische und vergleichsweise häufiger angewandt.
Richtung gelenkt. All die Gründe, die im deutschen
Erst in den 25 Jahren nach dem Strafrecht gegen die kurze Freiheitsstrafe
politisch-gesellschaftlichen Umbruch aussprechen, scheinen im mongolischen
von 1990 eröffnete sich für die Mongolei Strafrecht lediglich bei längeren
die Möglichkeit, ihre Zielrichtung selbst Freiheitsstrafen Probleme zu sein.
zu bestimmen und zu ändern, also Die Dauer der 2002 in der Mongolei
eine Richtungsänderung bezüglich der eingeführten Einzelhaftstrafe reicht
Rechtsentwicklung im Allgemeinen. von einem bis zu sechs Monate. Die
Im Folgenden werden die Einzelhaftstrafe stellt eine besondere
wichtigsten Bemerkungen ausgeführt, Art der freiheitsentziehenden Strafe
die den Unterschied der beiden Systeme im mongolischen Strafrecht dar und
verdeutlichen. sollte nur im Bereich leichter und
2.2.1 Die Zweckbestimmungen einzelner minderschwerer Kriminalität verhängt
Sanktionen und vollstreckt werden, während
Die Zwecke der Strafe sind in die eigentliche Freiheitsstrafe für
beiden Rechtssystemen grob gesehen minderschwere, schwere und besonders
zwar ähnlich definiert, aber bei näherer schwere Straftaten vorgesehen ist. In der
Betrachtung dieser Definitionen scheinen Theorie ist die Einzelhaftstrafe als leichtere
die Auffassungen im mongolischen Bestrafung gedacht. Die Maßnahme der
Strafrecht etwas oberflächlicher zu sein Einzelhaft wird jedoch grundsätzlich als
als bei den deutschen Auslegungen der eine besondere Härte kritisiert und zur
Zweckbestimmungen. Frage gestellt. In der Praxis scheitert die
Auf der anderen Seite hat der Umsetzung der Einzelhaftstrafe an den
deutsche Gesetzgeber in Verbindung Vollzugsbedingungen. Oft erfolgt ihre
mit der Strafzumessungsvorschrift von Vollstreckung in den Vollzugsanstalten
§ 46 StGB durch die Strafrechtsreform für Freiheitsstrafen mit normalen
von 1969 die Idee der Spezialprävention Sicherheitsmaßnahmen. Es ist deshalb auch
wesentlich gestärkt und in den nicht selten, dass die zu Einzelhaftstrafen
Vordergrund gerückt. Die Geldstrafe Verurteilten wegen des Platzmangels
sollte die Hauptstrafe der Gegenwart zusammen mit den zu Freiheitsstrafen
sein, deren Anwendungsbereich die verurteilten Insassen inhaftiert sind. Bei
leichte und mittlere Kriminalität sein der Haftstrafe werden die Zwecke der
sollte. Der Bundesgerichtshof hat die Spezialprävention und der individuellen
Neuorientierung der Strafziele mit der Abschreckung in den Vordergrund
neuen Bedeutung präventiver Strafzwecke gestellt, von der Resozialisierung ist
folgendermaßen zusammengefasst: „Nach dagegen gar nicht die Rede. Im Gegensatz
der kriminalpolitischen Gesamtkonzeption, zum mongolischen Strafvollzug orientiert
von der die Strafrechtsreform ausgeht, sich der deutsche Strafvollzug stärker am
soll in der Regel auf die Verhängung Resozialisierungsgedanken.
kurzer und die Vollstreckung mittlerer 2.2.2 Zur Regelungen und Anwendung
Freiheitsstrafen verzichtet werden. [...] Dem der Hauptstrafen
1. Strafrechtsreformgesetz liegt der Gedanke Was die Hauptstrafe anbetrifft,
zugrunde, dass die Strafe nicht die Aufgabe scheint die Sanktionenpalette im
hat, Schuldausgleich um ihrer selbst willen zu 46
zit. nach BGHSt 24, 42, Entscheidung vom 08.12.1970.

