Pursuant to subsection 3(1) of the Administrative Co-operation Act<fnref n="1" />, public law administrative duties may be assigned also to private persons, both natural and legal, by law or pursuant to law with a contract under public law or administrative legislation. The purposeful and effective functioning of these bearers of public administration is ensured by means of state supervision.<fnref n="2" /> The state itself remains ultimately responsible for performing the administrative function in question. Such a process is called delegation.

The volume, nature and scope of public administrative duties are constantly changing. A state working in the interests of the public must inevitably take the occurring changes into account in such a situation and find ways to perform its functions in a more practical, economical and effective manner. With regard to the arrangement of modern community life, the creation and implementation of decentralised administrative systems has justified itself in administrative practice.

The decentralisation of the decision-making process in public administration and the reinforcement of local democracy was one of the key objectives of the political and administrative reform in Central and Eastern European countries in the 1990s.<fnref n="3" /> Hence, Estonia's starting point was similar to those of the other former socialist countries or Soviet Union Republics.

Furnishing the applications of the decentralisation principle with theoretical meaning has merited discussion by researchers in different fields. In political science as well as management science literature, it has been taken to refer to a variety of different processes of change. According to Lane, the concept of decentralisation is controversial and can be applied to various processes of change: the geographic relocation of offices from towns to the periphery; privatisation; an emphasis on the execution, rather than planning and policy-making; participation at the local level, etc.<fnref n="4" />

The balance between the different forms of decentralisation has varied quite extensively by country. Hence, Pollitt and Bouckaert point out that it is a process that consists of at least three strategic possibilities:

1) political decentralisation or administrative decentralisation;

2) competitive decentralisation or non-competitive decentralisation;

3) internal decentralisation or external decentralisation (transferring the power of central government to local or regional bodies).

The balance between these different forms of decentralization has been rather different in EU countries. Once more, different countries have started from very different positions. Thus, for example, in each of France, Sweden, Finland, and the UK central governments have praised the virtues of decentralization, but in the early 1980s France and the UK were relatively centralized countries while the two Nordic states were both already extensively decentralized. Germany had been very decentralized since the Second World War, at least by Franco-British standards. Taking this into account, we can say that administrative decentralization has been the preferred form in the UK, while political decentralization has been the dominant type in Belgium, Finland, Germany, France and Sweden.<fnref n="5" />

We can conclude from the preceding discussion that the implementation of decentralisation is, above all, an expression of political will. The establishment of a person in public law is one option of modernising the state's organisation of public administration. This criterion provides the first argument for the use of the person in a public law model. Without a legal-political desire for decentralisation, a person in public law cannot be founded.

## 2.2. Public interest

Pursuant to subsection 25(2) of the General Part of the Civil Code Act⁶, in addition to the state and the local governments, a person in public law can also be another legal person founded in the public interest

<footnote n="1">¹ RT I 2003, 20, 17; RT I, 10.07.2012, 10.</footnote>

<footnote n="2">² (Note 2), p. 606.</footnote>

<footnote n="3">³ J. Prokop. G. Wright. Strateegiline haldusjuhtimine: põhimõtted ja rakendamine (Strategic Public Management: Principles and Applications). - Haldusjuhtimine Kesk- ja Ida-Euroopa siirderiikides: teoria juhtumianalüüsid (Public Management in the Central and Eastern European Transition: Concepts and Cases). G. Wright. J. Nemec (Ed.). Tartu 2003, pp. 78-79.</footnote>

<footnote n="4">⁴ J.-E. Lane. Avalik sektor. Kontseptsioonid, mudelid, lähenemisviisid (The Public Sector. Concepts, Models and Approaches). Külim.1996, pp. 202-203</footnote>

<footnote n="5">⁵ C. Pollitt. G. Bouckaert. Public management reform: a comparative analysis. 2. ed. Oxford University Press 2004, p. 87-88.</footnote>

<footnote n="1">¹ RT I 2002, 35, 216; RT I 06.12.2010, 12.</footnote>
and pursuant to an Act concerning the corresponding type of legal persons. With regard to the selection of
this other person in public law as one form of the decentralisation concept, it is certainly in order to
emphasise the public interest as a decisive legal criterion.

In legal argumentation, the concept of public interest is typically used as a justification for a restriction
on the fundamental rights. In addition to a ground for restriction, the concept of public interest also serves
another purpose in the legal order. Pursuant to the above-mentioned clause of the GPCCA¹, a person in
public law is founded in the public interest. However, the Act fails to define the concept of public interest.

In literature, attempts have been made to explain the concept of public interest by providing a description of its nature, according to which public interests are the common interests of the members of the state as a community. In the most general form, these constitute a certain sum total of the private interests of the community members. Unless the public interests are ensured, people cannot coexist socially. Public interests are realised through fields such as education, culture, healthcare and legal order, among others.<fnref n="2" />

The concept of public interest is quite often used in legal argumentation. However, few lawyers have tried to construe the actual meaning of this concept in depth. We must accept the fact that it is an undeterminable legal concept, for due to its high level of abstraction and contextual relevance it is impossible to define the concept of public interest exhaustively.<fnref n="3" />

The state's administrative agencies are founded and they function in the public interest. Hence, the public interest is the objective of the creation and functioning of the state's administrative agencies as well as legal persons in public law. There are no qualitative differences here, nor can there be any.<fnref n="4" />

Public law administrative duties can also be assigned to private persons, both natural and legal, by law or pursuant to law with a contract under public law or administrative legislation. Here, too, the public interest is realised.<fnref n="5" /> The state may also found legal persons in private law in the public interest.<fnref n="6" />

It has been pointed out in literature that the interest criterion is above all a guideline to help the legislator decide whether a person in public law governed by a separate Act must be founded for activity in the area related to the particular public interest, or whether the corresponding duties might be delegated to a legal person in private law.<fnref n="7" /> With a person in public law, a heightened public interest in its existence and functioning has been emphasised, in particular.<fnref n="8" />

In the author's opinion, an explanation and justification of the need for public interest would be in order in the explanatory memorandum to draft Acts. The exact meaning of public interest, however, can be determined in relation to a specific case, whereby it must be taken into account that such a determination is bound to change in time as well as in space. A distinction should be made between the existence of a public interest and its realisation through the will of the legislator by means of a foundation of a person in public law. A person in public law serves the interests of the public, i.e., it is directed to the achievement of objectives unrelated to the interests of a specific individual or group of persons. If the performance of a particular administrative function requires the protection of the public interest, founding a person in the public law is the most practical option of all the possible choices.

**2.3. Transfer of functions to persons in public law**

In addition to public interest, what matters in the foundation of a person in public law is the determination of its functions. Here it is relevant to analyse what kinds of public functions the state decides to assign to the bearer of indirect state administration that is to be created or is already operating. One of the

<footnote n="2">²(Note 8)</footnote>

<footnote n="3">³ K. Merusk. Avalik-õiguslik juriidiline isik avaliku halduse organisatsioonis (Public Legal Person in the Public Administration). - Juridica 1996/4, pp. 174-178.</footnote>

<footnote n="4">⁴ K. Ikkonen. Avalik huvi kui määratlemata õigusmõiste (Public Interest as an Undeterminable Legal Concept). – Juridica 2005/3, p. 199.</footnote>

<footnote n="5">⁵ K. Merusk (Note 10), pp. 174-178.</footnote>

<footnote n="6">⁶(Note 2), p. 606.</footnote>

<footnote n="7">⁷ Tsiviilseadustiku üldosa seadus. Kommenteeritud väljaanne (General Part of the Civil Code Act. Commented edition). Tallinn 2010, p. 85.</footnote>

<footnote n="8">⁸ *Ibidem*, pp. 85-86.</footnote>

<footnote n="9">⁹ Tsiviilõiguse üldosa (General Civil Law). Tallinn 2012, p. 261.</footnote>
decisive arguments for or against the rationality of using a person in public law is, no doubt, the question of the extent and purpose of the decentralisation of the performance of state functions. The peculiarity and historic traditions of the area of activity often play an important part here (e.g., public universities, the Cultural Endowment of Estonia).

The most important part of the state authority is called the core duties or core functions of the state.<fnref n="1" /> The Supreme Court holds the view that the core functions consist in the duties that are to be performed by the state in the meaning of the Constitution. The state authority must not delegate the performance of the state's core functions to any natural or legal person in private law.<fnref n="2" />

This could be called a prohibition on the delegation of the state's core functions arising from subsection 3(1) of the Constitution. It means that pursuant to the Constitution, the state itself must typically perform its core functions, and it is only in exceptional cases that these can be delegated to a legal person in public law subordinate to the state.<fnref n="3" />

The Preamble to the Constitution sets forth the main functions of permanent nature that the state is obligated to perform. For instance, the primary duty of the state is to protect internal and external peace and security within the society. The traditional functions of a state also include foreign relations, finance, the compulsory execution of judicial decisions, and of course legislation and administration of justice, although these are not part of the administrative matters.<fnref n="4" />

From the perspective of legal theory, we can here rely on the opinion of the Supreme Court, according to which the public functions (administrative duties) can be defined as functions assigned to administrative institutions either directly by law or pursuant to law, or as functions derived from the corresponding legal provisions by means of interpretation. A public function does not necessarily entail the use of the authority of the executive power.<fnref n="5" />

If there is a political will in the state to decentralise the organisation of public authority, and there are certain functions whose transfer to a person in public law is in the public interest, the main question is whether the performance of a particular function by a person in public law makes it possible to best protect the interests of the public.

## 2.4. Autonomy

### 2.4.1. Overview

Having analysed the criteria cited above, the state can choose between different solutions to all of them. Hence, an additional key criterion is needed for deciding why a particular administrative function should be assigned to a person in public law. This criterion is autonomy.

In European Judicial Area, autonomy refers to an independent subject of law, the principle of self-government. The legal independence of persons in public law, including universities, enables them to carry out administration with sole responsibility, i.e., to perform public law administrative duties in a solely responsible manner.<fnref n="6" />

Once the state has decided for a person in public law, it must be able to explain why the autonomous person in public law is better able to perform the particular administrative function and protect the public interest than, for example, an institution managed by a government agency or a person in private law. The following aspects must be taken into account here: persons in public law are not part of the state's administrative organisation, their competence and right to self-regulation are provided by law, their employees are not public servants, the persons in public law are not generally subject to supervisory control, etc. Autonomy gives the person in public law, as the person solely responsible for performing the administrative function, independent competence and right to self-regulation within the limits set by the will

<footnote n="1">¹ (Note 2), p. 53.</footnote>

<footnote n="2">² RKÜKo (judgment of the general assembly of the Supreme Court) 16.05.2008, 3-1-1-86-07, p. 21.</footnote>

<footnote n="3">³ Note 2), p. 53.</footnote>

<footnote n="4">⁴ K. Merusk. Avalike ülesannete eraõiguslikele isikutele üleandmise piirid. Konstitutsiooni- ja haldusõiguse aspekte (Limitations to the Transfer of Public Functions to Persons in Private Law: Aspects of Constitutional Law and Administrative Law). - Juridica 2000/ 8, p. 501.</footnote>

<footnote n="5">⁵ Riigikohtu erikogu määrus (Ruling of the Special Panel of the Supreme Court). 16.02.2010, 3-3-4-1-10, p. 5.</footnote>

<footnote n="6">⁶ K. Merusk. Ülikooli õiguslik staatus (Legal Status of the University). - Juridica 1995/5, pp. 183-186.</footnote>
of the legislator. Here a distinction should be made between persons in public law with constitutional autonomy and those whose legal status and competence are only provided by law. The Constitution acknowledges three autonomy clauses of a similar structure: the autonomy of the university and the research institution, the autonomy of the Bank of Estonia, and the autonomy of the local government.<fnref n="1" /> The latter falls beyond the scope of this article.

### 2.4.2. Constitutional autonomy

Next, we will discuss the constitutional autonomy of the university and the Bank of Estonia. Subsection 38(1) of the Constitution provides for freedom of science and its instruction. Pursuant to subsection 38(2) of the Constitution, universities and research institutions are autonomous within the restrictions prescribed by law. The freedom of science and its instruction (academic freedom) and the autonomy of universities and research institutions (institutional autonomy) are intrinsically connected: free scientific research and instruction cannot exist without autonomous universities and research institutions.<fnref n="2" />

The autonomy of the university and the research institution means that such an institution must have a right to self-regulation. This right protects the universities and research institutions from outside interference, especially excessive interference by the state.<fnref n="3" />

Institutional autonomy entails sufficient independence in aspects related to internal organisation and management structure, the internal allotment of resources and the procurement of resources from the private sector, the recruitment of personnel and setting the terms for studies, but most of all the freedom of research and instruction.<fnref n="4" />

A typical modern central bank is a legal person founded by the state, separated from the bodies of executive power, and given the monopoly on the issue of money. The most important requirement to the central banks of the European Union member states is their autonomy.<fnref n="5" /> The independence of the central bank is achieved through institutional, personal and economic independence.<fnref n="6" />

The Bank of Estonia acts pursuant to law and reports to the Riigikogu (§112 of the Constitution). The cited provision sets forth the guarantees of the independence of the Bank of Estonia as a bank of issue. The independence of a bank of issue from the government is an important guarantee of the state's economic development and stable currency.<fnref n="7" />

Pursuant to subsection 3(1) of the Bank of Estonia Act, when performing the functions of the European System of Central Banks, the only body from which the Bank of Estonia and members of its governing bodies may request and receive instructions for execution is the European Central Bank.<fnref n="8" />

Eesti Pank is central bank of the Republic of Estonia and a member of the European System of Central Banks. Estonia adopted the euro on 1 January 2011. This also meant that Eesti Pank joined the Eurosystem.

### 2.4.3. The autonomy of other persons in public law

The legal status and competence of all other persons in public law are provided solely by law. Pursuant to subsection 3(1) of the Constitution, the state authority is exercised solely pursuant to the Constitution and laws which are in conformity therewith. This is a principle of legality characteristic of a state based on the rule of law.⁹ An indispensable adherence to this provision must occur in the realisation of the legislator's will also in the Acts concerning all the other persons in public law.

