Case Summary
| Citation | LA GRAND CASEGermany v. United States of AmericaICJ Reports 2001, p.466 |
| Keywords | state responsibility, Vienna convention, breach of legal obligations |
| Facts | The Vienna Convention on Consular Relations, Article 36(1)(b), provides that a state trying an alien in a death sentence case must inform the alien of his rights to have his consular authorities informed of the arrest. A suit which claimed the United States law enforcement personnel f ailed to advice aliens upon their arrest of their rights was filed by Paraguay (P), Germany (P) and Mexico (P) at the international Court of Justice. The plaintiffs also claimed that as a remedy for violation of the Vienna Convention, state courts should review and reconsider the death sentences to determine if the lack of consular access prejudiced the aliens. The German’s (P) case involved LaGrand and his brother who were executed before the matter came to the I.C.J. the Court found that the U.S. (D) had breached its obligations to Germany (P) under the Vienna Convention by not giving notice about LaGrand and his brother of right to consular notification, and by failing to provide judicial review of the conviction and sentence. |
| Issues | Does a state which breaches its obligations to another under the Vienna Convention on Consular Relations by failing to inform an arrested alien of the right to consular notification and to provide judicial review of the alien’s conviction and sentence also violate individual rights held by the alien under international law? |
| Contentions | |
| Law Points | ➢ The ICJ concluded that Article 36(1) of Vienna Convention on Consular Relations of 1963 creates individual rights, which, by virtue of Article 1 of the Optional Protocol, may be invoked in this Court by the national State of the detained person. ➢ The Court considers in this respect that if the United States, notwithstanding its commitment [to ensure implementation of the specific measures adopted in performance of its obligations under Article 36, paragraph 1(b) of Vienna Convention on Consular Relations, 1963], should fail in its obligation of consular notification to the detriment of German nationals, an apology would not suffice in cases where the individuals concerned have been subjected to prolonged detention or convicted and sentenced to severe penalties. ➢ In the case of such a conviction and sentence, it would be incumbent upon the United States to allow the review and reconsideration of the conviction and sentence by taking account of the violation of the rights set forth in the Convention. This obligation can be carried out in various ways. The choice of means must be left to the United States. ➢ It follows that where the sending State is unaware of the detention of its nationals due to the failure of the receiving State to provide the requisite consular notification without delay, it is to be considered that the sending State has been prevented for all practical purposes from exercising its rights under Article 36, paragraph 1. |
| Judgement | A state that breaches its obligations to another under the Vienna Convention on Consular Relations by failing to inform an arrested alien of the right to consular notification and to provide judicial review of the alien’s conviction and sentence also violate individual rights held by the alien under international law. The meaning adduced to the phrase “authorities shall inform the person concerned without delay of his rights under this subparagraph” of Article 36 suggests that the rights to be informed of their rights under the Convention is an individual right of every national of a state that is party to the Convention. |
| Ratio Decidendi & Case Authority |
Full Case Details
(Breach of international obligation, diplomatic protection and application of the principle
of state responsibility)
13. Walter LaGrand and Karl LaGrand were born in Germany in 1962 and 1963
respectively, and were German nationals. In 1967, when they were still young children, they
moved with their mother to take up permanent residence in the United States. They returned
to Germany only once, for a period of about six months in 1974. Although they lived in the
United States for most of their lives, and became the adoptive children of a United States
national, they remained at all times German nationals, and never acquired the nationality of
the United States.
14. On 7 January 1982, Karl LaGrand and Walter LaGrand were arrested in the United
States by law enforcement officers on suspicion of having been involved earlier the same day
in an attempted armed bank robbery in Marana, Arizona, in the course of which the bank
manager was murdered and another bank employee seriously injured. They were
subsequently tried before the Superior Court of Pima County, Arizona, which on 17 February
1984 convicted them both of murder in the first degree, attempted murder in the first degree,
attempted armed robbery and two counts of kidnapping. On 14 December 1984, each was
sentenced to death for first degree murder and to concurrent sentences of imprisonment for
the other charges.
