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The Recognition of Legal Persons in International Human Rights Instruments: Protection Against and Through Criminal Justice?

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Corporate Criminal Liability

Part of the book series: Ius Gentium: Comparative Perspectives on Law and Justice ((IUSGENT,volume 9))

Abstract

Private non-natural persons (such as companies) and even public legal entities (such as municipalities) are increasingly being recognized as subjects of criminal liability. Therefore, this contribution deals with three issues. First, can legal entities find protection under international fundamental human rights treaties (ICCPR, ECHR, ACHR, AfChHPR) when criminal law and criminal procedure are applied against them? Second, is it possible for individual stakeholders in these entities to invoke human rights protection, when the violation is in fact directed against the organization in which they have an interest? Yet, human rights are not just relevant as protections for legal persons: there is a growing awareness that they are responsible for human rights violations. So, third: do international human rights obligations require states to provide for the possibility that juristic entities may be held criminally responsible for such violations?

Prof. Dr. P.H.P.H.M.C. van Kempen is Professor of Law, and holds the Chair of Criminal Law and Criminal Procedure (Department of Criminal Law) as well as the Chair of Human Rights Law (Department of International and European Law), Radboud University Nijmegen, The Netherlands. He is also a part-time Justice in the Court of Appeal, ’s-Hertogenbosch, The Netherlands. Van Kempen is furthermore Secretary-General of the International Penal and Penitentiary Foundation (IPPF). He can be contacted via p.h.vankempen@jur.ru.nl or http://www.ru.nl/law/vankempen/.

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Notes

  1. 1.

    On corporate criminal liability in national legal systems, see, e.g., Engle 2003, 288 et seq., with many further references, and the overview of some thirty-five countries in Lex Mundi Business Crimes and Compliance Practice Group 2008. For international law, see, e.g., OECD Convention on Combating Bribery of Foreign Public Officials in International Business Transactions, November 21, 1997, in force February 15, 1999, Art. 2; Optional Protocol to the Convention on the Rights of the Child on the Sale of Children, Child Prostitution and Child Pornography, May 25, 2000, in force January 18, 2002, 2171 UNTS 227, Art. 3(4); Council of Europe Convention on Action against Trafficking in Human Beings, May 16, 2005, in force February 1, 2008, ETS No. 197, Art. 22.

  2. 2.

    International Covenant on Civil and Political Rights, December 16, 1966, in force March 23, 1976, 999 UNTS 171.

  3. 3.

    Convention for the Protection of Human Rights and Fundamental Freedoms, as amended by Protocols No. 11 and 14, November 4, 1950, in force September 3, 1953, ETS No. 5.

  4. 4.

    American Convention on Human Rights “Pact of San José, Costa Rica”, November 22, 1969, in force July 18, 1978, 1144 UNTS 143.

  5. 5.

    African Charter on Human and Peoples’ Rights, June 27, 1981, in force October 21, 1986, 1520 UNTS 217.

  6. 6.

    Optional Protocol to the International Covenant on Civil and Political Rights, December 19, 1966, in force, March 23, 1976, 999 UNTS 302.

  7. 7.

    HRC, View of July 14, 1989, A newspaper publishing company v. Trinidad and Tobago, Comm. 360/1989, para. 3.2 (company); HRC, View of April 6, 1983, JRT & The WG Party v. Canada, Comm. 104/1981, para. 8(a) (political party); HRC, View of April 9, 1981, Hartikainen v. Finland, Comm. 40/1978, para. 3 (NGO). However, a number of individuals who each claim to be victim of violation of the ICCPR may collectively submit a complaint to the Committee; see HRC, View of April 8, 1993, EW v. The Netherlands, Comm. 429/1990, para. 6.3 (6 588 citizens).

  8. 8.

    HRC, General Comment No. 31, The Nature of the General Legal Obligation Imposed on States Parties to the Covenant, March 29, 2004, para. 9.

  9. 9.

    HRC, View of April 9, 1981, Mauritian women v. Mauritius, Comm. 35/1978, para. 9.2.

  10. 10.

    Emberland 2004, 216.

  11. 11.

    This provision holds that the court may receive applications from “any person, non-governmental organization or group of individuals claiming to be the victim of a violation”.

  12. 12.

    ECtHR, Decision of May 12, 2009, Ernewein v. Germany, Appl. 14849/08, para. 2(a); ECtHR, Decision of March 23, 2006, NBTK & Swig Group Inc. v. Russia, Appl. 307/02.

  13. 13.

    See the former European Commission of Human Rights: ECommHR, Report of October 3, 1968, NV Televisier v. The Netherlands, Appl. 2690/65, 4; ECommHR, Report of March 21, 1975, Times Newspaper Ltd, The Sunday Times, Harold Evans v. The United Kingdom, Appl. 6538/74, para. 1. Both cases concern the right to freedom of expression in ECHR, Art. 10.

  14. 14.

    Emberland 2006, 4 (n. 20), 35 et seq.

  15. 15.

    ECtHR, Judgment of April 16, 2002, Société Colas Est v. France, Appl. 37971/97, para. 41 (right to privacy in ECHR, Art. 8).

  16. 16.

    See, e.g., ECtHR, Judgment of April 16, 2002, Société Colas Est v. France, Appl. 37971/97, para. 41 (right to privacy in ECHR, Art. 8).

  17. 17.

    Cf., e.g., ECtHR, Judgment of December 16, 1992, Niemietz v. Germany, Appl. 13710/88, paras. 29, 30 (right to privacy in ECHR, Art. 8). See also ECommHR, Decision of May 5, 1979, X. & Church of Scientology v. Sweden, Appl. 7805/77, para. 2.