<footnote n="1">¹ (Note 2), p. 81.</footnote>

<footnote n="2">² (Note 2), p. 425.</footnote>

<footnote n="3">³ *Ibidem*, p. 427.</footnote>

<footnote n="4">⁴ *Ibidem*, pp. 427-428.</footnote>

<footnote n="5">⁵ A. Tupits. Euroopa Liidu riikide keskpankade õigusliku seisundi võrdlus (Comparison of the Legal Status of the Central Banks of EU Member States). - Juridica, 2000/1, p. 55.</footnote>

<footnote n="6">⁶ A. Tupits. Keskpanga funktsioonid (Functions of the National Central Bank). - Juridica 2001/3, p. 163.</footnote>

<footnote n="7">⁷ (Note 2), p. 664.</footnote>

<footnote n="8">⁸ RT I1993,28,498; RT I 23.12.2011,13.</footnote>

<footnote n="1">¹ (Note 1), p. 46.</footnote>
Although they lack constitutional autonomy, these independent subjects of law also have a right to self-regulation and competence pursuant to the Act serving as a basis for their activity. These persons in public law must be given autonomy by law to an extent that enables them to independently perform the administrative function transferred by the state through self-regulation and competence in the best possible manner.

### 3. ON THE POSSIBILITIES OF HARMONISING THE REGULATION OF PERSONS IN PUBLIC LAW

Given that other persons in public law are founded on the basis of separate Acts, the main problem here lies in the question of whether, and to what extent, it would be necessary to harmonise the current regulation. The range of issues needing harmonisation could be as follows: general principles of foundation, operation and termination; types of persons in public law; requirements for the articles of association; directing bodies, their formation procedure, competence and responsibility; principles of funding; conditions of the possession, use and disposal of assets; requirements for the accounting procedure, reporting and auditing; relationship to the state. Due to the limited scope of this article, the author will only discuss the following issues: types of persons in public law; requirements for the articles of association; the formation of directing bodies; the legal status of members of directing bodies and the requirements set for them.

#### 3.1. Types of persons in public law

Pursuant to subsection 25(1) of the GPCCA<fnref n="1" />, the legal persons in private law are: general partnerships, limited partnerships, private limited companies, public limited companies, commercial associations, foundations and non-profit associations. This list is exhaustive.

To ensure the protection of third party rights and legal certainty, the legislator has established a principle of *numerus clausus* with regard to the types of legal persons in private law, i.e., only the associations defined by law as persons in private law are recognised as persons in private law.<fnref n="2" />

No similar exhaustive list can be found in the law for the types of persons in public law. In the Comments on the Constitution, a traditional classification of other persons in public law has been given: self-governing professional associations, institutions with passive legal capacity, and public foundations. Even though it may sometimes prove difficult to categorise a particular legal person, all persons in public law can still be grouped under these types.<fnref n="3" />

All these types are actually represented in the Estonian legal space. There are 22 persons in public law in total.

A self-governing professional association is a membership-based legal person. In Estonian legal order, self-governing professional associations include, for example, the Estonian Academy of Sciences, the Estonian Bar Association, the Chamber of Notaries, etc.<fnref n="4" />

An institution with passive legal capacity means that a set of human and material assets constituted for performing a public function (i.e., an institution) has been given the status of a legal person by law. An institution with passive legal capacity may also be a person in public law that has no characteristics of another type. Estonian institutions with passive legal capacity include, for example, Estonian Public Broadcasting, public universities, the National Library, etc.<fnref n="5" />

A public foundation is a legal person created for managing the assets allotted to a specific purpose. Public foundations include the Health Insurance Fund, the Unemployment Insurance Fund and the Guarantee Fund, among others.⁶

The classification of persons in public law could take place according to the generally accepted principles described above. This would make it possible to improve the legal clarity of the general regulation.

<footnote n="2">² (Note 8)</footnote>

<footnote n="3">³ (Note 14), p. 86.</footnote>

<footnote n="4">⁴ (Note 2), p. 81.</footnote>

<footnote n="5">⁵ (Note 2), p. 81.</footnote>

<footnote n="1">¹ *Ibidem*, p. 81.</footnote>

<footnote n="2">² *Ibidem*, p. 82.</footnote>
Providing legal definitions of the types would help to elucidate the peculiarities of the respective persons as well as to unify the level of regulation within the type.

**3.2. Articles of association of persons in public law**

A person in public law is required to have articles of association if so provided in an Act pertaining to it (subsection 28(4) of the GPCCA).<fnref n="1" /> As a result of such regulation, not all persons in public law have articles of association, including the Cultural Endowment and Estonian Public Broadcasting.²

When comparing the legal purposes and natures of the internal instruments grounding the activity of persons in private and public law, several fundamental differences emerge. Articles of association are an instrument of constitution to be compiled as an annex to the memorandum of association or the foundation resolution upon the establishment of any foundation or any association of persons with a corporate structure.<fnref n="3" />

Once a person in private law has been entered into the register, the articles of association remain the sole instrument reflecting the principles of the organisation and activity of that legal person.<fnref n="4" />

The approval and registration of the articles of association of a person in public law does not usually involve the acquisition of passive legal capacity.<fnref n="5" /> Pursuant to subsection 26(2) of the GPCCA<fnref n="6" />, the passive legal capacity of a person in public law arises at the time provided in an Act. In a situation where a person in public law is founded with a separate Act, the person is deemed as founded and its passive legal capacity as present from the time of entry into force of the Act pertaining to it, e.g., subsection 3(1) of the Guarantee Fund Act<fnref n="7" /> (GFA). The passive legal capacity of a person in public law is generally not affected by its entry in the state register of state and local government agencies, nor is it affected by the question of whether or not the instruments serving as a basis for its internal operations have been approved and the directing bodies formed.<fnref n="8" />

When it comes to the requirements for the contents of the articles of association, regulation varies. As a general rule, the requirements for the contents of the articles of association are as follows, for instance in subsection 9(6) of the Universities Act<fnref n="9" /> (UA):

1) the full name of the university in Estonian and in English and seat of the university;

2) the purpose of the activities and the functions of the university, and the areas of activity of the university (education, research, development, etc.);

3) the conditions and procedure for studies and the procedure for the preparation of curricula;

4) members of the university and their rights and obligations;

5) the council of the university, the procedure for its formation and the bases for its activities;

6) the structure of the university, the development thereof, the procedure for amendment thereof, and the management of structural units;

7) reporting and auditing;

8) the procedure for the adoption of the statutes of the Student Body.

At the same time, no requirements have been set for the articles of association in the National Institute of Chemical Physics and Biophysics Act.<fnref n="10" />

The articles of association of a person in public law are approved by an authorised person or agency cited in the Act pertaining to it. This could be the Government of the Republic (e.g., the Guarantee Fund) or

<footnote n="3">³ (Note 8)</footnote>

<footnote n="4">⁴ (Note 14), p. 101.</footnote>

<footnote n="5">⁵ (Note 14) p. 99.</footnote>

<footnote n="6">⁶ *Ibidem*, pp. 99-100.</footnote>

<footnote n="7">⁷ *Ibidem*, p. 101.</footnote>

<footnote n="8">⁸ (Note 8)</footnote>

<footnote n="9">⁹ RT I 2002, 23, 131; RT I, 08.07.2011, 32</footnote>

<footnote n="10">¹⁰ (Note 14), p. 94.</footnote>

<footnote n="11">¹¹ RT I 1995, 12, 119; RT I, 10.07.2012, 28</footnote>

<footnote n="1">¹ RT I 1998, 101, 1664; RT I 2002, 90, 521</footnote>
a Minister (e.g., the Chamber of Notaries). The articles of association may be approved by the highest
directing body of the person in public law (e.g., the University of Tartu).<fnref n="1" />

In the author's opinion, all persons in public law should have articles of association. The articles of association would make it possible to further specify the legal relations between the directing bodies, the organisational structure and internal procedures, in addition to what has already been regulated by law. By means of articles of association, a person in public law is able to realise its right to self-regulation. When the legislator founds a person in public law without the requirement of articles of association, this limits the autonomy of the person on the one hand, while the complexity of the legislative process and its connections to the political will might prove a hindrance to the execution of a change of a self-regulatory nature. Minimum requirements for the articles of association, by type if necessary, should be provided by law. Regulation concerning the approval of the articles of association also needs to be harmonised.

3.3. Formation of directing bodies

Both persons in private and public law need bodies in order to take part in legal relations and to shape
and express the will required for it.<fnref n="2" />

The bodies of a person in public law are prescribed by law (subsection 31(4) of the GPCCA).<fnref n="3" /> This goes for bodies in general, but also directing bodies.<fnref n="4" />

Given that persons in public law vary greatly by function, historic traditions and type-specific features,
different names are used for their bodies and directing bodies.

In a self-governing professional association, the highest directing body is the general meeting of its members, which can be given different names (e.g., general assembly of the Bar Association, meeting of the Chamber of Notaries). In most cases, management is carried out by the management board, whereas in the Estonian Bar Association, managerial duties are additionally performed by the chairman and the chancellor of the Bar Association.<fnref n="5" />

In institutions with passive legal capacity, the highest directing body is the supervisory board.<fnref n="6" /> Executive management is carried out by the rector in a university (subsection 16(1) of the UA)<fnref n="7" />, by the management board of Estonian Public Broadcasting (subsection 23(1) of the Estonian National Broadcasting Act)<fnref n="8" />, and by the director general in the National Library (subsection 15(1) of the Estonian National Library Act).<fnref n="9" />

In public foundations, the directing bodies are the supervisory board and the management board (e.g., the Unemployment Insurance Fund). However, the number of supervisory board members varies quite a bit. For instance, pursuant to subsection 28(1) of the Unemployment Insurance Act<fnref n="10" /> (UIA), the supervisory board of the Unemployment Insurance Fund consists of six members, whereas the supervisory board of the Health Insurance Fund has 15 members (subsections 9(1) to 9(5) of the Estonian Health Insurance Fund Act).<fnref n="11" />

The terms of authority of the supervisory boards also vary. In addition to the common 5-year authority, like that of the supervisory board of the Unemployment Insurance Fund (subsection 29(3) of the UIA)¹², there are also terms of authority lasting for only 2 years, for example in the supervisory board of the Cultural Endowment (subsection 11(3) of the Cultural Endowment of Estonia Act).¹³

<footnote n="2">² (Note 14), p. 101.</footnote>

<footnote n="3">³ (Note 14), pp. 107-108.</footnote>

<footnote n="4">⁴ (Note 8)</footnote>

<footnote n="5">⁵ (Note 14), p. 109.</footnote>

<footnote n="6">⁶ *Ibidem*, p.109.</footnote>

<footnote n="7">⁷ (*Ibidem*), p. 109.</footnote>

<footnote n="8">⁸ (Note 46).</footnote>

<footnote n="9">⁹ RT I 2007, 10, 46; RT I, 06.01.2011, 27</footnote>

<footnote n="10">¹⁰ RT I, 09.03.2011, 4</footnote>

<footnote n="11">¹¹ RT I 2001, 59, 359; RT I, 26.03.2013, 11</footnote>

<footnote n="1">¹ RT I 2000, 57, 374; RT I, 23.12.2011, 7</footnote>

<footnote n="2">² (Note 57)</footnote>

<footnote n="3">³ RT I 1994, 46, 772; RT I, 29.06.2012, 9</footnote>
The procedure for the formation of directing bodies, their numbers and the different terms of authority, as analysed above, raise the question of the justification of such great variations. The author believes that here, too, regulation should be harmonised.

### 3.4. The legal status of members of directing bodies of persons in public law and the requirements set for them

Pursuant to subsection 1(5) of the Employment Contracts Act<fnref n="1" />, the provisions concerning employment contracts do not apply to the contracts of members of directing bodies of legal persons. Their relationship to the legal person is that of authorisation.<fnref n="2" />

The Supreme Court, too, maintains that the legal relations between a member of the management board and an incorporated entity are based on the law of obligations and are similar to a contract by nature, and the provisions of an authorisation agreement can be applied to these relations.<fnref n="3" />

Pursuant to subsection 31(2) of the GPCCA<fnref n="4" />, the directing body of a legal person in private law is the management board. If the law provides for the existence of a supervisory board, the supervisory board is also a directing body. The bodies of a legal person in public law are prescribed by law (subsection 31(4) of the GPCCA).<fnref n="5" />

It follows from this that the bodies and especially the directing bodies of a legal person in public law must be determined on the basis of the Act grounding its activity. If the directing body is a management board or its substitute, a separate contract should be concluded with a member of the management board or its substitute also in the case of a person in public law (a so-called management board contract). This contract merely supplements and specifies the rights and obligations arising from the legal relations between the parties that are already regulated by law (e.g., the amount of remuneration, duration of holiday, compensations).<fnref n="6" />

The legal status of the members of management boards (or their substitutes) of persons in public law has been defined in different ways. In most cases, the Employment Contracts Act does not apply to the members of management boards; however, pursuant to subsection 11(4) of the National Opera Act<fnref n="7" /> (NOA), an employment contract is concluded with the director general. In a similar manner, an employment contract is also concluded with the creative director (subsection 12(4) of the NOA).<fnref n="8" /> Pursuant to the Act, the National Opera is directed by the supervisory board, director general and creative director (ROS §5).<fnref n="9" /> It remains unclear whether the director general and the creative director have the status of members of a management board with whom a management board contract should thus be concluded.