55
LAW REVIEW 2015 ¹5(60)

mongolischen Strafrecht auf den ersten Lebensverhältnissen, die ein starres
Blick breiter zu sein als das deutsche. System nicht mehr abdecken kann. Vor
Aber das deutsche Sanktionensystem hat allem sind die willkürlich festgelegten
eine einfachere und relativ klare Struktur, Geldstrafen so hoch bemessen, dass der
die aus Geld- und Freiheitsstrafe besteht Großteil der Bevölkerung sie gar nicht
und bereits aus der zweiten Hälfte des 19. leisten kann.
Jahrhunderts stammt47. Was die Entwicklung der Geld- und
Das Sanktionensystem des Freiheitsstrafen in der Gerichtspraxis
mongolischen Strafrechts, insbesondere der beiden Länder betrifft, zeigt sich
im Bereich der Geldstrafe, kann mit ein differenziertes Bild. Im Jahr 1882
dem deutschen nicht verglichen waren in Deutschland noch 76,8 % aller
werden. Während die Besonderheit verhängten Strafen Freiheitsstrafen und
der Geldstrafe im deutschen Strafrecht 22,2 % Geldstrafen. Heutzutage liegt der
durch das flexible Tagessatzsystem Anteil der Geldstrafe in Deutschland bei
gekennzeichnet ist, hat die Mongolei ca. 84 %, während die Freiheitsstrafe ohne
ein starres Geldstrafensystem, in dem Bewährung bei 5,2 % aller Verurteilten
die Bemessung an den gesetzlichen verhängt wird.
monatlichen Mindestlohn geknüpft ist. Die Anwendungsquote der
Beim Tagessatzsystem sollte sich die Geldstrafe in der Mongolei dagegen lag bis
Höhe des Geldbetrages nach der Schuld zur Strafrechtsreform von 2002 noch bei
des Täters auf der einen und seiner 22 %, sank aber ab 2002 im Durchschnitt
wirtschaftlichen Leistungsfähigkeit auf auf ca. 6 % und liegt seit 2009 sogar ständig
der anderen Seite richten. Unzumutbare bei unter 4 % aller Kriminalstrafen. Die
Anforderungen dürfen an den Quote der Freiheitsstrafe ohne Bewährung
Verurteilten nicht gestellt werden wie es in der Mongolei liegt in den letzten zwei
im § 56b Abs. 1 Satz 2 StGB im deutschen Jahrzehnten im Durchschnitt dagegen bei
Strafrecht geregelt ist. ca. 33 %.
Das mongolische Strafrecht enthält Die gesetzliche Festlegung der hohen
diese gesetzlichen Anforderungen nicht, Mindeststrafen im BT des mongolischen
nur die Berücksichtigung der wirtschaft- StGB schränkt nicht nur den richterlichen
lichen Leistungsfähigkeit des Täters Entscheidungsspielraum ein, sondern
erfolgt ein eher symbolischer, aber nicht führt in der Praxis zu unangemessenen
in praktikabler Form. Das mongolische Bestrafungen sowie außerdem
System mit starr festgelegten Geldstrafen zur Überfüllung der Gefängnisse.
stammt aus der Zeit des Sozialismus, Deswegen sollte das Zurückdrängen
als es landesweit noch relativ einheitli- des Freiheitsentzugs unnötiges Leiden
che Löhne und Lebensverhältnisse gab. vermindern und einen Rückfall des Täters
Durch die heutige Marktwirtschaft durch eine geeignete Behandlung in der
gibt es enorme Unterschiede bei den Gesellschaft und in Freiheit verhindern.

47
Albrecht, H.-J., 2000, S. 21.

56
Before Creating a Law

Deutschland Mongolei
Bevölkerungszahl (pro km2) 81,8 Mio. (230) 2,8 Mio. (1,9)
Rate pro Rate pro
Jahr Gesamt-zahl Jahr Gesamt-zahl
100 000 E 100 000 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
Gefängnisinsassen2
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 %
Gefängnisinsassen
Anteil jugendliche
Gefängnisinsassen unter 18 3,2 % 1 %
Jahren
Ausländische
26,7 % 0,3 %
Staatsangehörige
62 (Stand 2010)
3
Anzahl Vollzugs- und
186 (davon 25 Gefängnisse; 26
U-Haftanstalten
U-Haftanstalten, 11 Arresthäuser)
Offizielle Kapazität des 78 525 8000
Vollzugssystems (30.11.2011) (28.08.2009)
Belegungsrate (basiert auf 86,7 % 63 %4
offizieller Kapazität) (30.11.2011) (28.08.2009)

Tabelle 1. Entwicklungstrend der Sanktionensystem, die in Verbindung
Gefängnisinsassen in Deutschland und in mit der Geldstrafe angeordnet wird. Dies
der Mongolei ist identisch mit der Strafaussetzung zur
Wie in der Tabelle 1 gezeigt wird, Bewährung der Freiheitsstrafe, aber es ist
ist die Gefangenenrate pro 100 000 eben nur bei der Geldstrafe anwendbar. In
Einwohner in der Mongolei dreimal höher den mongolischen Reformdiskussionen
als in Deutschland. Für die Mongolei wurde eine Aussetzungsmöglichkeit
als eines der weltweit am dünnsten der Geldstrafe gelegentlich erwähnt,
besiedelten Länder ist die Gefangenenrate fand aber keine Zustimmung. Für viele
extrem hoch. Sie beträgt schon 0,25 % der scheint die Aussetzung der Geldstrafe
Gesamtbevölkerung. Nach der Liste der zur Bewährung unvorstellbar zu sein,
222 Länder mit den weltweit höchsten denn man kennt die Strafaussetzung in
Gefangenenraten belegt die Mongolei im der Mongolei nur in Verbindung mit der
Jahr 2015 mit 264 Gefangenen pro 100 000 Freiheitsstrafe. Aber das heißt nicht, dass
Einwohner Platz 45, Deutschland mit 78 es nicht machbar wäre. Ähnliche Strafarten
Gefangenen pro 100 000 Einwohner Platz wie die Verwarnung mit Strafvorbehalt
165.48 des deutschen Strafrechts scheinen
Im mongolischen Sanktionenrecht für die mongolischen Verhältnisse
ist eine Zahlungserleichterung der kriminalpolitisch durchaus interessant
Geldstrafe möglich, die im Grunde zu sein. Es ist zwar im mongolischen
auch der Regelungen der deutschen Strafrecht noch ein unbekanntes Feld,
Geldstrafentilgung ähnelt. Was das welches jedoch in Zukunft entdeckt und
mongolische Strafrecht bisher gar erforscht werden sollte.
nicht kennt, ist die Verwarnung 2.2.3 Die Strafaussetzung zur
mit Strafvorbehalt im deutschen Bewährung
Was die bedingte Freiheitsstrafe
48
http://www.prisonstudies.org/highest-to-lowest/pris-
betrifft, wurde die Einführung der
on_population_rate?field_region_taxonomy_tid=All, letz- Strafaussetzung und Entlassung zur
ter Zugriff Okt. 2015.