  18. 18.

    See ECtHR, Judgment of February 1, 2001, Ayuntamiento de M v. Spain, Appl. 15090/89; ECtHR, Judgment of November 23, 1999, The Municipal Section of Antilly v. France, Appl. 45129/98; ECommHR, Decision of May 31, 1974, 16 Austrian Communes v. Austria, Appl. 5767/72, at I. In interstate cases, however, the state does have standing, of course; see ECHR, Art. 33. It is, however, not always evident if a legal person should qualify as a governmental or non-governmental organization. For the applicable criteria, see ECtHR, Judgment of December 13, 2007, Islamic Republic of Iran Shipping Lines v. Turkey, Appl. 40998/98, para. 80. In specific circumstances public law entities are regarded as non-governmental organizations; see ECtHR, Judgment of December 9, 1994, The Holy Monasteries v. Greece, Appl. 13092/87, paras. 14 et seq. and 48 et seq. Conversely, private law legal persons may rank as governmental organizations: see ECtHR, Decision of January 27, 2009, State Holding Company Luganksvugillya v. Ukraine, Appl. 23938/05.

  19. 19.

    IACommHR, Report of March 11, 1999, Mevopal, SA v. Argentina, Report 39/99, para. 12.

  20. 20.

    ACHR, Art. 61(1).

  21. 21.

    IACtHR, Judgment of September 7, 2001, Cantos v. Argentina, paras. 22 et seq.; IACtHR, Judgment of January 28, 2009, Perozo v. Venezuela, paras. 74, 399.

  22. 22.

    IACommHR, Report of October 22, 2003, Metropolitan Nature Reserve v. Panama, Report 88/03, paras. 29 et seq.

  23. 23.

    Nevertheless, see Lindblom 2005, 182 et seq., in which it is rightly asserted that several provisions in the ACHR (such as Arts. 13, 15, and 16, respectively on the right on expression, assembly, and association) indirectly afford protection to non-governmental organizations, while the wording of this provisions does not necessarily exclude their application to legal persons.

  24. 24.

    Meanwhile, the IACtHR has ordered provisional measures to protect the perimeter of the head offices of a broadcasting organization: see IACtHR, Order of the then-President of the Inter-American Court of Human Rights of August 3, 2004, Perozo v. Venezuela.

  25. 25.

    IACommHR, Report of September 27, 1999, Bendeck-Cohdinsa v. Hunduras, Report 106/99, para. 17; IACommHR, Report of March 11, 1999, Mevopal, SA v. Argentina, Report 39/99, para. 17.

  26. 26.

    Cf. AfCommHPR, Decision of October 23–November 6, 2000, Union Nationale des Syndicats Autonomes du Sénégal v. Sénégal, Comm. 226/99 (2000).

  27. 27.

    Evans/Murray 2008, 102 et seq.

  28. 28.

    See, e.g., AfCommHPR, Decision of May 16–30, 2007, Art. 19 v. The State of Eritrea, Comm. 275/2003 (2007), under: Decision on admissibility.

  29. 29.

    AfCommHPR, Decision of May 16–30, 2007, Art. 19 v. The State of Eritrea, Comm. 275/2003 (2007), under: Decision on the merits.

  30. 30.

    See also AfCommHPR, Decision of November 15, 1999, Constitutional Rights Project, Civil Liberties Organisation and Media Rights Agenda v. Nigeria, Comm. 140/94, 141/94, 145/95 (1999), para. 37; AfCommHPR, Decision of October 31, 1998, Media Rights Agenda and Others v. Nigeria, Comm. 105/93, 128/94, 130/94 and 152/96 (1998), paras. 1, 2, 4, 57, 71, 75, 77; AfCommHPR, Decision of October 31, 1998, Constitutional Rights Project and Civil Liberties Organisation v. Nigeria, Comm. 102/93 (1998).

  31. 31.

    AfCommHPR, Decision of 1995, Civil Liberties Organization v. Nigeria, Comm. 101/93 (1995), para. 37.

  32. 32.

    AfCommHPR, Decision of November 15, 1999, Constitutional Rights Project, Civil Liberties Organisation and Media Rights Agenda v. Nigeria, Comm. 140/94, 141/94, 145/95 (1999), para. 54.

  33. 33.

    Cf. also AfCommHPR, Decision of October 2–11, 1995, Free Legal Assistance Group and Others v. Zaire, Comm. 25/89, 47/90, 56/91, 100/93 (1995), paras. 2, 46 (the press); 3, 45 (church property Jehovah’s Witnesses); 4, 48 (universities and schools).

  34. 34.

    See, however, AfCommHPR, Decision of May 15–29, 2003, Association Pour la Sauvegarde de la Paix au Burundi v. Tanzania, Kenya, Uganda, Rwanda, Zaire and Zambia, Comm. 157/96 (2003), para. 63: complaint admissible, although it appeared “that the authors of the communication were in all respects representing the interests of the military regime of Burundi”. The question was whether this communication should rather be considered as a communication from a state; eventually it was regarded as an individual complaint.

  35. 35.

    Cf. AfCommHPR, Decision of May 15–29, 2003, Association Pour la Sauvegarde de la Paix au Burundi v. Tanzania, Kenya, Uganda, Rwanda, Zaire and Zambia, Comm. 157/96 (2003), para. 63.

  36. 36.