A comparison of public foundations points to varying regulation with regard to the requirements and restrictions set by law for members of management boards. For example, pursuant to subsection 19(1) of the GFA<fnref n="10" />, a director of the Guarantee Fund is required to have active legal capacity, Estonian citizenship, adequate higher education, etc. The legislator has also stipulated who cannot be appointed as director of the Guarantee Fund (subsection 19(2) of the GFA)<fnref n="11" />. At the same time, the legislator has set no requirements or restrictions for members of the management board of the Unemployment Insurance Fund (§30 of the UIA).<fnref n="12" />

The legal status of members of directing bodies, especially the management board or its substitute, is in need of harmonisation. A situation where employment contracts are concluded with members of bodies

<footnote n="4">⁴ RT I 2009, 5, 35; RT I, 22.12.2012, 30</footnote>

<footnote n="5">⁵ Võlaõigusseadus III. Kommenteeritud väljaanne (Law of Obligations III. Commented edition). Tallinn 2009, p. 5.</footnote>

<footnote n="6">⁶ RKTKo (ruling of the Civil Chamber of the Supreme Court) 11.05.2005, 3-2-1-41-05 p 18.- RT III 2005, 17, 181</footnote>

<footnote n="7">⁷ (Note 8)</footnote>

<footnote n="8">⁸ *Ibidem*</footnote>

<footnote n="9">⁹ (Note 14), p. 127.</footnote>

<footnote n="10">¹⁰ RT I 1997, 93, 1558</footnote>

<footnote n="11">¹¹ *Ibidem*</footnote>

<footnote n="12">¹² *Ibidem*</footnote>

<footnote n="1">¹ (Note 44)</footnote>

<footnote n="2">² *Ibidem*</footnote>

<footnote n="3">³ (Note 57)</footnote>
of some persons in public law (essentially substitutes for the management board) whereby this points to a
labour law relationship, although the Employment Contracts Act excludes this possibility, cannot be deemed
legally correct. The requirements and restrictions for members of directing bodies are also in need of legal
analysis and unified regulation.

**3.5. Principles of Persons in Public Law Act – a practical outlet for the legal-theoretical model**

Persons in public law as independent subjects of law have been operating in our organisation of public administration for nearly twenty years. The practice of these indirect bearers of administration, positive and negative experience, but most of all the development of constitutional and administrative law have created a pressing need for an analysis of the Acts serving as the basis for the activity of the persons in public law in order to harmonise regulation.

The General Part of the Civil Code Act¹ regulates the foundation, activity, management, termination and other issues concerning the legal status of a person in public law in a highly generalised manner. The passive legal capacity of a person arises at the time provided by the respective Act. Directing bodies and their competence has also been left for the specific Act to regulate. Hence, the legislator has exercised very little discretion here, most likely taking into account the autonomy as well as historic traditions of the persons in public law. In a democratic state based on the rule of law, law is the main means of implementing political decisions. Therefore, the success of the implementation of political decisions greatly depends on the quality of the chosen legal solution. This inevitably raises the question of the limitations to the legal regulation of the will of the legislator. Does the highly generalised regulation as described above not give rise to a possibility that each specific law concerning a person in public law seems to be supplying a new idea of the nature of a person in public law and of the regulation of its activity?

The author believes that the legal framework of the person in public law could be improved by
developing harmonised basic principles, whose practical outlet might be the development of a Principles of
Persons in Public Law Act or the addition of this part to the General Part of the Civil Code Act. The range
of issues in need of harmonisation could be as follows:

1) general principles of foundation, operation and termination;

2) types of persons in public law;

3) requirements for the articles of association;

4) directing bodies, their formation procedure, competence and responsibility;

5) principles of funding;

6) conditions of the possession, use and disposal of assets;

7) requirements for the accounting procedure, reporting and auditing;

8) relationship to the state.

**4. CONCLUSION**

Legal persons in public law have an important role in the organisation of Estonia's public administration by performing the administrative functions transferred to them by the state as indirect bearers of state administration. An analysis of the possibilities of this form of legal arrangement in the organisation of public administration took place years ago, and in more recent times, the theoretical advancement of the concept of a person in public law has been modest.

The author believes that the foundation process of persons in public law should be based on a theoretically organised concept. In the future, when deciding for the person in public law model, the state should first analyse all of the founding criteria to be able to arrive at the conclusion that it is indeed a person in public law that is best able to perform the particular administrative function transferred by the state on the basis of independent competence and self-regulation, thereby protecting the interests of the public, first and foremost.

<footnote n="4">⁴ (Note 8)</footnote>
The legal environment of persons in public law requires a systematic analysis, in the author's opinion, as the level of the existing legal regulation varies greatly. The situation could be improved by the development of unified principles, whose practical outlet might be the development of a Principles of Persons in Public Law Act or the addition of this part to the General Part of the Civil Code Act.

**Bibliography:**

1. Eesti Haigekassa seadus (Estonian Health Insurance Fund Act) RT I 2000, 57, 374; RT I, 23.12.2011, 7.

2. Eesti Kultuurkapitali seadus (Cultural Endowment of Estonia Act) RT I 1994, 46, 772; RT I, 29.06.2012, 9.

3. Eesti Panga seadus (Bank of Estonia (Eesti Pank) Act) RT I 1993, 28, 498; RT I 23.12.2011, 13.

4. Eesti Rahvusraamatukogu seadus (Estonian National Library Act) RT I, 09.03.2011, 4.

5. Eesti Rahvusringhäälingu seadus (Estonian National Broadcasting Act) RT I 2007, 10, 46; RT I, 06.01.2011, 27.

6. Eesti Vabariigi põhiseadus. Kommenteeritud väljaanne (Republic of Estonia Constitution. Commented edition). Tallinn 2008.

7. Eesti Vabariigi põhiseadus. Kommenteeritud väljaanne (Republic of Estonia Constitution. Commented edition). Tallinn 2012.

8. Halduskoostöö seadus (Administrative Co-operation Act). RT I 2003, 20, 17; RT I, 10.07.2012, 10.

9. K. Ikkonen. Avalik huvi kui määratlemata õigusmõiste (Public Interest as an Undeterminable Legal Concept). – Juridica 2005/3, pp 187-199.

10. Keemilise Bioloogia ja Füüsika Instituudi seadus (National Institute of Chemical Physics and Biophysics Act) RT I 1998, 101, 1664; RT I 2002, 90, 521.

11. J.-E. Lane. Avalik sektor. Kontseptsioonid, mudelid, lähenemisviisid (The Public Sector. Concepts, Models and Approaches). Külim. 1996.

12. K. Merusk. Ülikooli õiguslik staatus (Legal Status of the University). - Juridica 1995/5, pp. 183-186.

13. K. Merusk. Avalik-õiguslik juriidiline isik avaliku halduse organisatsioonis (Public Legal Person in the Public Administration). - Juridica 1996/4, pp. 174-178.

14. K. Merusk. Avalike ülesannete eraõiguslikele isikutele üleandmise piirid. Konstitutsiooni- ja haldusõiguse aspekte (Limitations to the Transfer of Public Functions to Persons in Private Law: Aspects of Constitutional Law and Administrative Law). - Juridica 2000/ 8, pp 499-507.

15. C. Pollitt. G. Bouckaert. Public management reform: a comparative analysis. 2. ed. Oxford University Press 2004.

16. J. Prokop. G. Wright. Strateegiline haldusjuhtimine: põhimõtted ja rakendamine (Strategic Public Management: Principles and Applications). - Haldusjuhtimine Kesk- ja Ida-Euroopa siirderiikides: teooria juhtumianalüüsid (Public Management in the Central and Eastern European Transition: Concepts and Cases). G. Wright. J. Nemec (Ed.). Tartu 2003.

17. Rahvusooperi seadus (National Opera Act) RT I 1997, 93, 1558.

18. RKTKo (ruling of the Civil Chamber of the Supreme Court) 11.05.2005, 3-2-1-41-05 p 18.- RT III 2005, 17, 181.

19. RKÜKo (judgment of the general assembly of the Supreme Court) 16.05.2007, 3-1-1-86-07.

20. Riigikohtu erikogu määrus (Ruling of the Special Panel of the Supreme Court). 16.02.2010, 3-3-4-1-10.

21. Tagatisfondi seadus (Guarantee Fund Act) RT I 2002, 23, 131; RT I, 08.07.2011, 32.

22. Tsiviilseadustiku üldosa seadus (General Part of the Civil Code Act) RT I 2002, 35, 216; RT I 06.12.2010, 12.

23. Tsiviilseadustiku üldosa seadus. Kommenteeritud väljaanne (General Part of the Civil Code Act. Commented edition). Tallinn 2010.

24. Tsiviilõiguse üldosa (General Civil Law). Tallinn 2012.

25. A. Tupits. Euroopa Liidu riikide keskpankade õigusliku seisundi võrdlus (Comparison of the Legal Status of the Central Banks of EU Member States). - Juridica, 2000/1, pp.54-62.

26. A. Tupits. Keskpanga funktsioonid (Functions of the National Central Bank). - Juridica 2001/3, pp.160-169.

27. Töölepingu seadus (Employment Contracts Act) RT I 2009, 5, 35; RT I, 22.12.2012, 30

28. Töötuskindlustuse seadus (Unemployment Insurance Act) RT I 2001, 59, 359; RT I, 26.03.2013, 11

29. Võlaõigusseadus III. Kommenteeritud väljaanne (Law of Obligations III. Commented edition). Tallinn 2009

30. Ülikooli seadus (Universities Act) RT I 1995, 12, 119; RT I, 10.07.2012, 28

<figure><img src="image_44.png" /></figure>
# Peculiarities of Organization and Functioning of Specialized Judicial Bodies in Great Britain

SVITLANA HLUSHCHENKO

PhD in Law, Researcher of Chair for Organization of Judicial and Law-Enforcement Bodies of the National University “Yaroslav the Mudriy Legal Academy of Ukraine”

**Abstract:** Issues connected with peculiarities of functioning of specialized judicial bodies in Great Britain are considered in the article, taking into account the general law system dominating in this country. In view of the progressive movement to Ukraine's Association Agreement with the EU, the achievements gained by the British judicial system, in the context of the organization and activities of the specialized judiciary, is important for Ukraine and for the construction of specialized courts.

**Keywords:** Association agreement with the EU, British judicial system, Ukrainian judicial system, specialization, specialized judicial body, competence, jurisdiction.

<figure><img src="image_45.png" /></figure>

In modern world there are different legal systems. This fact is caused by diversity in national-historical and social-economical development, customs, religion impact, etc. Therefore, legal system, on the basis of which structure of a certain judicial system, organizational and legal order of authorities realization by courts, competence content of their legal status and constructing of judicial defence mechanism are formed, depends on legal traditions of each country.

In Ukraine holding of judicial reform events is inseparably connected with changing of legal status of specialized courts as a component of system of general jurisdiction courts. Despite significant amount of works devoted to this topic, such as works of I. Nazarov, V. Shyshkin, O. Frytskyi, R. Davyd, T. Aparova, E. Bodenheimer and others, experience of English legal system in the issues of judicial system construction, competence of judicial bodies, determination of place and role of specialized judicial bodies has special significance for successful reforms holding in Ukraine. This fact determines the relevance of this article.

First of all it is important to remark peculiarities of judicial system of Great Britain through the prism of organization and activity of specialized component in courts system. According to I. Nazarov, a Ukrainian scholar, in Great Britain judges and the parliament participate in law establishment<fnref n="1" />. Therefore, it is obvious that functioning efficiency of specialized courts is provided by the level of realization of judges' legislative functions. In return, it depends on development of public society institutions, ramification of functions in the sphere of state management, adaptation of legislative norms to contemporary conditions of state establishment and social co-existence in their different spheres, as well as the necessity of improvement of human and citizen rights judicial defence in all legal spectra.

Herewith, it is important not to omit other spectra in establishment of courts system which impact on its efficiency, level of legal culture, stability of political and legal, as well as society's trust to court provided by the institution of judicial defence in forms of different judicial procedures (subject competence of separate judicial system links). It allows to talk about multiplicity and diversity of existent special jurisdiction courts in Great Britain, which obviously are different from each other according to organizational, procedural features, as well as according to criteria of efficiency and formality (land court, arbitrations in labour conflicts, courts in cases on apartment rent, General and Special tax departments and appeal courts on social provision)<fnref n="2" />.

Courts system establishment in Great Britain is a reflection of two basic order features of this country – constitutional monarchy and federal structure, which encouraged establishment of independent judicial systems: England and Wales, Scotland, Northern Ireland. Historically, courts in England and Wales are divided into courts of lower and high level (magistrate court, county courts, military courts; the Supreme

<footnote n="1">¹ Назаров І. В. Судові системи країн Європейського Союзу та України : генезис та порівняння : Монографія / І. В. Назаров. – Харків : Видавництво «ФІНН», 2011. – 432 с. – С. 190.</footnote>

<footnote n="2">² Шишкін В.І. Судові системи країн світу: Навч. посіб. (У З-х кн.). / В. І. Шишкін. – Кн. 1. – К.: Юрінком Інтер, 2001. – 320 с. – С. 54-55.</footnote>
Court of England and Wales, Lords Chamber). Herewith, the absence of solely organized supreme (“the highest”) court is compensated by functioning of three independent judicial bodies of general jurisdiction on the basis of the Supreme Court of England and Wales – the Appeal Court, the High Court and the Crown Court. According to jurisdiction, the High Court consists of the Admiralty Court (deals with disputes concerning violation of sea transport rules, ship accidents and compensation of damages connected with them), the Commercial Court (considers disputes connected with trade), the Patents Court (considers motions and complaints concerning patents, design and trade marks)<fnref n="1" />.

That is why judicial system of England and Wales has branch specialization, which is realized due to establishment of separate but not always hierarchically constructed judicial bodies<fnref n="2" />. Herewith, such specialization foresees external factor of outlining of specialized component in judiciary, which foresees forming of some separate sub-systems of common (general) jurisdiction, as well as courts of administrative, military, social, labour, tax, financial justice<fnref n="3" />. Except for the noted courts, in England there are also specialized courts of different competence, in particular, the Anti-monopoly Court, the Canonical Court, the Court of Protection, the Legal Committee of Secret Council, the Court for Violent Death Investigation, military courts. However, an English scholar

E. Bodenheimer considers that such courts do not create separate judicial systems with clear hierarchical structure; also they are not independent directions of England's judicial system construction<fnref n="4" />.

It is generally known, that legal system in Great Britain is precedential. In the context of judicial investigation specialization it should be noted that the right to cancel or to change essentially wrong precedents is one of basic tasks of high courts in the sense of provision of fair legislation and independent lawmaking under conditions of social life fluidity<fnref n="5" />.