57
LAW REVIEW 2015 ¹5(60)

Bewährung im allgemeinen Strafrecht in Voraussetzungen für dessen Reform zu
das deutsche Sanktionensystem erst 1953 schaffen50.
eingefügt und deren Wiedereinführung Solche Maßnahmen wie
im Jugendstrafrecht. Im Vergleich dazu die Vereinfachung der Prognose
kannte das mongolische Strafrecht dieses und der Wegfall der formellen
spezielle Institut des Strafrechts dank Ausschlussvoraussetzungen sind für die
des sowjetischen Rechtseinflusses bereits Mongolei kriminalpolitisch sehr ratsam,
seit den 1920er Jahren. Es gibt aber einen um das Problem der Gefängnisüberfüllung
Unterschied zwischen der beiden Ländern nachhaltig lösen zu können.
bei den Anwendungsmöglichkeiten der Im Gegensatz zur deutschen
Strafaussetzung zur Bewährung. Auf Regelung über die Strafaussetzung
den ersten Blick scheint das mongolische ist im mongolischen Strafrecht
Sanktionenrecht bezüglich der keine nachträgliche Verkürzung
Strafaussetzung zur Bewährung milder bzw. Verlängerung der Dauer der
zu sein, denn es ist gesetzlich möglich Strafaussetzung zur Bewährung
die Freiheitsstrafen bis zu 5 Jahre zur möglich51. Die Grenze der Bewährung
Bewährung auszusetzen, während das in liegt zwischen einem und bis zu fünf
Deutschland nur bei Freiheitsstrafen bis Jahren. Die Frist wird in der Gerichtspraxis
zu 2 Jahren möglich ist. Der Haken des häufig sehr einfach festgelegt. Bei
mongolischen Strafrechts liegt darin, dass Freiheitsstrafen für ein Jahr kann ein Jahr
mehrere gesetzliche Voraussetzungen zur Bewährung, bei 3 Jahren Freiheitsstrafe
Strafaussetzung auf Bewährung gesetzt ebenfalls 3 Jahre Bewährung und bei 5
sind, die alle gleichermaßen erfüllt werden Jahren Freiheitsstrafe 5 Jahre Bewährung
müssen. Es muss also eine minderschwere etc. ausgesprochen werden.
Tat sein, der Täter muss ein Ersttäter sein, 2.2.4 Das Maßregelrecht
den Schaden freiwillig ersetzt und die Obwohl die Maßregeln der
Folgen der Tat beseitigt haben. Erst dann Besserung und Sicherung etwas früher
kann das Gericht entscheiden, wie lange in das strafrechtliche Sanktionensystem
die Dauer der Strafaussetzung erfolgt. der Mongolei eingeführt und angewendet
Im Gegensatz dazu gibt es im wurde als die in Deutschland52,
deutschen Strafrecht wenige Kriterien. entwickelte sich die mongolische noch
Es muss bloß eine Straftat sein, nicht in so einem Umfang. Schon
für die vom Gericht bis zu 2 Jahre im ersten modernen StGB von 1926
Freiheitsstrafe angedroht wird, wobei (Kapitel 2, § 5 Abs. 11 mStGB von 1926)
es genügt, dass vom Täter „zukünftig gab es zwar Regelungen über „die
keine Straftaten zu erwarten sind.“ zwangsweise Behandlung von geistig
Dies war der Kernstück des deutschen gestörten Tätern“ und „Befreiung von
kriminalpolitischen Programms, die der Strafe“ für solche Täter. Die deutsche
nachhaltige Einschränkung der als Variante ist viel umfangreicher, während
resozialisierungsfeindlich angesehenen sich die mongolischen Maßregeln
kurzen Freiheitsstrafe, die „in Zukunft nur auf die stationäre Behandlung
nur noch in einem ganz engen und auch unzurechnungsfähiger Straftäter
kriminalpolitisch vertretbaren Bereich wegen psychischer Erkrankungen im
verhängt und vollstreckt“ werden sollte49. psychiatrischen Krankenhaus oder auf die
Ihre zeitliche Grenze bestimmt sich Unterbringung von zurechnungsfähigen
ohne Rücksicht auf den Deliktcharakter alkohol- oder drogenabhängigen
nach der Höhe der erkannten Strafe, so
dass auch wegen Verbrechen verhängte 50
Erster Schriftlicher Bericht des Sonderausschusses für die
Strafrechtsreform. BT-Drs. V/4094, S. 11.
Freiheitsstrafen aussetzungsfähig sind. 51
Vgl. dazu § 56a Abs. 2 Satz 2 dStGB.
Damit war die Erwartung verbunden, 52
Die Wurzeln der hinter dem Gesetz von 1933 stehen-
den Strafvollzug nachhaltig zu entlasten den kriminalpolitischen Konzeption reichen zurück bis
und so überhaupt erst die tatsächlichen zum „Marburger Programm“ Franz von Liszts aus dem
Jahre 1882, in der er die Fragen der individualpräventiven
49
Erster Schriftlicher Bericht des Sonderausschusses für die Wirkungen der Strafe verdeutlichte. Vgl. dazu Germann,
Strafrechtsreform. BT-Drs. V/4094, S. 6. U., 2009, S. 85 ff.