    Cf. AfCommHPR, Principles and Guidelines on the Rights to a Fair Trial and Legal Assistance in Africa (2001), at E: “States must ensure, through adoption of national legislation, that in regard to human rights violations, which are matters of public concern, any individual, group of individuals or non-governmental organization is entitled to bring an issue before judicial bodies for determination.”

  37. 37.

    For a detailed inventory and analyses, see Emberland 2004, 264 et seq. (ICCPR, ACHR); Emberland 2006, 65 et seq. (ECHR).

  38. 38.

    HRC, View of July 26, 1994, Singer v. Canada, Comm. 455/1991, para. 11.2; IACommHR, Report of June 14, 2001, Tomás Enrique Carvallo Quintana v. Argentina, Report 67/01, para. 54; ECtHR, Decision of October 5, 2006, Pokis v. Latvia, Appl. 528/02, at A.

  39. 39.

    Optional Protocol to the ICCPR, Art. 5(2)(b); ECHR, Art. 35(1); ACHR, Art. 46(1)(a); AfCHPR, Art. 56(5).

  40. 40.

    Emberland 2004, 267 et seq. (ICCPR, ACHR); Emberland 2006, 99 et seq. (ECHR), in which virtual applications by the supervisory bodies of the second concept (i.e., the infringement of a legal person’s rights by a State’s measure is formally distinguished from the violation of rights of the individual under the self-same measure) are in my view undeservedly qualified as identification. The point seems to be that, whenever a legal person and an individual are practically conceived as one, this as such certainly does not mean they are also formally identified and that the corporate veil will be lifted.

  41. 41.

    ECtHR, Judgment of October 24, 1995, Agrotexim v. Greece, Appl. 14807/89, para. 66. See also ECtHR, Decision of October 14, 2008, Ketko v. Ukraine, Appl. 31223/03; ECtHR, Decision of September 9, 2004, Capital Bank AD v. Bulgaria, Appl. 49429/99, para. 1; ECtHR, Decision of April 1, 2004, Camberrow MM5 AD v. Bulgaria, Appl. 50357/99, para. 1.

  42. 42.

    HRC, View of July 26, 1994, Singer v. Canada, Comm. 455/1991, para. 11.2. For a similar case, see HRC, View of July 25, 2005, Hoffman and Simpson v. Canada, Comm. 1220/2003, in which the committee circumvented a confirmation of its view in Singer. The committee did suggest, however, that the plaintiffs in this case could have met the requirement on the exhaustion of domestic remedies through their corporation. That does indeed imply identification, but it is far from certain that the committee actually meant to imply such.

  43. 43.

    HRC, View of March 31, 1994, SM v. Barbados, Comm. 502/1992, para. 6.2 (access to court); HRC, View of April 7, 1999, Lamagna v. Australia, Comm. 737/1997, para. 6.2 (access to information). Nevertheless, in a general comment the committee states that the ICCPR does not prevent “individuals from claiming that actions or omissions that concern legal persons and similar entities amount to a violation of their own rights”; HRC, General Comment No. 31, The Nature of the General Legal Obligation Imposed on States Parties to the Covenant, March 29, 2004, para. 9.

  44. 44.

    HRC, View of October 14, 1996, GC & OB v. Russian Federation, Comm. 637/1995, para. 6.2.

  45. 45.

    ECtHR, Judgment of October 11, 2007, Glas Nadezhda EOOD & Anatoliy Elenkov v. Bulgaria, Appl. 14134/02, para. 40; ECtHR, Judgment of October 26, 2000, GJ v. Luxembourg, Appl. 21156/93, para. 24. This may also apply if two brothers are the sole co-owners of a family business; see ECtHR, Judgment of November 15, 2007, Khamidov v. Russia, Appl. 72118/01, paras. 123 et seq.

  46. 46.

    Cf. ECtHR, Judgment of November 29, 1991, Pine Valley Developments Ltd. v. Ireland, Appl. 12742/87, para. 42.

  47. 47.

    ECtHR, Decision of October 14, 2008, Ketko v. Ukraine, Appl. 31223/03 (property); ECtHR, Decision of February 14, 2006, Bayramov v. Azerbaijan, Appl. 23055/03 (fair trial, property); ECtHR, Judgment of June 17, 2008, Meltex Ltd. & Mesrop Movsesyan v. Armenia, Appl. 32283/04, para. 66 (freedom of expression).

  48. 48.

    Cf. ECtHR, Judgment of March 28, 1990, Groppera Radio AG v. Switserland, Appl. 10890/84, paras. 46 et seq.

  49. 49.

    ECtHR, Decision of November 7, 2002, Olczak v. Poland, Appl. 30417/96, paras. 57 et seq.

  50. 50.

    ECtHR, Decision of October 5, 2006, Pokis v. Latvia, Appl. 528/02, at A.

  51. 51.

    ECtHR, Judgment of July 31, 2008, Družstevní Záložna Pria v. The Czech Republic, Appl. 72034/01, paras. 99 et seq.

  52. 52.

    IACtHR, Judgment of September 7, 2001, Cantos v. Argentina, para. 29; see also para. 30, in which the court notes that submissions to all relevant national avenues of administrative and legal recourse in the case were done directly by Mr. Cantos in his own name and in the name of his companies (which means that he personally used the national remedies), and in which it speaks of “the alleged violation of the rights of Mr. Cantos”. See also IACommHR, Report of June 14, 2001, Tomás Enrique Carvallo Quintana v. Argentina, Report 67/01, paras. 54, 56, 61; IACommHR, Report of October 16, 1997, Tabacalera Boqueron SA v. Paraguay, Report 47/97, paras. 27, 32; IACommHR, Report of February 22, 1991, 105 shareholders of the Banco de Lima v. Peru, Report 10/91, paras. 3 et seq.