The characteristic peculiarity of judicial bodies' specialization in Great Britain is the fact that some of them are called “tribunals”, which testifies their inferiority concerning general jurisdiction courts. For example, in 1964 industrial tribunals started their activity. Sessions in these tribunals were held by panels. The panels were headed by a specialist in law and consisted of entrepreneurs' and workers' representatives. Such tribunals considered disputes between employees and employers. The Appeal instance concerning decisions of these tribunals is the Appeal Tribunal on Labour Disputes. Besides, one more special competence establishment is considered to be influential in forming of market economy principles. This establishment is called the Court for Complaints on Entrepreneurship Freedom Restriction. The basic function of this court is to avoid monopolization of industry and trade, as well as artificial keeping of high prices. At the same time, this court also considers complaints in the sphere of trade rules violation and issues on exemption from taxation of separate types of goods on the basis of social interest comprehension<fnref n="6" />.

In the sphere of military judicial specialization it is necessary to admit its complication from the point of view of jurisdiction, the essence of which is existence of ordinary and extraordinary jurisdiction. The first one consists in the fact that military courts of Her Majesty's armed forces consider all cases, which involve persons, who perform military service, irrespectively on time and place of this service performing. The essence of the second one is the fact that the courts consider cases where the parties are civil individuals during announcement of martial law. In general, the system of military courts consists of military courts of land and air forces, which are established for justice administering by an authorized commander or military chief; a court-martial (the court-marital during the Falkland Conflict in 1982 can be the example of such a

<footnote n="1">¹ Ковалев В. А. Органы расследования и судебная система Великобритании : учеб. пособие // ВЮЗИ. — М., 1985. — 148 с. — С. 12.</footnote>

<footnote n="2">² Шишкін В.І. Судові системи країн світу: Навч. посіб. (У 3-х кн.). / В. І. Шишкін. — Кн. 2. — К.: Юрінком Інтер, 2001. — 336 с. — С. 6.</footnote>

<footnote n="3">³ Фрицький О.Ф. Конституційне право України : підручник / О. Ф. Фрицький. – 2-е вид., переробл. та допов. – К. Юрінком Інтер, 2004. – 510 с. – С. 411 – 412.</footnote>

<footnote n="4">⁴ Bodenheimer E., Oakley J., Love J. An Introduction to the Anglo-American Legal System: Readings and cases. – St. Paul; Minn: West Publishing, 1998. – P. 85.</footnote>

<footnote n="5">⁵ Eisenberg, M. The nature of common law (Текст) / M. Eisenberg. – Harvard : Harvard University Press, 1988. – 204 p. – P. 13.</footnote>

<footnote n="6">⁶ Давид Р. Основные правовые системы современности. — М., 1988. — 667 с. — С. 24.</footnote>
court's activity) and naval court (consists of 5-9 officers), the composition of which is determined by the Admiralty. Military courts of land and air forces are divided into three levels: general, circuit and courts marital. They differ from each other due to amount of officer-judges. The composition of court for solution of a certain case is determined in accordance with rank of accused person<fnref n="1" />.

The highest courts in England and Wales are the Appeal Court (considers civil, criminal and family cases in appeal order), the High Court of Justice or the High Court of England and Wales (considers civil, criminal and family cases) and the Crown Court (considers criminal cases). In general, justice administering in England and Wales is connected with basic components of general jurisdiction: civil and criminal. At the same time, on the basis of civil sphere of legal relations, family cases are distinguished. This fact lets tell about existence of separate judicial specialization within civil jurisdiction. Besides, there is no separate branch of courts, which would consider family disputes. However, specialization of judges and courts on consideration of civil cases provides more qualified solution of this category cases.

Special courts with different competence are tribunals established at the beginning of the XX century as the bodies for "single settlement of disputes". English legislator describes them as special judicial bodies which function in the national system of administrative justice. However, in 2007 new system of tribunals was established. Generally, it can be characterized as tribunals of lower and higher level. The Tribunals, Courts and Enforcement Act distinguishes following types of tribunals: 1) the First-tier Tribunal; 2) the Upper Tribunal; 3) employment tribunals; 4) the Employment Appeal Tribunal; 5) the Asylum and Immigration Tribunal (p. 4 art. 2).

The First-tier Tribunal currently consists of six chambers: the General Regulatory Chamber (considers complaints on decisions of state bodies, the authorities of which include solution of issues concerning environmental protection); the Health, Education and Social Care Chamber; the Tax Chamber; the Immigration and Asylum Chamber; the Social Entitlement Chamber; the War Pensions and Armed Forces Compensation Chamber. Procedurally, complaints on decisions by the First-tier Tribunal can be submitted to the Upper Tribunal by means of getting of prior permission from the lower or higher level Tribunal. This permission testifies existence of procedural order of complaints admission.

The Upper Tribunal consists of the Administrative Appeals Chamber, the Immigration and Asylum Chamber, the Lands Chamber, the Tax and Chancery Chamber. Decisions of this body can be appealed in the Appeal Court of England and Wales. Besides, there are also other tribunals, such as the Special Commission for Foreigners' Cases, the **Agricultural Land Tribunal, the Tribunal for Registration of Lands with Narrow Specialization According to Branch Features and Spheres of State Impact**<fnref n="2" />.

From the point of view of the investigation, taking into account specialization of high courts, the establishment of the High Court can be considered as the beginning of their separation. The High Court consists of three divisions (judicial bodies): Court of Queen's **Bench**, Chancery and Family Divisions. These divisions (courts) are an appeal instance to appeal decisions of the Crown Court, magistrate courts and some tribunals. In general they consider wide range of legal disputes. Besides, the High Court also includes specialized components: the Administrative Court, the Technology and Construction Court, the Commercial Court and the Admiralty Court. The High Court is considered to be the third one in judicial hierarchy of English system and has authorities of the second and the third instances, as well as supervising court in cases of civil, criminal and family jurisdictions.

The Queen's Bench Division (consists of the President and 69 judges) considers some types of civil cases which appear in the sphere of commercial activity (concerning contracts (drafting, amending, execution) in general order. Besides, according to the competence it is composed of following organizational specialized establishments: the Arbitration Court, the Admiralty Court (considers cases where foreign subject is a party of case), the Mercantile Court (considers cases where special knowledge in trade is required), the Technology and Construction Court (considers cases which appear from technical, technological, construction and other legal relations). The Chancery Court, as the first level court, solves a range of disputes connected with contracts and property, as well as disputes which appear from land legal relations, lending,

<footnote n="1">¹ Бельсон Я. М. Полиция «свободного общества» [Текст] / Я. М. Бельсон. – М. : Юридическая литература, 1984. – 176 с. – С. 41.</footnote>

<footnote n="2">² Tribunals of United Kingdom [E-source]. – Access mode: http://www.justice.gov.uk/about/hmcts/tribunals.htm</footnote>
intellectual property, corporation law and obligations, etc. As for review of judicial decisions, this court considers appeals on decisions of county magistrate courts. The Patent Court and the Bankruptcy and Companies Court, which settles disputes between enterprises, act in the High Court as divisions.

Another specialized component of the High Court is the Family Division, which considers complaints on decisions by county courts concerning all issues of family relationship. It is also the first instance to consider the most complicated family cases. Appeals on decisions of the High Court in civil cases are applied to the civil panel of the Appeal Court. Therefore, the peculiarity of justice administering in the High Court is the clear separation of jurisdictions between divisions. However, it does not eliminate its status as a unique and indivisible judicial body<fnref n="1" />.

On the example of the Land Chamber of the Tribunal of the highest level (it situates in London, but, if it is necessary, cases consideration can take place in other cities of England and Wales), it is possible to state that this court is an independent, special judicial establishment and legal successor the Land Tribunal<fnref n="2" />. It consists of the President (a professional lawyer), six judges (they have a special working schedule – half-time), three specialists in the sphere of real estate objects evaluation, two registrars and staff of the court. The Land Chamber considers disputes concerning land territories (for instance, estimation of land and other real estate, amendment or cancellation of special restriction, payment of compensation connected with decrease of land territory price due to activity of power bodies, determination of rent) and complaints on decisions, activity or inactivity of the state power bodies authorized to solve land issues<fnref n="3" />. Cases consideration in the Land Chamber is similar to disputes consideration in courts of general jurisdiction, which consists of following stages: submission of a claim, paying of court fee, preliminary court hearing, court hearing, announcement of resolution, appeal of judgement.

It should be remarked that the peculiarity of judiciary in the Land Chamber is a significant amount of expert examinations within the case, visits to the place of disputable territory to hold its inspection, involvement of mediators for out-of-court settlement of land disputes. Herewith, usually the term of cases consideration does not exceed three month. However, in complicated cases it can be continued for one year. Decisions of the Land Chamber can be appealed to the civil panel of the Appeal Court of England and Wales<fnref n="4" />.

It should be noted that in England there is specificity in organization of administration jurisdiction courts. Consideration of this category cases, so-called “judicial review”, is held by the Administrative Court as a unit of the High Court of England and Wales. Herewith, there is no any separate judicial unit in the High Court, which would solve administrative legal conflicts. In return, there was implemented practice of determination of judges from the High Court, who are authorized to consider such cases according to the legislation.

In Northern Ireland and Scotland judicial system in the context of specialization and functioning of a specialized component are rather similar to court system of England and Wales. Moreover, the Appeal Court, the High Court of Justice, which consists of the Queen's Bench Division, the Chancery and the Family Divisions, the Crown Court, county courts, magistrates courts and different tribunals are functioning. In fact, they have the same procedural authorities as English judicial bodies<fnref n="5" />.

<footnote n="1">¹ Апарова Т. В. Суды и судебный процесс Великобритании: Англия, Уэльс, Шотландия / Т.В. Апарова; Институт международного права и экономики. – М.: Триада, ЛТД, 1996. – 157 с. – С. 81-82.</footnote>

<footnote n="2">² The Transfer of Tribunal Functions (Lands Tribunal and Miscellaneous Amendments), Order N 1307, 2009 [E-source]. – Access mode: http://www.legislation.gov.uk/uksi/2009/1307/contents/made</footnote>

<footnote n="3">³ Upper Tribunal (Lands Chamber) of United Kingdom. Explanatory leaflet, a guide for users [E-source]. – Access mode: http://www.justice.gov.uk/downloads/guidance/courts-and-tribunals/tribunals/lands/forms-and-guidance/ExplanatoryLeaflet.pdf.</footnote>

<footnote n="4">⁴ The Tribunal Procedure (Upper Tribunal) (Lands Chamber), Rules N 2600 (L. 15), 2010 [E-source]. – Access mode: http://www.legislation.gov.uk/uksi/2010/2600/introduction/made</footnote>

<footnote n="5">⁵ The Transfer of Tribunal Functions (Lands Tribunal and Miscellaneous Amendments), Order N 1307, 2009 [E-source]. – Access mode: http://www.legislation.gov.uk/uksi/2009/1307/contents/made; The Lands Tribunal Rules (Northern Ireland) 1976 (as amended) [E-source]. – Access mode: http://www.courtsni.gov.uk/en-GB/Tribunals/LandsTribunal/Rules/Pages/trib_lands_rules.aspx</footnote>
However, unlike in England, Wales and Northern Ireland, the Supreme Court in Scotland considers complaints on decisions by lower level courts only in cases of civil jurisdiction. The highest judicial establishments in Scotland are following ones: the Court of Session (civil cases), which includes the Outer House (the first instance for the most important civil cases); the Inner House (the appeal instance for consideration of complaints on decisions by the Outer House, Sheriff Courts, the Scottish Land Court, the Lands Tribunal for Scotland). Decisions of this establishment can be appealed in the Supreme Court of England and Wales. In criminal cases the High Court of **Justiciary** is determined as the highest judicial body. This court acts as the first instance for the most complicated cases, as well as an appeal instance.

Talking about organization of specialized courts in the context of separate judicial systems, which exist in Great Britain, for example in Scotland special courts function together with general courts. The competence of such courts covers only the region where they are situated. Besides, there are special courts and tribunals, which are included into the general British court system (for example, military courts, courts for labour disputes consideration, ecclesiastical courts, the Scottish Land Court, the **Scottish Solicitors' Discipline Tribunal**, transport and licence tribunals and tribunals in cases on rent vindication). At the same time, in Scotland, as well as in England, administrative tribunals are established. They consist of persons or representatives of institutions, which perform judicial or quasi-judicial functions. Herewith, there is no imperative about obligatoriness of justice administering by professional judges in these courts.

In the sphere of specialized jurisdiction in Scotland, as well as in England, Wales and Northern Ireland, there is ramified system of courts. Their subject jurisdiction covers land, military, labour, immigration cases, etc. The activity of the Scottish Land Court was very similar to functioning of the English Land Tribunal. The Scottish Land Court was established in 1949. In fact, the institution started its activity in 1971. The basic aim of its activity is solution of disputes in the sphere of land evaluation, amending or cancellation of special restrictions fixed on land territories, changing of conditions of their application, determination of size of compensation which has to be paid by territories owners (due to compulsory disposition and decrease of the land value), consideration of complaints on decisions, activity and inactivity of the state power bodies in the land sphere, etc. In case of the parties' will, the Land Tribunal may be an arbitrator in other land disputes, since it is considered to be specialized and independent judicial body.

It consists of the chief judge and three judges, who are specialists in corresponding sphere. Consideration of a land case in the tribunal is the same as in English judicial procedure, except for the fact that a case consideration is appointed only if the interested parties are ready to solve the dispute. It testifies basic concept of its activity – protection of claimant's and defendant's interests. Parties are often suggested to change court hearings into written procedure. However, it is possible only if the parties agree. This fact promotes the soonest consideration of a land case and time economy. Judgements of the Land Tribunal can be appealed in the Court of Sessions<fnref n="1" />. In return, disputes concerning fixing of borderlines between territories, land inheriting etc are solved in general order by Sheriff Courts and the Court of Session.

In case of disagreement with decision of the Land Tribunal made by one of judges, the person has right to apply complaint to this very court. Under such circumstances, the case is considered by three judges, except for the judge, who has considered it unilaterally. Later it can be applied in the Court of Session. It is considered that the Land Tribunal is an efficient specialized judicial institution, because lawyers, as well as specialists in corresponding sphere (agrarians) work in this court. Therefore, the percentage of submitted appeals and decisions cancellation is not significant<fnref n="2" />.