58
Before Creating a Law

Verurteilten in einer Entziehungsanstalt die Jugendgerichtshilfe herangezogen, die
beschränken. Die zweite Personengruppe im mongolischen Strafrechtssystem nicht
wird während der Maßregelzeit nicht existiert. Außerdem haben die Eltern und
von der verhängten Strafe befreit, da gesetzlichen Vertreter ein weitgehendes
die Abhängigkeit von Alkohol oder Mitwirkungsrecht, während das
Drogen nicht als unzurechnungsfähig Mitwirkungsrecht der Eltern in der
anzusehen ist. Diese Sanktionsart besteht Mongolei kaum geregelt ist. Die Sanktionen
bis heute, welche aber von Gerichten in Form von Erziehungsmaßnahmen
nicht häufig angeordnet wird. Ähnlich und Zuchtmitteln werden in
wie im deutschen Sanktionsrecht haben Deutschland nicht in das Zentralregister
die behandlungsorientierten Maßregeln und dementsprechend nicht in das
des mongolischen Sanktionensystems die Führungszeugnis aufgenommen, sondern
gesellschaftssichernde Funktion. in ein sogenanntes Erziehungsregister
Das Verbot der Ausübung eingetragen. Solche Sonderregelungen
einer bestimmten Tätigkeit oder für Jugendliche Straftäter kennt das
eines bestimmten Berufes im mongolische Strafrecht nicht.
mongolischen Sanktionensystem,
was sowohl als Hauptstrafe als auch 3. Fazit
als Nebenstrafe angedroht werden Angesichts der aufgezeigten
kann, umfasst in gewisser Weise die Entwicklung wäre aus Sicht der
nichtfreiheitsentziehenden Maßregeln Verfasserin in der Mongolei darüber
(Entziehung der Fahrerlaubnis und nachzudenken, folgende Änderungen
das Berufsverbot) des deutschen im Bereich der strafrechtlichen Sanktion
Sanktionenrechts. Das mongolische vorzunehmen.
Strafrecht kennt die Maßregel der – Da die Kriminalitätsentwicklung
Sicherung und die Führungsaufsicht durch Verschärfung der Sanktionen
dagegen nicht. in der Regel nicht günstig beeinflusst
2.2.5 Die Jugendstrafe wird, ferner empirische Untersuchungen
Ein weiterer wesentlicher Punkt dafür sprechen, dass nicht das
beim Vergleich betrifft die Regelungen Strafniveau, sondern das subjektive
der Jugendstrafe. Die 1953 erfolgte Strafempfinden positiv generalpräventiv
partielle Einbeziehung der 18- bis unter wirkt, besteht Spielraum für einen
21-Jährigen (Heranwachsende) in das Ausbau des Sanktionenkatalogs, z. B.
deutsche Jugendstrafrecht ist für die bei den nicht freiheitsentziehenden
mongolische Verhältnisse ganz neu. Das Alternativsanktionen53. Aus dieser
geltende Strafrecht der Mongolei kennt Prämisse brauchen wir die Erfahrungen
den Begriff des Heranwachsenden nicht. aus Deutschland im strafrechtlichen
Es scheint sehr sinnvoll zu sein, für Bereich, wo der Staat eine gesellschaftliche
bestimmte Fälle solche Unterscheidung Zielsetzung in den Vordergrund stellt.
zu machen. – Andererseits dürfen die
Im mongolischen Strafrecht wird Erwartungen an die Wirkung und
das Jugendalter eines Täters bloß als Effizienz mancher strafrechtlichen
Strafmilderungsgrund eingestuft. Außer Sanktionen nicht zu hoch angesetzt
den erziehungsorientierten Maßnahmen werden. Andere Kontrollmechanismen
sind keine gesonderten Rechtsfolgen für aus dem weiteren Bereich des Rechts
Jugendliche vorgesehen. Im Vergleich zur und auch außerhalb des Rechts können
Mongolei ist das Jugendstrafverfahren die Wirkungen der strafrechtlichen
in Deutschland wesentlich anders und Sanktionen verstärken oder sie
umfangreicher gestaltet. Erstens werden neutralisieren. Für die Neuerrichtung
dort nur erzieherisch befähigte und in der von Vollzugsanstalten und deren
Jugenderziehung erfahrene Jugendrichter Finanzierung wurde in der jüngsten
sowie Jugendstaatsanwälte eingesetzt. Vergangenheit aus dem Staatsbudget
Zweitens wird im gesamten Verfahren, der Mongolei viel Geld ausgegeben.
insbesondere in der Hauptverhandlung, 53
Zitat aus Abschlussbericht zur Reform, S. 28.