  53. 53.

    IACtHR, Judgment of November 28, 2002, Cantos v. Argentina, para. 65.

  54. 54.

    IACtHR, Judgment of September 7, 2001, Cantos v. Argentina, para. 2.

  55. 55.

    IACommHR, Report of March 9, 2005, José Luis Forzanni Ballardo v. Peru, Report 40/05, paras. 35 et seq.; IACommHR, Report of June 14, 2001, Tomás Enrique Carvallo Quintana v. Argentina, Report 67/01, para. 54; IACommHR, Report of September 27, 1999, Bernard Merens and Family v. Argentina, Report 103/99, paras. 14 et seq.

  56. 56.

    IACtHR, Judgment of February 6, 2001, Ivcher Bronstein v. Peru, paras. 117 et seq.; IACtHR, Judgment of September 7, 2001, Cantos v. Argentina, para. 29.

  57. 57.

    See, e.g., ECtHR, Judgment of October 26, 2000, GJ v. Luxembourg, Appl. 21156/93, para. 24; IACtHR, Judgment of September 7, 2001, Cantos v. Argentina, para. 25.

  58. 58.

    Cf. ECtHR, Judgment of November 12, 2002, Fortum Oil and Gas Oy v. Finland, Appl. 32559/96, para. 3.

  59. 59.

    Cf., e.g., ECtHR, Judgment of April 26, 1979, Sunday Times v. The United Kingdom, Appl. 6538/74, paras. 44 et seq.; ECtHR, Judgment of February 9, 1995, Vereniging Weekblad “Bluf!” v. The Netherlands, Appl. 16616/90, paras. 25 et seq.; ECtHR, Decision of December 8, 2005, Nordisk Film & TV A/S v. Denmark, Appl. 40485/02.

  60. 60.

    As has been explained, in very specific circumstances legal persons may be indirectly protected in their right to freedom of expression under the ICCPR: see above at 14.3.1.2.

  61. 61.

    Cf., e.g., ECtHR, Judgment of January 22, 2009, Holy Synod Bulgarian Orthodox Church v. Bulgaria, Appl. 412/03, para. 103; ECtHR, Judgment of November 6, 2008, Leela Förderkreis EV v. Germany, Appl. 58911/00, para. 79; ECtHR, Judgment of July 31, 2008, Religionsgemeinschaft der Zeugen Jehovas v. Austria, Appl. 40825/98, para. 61; ECtHR, Judgment of December 14, 1999, Serif v. Greece, Appl. 38178/97, paras. 33 et seq.; ECtHR, Judgment of September 26, 1996, Manoussakis v. Greece, Appl 18748/91, paras. 44 et seq.

  62. 62.

    Cf., e.g., ECtHR, Grand Chamber Judgment of January 30, 1998, United Communist Party of Turkey v. Turkey, Appl. 19392/92, paras. 24 et seq.; ECtHR, Judgment of February 14, 2006, Christian Democratic People’s Party v. Moldova, Appl. 28793/02, paras. 62 et seq.; ECtHR, Decision of July 31, 2008, Religionsgemeinschaft der Zeugen Jehovas v. Austria, Appl. 40825/98, paras. 61 et seq.

  63. 63.

    Cf. ECommHR, Decision of October 10, 1979, Rassemblement Jurassien & Unite Jurassienne v. Switzerland, Appl. 8191/78, paras. 1 et seq., and ECtHR, Judgment of February 14, 2006, Christian Democratic People’s Party v. Moldova, Appl. 28793/02, paras. 62 et seq.

  64. 64.

    Cf. ECtHR, Judgment January 11, 2007, Russian Conservative Party of Entrepreneurs v. Russia, Appl. 55066/00, paras. 53 et seq.; ECtHR, Judgment of July 8, 2008, Georgian Labour Party v. Georgia, Appl. 9103/04, paras. 72 et seq.

  65. 65.

    Cf. ECtHR, Judgment of October 9, 2008, Forminster Enterprises Limited v. The Czech Republic, Appl. 38238/04, paras. 63 et seq. On the relevance of the right to property to criminal law procedure, cf. also ECtHR, Judgment of July 9, 2009, Moon v. France, Appl. 39973/03; ECtHR, Judgment of October 24, 1986, AGOSI v. The United Kingdom, Appl. 9118/80, paras. 47 et seq., and in the same case ECommHR, Report of October 11, 1984, paras. 75, 80 et seq.

  66. 66.

    Cf. ECtHR, Decision of July 31, 2008, Religionsgemeinschaft der Zeugen Jehovas v. Austria, Appl. 40825/98, paras. 88, 99; ECommHR, Report of June 25, 1996, The National & Provincial Building Society, The Leeds Permanent Building Society and The Yorkshire Building Society v. The United Kingdom, Appl. 21319/93, paras. 85 et seq.; ECtHR, Judgment of December 9, 1994, The Holy Monasteries v. Greece, Appl. 13092/87, para. 92.

  67. 67.