Therefore, in our opinion, within the investigation, the essence of the above mentioned consists of the fact that functioning of specialized courts in Great Britain, as a component of legal system, depends on a range of fundamental features, which are primarily connected with the absence of law separation into public and private. This fact is based on results of the reception of Roman law; extensive use of such law forms as legal customs, traditions, precedents, legal doctrines; application of basic law, as well as a range of constitutional acts, judicial precedents, customs; absence of the constitutional jurisdiction courts; high level of optionality and competitiveness in judiciary.

<footnote n="1">¹ Lands Tribunal for Scotland [E-source]. – Access mode: http://www.lands-tribunal-scotland.org.uk</footnote>

<footnote n="2">² Scottish Land Court [E-source]. – Access mode: http://www.scottish-land-court.org.uk</footnote>
Bibliography:

1. Назаров І. В. Судові системи країн Європейського Союзу та України : генезис та порівняння : Монографія / І. В. Назаров. – Харків : Видавництво «ФІНН», 2011. – 432 с. – С. 190.

2. Шишкін В.І. Судові системи країн світу: Навч. посіб. (У 3-х кн.). / В. І. Шишкін. – Кн. 1. – К.: Юрінком Інтер, 2001. – 320 с. – С. 54-55.

3. Ковалев В. А. Органы расследования и судебная система Великобритании : учеб. пособие // ВЮЗИ. – М., 1985. – 148 с. – С. 12.

4. Шишкін В.І. Судові системи країн світу: Навч. посіб. (У 3-х кн.). / В. І. Шишкін. – Кн. 2. – К.: Юрінком Інтер, 2001. – 336 с. – С. 6.

5. Фрицький О.Ф. Конституційне право України : підручник / О. Ф. Фрицький. – 2-е вид., переробл. та допов. – К. Юрінком Інтер, 2004. – 510 с. – С. 411-412.

6. Bodenheimer E., Oakley J., Love J. An Introduction to the Anglo-American Legal System: Readings and cases. – St. Paul; Minn: West Publishing, 1998. – p. 85.

7. Eisenberg, M. The nature of common law / M. Eisenberg. – Harvard : Harvard University Press, 1988. – 204 p. – p. 13.

8. Давид Р. Основные правовые системы современности. – М., 1988. – 667 с. – С. 24.

9. Бельсон Я. М. Полиция «свободного общества» [Текст] / Я. М. Бельсон. – М. : Юридическая литература, 1984. – 176 с. – С. 41.

10. Tribunals of United Kingdom [E-source]. – Access mode: http://www.justice.gov.uk/about/hmcts/tribunals.htm

11. Апарова Т. В. Суды и судебный процесс Великобритании: Англия, Уэльс, Шотландия / Т.В. Апарова; Институт международного права и экономики. – М.: Триада, ЛТД, 1996. – 157 с. – С. 81-82.

12. The Transfer of Tribunal Functions (Lands Tribunal and Miscellaneous Amendments), Order N 1307, 2009 [E-source]. – Access mode: http://www.legislation.gov.uk/uksi/2009/1307/contents/made

13. Upper Tribunal (Lands Chamber) of United Kingdom. Explanatory leaflet, a guide for users [E-source]. – Access mode: http://www.justice.gov.uk/downloads/guidance/courts-and-tribunals/tribunals/lands/forms-and-guidance/ExplanatoryLeaflet.pdf.

14. The Tribunal Procedure (Upper Tribunal) (Lands Chamber), Rules N 2600 (L. 15), 2010 [E-source]. – Access mode: http://www.legislation.gov.uk/uksi/2010/2600/introduction/made

15. The Transfer of Tribunal Functions (Lands Tribunal and Miscellaneous Amendments), Order N 1307, 2009 [E-source]. – Access mode: http://www.legislation.gov.uk/uksi/2009/1307/contents/made;

16. The Lands Tribunal Rules (Northern Ireland) 1976 (as amended) [E-source]. – Access mode: http://www.courtsni.gov.uk/en-GB/Tribunals/LandsTribunal/Rules/Pages/trib_lands_rules.aspx

17. Lands Tribunal for Scotland [E-source]. – Access mode: http://www.lands-tribunal-scotland.org.uk

18. Scottish Land Court [E-source]. – Access mode: http://www.scottish-land-court.org.uk

19. Scottish Land Court.org.uk/records.html. Retrieved 21 February 2011.

20. Ross, David (23 April 2012) „Judges visit island crime scene to mark centenary of land court”. Glasgow. *The Herald*.

21. Scottish Land Court. Scottish Land Court. 2002. Retrieved 26 August 2009.

22. An Introduction to Practice and Procedure in the Church of Scotland, A Gordon McGillivray, 2nd Edition (2006 updated text).

23. M. Freedland, 'Employment' in H Beale *et al*. (ed), *Chitty on Contracts* (30th edn Sweet and Maxwell 2009)

24. C. Barnard, S. Deakin and R. Hobbs, 'Opting Out of the 48 Hour Week: Employer Necessity or Individual Choice' (2003) 32 ILJ 223.

25. About the Court:Overview. Scottish Land Court. 2002. Retrieved 26 August 2009.

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# Some provisions of the international conventions relating to the criminal liability of the legal person for corruption offenses

DR. OLIMPIU AURELIAN SABĂU-POP

„Petru Maior” University of Targu-Mures (Romania)

**Abstract:** The criminal liability of the legal person for corruption offenses is important for the protection of equal opportunities in the economic field, in terms of access to goods and services market, undifferentiated treatment of privates by the authorities, the protection of loyal competition, the freedom of trade. States are agreeing for the establishment of an adequate legislation and proper procedural measures adopted in Criminal Conventions regarding corruption.

**Keywords:** corruption, international conventions, legal person, offences

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This form of liability which gives birth to a criminal legal relation of conflict, in which the legal person is conferred the status of an active subject, is an immediate consequence of the forms of fighting against criminality at global level, therefore, for protecting the society from the phenomenon of corruption - which constitutes a threat to the rule of law, to democracy and human rights by undermining the principles of good governance, equity, by preventing economic development<fnref n="1" /> - the States give their agreement for establishing an appropriate legislation and adequate procedural measures resulting in a number of *international agreements*.

In what follows we try to analyze the implications of these agreements in relation to the criminal liability of the legal person,<fnref n="2" /> in this way following the Romanian legislator's option and the doctrine alike.

## 1. THE CRIMINAL LAW CONVENTION RELATING TO CORRUPTION

The Criminal Law Convention relating to corruption, concluded in 1997 under the auspices of the OECD, is the first to lay the foundations of international cooperation in the fight against corruption in the States that have ratified it. So far, 36 of the countries that have signed the Convention adopted anti-corruption laws based on it, incriminating this form of illicit as crime.<fnref n="3" /> The Convention, as we shall see below, sets a series of principles, some of them even considered revolutionary,<fnref n="4" /> in the fight against corruption.<fnref n="5" />

<footnote n="1">¹ Refer to Premier Congres de la Section des jeunes pénalistes de l'association internationale de droit pénal, Noto, 14-20 juin 2001, La corruption, Revue de science criminelle et de droit pénal compare, nr. 4, 2001, p. 925; M. Delmas-Marty, S. Manacorda, La corruption, un défi pour L'Etat de droit et de la société démocratique, Revue de science criminel, 1997, p. 696; D.Mazilu, Preventing and Combating Corruption. Major requirements of trade expansion based on the principles and fundamental rules of international trade law, The Commercial Law Magazine, no.1, 2002, p. 107; S. Voigt, Economic growth, certainly in the law and juridical independence, in Global corruption report. Corruption in the juridical systems, Cambridge Publishing House, 2007, p. 25</footnote>

<footnote n="2">² Refer to V. Pașca, Changes in the Criminal Code. Comments and Explanations, Hamangiu Publishing House, p.12; M. Basarab, V. Pașca, Gh. Mateuț, C. Butiuc, Commented Criminal Code, Vol. I, General Aspects, Hamangiu Publishing House, Bucharest, 2007, p. 104-106</footnote>

<footnote n="3">³ Refer to C. Sambrook, The UN Convention against Corruption. One step forward in comparison with the OECD Convention? Pluses and minuses in comparative perspective, in The Romanian International Law Magazine, no. 2, 2006, p. 60; OECD, Convention on Combating Bribery of Foreign Public Officials in International Business Transaction: Ratification Status, http://www.oecd.org/dataoecd; R. Șpan, P. Pitcovici, The Role of Information in the Fight against Corruption, Sitech Publishing House, Craiova, 2009, p. 61</footnote>

<footnote n="4">⁴ Refer to Ph. Montigny, L'entreprise face a la corruption internationale, Elipses Publishing House, Paris, 2006, p. 65</footnote>

<footnote n="5">⁵ In terms of the Convention, the concept of passive corruption means the willful act of a public official to request or to receive benefits of any kind whatsoever, either directly or through third parties, for himself or for a third party, or to accept a promise in this regard in exchange for performance or non-performance, contrary to his official duties, an act of his office or an act in the exercise of his office. Active corruption means the willful act of any person to promise or to give benefits of any kind whatsoever,</footnote>
The first principle establishes the need for externally treating the phenomenon in an analogous way to the form established by the State jurisdiction. The consistency of the principle requires the signatory countries to incriminate the corruption of foreign public officials in the same manner as provided for the misconduct of national public officials.<fnref n="1" /> The Convention incriminates and imposes punishment for corruption acts even though, in fact, the offense is committed in a country where such a practice is common. As the French doctrine identifies it, a French legal person can be prosecuted and eventually convicted for a crime that targeted a public official or person from abroad.<fnref n="2" />

The second principle is broadening the sense of the „illegal advantage” concept in respect of any benefit, whether pecuniary or of any kind. According to the definition in the Convention, it may also include benefits in kind such as gifts, excursions<fnref n="3" />, etc. and, in a general manner, all that can be paid by a company to a public official or his family<fnref n="4" /> (in example, children’s education). The application of these two principles can be identified in a number of decisions<fnref n="5" /> of American criminal courts, and a part will be presented to the end of this paper.

The public official's conduct regarding the exercise of its powers, subject to corruption offenses<fnref n="6" /> is either designed as a duty or as an omission<fnref n="7" />, thus instituting another principle of the Convention.

The fourth principle found in the Convention requires extending the definition of a public official. The term of public official includes all public clerks, policy makers, and all persons occupying key positions<fnref n="8" /> for the State decisions.

Finally, the Convention requires liability broadening for the illegal actions performed by a specific foreign branch or subsidiary of the company or even by third parties<fnref n="9" /> as well. The wording of Article 1,

either directly or through third parties, to a public official, for himself or for a third party, in exchange for performance or non-performance, contrary to his official duties, an act of his office or an act in the exercise of his office. Refer to R. Carvajal, Large scale corruption: Definition, causes and cures system practice and action research, vol. 12, no. 4, 1999, p. 335 ; G Martyvonne, Social sciences and the evolving concept of corruption, Crime, Law & Social Change, no. 42, 2004, p. 15 ; A. Sajo, From corruption to extortion: Conceptualization of post-communist corruption, Crime, Law & Social Change, no. 40, 2003, p. 171

<footnote n="1">¹ Art.1 paragraph 2 of the Convention states: "The attempt to or the conspiracy to corruptly influence an international public official must be a crime"</footnote>

<footnote n="2">² Refer to Ph. Montigny, L'entreprise face à la corruption internationale, Elipses Publishing House, Paris, 2006, p. 67</footnote>

<footnote n="3">³ SEC Litigation Release, no. 19107/03.01.2005: The company Titan Corp was sanctioned in 2005, amongst other crimes provided by FCPA, for paying a number of excursions to a public official with decision making rights as part of the negotiations for obtaining certain telecommunications contracts with Saudi Arabia</footnote>

<footnote n="4">⁴ A much more interesting case is the conviction of 05.25.2002 ruled by the US District Court for the District of Massachusetts, Department of Complaint for Permanent Injunction and Ancillary Relief, against the company Metcalf&Eddy because it paid for the travel of an Egyptian public official and of his family to the US, plus their US immigration expenses. The American court, in the explanatory statement, emphasized that there should not necessary be a clear relation between the gifts offered to the public official and the award of a Services Contract in value of USD 36.5 billion to the company, the material benefit offered being enough to acknowledge committing the crime. The sanction ordered by court was a fine set at USD 400,000</footnote>

<footnote n="5">⁵ The company Syncor International Corp, specialized in provision of medical equipment, was accused by the Security and Exchange Commission (SEC) for offering gifts to certain doctors from the hospitals in Luxembourg, France, and Belgium, where they were about to deliver specialized goods; the gifts were over USD 750 in value and consisted of personal computers, TV sets, travels abroad.</footnote>

<footnote n="6">⁶ The cases identified by the court to punish a person for an offense of corruption aimed at abstaining from the public official in respect to his office duties are few at international level, and that is due to procedural and perhaps evidence difficulties. Refer to SEC, Accounting and Auditing Enforcement, Release no. 1972/03.10.2004, In Administrative Preceding File, no. 3-11427, the court acknowledged the act of corruption committed by BJ Services Company for offering an amount of money to an Argentine custom house officer for being able to introduce some equipment contrary to the customs provisions in force in that country</footnote>

<footnote n="7">⁷ Art.1 par. 1 of the Convention, "the public official does or refrains from doing"</footnote>

<footnote n="8">⁸ The accusation of the company Syncor International Corporation by SEC perfectly depicts what the OECD Convention aims at. The legal person made various payments to the doctors professing in the public hospitals from a number of countries where they recommended the acquisition of medical devices from this company. Those doctors did not have the status of public officials and moreover they were not nationals of the countries they worked in. What has been acknowledged in this case is that those people had the ability to influence the decision of the competent public procurement body, thus they were given the status of public officials, as the Convention provisions state</footnote>

<footnote n="9">⁹ Refer to S. Bogdan, Some considerations on the fight against corruption in the EU, Studia Babeş-Bolyai University, no. 2, 1999, p. 71; F. Răzvan, Law no. 304/2004 on international cooperation in criminal matters, Dreptul, no. 2, 2005, p. 5</footnote>
„directly or through intermediaries”, allows inclusion of the foreign branches controlled in majority or minority and the use of intermediaries outside the company.<fnref n="1" />

## 2. THE COUNCIL RECOMMENDATION IN RESPECT OF THE „TAX DEDUCTIBILITY OF BRIBES TO FOREIGN PUBLIC OFFICIALS”

The Council Recommendation in respect of the „Tax Deductibility of Bribes to Foreign Public Officials” of April 1997 required countries such as Australia, Belgium, Denmark, Switzerland, France, Germany, Iceland, Luxembourg, Portugal, to abandon the tax deductibility of bribes paid to foreign public officials, although such an illegal act was prohibited if it targeted a national public official.