59
LAW REVIEW 2015 ¹5(60)

Würde dieses Geld stattdessen für die mongolischen Philosophie und das
Neuschaffung von Arbeitsplätzen und traditionelle Lebensmotto der Mongolen
für die Ausbildung verwendet, wird das „gegenseitige Unterstützung ist das
sicherlich mehr zum Ziel beitragen, dass Fundament der Weiterentwicklung“
weniger Straftaten begangen werden. zum Leitthema machen. Für diejenigen,
Dadurch könnte denjenigen Formen der die leichtere Verfehlungen begangen
Kriminalität der Nährboden entzogen haben, sollten zuerst die informellen
werden, die durch extreme Armut sowie Kontrollmechanismen (Familie, Schule,
völlige Aussichts- und Perspektivlosigkeit Beruf usw.) benutzt werden.
verursacht werden, was das eigentliche – Weiterhin sind vielfältige
Ziel der Sanktionen sein sollte und die Auswahlmöglichkeiten der Sanktionen
gewünschten positiven Auswirkungen (Bewährungsmöglichkeit bei Geldstrafe,
auf die Gesellschaft bringen wird. Diese gemeinnützige Arbeit, Täter-Opfer
die Kriminalität fördernden Ursachen Ausgleich, Wiedergutmachung)
zu beseitigen ist eine Aufgabe der sowie eine Erweiterung des
Gesellschaft und der Politik, aber es kann Anwendungsbereichs der alternativen
ein wirkungsvollerer Weg sein, als die Sanktionen sehr zu empfehlen.
Symptome der Kriminalität nachträglich Künftig sollten folgende
mit einem aufwendigen Justizapparat internationale Trends im Rahmen der
und dem Bau teurer Gefängnisse zu Sanktionspolitik zur Überlegung stehen:
bekämpfen. – Einführung der Diversion und
- Das Rechtsstaatsprinzip informellen Konfliktschlichtung in
bzw. die Geeignetheit der Mittel, Strafsachen. Eine ähnliche Regelung
die Verhältnismäßigkeit und das gibt es schon in der StPO der Mongolei
Subsidiaritätsprinzip gelten als nach § 70 StGB, nämlich die Einstellung
Leitprinzipien einer rationalen der leichten Straftaten durch den
Strafgesetzgebung. Außerdem gelten Staatsanwalt nach §§ 25, 208 StPO. Dies
internationale Einschränkungen zum könnte in minderschweren Fällen weiter
Schutz der Menschenrechte54 als ausgeweitet werden.
Grenzen der Strafe bzw. der durch Strafe – Mediation in Strafsachen. Die ersten
zuzufügenden Übel. Strafe ist eine Art Schritte der Mediation in Zivilverfahren,
von Gewalt und daher wird sie zum in familien- und arbeitsrechtlichen
Stigma. Fraglich ist nun, ob das Stigma Streitigkeiten sind schon in der Mongolei
einer Gefängnisstrafe wegen seiner vorgenommen worden und gewisse
langanhaltenden negativen Wirkung für positive Erfahrungen sind bereits
den Bestraften in der Gesellschaft nicht als vorhanden. Das ist als Vorteil anzusehen.
eine zusätzliche „Strafe“ anzusehen ist, Praktisch spricht nichts dagegen, die
oder ob man deshalb möglichst versuchen Mediation ebenfalls im Bereich des
soll die Stigmatisierung durch die Strafe Strafrechts einzuführen.
zu verringern oder gar zu vermeiden. – Verzicht auf die Zwangsarbeit
Für alle Fälle sollten die allgemeinen des geltenden Rechts der Mongolei in
Grundsätze des Rechtsstaates und die des der jetzigen Form. Dies sollte nicht nur
Strafrechts als Leitprinzipien sowie das durch bloße Umbenennung, sondern
Stigma durch die Strafe als Nebeneffekte vielmehr durch eine konzeptuelle
bei der Bestimmung und Anwendung der Änderung zur gemeinnützigen Arbeit
mongolischen strafrechtlichen Sanktionen weiterentwickelt werden. Diese soll mit
mehr Berücksichtigung finden. mehr Beteiligungsmöglichkeiten und
– Darüber hinaus sollte der unter Einbeziehung der Zivilgesellschaft
Staat das fundamentale Prinzip der erfolgen, oder die Form der Arbeit müsste
völlig neu organisiert werden.
54
Art. 5, 9 und 11 der Allgemeinen Erklärung der Men-
schenrechte vom 10. Dezember 1948, Art. 6, 7, 8, 9 und 10
– Prinzipiell muss die gemeinnützige
desInternationalen Paktes über Bürgerliche und Politische Arbeit gegen Entgelt abzuleisten
Rechtevom 16. Dezember 1966, dieUN-Anti-Folter-Konven- sein, wobei ein Abzug in bestimmter
tionvom 10. Dezember 1984, die UN-Kinderrechtskonven- Höhe als Strafe anzuerkennen ist und
tionvom 20. November 1989 usw.

60
Before Creating a Law

dem Verurteilten mindestens das bisher. So ist die Wiedergutmachung als
Existenzminimum übrigbleiben muss. selbständige Sanktion bei kleinerer und
Man darf nicht vergessen, dass manche mittlerer Kriminalität eingeführt werden,
Täter nur Verbrechen begehen, um insbesondere scheint sie als Jugendstrafe
überhaupt überleben zu können55. sehr sinnvoll und angemessen zu sein.
In solchen Fällen besteht in immer – Die Abschaffung der Todesstrafe
stärkerem Maße ein Bedarf für andere de jure, die Streichung der Kerkerstrafe
Sanktionsformen als die Geldstrafe. und der Einzelhaftstrafe aus dem
Um eine bessere Umsetzung der Sanktionensystem sind wegen ihrer
gemeinnützigen Arbeit zu erzielen, Grausamkeit bzw. der unangemessenen
müssen neue Stellen bzw. Aufgaben Härte dringend erforderlich.
geschaffen werden, die allgemein – Es ist unabdingbar, gesonderte
nützlich sind und auch von ungelernten mildere Jugendstrafe anzuschaffen. Hier
Arbeitskräften gemacht werden können, können die Erfahrungen in deutschem
statt neue Gefängnisse zu bauen. Jugendstrafrecht ein gutes Beispiel sein.
– Kriminalpolitisch sollte die Stellung – Nicht zuletzt darf das Strafrecht
der gemeinnützigen Arbeit weitgehend nicht mehr als ein Instrument des
über ihr Potential hinaus als Alternative parteipolitischen Kampfes benutzt
zur Freiheitsstrafe und insbesondere zur werden, damit der Fehler, den die
kurzen Freiheitsstrafe werden lassen. Mongolei vor der Demokratisierung
Dadurch könnte es möglich werden, die begangen hat, nicht wiederholt wird.
Verhängung unbedingter Freiheitsstrafen
einzuschränken und die Entwicklung der Literaturverzeichnis
Gefangenenraten positiv zu beeinflussen.
Die Erweiterung des Anwendungsbereichs Albrecht, H.-J. (2007): Perspektiven
der gemeinnützigen Arbeit im kriminologischer Forschung. Der Wandel
mongolischen Strafrecht kann jedoch im Konzept der Sicherheit und neue
nur unter der Voraussetzung erfolgreich Aufgabenfelder der Kriminologie. In:
sein, wenn eine ausreichende Zahl Kriminologie im 21. Jahrhundert. Hrsg.
von geeigneten Beschäftigungsstellen K. Liebl. Wiesbaden, S. 177–201.
vorhanden ist, bzw. gewonnen werden Albrecht, H.-J. (2005): §§ 40-43,
kann. Durch den Aufwand für die §§ 59, 59a, 59b, 59c und 60. In: Nomos
Vermittlung der Beschäftigungsstellen Kommentar zum Strafgesetzbuch. 2. Aufl.
und die Betreuung der Verurteilten Hrsg. U. Kindhäuser, U. Neumann, H.-U.
während der Ableistung der Arbeit Paeffgen. Nomos, Baden-Baden.
entstehen zwar Kosten, denen man jedoch Albrecht, H.-J. & Hotter, I. (2003):
mit den weitaus höheren Kosten der Jüngste Vorschläge zu Reformen im
Gefängnisstrafen entgegenstellen muss, Bereich des Jugendstrafrechts. In: Recht
die derzeit vorrangig praktiziert werden. der Jugend und Bildungswesens 51, S.
Schließlich wiegt die Freiheitsstrafe auch 282–298.
als Kriminalsanktion bedeutend schwerer Albrecht, H.-J. (2000):
als die Ableistung gemeinnütziger Arbeit, Rechtsvergleichendes Gutachten, in:
die die Freiheit des Verurteilten weniger Abschlussbericht der Kommission
beschränkt. zur Reform des strafrechtlichen
– Da sich die Strafziele verändert Sanktionensystem, S. 20.
haben, sollte der Opferschutz mehr in Albrecht, H.-J. (1999): Strafen,
den Vordergrund gestellt werden als Sanktionen, Tabus in Europa –
Bibliographie. In: Das gemeinsame Haus
55
Armut ist kein Rechtfertigungsgrund für Verbrechen, Europa – Handbuch zur Kulturgeschichte
aber eine Ursache. Es ist leider ein häufig vorkommendes Europas. Hrsg. W. Köpke, B. Schmelz.
Phänomen in der mongolischen Gesellschaft, welches bei
der Normsetzung unbedingt mitberücksichtigt werden
DTV, München, S. 382-394.
sollte. Die Mongolei sollte vielmehr mit sinnvoller sozialer Albrecht, H.-J., Dünkel, F. & Spieß, G.
Politik nachhaltig die Ursachen der Armut bekämpfen, statt (1981): Empirische Sanktionsforschung
mit strengen Sanktionen gegen die Straftäter vorzugehen, und die Begründbarkeit von
die wegen ihrer Armut Verbrechen begehen.