    Cf. ECtHR, Grand Chamber Judgment of April 6, 2000, Comingersoll v. Portugal, Appl. 35382/97, paras. 27 et seq. Cf. furthermore, e.g., ECtHR, Judgment of October 6, 2009, Deservire SRL v. Moldova, Appl. 17328/04, para. 62; ECtHR, Decision of July 31, 2008, Religionsgemeinschaft der Zeugen Jehovas v. Austria, Appl. 40825/98, para. 129; ECtHR, Judgment of February 12, 2008, Oferta Plus SRL v. Moldova, Appl. 14385/04, paras. 72 et seq.; ECtHR, Judgment of December 20, 2007, Paykar Yev Haghtanak Ltd. v. Armenia, Appl. 21638/03, para. 56; ECtHR, Grand Chamber Judgment of December 8, 1999, Freedom and Democracy Party (ÖZDEP) v. Turkey, Appl. 23885/94, para. 57; ECtHR, Judgment of December 9, 1994, The Holy Monasteries v. Greece, Appl. 13092/87, paras. 95 et seq.; ECtHR, Judgment of May 22, 1990, Autronic AG v. Switzerland, Appl. 12726/87, para. 65; EHRM, Judgment of November 6, 1980, Sunday Times v. The United Kingdom, Appl. 6538/74, para. 13.

  68. 68.

    Since the ICCPR and ACHR do not apply to legal persons at all, while there is hardly any case law under the AfCHPR regarding such entities, this section is about the jurisprudence of the ECtHR and, infrequently, of the former ECommHR. Although their jurisprudence in criminal cases is the first point of attention here, the references in this section also regard judgments and decisions in civil and administrative cases because convention cases that concern legal persons and criminal justice are fairly scarce. When considering non-criminal cases it is important to realize that the ECHR in such cases often poses less strict requirements and leaves the national authorities greater latitude than in the criminal sphere (cf. ECtHR, Judgment of March 27, 2008, LB Interfinanz AG v. Croatia, Appl. 29549/04, para. 32, with further references). Consequently, when a fundamental right applies to legal persons under civil or administrative law, they are usually a fortiori protected by that right in criminal cases.

  69. 69.

    ECtHR, Judgment of December 20, 2007, Paykar Yev Haghtanak Ltd. v. Armenia, Appl. 21638/03, para. 37 (criminal/fiscal); ECtHR, Decision of June 21, 2005, Sträg Datatjänster AB v. Sweden, Appl. 50664/99 (criminal/fiscal). Cf. ECtHR, Judgment of July 16, 2009, Baroul Partner-A v. Moldova, Appl. 39815/07, paras. 36 et seq. (civil).

  70. 70.

    ECtHR, Judgment of November 12, 2002, Fortum Oil and Gas Oy v. Finland, Appl. 32559/96, para. 2 (de facto criminal). See also ECtHR, Decision of January 25, 2000, Aannemersbedrijf Gebroeders Van Leeuwen BV v. The Netherlands, Appl. 32602/96, paras. 1, 2 (civil/criminal).

  71. 71.

    Cf. ECtHR, Judgment of December 20, 2007, Paykar Yev Haghtanak Ltd. v. Armenia, Appl. 21638/03, para. 45 (criminal/fiscal).

  72. 72.

    ECtHR, Judgment of December 20, 2007, Paykar Yev Haghtanak Ltd. v. Armenia, Appl. 21638/03, paras. 37, 50 (criminal/fiscal). See also ECtHR, Decision of June 17, 2008, Synnelius & Edsbergs Taxi AB v. Sweden, Appl. 44298/02, para. 1 (criminal/fiscal); ECtHR, Decision February 28, 2006, MAC-STRO SRL v. Moldova, Appl. 35779/03 (criminal/customs). Cf. ECtHR, Judgment of July 15, 2006, Zlínsat, spol. s r.o. v. Bulgaria, Appl. 57785/00, paras. 58 et seq., 70 et seq. (civil). Legal persons may be indirectly protected under the ACHR’s right to access to court; see above at 14.3.1.2.

  73. 73.

    ECtHR, Judgment of October 23, 1997, The National & Provincial Building Society, The Leeds Permanent Building Society & The Yorkshire Building Society v. The United Kingdom, Appl. 21319/93, paras. 99, 105 et seq. (civil/administrative), and in the same case ECommHR, Report of June 25, 1996, paras. 85 et seq., 103, 106.

  74. 74.

    Cf. ECommHR, Decision of February 22, 1995, MB & TMS AB v. Sweden, Appl. 21831/93 (civil).

  75. 75.

    ECtHR, Judgment of September 24, 1997, Garyfallou AEBE v. Greece, Appl. 18996/91, paras. 36 et seq. (criminal). See, furthermore, ECtHR, Decision February 28, 2006, MAC-STRO SRL v. Moldova, Appl. 35779/03 (criminal/customs); ECtHR, Decision of September 15, 1997, Mantel & Mantel Holland Beheer BV v. The Netherlands, Appl. 22531/93, which is a confirmation of ECommHR, Report of April 9, 1997, Mantel & Mantel Holland Beheer BV v. The Netherlands, Appl. 22531/93 (criminal). Cf. ECtHR, Judgment of July 31, 2008, Religionsgemeinschaft der Zeugen Jehovas v. Austria, Appl. 40825/98, paras. 106 et seq. (civil); ECtHR, Judgment of December 19, 2006, Klemeco Nord AB v. Sweden, Appl. 73841/01, paras. 29 et seq. (civil).

  76. 76.

    ECtHR, Judgment of July 16, 2009, Baroul Partner-A v. Moldova, Appl. 39815/07, paras. 36 et seq. (civil); ECtHR, Judgment of March 18, 2008, Dacia SRL v. Moldova, Appl. 3052/04, paras. 72 et seq. (civil).

  77. 77.

    ECtHR, Judgment of December 19, 2006, Klemeco Nord AB v. Sweden, Appl. 73841/01, para. 39 (civil).

  78. 78.