## 3. THE REVISED RECOMMENDATION ON COMBATING „BRIBERY IN INTERNATIONAL BUSINESS TRANSACTIONS”

The Revised Recommendation on Combating „Bribery in International Business Transactions” of May 1997, an instrument of special valence in the fight against corruption, completes the provisions of the OECD Convention with a program to combat the phenomenon. This international instrument targets the following areas: taxation, public grants, government procurement and accounting rules applicable to the legal persons which may have a connotation in committing punishing corruption crimes.

## 4. THE CRIMINAL LAW CONVENTION ON CORRUPTION OF THE COUNCIL OF EUROPE

The Criminal Law Convention on Corruption of the Council of Europe (Strasbourg, January 27th 1999) in the wording of Article 18 provides the States' obligation to sanction the legal person if its members commit offenses of bribery, influence peddling<fnref n="2" />, and money laundering.

The Convention also sets three conditions that must be cumulatively met to be able to employ such form of legal liability: a) the natural person acting illegally must be a member of the legal person according to the statutory functionality; b) the natural person must exercise a management prerogative; c) the natural person must legally represent the legal person under a power of attorney or under an authorization.

The legal nature of the liability imposed on the legal person by the Convention is left to the discretion of the States, being able to be criminal, administrative or civil, as appropriate.

The Convention clarifies the terminology it uses, to the same effect anticipating the subject's division in the two angles of corruption offenses as well, namely the active and passive angles, making in this respect a uniform treatment.

## 5. THE UNITED NATIONS' CONVENTION AGAINST CORRUPTION

The United Nations' Convention against Corruption<fnref n="1" />, adopted by UN General Assembly by Resolution no. 58/4 of October 4th 2003,<fnref n="2" /> is the first global legal instrument against corruption and the most comprehensive, with universal coverage, applicable to all Member States.

<footnote n="1">¹ Refer to the case Accounting and Auditing Enforcement Release, no. 1444/12.09.2001, in Administrative Proceeding File, no. 3, p. 10572, whereby the company Baker Hugues Inc was convicted by SEC for turning to the Indonesian dealer to bribe an Indonesian public finances official to facilitate the import of certain products into that country; the company Titan Corporation was convicted by SEC to a fine of USD 28.5 million for paying a commission fee to the company agent in Saudi Arabia, money that were used in the electoral campaign for the country presidency, the court acknowledging that this commission fee, apparently legal and deductible for tax purposes for the payer, deliberately disguised a financial support given to the country's president in the electoral campaign</footnote>

<footnote n="2">² Refer to Gh. Mateuţ, Theoretical and practical synthesis on the traffic of influence repression according to the current legislation and in perspective, Dreptul, no. 5, 2002, p. 163; V. Dabu, The New Criminal Code. The Traffic of Influence, Dreptul, no. 2, 2005, p. 108; I. Lascu, L.C. Lascu, Corruption Acts. New Incriminations, The Criminal Law Magazine, no.1, 2001, p. 62-63; E. Cherciu, op.cit., p. 16</footnote>
The international legal instrument comes in support of the business community by balancing the opportunities in the international market, it „levels the player field” - phrase used in the U.S. after the adoption of the „Foreign Corrupt Practices Act” Law in 1977, which describes the frustration of Americans in relation to their European partners who still could offer bribes legally abroad to obtain economic benefits.<fnref n="3" />

Analyzing the provisions of this Convention and comparing them with the ones of the foregoing conventions, we do not consider it making a substantial<fnref n="4" /> [20] legislative change of the phenomenon in the regulatory view of the signatory States, as the provisions lack thorough standards that must be implemented. For the signatory States, in the wording of the Convention we find „mandatory” tasks „where appropriate”,<fnref n="5" /> tasks that are „mandatory” to the extent they are compatible with the legislative system of the States,<fnref n="6" /> duties to take the „appropriate” measures<fnref n="7" />, „optional provisions”, „unspecified but effective provisions”, or others as „attempts” to adopt certain provisions.

We believe that in a first stage was intended a „careful treatment” of the national legal systems and legislative concepts of the States due to their diversity. It is difficult to assume a success of the Convention in globalization formulas, because it has to match the legal ideas promoted in various centers of civilization, with different concepts protecting traditions that are considered untouchable and which are reflected differently on the hierarchy of rule of law and democracy values.

## 6. OTHER AGREEMENTS

Alongside the major international joint actions which we discussed in the foregoing, there also are other international agreements of lesser importance, such as the United Nations Convention against Transnational Organized Crime<fnref n="8" /> (Palermo 2000), the African Union Convention<fnref n="9" /> (Maputo, 2003), the European Civil Law Convention on Corruption (1998),<fnref n="10" /> the Agreement establishing the Group of States against Corruption (GRECO), EU Framework Decision on combating corruption in the private sector<fnref n="11" /> (Council of Europe, 2003), the Convention against corruption involving officials of the European Communities or officials of Member States of the European Union<fnref n="12" />, the Council Resolution on a global political campaign against corruption in the European Union (Council of Ministers, 2005), the Inter-American Convention against Corruption (1996).<fnref n="13" />

<footnote n="1">¹ Refer to the wording of Transparency International Moldova Convention, Preventing and Combating Corruption: International Documents, Bons Offices Publishing House, Chișinău, 2005, p.11</footnote>

<footnote n="2">² The Convention was drafted by the ad hoc committee for the negotiation of the Convention against corruption, based on a mandate detailed in Resolution no. 56/260 of 04.09.2002, the Convention being signed by 95 countries in the Conference in Merida, Mexico, December 9-11, 2003; the Convention was ratified by Romania by Law no. 365/2004, published in the Official Gazette no. 5 of October 2004; Refer to V. Dobrinoiu, M. Hotca, N. Neagu, M. Murea, C. Căsuneanu, op. cit., p. 61; R. Șpan, P. Pitcovici, The Role of Information in the Fight against Corruption, Sitech Publishing House, Craiova, 2009, p.60</footnote>

<footnote n="3">³ Refer to H.E. Sung, Between demand and supply. Bribery in international trade, Crime, Law and Social Change, no. 44, 2005, p. 118</footnote>

<footnote n="4">⁴ Refer to C. Sambrook, The UN Convention against Corruption. One step forward in comparison with the OECD Convention? Pluses and minuses in comparative perspective, in The Romanian International Law Magazine, no.2, 2006, p. 68</footnote>

<footnote n="5">⁵ Refer to art. 6 par. 1 and par. 4, art. 40 bis</footnote>

<footnote n="6">⁶ Refer to art. 5 par. 1; art. 6 par. 1</footnote>

<footnote n="7">⁷ Refer to art.19; art.37 and others</footnote>

<footnote n="8">⁸ The Convention setting a series of targets for organized cross-border crime with implications in corruption offenses as well</footnote>

<footnote n="9">⁹ Aimed at the transparency of participation in trade relations and the importance of legislative measures for repatriation of the amounts of money diverted by corruption acts</footnote>

<footnote n="10">¹⁰ Allowing the victims of corruption to seek remedy of the damages pursuant to joint international rules; the Convention has been ratified by Romania by Law no. 147/2002, published in the Official Gazette no. 260 of April 16th 2002; Refer to V. Dobrinoiu, M.A. Hotca, N. Neagu, M. Murea, C. Căsuneanu, op. cit., p. 65; Transparency international Moldova, Preventing and Combating Corruption: International Documents, Bons Offices Publishing House, Chișinău, 2005, p. 174</footnote>

<footnote n="11">¹¹ Based on this decision of July 2003, up to June 2005 the Member States of the European Union must modify their national legislation in respect of incrimination of the corruption offenses (active or passive) regarding all employees of private companies acting according to their personal interest and not to the interest of the business;</footnote>

<footnote n="12">¹² Aiming at sanctioning all corruption acts likely to harm the financial interests of the Union</footnote>

<footnote n="13">¹³ For an exhaustive presentation of these documents, refer to "Corruption, compendium of international legal instruments on corruption", UN Publishing House, Second Edition, 2005.</footnote>
**Bibliography:**

Basarab, M., V. Paşca, Gh. Mateuţ, C. Butiuc, *Commented Criminal Code*, Vol. I, General Aspects, Hamangiu Publishing House, 2007, p. 104-106

Carvajal, R., *Large scale corruption : Definition, causes and cures system practice and action research*, vol. 12, no. 4, 1999.

Delmas-Marty, M., S. Manacorda, "La corruption, un defi pour L'Etat de droit et de la societe democratique", *Revue de science criminel*, 1997, p. 696;

Labori Michel et Costea, Simion, *Le management des politiques européennes*, Paris, Prodifmultimedia, 2011.

Martyvonne, G., "Social sciences and the evolving concept of corruption", *Crime, Law & Social Change*, no. 42, 2004;

Mateuţ, Gh., "Theoretical and practical synthesis on the traffic of influence repression according to the current legislation and in perspective", *Dreptul*, no. 5, 2002.

Mazilu, D., "Preventing and Combating Corruption. Major requirements of trade expansion based on the principles and fundamental rules of international trade law", *The Commercial Law Magazine*, no.1, 2002, p. 107;

Montigny, Ph, *L'entreprise face à la corruption internationale*, Paris, Elipses Publishing House, 2006

OECD, Convention on Combating Bribery of Foreign Public Officials in International Business Transaction: Ratification Status, http://www.oecd.org/dataoecd;

Sajo, A., "From corruption to extortion: Conceptualization of post-communist corruption", *Crime, Law & Social Change*, no. 40, 2003,

Sambrook, C., "The UN Convention against Corruption. One step forward in comparison with the OECD Convention? Pluses and minuses in comparative perspective", in *The Romanian International Law Magazine*, no.2, 2006, p. 68

Şpan, R., P. Pitcovici, *The Role of Information in the Fight against Corruption*, Craiova, Sitech Publishing House, 2009.

Transparency International Moldova, *Preventing and Combating Corruption: International Documents*, Chișinău, Bons Offices Publishing House, 2005,

UN, *Corruption, compendium of international legal instruments on corruption*, UN Publishing House, Second Edition, 2005

Voigt, S., *Economic growth, certainly in the law and juridical independence, in Global corruption report. Corruption in the juridical systems*, Cambridge Publishing House, 2007, p. 25

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# Le droit international général et les installations nucléaires proches des frontières dans les années '80 en Europe occidentale

DR FLORE POP

*Enseignant – Université « Babes-Bolyai » Cluj-Napoca (Roumanie)*

**Abstract:** This short article recalls the bilateral or multilateral nuclear agreements concluded between the countries of Western Europe decades ago. Since the 80s there were established specific mechanisms of mutual consultation among stakeholders in the Western countries, interested in the implantation of new nuclear plants close to their borders, these taking both classical forms of nuclear agreements and the less formal ones like the memorandum, the exchange of letters, directives of cooperation, those mechanisms encouraging the exchange of information and consultations. These agreements provided precise mechanisms and procedures of mutual information in situations where new nuclear plants were built close to a state border. Despite their relative importance and their limits (especially regarding the issues of sovereignty), the bi- and multilateral agreements concluded in the last three decades of the last century have contributed to the positive development of nuclear cooperation in Europe, especially the exchange of information and specific consultations between the building countries of new nuclear facilities and their immediate neighbors - and in a complementary manner - relating to the OECD relative recommendations regarding the transboundary pollution.

**Keywords:** Nuclear energy, international cooperation, international law, nuclear law, institutional framework, nuclear installation close to the border, transboundary pollution, environment protection, consulting, national sovereignty, nuclear agreement, bilateral agreement, multilateral agreement.

**IERE PARTIE: CARACTERISTIQUES ESSENTIELLES ET TRAITS COMMUNS DES ACCORDS NUCLEAIRES CONCLUS DANS LES ANNEES '80 DANS LES PAYS OCCIDENTAUX**

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a quasi-majorité des accords concernant expressément l'information et la consultation sur la création et l'exploitation d'installations nucléaires à proximité des frontières ont été conclus dans les années 80, dans la vague de „multilatéralisme” favorisée par l'Accord sur la Commission tripartite sur le Haut Rhin et par les „Directives” nordiques, avec tout de même une exception: l'Accord signé en 1982 par la Suisse et la R.F.A. Voyons donc, dans cette première partie de notre brève analyse, comment se dégagent les quelques caractères essentiels de la coopération internationale que nous paraissent ouvrir l'observation et l'analyse première des phénomènes liés à la structure et à la portée des divers accords conclus entre les Etats au sujet des installations nucléaires proches des frontières.

## A. STRUCTURE ET PORTEE DES ACCORDS DE COOPERATION

Suite à la nécessité qui s'est fait sentir dans les années '80 d'instituer des mécanismes adéquats de consultation mutuelle entre les pays voisins au sujet des problèmes créés par les nouvelles implantations de centrales nucléaires à proximité des frontières, un certain nombre d'arrangements à cet effet a été mis sur pied.

Comme les arrangements évoqués ci-dessus empruntent des formes diverses, d'abord de caractère classique, donc de véritables accords bilatéraux ou multilatéraux de coopération dans ce domaine - ou d'un type moins formel comme ci-après : mémorandum, échange de lettres, directives de coopération, mécanismes d'échange d'informations et de consultation, l'existence d'un dénominateur commun n'est pas évidente, si ce n'est la définition même d'installation nucléaire, mais qui comporte des nuances et doit être précisée d'un cas à l'autre. Le mécanisme mis en place, donc le cadre institutionnel instauré, diffère également d'un accord à l'autre, il n'y a pas deux accords identiques, pour des raisons diverses - géographiques, économiques, techniques ou bien même politiques ou conjoncturelles.
Une installation nucléaire est définie, de façon concise et complète, par les „Directives” de la coopération nordique, comme suit:

1. les installations comportant un réacteur nucléaire à l'exception des navires à propulsion nucléaire;

2. les usines de production et de traitement des substances nucléaires;

3. les usines de séparation isotopique des combustibles nucléaires;

4. les usines pour le retraitement des combustibles irradies;

5. les installations de stockage de substances nucléaires ou de déchets radioactifs à l'exception des installation destinées à servir de lieu de stockage temporaire au cours d'un transport de telles substances;

6. toutes autres installations dans lesquelles se trouvent des combustibles nucléaires ou d'autres produits radioactifs déterminés par les autorités compétentes<fnref n="1" />.