61
LAW REVIEW 2015 ¹5(60)

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. Tübingen. diplomatischer Beziehungen zwischen
Calliess, R.-P. (1989): Die der Bundesrepublik Deutschland und der
Abschaffung der Todesstrafe – Mongolei, Ulaanbaatar 2004.
Zusatzprotokoll Nr. 6 zur Europäischen Konferenzunterlagen zum Thema
Menschenrechtskonvention, NJW 1989, „Reformen des öffentlichen Rechts und
1019–1021. des Strafrechts“, Ulaanbaatar, 2002.
Dünkel, F. (1983): Rechtliche, Kulemeier, R. (1993): Fahrverbot
rechtsvergleichende und kriminologische und Fahrerlaubnisentzug – Sanktionen
Probleme der Strafaussetzung zur zur Bekämpfung der allgemeinen
Bewährung, ZStW 95, S. 1039–1075. Kriminalität? NZV, 212–215.
Erster Schriftlicher Bericht Laun, S. (2002): Alternative
des Sonderausschusses für die Sanktionen zum Freiheitsentzug und die
Strafrechtsreform. BT-Drs. V/4094, S. 6 ff. Reform des Sanktionensystems, Frankfurt
Gebhardt, I. (2002): Justizreform in am Main.
der Mongolei. In: Jahrbuch für Ostrecht Maurach, R., Gössel, K.-H. & Zipf,
43, 1. Halbbd, S. 237–257. H. (1989): Strafrecht Allgemeiner Teil.
Germann, U. (2009): Zweispurige Teilbd. 2: Erscheinungsformen des
Verbrechensbekämpfung. Rg14/2009 (S. Verbrechens und Rechtsfolgen der Tat
84-121), unter: http://data.rg.mpg.de/ (C.F. Müller Lehr- und Handbuch). 7.
rechtsgeschichte/rg14_084germann.pdf Aufl., Heidelberg.
(abgerufen am 20. 08. 2015). Meier, B. D. (2006): Strafrechtliche
Heinz, W., (2007): Das Sanktionen. Springer-Lehrbuch. 2. Aufl.
strafrechtliche Sanktionensystem und die Nelle, D. (2003): Die Reform von
Sanktionierungspraxis in Deutschland Strafrecht, Strafprozess und Strafvollzug
1882–2005. Konstanzer Inventar in der Mongolei. ZStW 115, H. 2, S. 51–88.
Sanktionsforschung. Unter: www. Roxin, C. (2006): Strafrecht.
uni-konstanz.de/rtf/kis/sanks05.pdf Allgemeiner Teil, Bd. 1, 4. Aufl., München.
(abgerufen 1/2007). Roxin, C., (1997): Strafrecht.
Jehle, J.-M. (2015): Strafrechtspflege Allgemeiner Teil, Bd. 1: Grundlagen,
in Deutschland. Fakten und Zahlen. Aufbau der Verbrechenslehre, 3. Aufl.,
6. Aufl. Unter: http://www.bmj. Verlag C.H. Beck.
de/SharedDocs/Downloads/DE/ Scholler, H. (2010): Grundrechte und
Broschueren/Strafrechtspflege- Rechtskultur auf dem Weg nach Europa.
Deutschland.pdf?__blob=PublicationFile Berlin.
(abgerufen Oktober 2015). Walmsley. R., ICPS World Prison
Jescheck, H.-H. (2004): Brief, unter: http://www.prisonstudies.
Strafgesetzbuch. 39. Aufl., München 2004. org/info/worldbrief/wpb_country_
Jescheck, H.-H. & Weigend, T. (1996): print.php?country=104; (und =139)
Lehrbuch des Strafrechts. Allgemeiner (abgerufen am 23.05.2012).
Teil, 5. Aufl., Berlin. Weigend, T. (1986): Die kurze
Jescheck, H.-H. (1992): in: Leipziger Freiheitsstrafe – eine Sanktion mit
Kommentar, 11. Aufl., Berlin/New York. Zukunft? JZ, S. 260–269.
Kaiser, G. (1996): Kriminologie. Ein Wolfrum, R. (2006): Das Recht der
Lehrbuch. 3. Aufl., Heidelberg. Mongolei unter Dschingis Khan und
Kajuth,J. (2003): Монгол улсын seinen Nachfolgern: Die Bedeutung
эрүүгийн эрх зүйн цаашдын хөгжилд des Rechts in nicht-staatlich verfassten
өгөх зөвлөмж (Empfehlungen zur Gesellschaften. In: Verfassung und Recht
weiteren Entwicklung des mongolischen in Übersee (VRÜ). 39. Jg., S. 5–17.
Strafrechts, acht Jahre der mongolischen Монгол улсын Эрүүгийн хууль (Das
Rechtsreform), Ulaanbaatar, S. 503–528. Strafgesetzbuch der Mongolei), Төрийн