    ECtHR, Decision of June 17, 2008, Synnelius & Edsbergs Taxi AB v. Sweden, Appl. 44298/02, para. 1 (criminal); ECtHR, Decision of March 23, 2000, Haralambidis, Y. Haralambidis-Liberpa SA & Liberpa Ltd. v. Greece, Appl. 36706/97, para. 4 (criminal/administrative); ECommHR, Report of September 9, 1998, Zegwaard & Zegwaard BV v. The Netherlands, Appl. 26493/95, paras. 34 et seq.

  79. 79.

    ECtHR, Judgment of November 12, 2002, Fortum Oil and Gas Oy v. Finland, Appl. 32559/96, paras. 1, 2 (de facto criminal).

  80. 80.

    ECtHR, Decision of March 23, 2000, Haralambidis, Y. Haralambidis-Liberpa SA & Liberpa Ltd. v. Greece, Appl. 36706/97, paras. 10 and 6 respectively (criminal/administrative); ECtHR, Judgment of November 12, 2002, Fortum Oil and Gas Oy v. Finland, Appl. 32559/96, paras. 1, 2 (de facto criminal).

  81. 81.

    ECtHR, Decision of January 25, 2000, Aannemersbedrijf Gebroeders Van Leeuwen BV v. The Netherlands, Appl. 32602/96 (civil/criminal).

  82. 82.

    ECtHR, Decision of March 23, 2000, Haralambidis, Y. Haralambidis-Liberpa SA & Liberpa Ltd. v. Greece, Appl. 36706/97, para. 5 (criminal/administrative).

  83. 83.

    ECtHR, Judgment of February 23, 1993, Funke v. France, Appl. 10828/84, para. 44; ECtHR, Judgment of November 29, 1996, Saunders v. The United Kingdom, Appl. 19187/91, paras. 70 et seq.; ECtHR, Judgment of April 21, 2009, Marttinen v. Finland, Appl. 19235/03, paras. 67 et seq.

  84. 84.

    ECtHR, Judgment of December 20, 2007, Paykar Yev Haghtanak Ltd. v. Armenia, Appl. 21638/03, para. 45 (criminal/fiscal).

  85. 85.

    ECtHR, Judgment of November 12, 2002, Fortum Oil and Gas Oy v. Finland, Appl. 32559/96, para. 2 (de facto criminal).

  86. 86.

    ECtHR, Judgment of June 28, 2007, Association for European Integration and Human Rights and Ekimdzhiev v. Bulgaria, Appl. 62540/00, paras. 95 et seq. (criminal/administrative). Cf. ECtHR, Judgment of September 27, 2005, Amat-G Ltd. and Mebaghishvili v. Georgia, Appl. 2507/03, paras. 42, 51 et seq. (civil); ECtHR, Judgment of September 27, 2005, Iza Ltd. and Makrakhidze v. Georgia, Appl. 28537/02, paras. 36, 46 et seq. (civil). Under the ACHR, legal persons may be indirectly protected in the right or an effective remedy; see above at 14.3.1.2.

  87. 87.

    ECtHR, Decision of March 23, 2000, Haralambidis, Y. Haralambidis-Liberpa SA & Liberpa Ltd. v. Greece, Appl. 36706/97, paras. 4 (criminal/administrative).

  88. 88.

    ECtHR, Judgment of November 16, 1992, Niemietz v. Germany, Appl. 13710/88, para. 29 (criminal).

  89. 89.

    ECtHR, Judgment of November 16, 1992, Niemietz v. Germany, Appl. 13710/88, para. 29 (criminal).

  90. 90.

    See, e.g., ECtHR, Judgment of June 28, 2007, Association for European Integration and Human Rights & Ekimdzhiev v. Bulgaria, Appl. 62540/00, para. 60 (criminal/administrative); ECtHR, Judgment of October 16, 2007, Wieser & Bicos Beteiligungen GmbH v. Austria, Appl. 74336/01, para. 45 (criminal).

  91. 91.

    ECtHR, Judgment of November 16, 1992, Niemietz v. Germany, Appl. 13710/88, para. 30 (criminal).

  92. 92.

    ECtHR, Judgment of April 16, 2002, Société Colas Est v. France, Appl. 37971/97, paras. 41 et seq. (criminal). Confirmed in, e.g, ECtHR, Judgment of April 28, 2005, Buck v. Germany, Appl. 41604/98, para. 31 (criminal); ECtHR, Decision of October 11, 2005, Kent Pharmaceuticals Limited v. The United Kingdom, Appl. 9355/03, para. 1 (criminal); ECtHR, Judgment of November 15, 2007, Khamidov v. Russia, Appl. 72118/01, para. 131 (administrative/civil).

  93. 93.

    ECtHR, Judgment of October 16, 2007, Wieser & Bicos Beteiligungen GmbH v. Austria, Appl. 74336/01, para. 45 (criminal); and furthermore ECtHR, Judgment of June 28, 2007, Association for European Integration and Human Rights & Ekimdzhiev v. Bulgaria, Appl. 62540/00, paras. 60 et seq. (criminal/administrative); ECtHR, Judgment of July 1, 2008, Liberty v. The United Kingdom, Appl. 58243/00, paras. 55 et seq. (criminal/administrative).

  94. 94.

    ECtHR, Decision of September 6, 2005, Leveau & Fillon v. France, Appl. 63512/00.

  95. 95.

    Cf. ECtHR, Judgment of November 15, 2007, Khamidov v. Russia, Appl. 72118/01, para. 131 (administrative/civil; complainant is an individual).

  96. 96.