Mais la notion d',"installation nucléaire proche d'une frontière" peut être comprise de manière différente, en fonction du contexte géographique, culturel (perception du risque), démographique des zones et régions de frontière, mais surtout en fonction de la distance entre l'installation nucléaire et la frontière. Si dans la pratique interne des Etats, on retient – comme, par exemple en Grande Bretagne, une implantation nucléaire à 10 miles de distance d'agglomérations urbaines de plus de cent milles habitants - ou aux Etats-Unis à une distance de 20 miles<fnref n="2" />, sur le continent, dans le cadre des accords visés, la distance entre les installations nucléaires à construire et la frontière varie de 20 à 30 km: dans l'Accord conclu entre la Suisse et la R.F.A. le 10 août 1982 (entré en vigueur en 1983), l'échange des renseignements et documentation concerne les installations situées à l'intérieur des zones de 20 km - situés de part et d'autre de la frontière commune et seulement sur demande justifiée au-delà de 20 km<fnref n="3" />; or dans l'Accord signé le 4 juillet 1977 entre le Danemark et la R.F.A la distance prévue pour le choix d'un nouveau site, la construction et la mise en exploitation, est celle d'un rayon de 30 km à partir de la frontière: dans un rayon allant de 30 à 100 km, les parties se borneront à s'informer des installations existantes. Mais dans le cas de la centrale nucléaire française de Creys-Malville, située à quelques 80 km de Genève, les autorités suisses ont soutenu à un moment donné qu'il s'agissait d'une installation „proche de la frontière" étant donné la technologie nouvelle utilisée, considérée en Suisse comme particulièrement dangereuse<fnref n="4" />. Il suffit de rappeler la jurisprudence française ou européenne relative aux travaux préparatoires de la centrale de Creys-Malville<fnref n="5" />, ou relative à la centrale de Cattenom<fnref n="6" /> situées en France - ou celle de Kalkar<fnref n="7" /> en Allemagne, située à 70 km de Düsseldorf, non loin de la frontière hollandaise, pour bien apprécier l'impact psychologique que ces implantations ont eu sur les populations, de par leur proximité.

Les critères analysés concernant la notion d'installation proche de frontière et la distance entre les nouvelles implantations et la frontière, déterminent le champ des droits et des obligations des Etats participant à la coopération, droits et obligations prévus par les accords eux-mêmes, par les législations nationales ou par la coutume internationale. Il s'agit, en général, dans la plupart des accords, d'obligations mutuelles de consultation et d'information avant le choix du site et le début des travaux d'emplacement, et d'obligations ultérieures d'assistance mutuelle en cas d'urgence ou d'accident.

Les installations visées sont présentées dans les divers accords de manière simplifiée, mais elles s'intègrent, en ligne générale, dans la définition initiale (selon l'Accord nordique) et il s'agit principalement d'installations qui sont utilisées pour: la production, la fabrication et le retraitement et la fission des combustibles nucléaires ou encore pour le stockage des déchets radioactifs.

Dans l'esprit de ces accords de coopération bi- ou multilatérale, chaque partie s'engage à prendre en considération les préoccupations de l'autre partie avant toute décision intéressant: le choix du site, la construction et l'entrée en exploitation d'une installation nucléaire située dans la zone frontalière. Ensuite, les parties assument généralement, selon la plupart des accords, d'autres obligations: assurer la sécurité des installations, la protection contre les radiations, la protection de la population environnante y compris

<footnote n="1">¹ Voir B.D.N. n° 19, p. 44.</footnote>

<footnote n="2">² Cf. 9. K. S'HAPAR, conférence, texte non publié</footnote>

<footnote n="3">³ Voir B.D.N. n° 31 et 33.</footnote>

<footnote n="4">⁴ H. K. SHAPAR, conférence précitée.</footnote>

<footnote n="5">⁵ Voir B.D.N. n° 16, Référé T.G.I. de Bourgoin Jallieu</footnote>

<footnote n="6">⁶ B.D.N. n° 42, Arret C.J. des C.E. sur l'inst. de Cattenom</footnote>

<footnote n="7">⁷ Enerpresse, Paris, 19 mars 1991, "Le Projet de Kalkar..."</footnote>
l'administration des preuves et la protection en cas d'alerte; la protection de l'environnement; ils doivent
consulter à propos, non seulement de leurs plans de création de nouvelles installations et l'harmonisation
de ces plans - mais également de la désaffectation des installations.

Il s'agit d'installations situées, selon l'Accord du 27 septembre 1977, entre la R.F.A. et les Pays-Bas,
dans un rayon d'environ 30 km de chaque côté de la frontière, mais dans le cadre de l'Accord du 10 août
1982 conclu entre la Suisse et la R.F.A., la distance requise est seulement de 20 km; cependant cet accord
prévoit, en outre, que les parties doivent se renseigner également sur les modifications importantes des
dites autorisations<fnref n="1" />.

Les accords étudiés ici prévoient souvent la mise en place d'un cadre institutionnel plus ou moins
sophistiqué ou plus ou moins complexe - selon les situations et les contextes spécifiques aux zones et
régions proches des frontières. Ainsi, l'Accord tripartite entre la France, la Suisse et la R.F.A. du 4 juillet
1977, a institué une Commission intergouvernementale qui doit traiter: l'environnement, l'énergie, les
implantations industrielles et l'entraide en cas d'urgence, donc y compris les installations nucléaires, même
si le texte n'en parle pas explicitement<fnref n="2" /> - pour faciliter l'étude et la solution des problèmes de voisinage
dans les régions frontalières communes à ces trois pays. La Commission peut formuler des
recommandations, préparer des projets d'accord et elle est tenue informée des décisions prises par les
autorités régionales dans la limite de leurs compétences. Conformément à l'Accord du 10 août 1982 entre
la R.F.A. et la Suisse, une Commission germano-suisse pour la sécurité des installations nucléaires est
instituée. Il est précisé que ses deux chefs, dont l'un est allemand et l'autre suisse, entretiennent des
relations directes et peuvent prendre, dans le cadre de la dite commission, des décisions appropriées selon
les situations et les contextes spécifiques aux zones de frontière respectives, quant aux procédures de
consultations, notification et l'information du public. La commission s'est dotée d'un règlement, elle fixe
les séances, la composition, les groupes de travail, la contribution des experts sur demande<fnref n="3" />.

La coopération nordique prévoit également la mise en place de diverses commissions, qui parfois
sont constituées de manière *ad hoc* ou moins formelle ; de même, dans leur coopération bilatérale, la R.F.A.
et les Pays-Bas ont institué une commission germano-néerlandaise de planification régionale qui se réunit
au moins une fois par an ou sur demande de l'une des Parties ; elle est habilitée à constituer des groupes de
travail<fnref n="4" />. Enfin, la coopération entre l'Espagne et le Portugal a mis en place des groupes de travail pour
renforcer et accélérer les échanges d'information<fnref n="5" />.

Généralement les accords de coopération visés sont conclus pour une durée indéterminée, sauf
quelques exceptions comme celle, par exemple de l'Accord entre l'Espagne et le Portugal conclu pour une
durée de 5 ans – qui sera prorogée tacitement pour encore 5 ans, à moins que l'une des Parties ne
communique son intention contraire avec un préavis d'un an. Donc tous ces pays entendent définir une
politique à long terme à travers la consultation et les échanges d'informations tendant à la protection des
populations respectives et de l'environnement.

B. LES PROCEDURES DE CONSULTATION, LA NOTIFICATION, L'INFORMATION ET LA PARTICIPATION DU PUBLIC

Dans le cadre de la coopération bilatérale ou multilatérale les parties contractantes se renseignent
mutuellement sur les installations nucléaires proches de la frontière et mettent à disposition la
documentation appropriée. Les autorités du pays constructeur notifieront chaque projet d'installation
nucléaire aux autorités du pays voisin et joindront à cette notification la documentation appropriée relative
à la localisation de l'installation. Dans la plupart des accords il en va de même pour les autorisations de
construction et d'exploitation ainsi que pour toute modification des termes et conditions prévus dans
l'autorisation.

<footnote n="1">¹ Voir B.D.N. n° 31 et 33</footnote>

<footnote n="2">² Ibid.</footnote>

<footnote n="3">³ B.D.N. n°s 31 et 33.</footnote>

<footnote n="4">⁴ B.D.N. n° 22.</footnote>

<footnote n="5">⁵ B.D.N. n° 20.</footnote>
Selon l'Accord de coopération nordique, les notifications, accompagnées de la documentation appropriée, doivent être envoyées suffisamment à l'avance pour permettre que d'éventuelles commentaires ou observations du pays voisin soient incorpores dans le dossier de demande d'autorisation, avant qu'une décision ne soit prise; le pays voisin doit à son tour examiner sans délai la documentation reçue<fnref n="1" /> et fournir toutes les informations relatives à la répartition de la population, aux autres aspects qui peuvent être nécessaires à évaluer l'installation nucléaire en question. Il est évident que les autorités compétentes s'engagent, sur une base de réciprocité et dans la mesure permise par la législation du pays concerne, à respecter la confidentialité des documents, Les restrictions établies de part et d'autre au sujet de la diffusion et de la publication des informations et des documents fournis. La documentation doit 91re mise à disposition de manière continue, sauf les informations concernant la gestion de l'entreprise – qui ne sont pas échangées. En effet, les informations sont destinées à améliorer l'évaluation du site envisage pour l'installation et de son environnement, ainsi que la sécurité de l'installation projetée.

Ainsi, selon l'Accord conclu entre l'Espagne et le Portugal, les deux parties se sont engagés à tenir compte des observations et suggestions émises par l'une ou l'autre partie<fnref n="2" /> et de renforcer et accélérer les échangés d'informations. Selon l'Accord germano-suisse et celui de la coopération nordique, cette information réciproque s'applique non seulement aux autorisation de site, de construction et d'exploitation, mais également aux modifications importantes desdites à autorisations, ainsi qu'à la désaffectation des installations nucléaires.

Selon l'Accord germano-suisse, l'information sur les installations nucléaires proches des frontières doit permettre à l'autre partie contractante de s'exprimer sur un projet. Toutefois, les procédures internes d'autorisation ou d'approbation ne sont pas touchées : l'Accord ne donne pas le droit aux signataires d'être partie à cette procédure ou d'y participer. L'information par document écrits intervient assez tôt pour permettre à l'autre partie contractante de se prononcer sur le projet avant l'octroi de l'autorisation, sans retarder la procédure.

Quant à l'information et à la consultation du public la situation est un peu plus délicate. Pour ainsi dire, dans aucun pays, ni même au niveau international, il ne semble y avoir de dispositions juridiques bilatérales ou multilatérales ou prévoyant, dans le cas d'installations nucléaires situées près de la frontière, une procédure institutionnalisée permettant la consultation des populations locales des pays voisins sur les risques susceptibles de découler de l'implantation des telles installations nucléaires dans une zone frontalière. Donc la possibilité d'une participation transfrontalière du public n'est pas reconnue<fnref n="3" />. Dans la vision des différentes législations nationales pourtant, la situation semble toute autre. Pour prendre quelques exemples d'une enquête internationale de l'Agence pour l'Energie Nucléaire (A.E.N.) et l'Agence Internationale de l'Energie Atomique<fnref n="4" />, voyons las dispositions quelques législations nationales.

En France, il n'existe pas de dispositions légales spécifiques aux cas d'installations situées près des frontières. Quant à la pratique de la participation elle se résume à une enquête parlementaire.

En Belgique, les dispositions spécifiques s'appliquent en pratique aux territoires des pays voisins concernes, une enquête publique est menée par les autorités municipales des communes situées au-delà de la frontière.

Dans les pays nordiques la situation est plus souple en vertu de la coopération poussée entre ces pays, en principe tout citoyen d'un pays membre peut participer à la consultation dans le pays voisin - et d'une manière générale, l'absence de dispositions spécifiques ne paraît pas soulever de problème: dans les

<footnote n="1">¹ Voir les Directives relatives à la coopération nordique, B.D.N. n° 19, p. 43.</footnote>

<footnote n="2">² Voir B. D. N. n° 20 et 25 à l'autre partie contractante de s'exprimer sur un projet. Toutefois, les procédures internes d'autorisation ou d'approbation ne sont pas touchées: l'Accord ne donne pas le droit aux signataires d'être partie à cette procédure ou d'y participer. L'information par documents écrits intervient assez tôt pour permettre à l'autre partie contractante de se prononcer sur le projet avant l'octroi de l'autorisation, sans retarder la procédure.</footnote>

<footnote n="3">³ Voir B.D.N. n° 14, p. 71. C'est aussi l'avis de D.Ecoffey et J.F. Freymond dans une enquête de l'AEN et de l'AIEA, non publiée.</footnote>

<footnote n="4">⁴ Enquête intitulée: "Dispositions juridiques et méthodes mises en œuvre en matière de participation du public au processus de décision concernant l'installation et l'exploitation d'installations nucléaires: résultats et conclusions d'une enquête internationale de l'A.E.N. et l'A.I.E.A." par Jean F. Freymond et Danielle Ecoffey, Centre d'études pratiques de la négociation internationale Genève, non publiée.</footnote>
quatre pays Membres de l'Accord nordique une documentation adéquate est remise aux pays voisins, avant le début de la construction de toute installation nucléaire. En fait, la majorité des pays industrialisés tendent à traiter le problème de la participation du public de la même manière lorsqu'il s'agit de nationaux et d'étrangers. Ainsi, aux Etats-Unis la loi sur l'énergie atomique ne prévoit pas de restriction sur la participation des citoyens des pays voisins aux débats relatifs aux réacteurs nucléaires situes près des frontières du pays et la participation des étrangers se fait de la même manière que celle des citoyens du pays. En plus, en 1983 les Etats-Unis ont signé avec le Mexique un Accord-cadre sur la coopération en matière de protection et de mise en valeur de l'environnement le long de leur zone frontalière - pour prévenir et contrôler la contamination de la zone frontalière et pour fournir un cadre au développement d'un système d'alarme en cas de situation d'urgence.