62
Before Creating a Law

мэдээлэл (Staatsbulletin), 2002 Nr. 5. der Gefängnisse separat gezählt werden.
Монгол улсын Эрүүгийн хууль Es gibt insgesamt nur 25 Gefängnisse mit
(Strafgesetzbuch der Mongolei), integrierten U-Haftanstalten sowie eine
Ulaanbaatar 2008. separate U-Haftanstalt. Die 11 Arresthäuser
sind ebenfalls in die Gefängnisse bzw. in die
U-Haftanstalten integriert.
(Footnotes)
1 Stand 2011. 4 Die amtliche Belegungsrate bezüglich
der Verteilung der Gefangenen bzw. der Bele-
2 Roy Walmsley, ICPS World Prison gung einzelner Vollzugsanstalten ist wegen
Brief, aus http://www.prisonstudies. der Zählweise nach Abteilungen nicht nach-
org/info/worldbrief/wpb_country_print. vollziehbar. Die Belegungsrate wurde wohl
php?country=104; ( und =139), vom automatisch über die Anzahl der Gefangenen
23.05.2012.
und Anstalten errechnet. In der Mongolei
3 Diese Angabe der Gesamtzahl ist werden ständig Probleme der Überfüllung
irreführend, weil hier einzelne Abteilungen einzelner Vollzugsanstalten mit einfachem
und strengem Regime berichtet.

---o0o---

63
LAW REVIEW 2015 ¹5(60)

TRUST LAW CONCEPTS IN
TRUST
MONGOLIA1 LAW CONCEPTS IN MONGOLIA1

J.Oyuntungalag (LL.D), Chief Judge of conducted in a rather informal way. These
the 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 Mongolia’s 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 another’s 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. (author’s 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

64
Before Creating a Law

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 another’s 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…)

65
LAW REVIEW 2015 ¹5(60)

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 settlor’s 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 owner’s 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 trustee’s 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 trustor’s 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-beneficiary’s
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 trustor’s 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.

66
Before Creating a Law

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 other’s 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 owner’s 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 other’s 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 guardian’s
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.

67
LAW REVIEW 2015 ¹5(60)

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 other’s
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 definition“33 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.&Int’lL.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.

68
Before Creating a Law

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 other’s
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.

69
LAW REVIEW 2015 ¹5(60)

effectively. 1.2.b. Types of the trusts. Hence
2. To make gift or charity. It enables it’s 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 it’s flexibility which is expressed by it’s
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. It’s 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 employer’s 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 author’s 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)

70
Before Creating a Law

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 other’s 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 and Fiduciary duty in Arkansas, Ark.L.Rev. (1999)
55
Supra note 56 at 33 57
Supra note 45 at 58

71
LAW REVIEW 2015 ¹5(60)

economic infrastructure, on contrary it
would be either a law on paper in best
case, or the tools to abuse unsophisticated
citizens, like in current scandals related
to the Loan& credit cooperatives, where
citizens are blaming the government for
legislations lacking institutional and legal
tools to protect citizens from abuses.
But trust principles related to the trust
property and fiduciary duties will be a
good standards which can shape property
remedial system of Mongolia.

(Footnotes)
1 I.H Art.233. (bailment is arisen
when one of the contract delivers a mon-
ey to other party as a guarantee of per-
forming obligations)

2 Dampuurliintukhaikhuuli [D.H]
[Bankruptcy Law] Art. 3.1.4 (This function
is performed by a trustee in bankruptcy
procedure, who is a person appointed by
the court with claimants proposals for ex-
ecuting work of liquidation and recapital-
ization, protecting and controlling assets
of the defendant)

72
Before Creating a Law

THE EXTRACTIVE INDUSTRY: LEGAL, ECONOMIC AND POLICY FRAMEWORK

J.Battuya, Managing Partner of lawyers, economists, analysts, and
Chinggis Law LLP 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 government’s 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 country’s 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
opportunities to investors, and promote protection.
sustainable development and economic It is noteworthy that Mongolia’s
diversification. legal and policy frameworks have been
The Minerals policy of Mongolia responsive to commodities boom and bust
highlights improving the legal cycles as well as investors’ interests. The
environment, promoting international objectives of mining sector policies have
initiatives for transparent and responsible increasingly moved beyond mobilized
mining, and understanding the impact revenue. In recent years, lower demand
of mining on social and economic for bulk commodities, combined with a
conditions. In addition, the same policy bleak global outlook and a production
discusses about preparing specialized hangover, sent commodity prices down,2
although in 2016 some commodity
1
A World Bank Study, 2015, The Extractive Industries Sec-
tor, Essentials for economists, public finance professionals, 2
PWC, Review of global trends in the mining industry, Mine
and policy makers, page 11 2016, page 5