    ECtHR, Judgment of July 28, 2009, Lee Davies v. Belgium, Appl. 18704/05, paras. 55 et seq.

  97. 97.

    ECtHR, Judgment of November 16, 1992, Niemietz v. Germany, Appl. 13710/88, para. 31 (criminal); and with more reservation, ECtHR, Judgment of April 16, 2002, Société Colas Est v. France, Appl. 37971/97, para. 49 (criminal). See also ECtHR, Judgment of April 28, 2005, Buck v. Germany, Appl. 41604/98, paras. 34 et seq., a (criminal) case in which the court considers the intrusion on private residential premises to be of a more serious nature than a similar intrusion on business premises.

  98. 98.

    ECtHR, Judgment of October 16, 2007, Wieser & Bicos Beteiligungen GmbH v. Austria, Appl. 74336/01, para. 45 (and paras. 53 et seq.) (criminal): “the Court sees no reason to distinguish between the first applicant, who is a natural person, and the second applicant, which is a legal person, as regards the notion of ‘correspondence’.”

  99. 99.

    Prohibitions by law are required for slavery and the slave trade (ICCPR, Art. 8; ACHR, Arts. 6 and 21; AfCHPR, Art. 5), propaganda for war (ICCPR, Art. 20), national, racial, or religious hatred that constitutes incitement to discrimination, hostility, or violence (ICCPR, Art. 20), discrimination (ICCPR, Art. 26), and torture, cruel, inhuman, or degrading punishment and treatment (AfCHPR, Art. 5). Protection by law is primarily demanded for the individual’s life (ICCPR, Art. 6; ECHR, Art. 2; ACHR, Art. 4), privacy, correspondence, honor, and reputation (ICCPR, Art. 17; ACHR, Art. 11), family (ICCPR, Arts. 17 and 23; ACHR, Arts. 11 and 17; AfCHPR, Art. 18), children (ICCPR, Arts. 23 and 24; ACHR, Art. 19; AfCHPR, Art. 18), and women and different forms of equality (ICCPR, Arts. 23 and 26; ACHR, Arts. 17 and 24; AfCHPR, Arts. 3 and 18).

  100. 100.

    HRC, General Comment No. 31, The Nature of the General Legal Obligation Imposed on States Parties to the Covenant, March 29, 2004, para. 8.

  101. 101.

    See also, e.g., HRC, General Comment No. 6, The right to life, March 30, 1982, para. 3; HRC, View of March 29, 1982, Bleier v. Uruguay, Comm. 30/1978, paras. 11 et seq.; HRC, View of November 13, 1995, Bautista v. Colombia, Comm. 563/1993, paras. 8.6, 10; HRC, View of July 29, 1997, Arhuaco v. Colombia, Comm. 612/1995, para. 8.2; and furthermore HRC, Concluding Observations, Senegal, CCPR A/53/40 vol. I (1998), para. 61; HRC, Concluding Observations, Libyan Arab Jamahiriya, CCPR A/54/40 vol. I (1999), para. 130; HRC, Concluding Observations, Suriname, CCPR A/59/40 vol. I (2004), para. 69 (11–12).

  102. 102.

    ECtHR, Grand Chamber Judgment of October 28, 1998, Osman v. The United Kingdom, Appl. 23452/94, para. 115.

  103. 103.

    See, e.g., ECtHR, Judgment of April 12, 2007, Ivan Vasilev v. Bulgaria, Appl. 48130/99, para. 58 (ill-treatment by police); ECtHR, Judgment of December 4, 2003, MC v. Bulgaria, Appl. 39272/98, paras. 148 et seq., 185 et seq. (rape by private individuals); ECtHR, Judgment of July 26, 2005, Siliadin v. France, Appl. 73316/01, paras. 89, 143 et seq. (slavery by private individuals); ECtHR, Judgment of May 3, 2007, Gldani Congregation of Jehovah’s Witnesses v. Georgia, paras. 133 et seq. (private violence against religious community).

  104. 104.

    See, e.g., ECtHR, Judgment of May 4, 2001, McKerr v. The United Kingdom, Appl. 28883/95, para. 111; ECtHR, Judgment of March 14, 2002, Paul & Audrey Edwards v. The United Kingdom, Appl. 46477/99, para. 69; ECtHR, Grand Chamber Judgment of April 8, 2004, Tahsin Acar v. Turkey, Appl. 26307/95, paras. 221, 223; ECtHR, Decision of May 10, 2005, Hackett v. The United Kingdom, Appl. 34698/04, para. 1; ECtHR, Judgment of December 20, 2007, Nikolova & Velichkova/Bulgarije, Appl. 7888/03, para. 57.

  105. 105.

    ECtHR, Grand Chamber Judgment of November 30, 2004, Oneryildiz v. Turkije, Appl. 48939/99, para. 93; see this paragraph also in relation to paras. 91 et seq. See also ECtHR, Judgment of March 24, 2009, Mojsiejew v. Poland, Appl. 11818/02, para. 53(c), in which the court points to the need “in those cases involving State agents or bodies, to ensure their accountability for deaths occurring under their responsibility”.

  106. 106.

    ECtHR, Decision of February 22, 2005, Rowley v. The United Kingdom, Appl. 31914/03, para. 1.

  107. 107.

    ECtHR, Grand Chamber Judgment of November 30, 2004, Oneryildiz v. Turkije, Appl. 48939/99, para. 71; ECtHR, Decision of December 2, 2008, Milan Furdík v. Slovakia, Appl. 42994/05, para. 1.

  108. 108.