En Suisse et en Allemagne les critères pour la participation à une procédure sont les mêmes pour les nationaux ou pour les étrangers; ils peuvent faire opposition à un projet. La Suisse, nous l'avons vu plus haut, est membre de deux commissions bilatérales: Suisse-France et Suisse-Allemagne qui portent sur l'information concernant des projets d'installations nucléaires proches des frontières. Au Luxembourg, la possibilité d'une participation transfrontalière du public existe, soutiennent les auteurs, les interventions du public étranger peuvent se faire par écrit ou oralement. Aux Pays-Bas, étant donné que „chacun” peut participer, les ressortissants d'autres pays peuvent également le faire: participation à des réunions, appels, etc. Au Royaume-Uni, il n'existe pas de disposition législative spécifique. Cependant, au cours d'une enquête publique les ressortissants d'un autre pays peuvent participer par l'intermédiaire d'un témoignage oral ou écrit.

Si les normes nationales ne semblent pas suffisantes pour garantir la protection transfrontière requise par le droit international public, nous tâcherons de nous employer dans notre seconde partie de ce travail à déceler la portée et les limites des accords bilatéraux de coopération en droit international général et par rapport aux recommandations de l'O.C.D.E. sur la protection de l'environnement.

## IIEME PARTIE : PORTEE ET LIMITES DES ACCORDS SUR LES INSTALLATIONS NUCLEAIRES PROCHES DES FRONTIERES EN DROIT INTERNATIONAL GENERAL

S'agissant d'un domaine important relevant du pouvoir de souveraineté nationale, le régime d'autorisation applicable aux implantations nucléaires proches des frontières échappe encore, d'une certaine manière, à une véritable internationalisation.

Malgré leur portée relative les accords bilatéraux ou multilatéraux conclus ces dernières vingt années ont contribué à l'évolution positive des échanges d'informations et des consultations entre les pays constructeurs de nouvelles installations et leurs voisins — et de manière complémentaire, par rapport aux Recommandations de l'O.C.D.E. relatives à la pollution transfrontière, à la protection et l'amélioration de l'environnement des zones frontalières, qui ne couvrent pas les activités nucléaires.

### A. QUELQUES PROBLEMES DE DROIT INTERNATIONAL SOULEVES PAR CETTE COOPERATION DANS LES ZONES DE FRONTIERE

Outre l'obligation de prendre en compte les intérêts des pays voisins et de leurs populations qui habitent dans les régions de frontière, la coopération internationale dans ce domaine devrait pouvoir imposer une autre obligation aux Etats celle de permettre la participation aux procédures d'autorisation des nouvelles implantations nucléaires dans les zones de frontière. Mais ce n'est pas du tout évident. La Commission des Communautés européennes, par exemple, semble reconnaître que selon les normes du droit international public classique, l'Etat constructeur est libre d'informer ou de consulter sa propre population et Les autorités régionales, locales. Le point de vue traditionnel c'est que l'Etat voisin n'aurait pas un droit de regard ou de „codécision”. Il s'agit en fait du vieux problème de la souveraineté absolue de l'Etat constructeur.

Les problèmes de droit international soulèves par la coopération sur les installations nucléaires proches des frontières sont divers et compliques : du fait de la proximité de ces installations de la frontière,
des conceptions sur la souveraineté, et de l'interdépendance accrue, incontournable dans le contexte contemporain.

L'emplacement et l'exploitation des installations nucléaires, y compris celles situées à proximité d'une frontière, constituent des activités en principe autorisées en droit international général.

Cependant, il est difficile de réconcilier les principes de la souveraineté avec les aléas de souveraineté qu'impose le devoir de respecter les intérêts de l'Etat voisin, ceux des populations susceptibles d'être affectées par l'emplacement d'un nouveau site nucléaire – ou même l'obligation d'informer les voisins sur ses activités nucléaires à proximité des frontières, pour ne pas parler de codécision ou de participation aux procédures d'autorisation, restées tabou. En tout cas, les Etats sont obligés de faire preuve de bonne foi et de ne pas aller trop loin dans leurs prétentions pour obtenir un accord visiblement défavorable pour l'Etat voisin ou ses nationaux. Cela répond à un besoin d'équité. Le droit international reconnaît plusieurs formes de souveraineté, mais dans la pratique internationale elles comportent des aléas importants du fait de l'interdépendance accrue dans toutes Les phases de la coopération bilatérale surtout dans les régions de frontière et les Etats acceptent des limitations de souveraineté - qui sont par ailleurs des émanations de leur souveraineté. Ce fait est mis en évidence par les consultations périodiques dans le cadre de nos accords.

## B. LES LIMITES, LES CARACTERES ET LA CONTRIBUTION DES ACCORDS ETUDIES A L'EVOLUTION DE LA COOPERATION

Ces quelques exemples particuliers de coopération bilatérale ou multilatérale en matière d'information et de consultation sur la construction et l'exploitation d'installations nucléaires proches des frontières, illustre très bien l'intérêt évident de tels mécanismes, mais si l'on considère comme d'habitude qu'ils touchent d'une certaine manière à l'un des domaines clés relevant du pouvoir de souveraineté nationale, on doit aussi considérer les aléas consentis et les limites de ces accords. Ceci n'empêche toutefois pas qu'ils puissent intervenir positivement, marne si de manière non contraignante, sur une base ad hoc ou seulement à l'échelon local - mais de façon complémentaire aux Recommandations de l'O.C.D.E. concernant l'environnement.

L'évolution progressive de la coopération internationale peut contribuer à définir une politique concertée à moyen et long terme tendant à la protection de l'environnement dans les zones susceptibles d'être affectées par la pollution transfrontière, d'origine radioactive ou autre.

Les Recommandations de l'O.C.D.E. constituent par rapport aux accords bilatéraux un cadre préexistant, somme des principes généraux qu'on ne peut pas éluder sans en subir les conséquences plus tard (environnement, ressources, etc.). Le caractère non-contraignant des accords peut être supplée par leur complémentarité avec les Recommandations, celles-ci ayant un caractère quasi-normatif et une large portée morale.

Encore en 1974, le Conseil de l'O.C.D.E. faisait des recommandations visant à intensifier la coopération et les actions des pays membres dans le domaine de la pollution transfrontière. Le Conseil recommande, entre autres, que les pays membres s'inspirent dans leur politique de l'environnement des principes relatifs à la pollution transfrontière et coopèrent pour développer le droit international applicable à la pollution transfrontière.

Ainsi, puisqu'on parle de solidarité internationale, les grands principes (non-discrimination, liberté d'accès, l'information et la consultation) ont été repris par les diverses législations nationale et sont devenus opérants également dans les instances internationales, dans les accords de coopération qui se rattachent, pour ainsi dire, de manière naturelle aux Recommandations de l'O.C.D.E. sur la pollution transfrontière.

Par ailleurs, les accords études dans ce cadre peuvent être regardés en parallèle avec ce qui est fait dans le domaine de l'environnement - et n'oublions pas que, par exemple, il y avait déjà une coopération nordique pour la protection de l'environnement avant la coopération nucléaire dans les zones de frontière. Et les exemples sont nombreux. En fait la liaison est très étroite entre les accords sur l'environnement et les accords sur les installations nucléaires proches des frontières, ils sont régis d'une certaine manière par les mêmes principes concernant l'information et la consultation sur l'impact, les conséquences d'une
pollution qui trouve son origine dans un pays et qui a des effets dans d'autres pays, or cela touche nos intérêts à nous tous - d'où l'obligation morale pour les Etats de tout faire pour développer la coopération.

Les accords sur l'environnement semblent avoir une portée beaucoup plus grande, du moins les procédures de participation du public sont nettement plus cristallisées et accessibles aux simples citoyens des pays voisins. Les accords études ne sont pas très contraignants, sont non-assortis d'une peine, sans sanction „judiciaire”, d'où parfois des difficultés d'application. Mais ils ont tout de même des caractéristiques juridiques, ils constituent une manifestation de la volonté des Etats de s'engager et à défaut de sanction ils sont contrôlés par les Commissions, les groupes de travail, les associations.

L'intérêt de ces mécanismes de coopération bilatéraux et multilatéraux analysés est considérable, même si les Etats gardent l'exclusivité du régime d'autorisation dans le nucléaire civil (y compris sur les installations proches des frontières) au nom des responsabilité qu'ils assument en matière de la sécurité du public et de la protection et de l'amélioration de l'environnement. Les éléments novateurs de cette coopération ont pu inspirer le développement du droit nucléaire et de l'environnement dans leur offensive contre la pollution transfrontière, d'où qu'elle vienne.

**Bibliographie selective :**

I. OUVRAGES

Agence pour l'Energie Nucléaire (OCDE), *Le droit nucléaire international : übistoire, évolution et perspectives*, AEN – OCDE, Paris, 2010.

D. BOURQUE, *L'énergie nucléaire et le droit: les autorisations, l'environnement, les contrôles judiciaires et politiques*, Editions Yvon Blais Inc., Cowansville, 1990.

D. CARREAU, *Droit international*, Pedone, Paris, 1986.

B. COMBY, *Energia nuclearà si mediul (L'énergie nucléaire et l'environnement)*, TNR Editions, trad. Rom., 2001.

G. VAN GOETHEM, P. MANOLATOS, M. HUGON, V. BHATNAGAR, M. DESFFRENNES, S. WEBSTER, *FISA 2009. Seven European Commission Conference on Euratom research and training in reactor systems*, Directorate General for Research Energy (EURATOM), Bruxelles, 2009.

A. KISS, *Droit international de l'environnement*, Pedone, Paris, 1989.

M. PRIEUR, *Droit de l'environnement*, précis Dalloz, 2e édition, Paris, 1991.

P. STROHL, N. PELTZER, *Les risques résultants de l'utilisation pacifique de l'énergie nucléaire*, Martinus Nijhoff Publishers, La Haye, 1993.

G. TIMSIT, *Thèmes et systèmes de droit*, PUF, Paris, 1986.

C. STOIBER, A. BAER, N. PELTZER, W. TONHAUSER, *Handbook on nuclear law*, IAEA, Vienne, 2003.

II. ARTICLES

J.-F. AUGEREAU, „L'Allemagne renonce au surgénérateur nucléaire de Kalkar”, in *Le Monde*, Paris, 23 mars 1991.

D. BOURCIER, „Ordre juridique et ordre technologique”, in *Cahiers S.T.S.*, Editions du C.N.R.S., Paris, 1986.

K. BOUSTANY, „La normativité nucléaire: Quelques réflexions”, in *Bulletin de Droit Nucléaire*, n° 51, Paris, 1993.

F. G. DE GALZAIN, „Le droit du public à participer au processus de décision nucléaire”, in *Bulletin de Droit Nucléaire*, n° 50, Paris, 1992.

M. A. HELLER, „Recent Developments. Chernobyl Fallout: Recent IAEA Conventions Expand Transboundary Nuclear Pollution Law”, in *Stanford Journal of International Law*, n° 23, 1987.

M. KLOEPFER, „Internationalrechtliche Probleme grenznaher Kernkraftwerke”, in *Archiv des Völkerrechts*, Vol. 25, n° 3, 1987, publié par J. C. B. Mohr (Paul Siebeck) Verlag, Tübingen, 1987.

W, BISCHOF, N. PELZER, „Etude comparative de la participation du public aux procédures d'autorisation des installations nucléaires dans certains pays européens”, in *Bulletin de Droit Nucléaire*, n° 19, Paris, 1977.

P. STROHL, „L'originalité du droit nucléaire”, in *Le Courrier du C.N.R.S.: Les sciences du Droit*, Paris, 1990.

III. DIVERS

A.I.E.A., *Bilateral Regional and Multilateral Agreements Relating to Co-operation in the Field of Nuclear Safety*, Legal Series n° 15, Vienne, 1990.

A.I.E.A., *Multilateral conventions: Instruments of global co-operation*, in the I.A.E.A. Bulletin, n° 3, 1987.

A.E.N., *Bulletin de Droit Nucléaire*, Paris, n° 1 à 51.

ENERPRESSE, *Bulletin quotidien, Le projet de Kalkar définitivement abandonné*, Paris, n° 5286, 19 mars 1991.

OUR DE JUSTICE DES COMMUNAUTES EUROPEENNES, *Arrêt relatif à la centrale nucléaire de Cattenom*, du 22 septembre 1988, in D.N. n° 42, décembre 1988.
D. ECOFFEY, J. F. FREYMOND, *Dispositions juridiques et méthodes mises en œuvre en matière de participation du public au processus de décision concernant l'installation et l'exploitation d'installations nucléaires: résultats et conclusions d'une enquête internationale de l'A.E.N. et l'A.I.E.A.*, étude présentée lors de la réunion internationale de l'O.C.D.E. sur la participation du public au processus de décision dans le domaine nucléaire, Paris, les 4 - 6 mars 1992. Etude non publiée

JOURNAL OF ENERGY AND NATURAL RESOURCES LAW, *International Aspects of Nuclear Installations*, vol. 5, n° 3, 1987.

O.C.D.E., *The OECD Observer*, Paris, n° 181 et 183, 1993.

O.C.D.E., *Aspects juridiques de la pollution transfrontière*, Paris 1987.

O.C.D.E., *La non-discrimination en matière de pollution transfrontière*, Paris, 1978.

H. K. SHAPAR, *Consultation between neighboring countries on the construction and operation of nuclear installations near their borders*, conference, text non publié.

T.G.I. DE BOURGΟΙN JALLIEU, * Jugement en REFERE relatif aux travaux préparatoires de la centrale de Creys-Malville*, du 30 mai 1975, in B.D.N. n° 16, novembre 1975.

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