73
LAW REVIEW 2015 ¹5(60)

prices have improved, and the outlook is “responsible mining” which implies safe
somewhat more promising. However, it is mining practices for the environment,
not safe to assume a direct connection people, and supporting the social and
between legal and economic cycles. The economic development of a host country.
duration of the investment downturn and “Transparent mining” practices ensure
recovery prospects are likely to be uneven that mining revenues are clearly and
in various countries.3 accurately reported, disclosed, and are
The Minerals law of Mongolia has managed at fair and equitable terms.
certain provisions to highlight which are In this regard, a resource rich country
outlined below: like Mongolia must pay ad equate attention
• An exploration or mining license to its taxation, accounting, revenue
may be pledged with banks or non- administration, contract negotiation and
banking institutions as security for management capacity. In addition, it is
receiving finance together with work crucial that the host country understands
result reports, geological information, and the economic meaning and effects of
feasibility studies. (Article 51) various taxes, and fees associated with
• “A deposit use agreement” may the mining well.
be entered into between the government 3. Legal and contractual regimes
and a mining business. The government The legal obligations placed on a
participation in mining projects may be company operating in the mining sector
agreed by such agreement. Up to a 50% may be enshrined in a mining law, in an
participation right may be permitted to individually negotiated agreement, or within
the government if the government funded model contracts with specified exceptions.
the costs of exploration for a strategically In a pure permit regime, the government
significant deposit. (Article 5) details all the major obligations for mining
• The government’s participation in companies in legislation, and companies
the strategically significant deposit may apply for permits for exploration and
be substituted by a royalty. (Article 5) extraction under the defined terms of
• Mineral royalties are increased laws. This framework allows little scope
to reflect market price rises for mineral for discretion in granting differential terms
products. (Article 47) for companies involved in the extraction
• An extraction license holder is of the same mineral. In a pure contractual
required to trade no less than 10% of its regime, the obligations of individual
shares at the Mongolian stock exchange. companies are negotiated and detailed in
(Article 5.6) a contract often referred to as a mineral
2. Mining industry is a business development agreement. In practice, most
The mining industry and investment countries do not operate a pure permit or
flows are international in nature. a pure contractual regime. The range of
Improving the Minerals laws and Minerals obligations that a typical mining company
policy is not sufficient to attract increased faces under a resource contract includes
foreign investment, and promote social fiscal regimes, operational commitments,
development and economic growth. environmental obligations, worker safety
The mining industry is a business. obligations, and social obligations.4
Therefore, a profit making goal is its 4. Role of the relevant ministries
essential element. In addition, the mining In general, the ministry of mining/
industry is subject to the requirement of resources is responsible for the overall
management of the extractive industry
3
African mining industry developments and opportunities: A
Global Perspective, Presentation delivered at Norton Rose 4
A World Bank Study, 2015, The Extractive industries sec-
Full bright Event by Professor Peter Cameron, Mining Inda- tor, Essentials for economists, public finance professionals,
ba, Cape Town, 9 February 2016, page 2 and policy makers, page 71

74
Before Creating a Law

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

75
LAW REVIEW 2015 ¹5(60)

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 government’s 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 effective, the very large imbalances in
future) and expenditures associated with expertise between governments and
a mining business to deal appropriately resource companies must be reduced
with the mining industry. by appropriate staffing, and staff training.
It should be noted that the mining Here, quality is more important than
investment involves an opportunity cost, quantity.
which means that the current use of mineral In respect of international initiatives,
resources reduces or depletes the supply in 2014, members of the Organization for
of mineral resources available for future Economic Co-operation and Development
use. This is particularly relevant to subsoil (OECD) including several developed
resources which are nonrenewable. 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

76
Before Creating a Law

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

77
LAW REVIEW 2015 ¹5(60)

powerful tool for achieving social goals.10 - Ensure that resource extraction
Although there are several methods takes place in a manner that minimizes
of profits sharing, there are legitimate environmental degradation and promotes
interests in the host country that local biodiversity;
regions develop, new jobs are created, - Ensure benefits for communities
targeted public programs are supported are defined through a fair process;
and the gap between the poor and rich - Develop capacity for local,
narrows. regional, and national value adding
At the end, the objectives of the through the development of upstream
mining sector policies may be, among and downstream linkages -as well as side
others, to: stream linkages to skills and technology-
- Offset the depletion of finite based sectors and infrastructure – and
subsoil assets with investments in human support for entrepreneurs at the local and
resources, infrastructure, and broader national levels;
and long term productive capacity and - Ensure health and safety
diversification; standards.11

10
Macartan Humphreys, Jeffrey D. Sachs, and Josepth E.
Stiglitz, Escaping the resource curse, 2007, Page 242-243

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

78
Before Creating a Law

INTRODUCTION TO MONGOLIAN LAW

Ts.Odgerel, Researcher of National Legal people’s right to govern. The Parliament
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 Nation’s 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 Mongolia’s 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).

79
LAW REVIEW 2015 ¹5(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 country’s 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

80
Before Creating a Law

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 President’s 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

81
LAW REVIEW 2015 ¹5(60)

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 President’s
Mongolian legal system was dramatically decree powers. The aim of both is to limit
transformed by the 1992 Constitution of the President’s 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 Nation’s
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

82
Before Creating a Law

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.
citizen’s 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 Minister’s 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 Minister’s 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.

83
LAW REVIEW 2015 ¹5(60)

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
Mongolia’s 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 Code’s 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 contract’s 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 it’s 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 People’s 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

84
Before Creating a Law

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
prosecutor’s 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.

85
LAW REVIEW 2015 ¹5(60)

proceedings of administrative cases at in Mongolia, such a company must
courts for protecting the person’s or legal be registered with the Legal Entities
entity’s 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 Group’s 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 government’s 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

86
Before Creating a Law

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 country’s 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:

87
LAW REVIEW 2015 ¹5(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---

88