    See IACtHR, Judgment of July 29, 1988, Velásquez Rodríguez v. Hunduras, paras. 166, 169, 174 et seq.; and, furthermore, for example, IACtHR, Order of January 27, 2009, Bámaca Velásquez v. Guatemala, paras. 15 et seq., 23, 26, 31; IACtHR, Judgment of November 20, 2007, García-Prieto v. El Salvador, paras. 99 et seq.; IACtHR, Judgment of November 26, 2008, Tiu Tojín v. Guatemala, paras. 68 et seq.

  109. 109.

    IACtHR, Order of January 27, 2009, Bámaca Velásquez v. Guatemala, para. 26; IACtHR, Judgment of September 22, 2006, Goiburú v. Paraguay, para. 84.

  110. 110.

    With further references, see, e.g., IACtHR, Judgment of February 6, 2001, Ivcher Bronstein v. Peru, para. 186.

  111. 111.

    IACtHR, Judgment of January 28, 2009, Perozo v. Venezuela, para. 300, quoting Judgment of May 2, 2008, Case of Kimel v. Argentina, para. 77.

  112. 112.

    See, e.g., IACtHR, Judgment of January 28, 2009, Perozo v. Venezuela, paras. 64, 118 et seq., 141; IACtHR, Order of January 27, 2009, Bámaca Velásquez v. Guatemala, para. 28; IACtHR, Order of September 4, 2004, Matter of “Globovisión” Television Station v. Venezuela, paras. 11, 22.

  113. 113.

    See, e.g., IACtHR, Order of May 31, 2001, Cesti-Hurtado v. Peru, paras. 60, 63.

  114. 114.

    See, e.g., IACtHR, Judgment of January 28, 2009, Perozo v. Venezuela, paras. 118; IACtHR, Order of January 27, 2009, Luis Uzcátegui v. Venezuela, para. 30; IACtHR, Judgment of November 26, 2008, Tiu Tojín v. Guatemala, para. 69; IACtHR, Judgment of July 29, 1988, Velásquez Rodríguez v. Hunduras, paras. 173, 176, 181.

  115. 115.

    AfCommHPR, Report of May 11–25, 2006, Zimbabwe Human Rights NGO Forum/Zimbabwe, Comm. 245/2002, para. 136.

  116. 116.

    AfCommHPR, Report of May 11–25, 2006, Zimbabwe Human Rights NGO Forum/Zimbabwe, Comm. 245/2002, para. 143.

  117. 117.

    AfCommHPR, Report of May 11–25, 2006, Zimbabwe Human Rights NGO Forum/Zimbabwe, Comm. 245/2002, paras. 146, 153, 160; see also paras. 204 et seq.

  118. 118.

    See, furthermore, AfCommHPR, Decision of May 16–30, 2007, Art. 19 v. The State of Eritrea, Comm. 275/2003 (2007), under: Decision on admissibility; AfCommHPR, Report of May 11, 2000, Malawi African Association and Others v. Mauritania, Comm. 54/91, para. 134; AfCommHPR, Report of November 1–15, 1999, Amnesty International and Others v. Sudan, Comm. 48/90, paras. 50, 51, 56; AfCommHPR, Report of October 2–11, 1995, Commission Nationale des Droits de l‘Homme et des Libertes v. Chad, Comm. 74/92, paras. 20 et seq. See also AfCommHPR, Principles and Guidelines on the Right to a Fair Trial and Legal Assistance in Africa, 2001, principles F(4)(b), N(e); AfCommHPR, Resolution on Guidelines and Measures for the Prohibition and Prevention of Torture, Cruel, Inhuman or Degrading Treatment or Punishment in Africa (Robben Island Guidelines), 2002, principle 16.

  119. 119.

    See AfCommHPR, Report of May 11–25, 2006, Zimbabwe Human Rights NGO Forum/Zimbabwe, Comm. 245/2002, para. 136 in relation to paras. 142 et seq.

  120. 120.

    See AfCommHPR, Report of May 11–25, 2006, Zimbabwe Human Rights NGO Forum/Zimbabwe, Comm. 245/2002, paras. 162 et seq., 187 (however, for a somewhat broader approach, see paras. 188–215). Deservedly critical of this (but not principally in relation to criminal law) is Amao 2008, 769 et seq.

  121. 121.

    Cf. Ratner 2002, 464 et seq.; Engle 2003, 311 et seq.; Slye 2008, 959 et seq.

  122. 122.

    See, for example, Kinley/Chambers 2006, 447 et seq.

  123. 123.

    On the variety of models, see, e.g., Pieth 2007, 177 et seq.

  124. 124.

    ECtHR, Judgment of December 20, 2002, Nikolova & Velichkova v. Bulgaria, Appl. 7888/03, paras. 57, 60, 62.

  125. 125.

    This principle is enshrined in ICCPR, Art. 5; ECHR, Art. 17; ECHR, Art. 29; see, for the African system, AfCHPR, Art. 27, which does not as such entail this principle but provides duties for private parties that may be relevant and useful here.

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  1. Faculty of Law, Radboud University Nijmegen, Nijmegen, The Netherlands

    Piet Hein van Kempen

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    Mark Pieth

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    Radha Ivory

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van Kempen, P.H. (2011). The Recognition of Legal Persons in International Human Rights Instruments: Protection Against and Through Criminal Justice?. In: Pieth, M., Ivory, R. (eds) Corporate Criminal Liability. Ius Gentium: Comparative Perspectives on Law and Justice, vol 9. Springer, Dordrecht. https://doi.org/10.1007/978-94-007-0674-3_14

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