(LaGrand brothers learnt of their rights from other sources and contacted the German
consular post in June 1992.Subsequently, Germany offered consular assistance. The brothers
were formally notified of their right to consular access by the US authorities only in 1998.
The Supreme Court of Arizona decided that Karl LaGrand was to be executed on 24 February
1999 and Walter LaGrand on 3 March 1999. In spite of all efforts by Germany and the
intervention by the ICJ through the provisional measures order, the brothers were executed).
15. At all material times, Germany as well as the United States were parties to both the
Vienna Convention on Consular Relations and the Optional Protocol to that Convention.
Article 36, paragraph 1 (h ) , of the Vienna Convention provides that :
“if he so requests, the competent authorities of the receiving State shall, without delay
inform the consular post of the sending State if, within its consular district, a national of
that State is arrested or committed to prison or to custody pending trial or is detained in
any other manner. Any communication addressed to the consular post by the person
arrested, in prison, custody or detention shall be forwarded by the said authorities without
delay. The said authorities shall inform the person concerned without delay of his rights
under this subparagraph.”
It is not disputed that at the time the LaGrands were convicted and sentenced, the
competent United States authorities had failed to provide the LaGrands with the information
required by this provision of the Vienna Convention, and had not informed the relevant
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German consular post of the LaGrands’ arrest. The United States concedes that the competent
authorities failed to do so, even after becoming aware that the LaGrands were German
nationals and not United States nationals, and admits that the United States has therefore
violated its obligations under this provision of the Vienna Convention.
16. However there is some dispute between the Parties as to the time at which the
competent authorities in the United States became aware of the fact that the LaGrands were
German nationals. Germany argues that the authorities of Arizona were aware of this from the
very beginning, and in particular that probation officers knew by April 1982. The United
States argues that at the time of their arrest, neither of the LaGrands identified himself to the
arresting authorities as a German national, and that Walter LaGrand affirmatively stated that
he was a United States citizen. The United States position is that its “competent authorities”
for the purposes of Article 36, paragraph 1 (h), of the Vienna Convention were the arresting
and detaining authorities, and that these became aware of the German nationality of the
LaGrands by late 1984, and possibly by mid-1983 or earlier, but in any event not at the time
of their arrest in 1982. Although other authorities, such as immigration authorities or
probation officers may have known this even earlier, the United States argues that these were
not “competent authorities” for the purposes of this provision of the Vienna Convention. The
United States has also suggested that at the time of their arrest, the LaGrands may themselves
have been unaware that they were not nationals of the United States.
65. Germany’s first submission requests the Court to adjudge and declare:
“that the United States, by not informing Karl and Walter LaGrand without delay
following their arrest of their rights under Article 36 subparagraph 1 (b) of the Vienna
Convention on Consular Relations, and by depriving Germany of the possibility of
rendering consular assistance, which ultimately resulted in the execution of Karl and
Walter LaGrand, violated its international legal obligations to Germany, in its own
right and in its right of diplomatic protection of its nationals, under Articles 5 and 36
paragraph 1 of the said Convention”.
73. The Court will first examine the submission Germany advances in its own right. The
Court observes, in this connection, that the United States does not deny that it violated
paragraph 1 (b) in relation to Germany. The Court also notes that as a result of this breach,
Germany did not learn until 1992 of the detention, trial and sentencing of the LaGrand
brothers. The Court concludes therefrom that on the facts of this case, the breach of the
United States had the consequence of depriving Germany of the exercise of the rights
accorded it under Article 36, paragraph 1 (a) and paragraph 1 (c), and thus violated these
provisions of the Convention.
74. Article 36, paragraph 1, establishes an interrelated régime designed to facilitate the
implementation of the system of consular protection. It begins with the basic principle
governing consular protection: the right of communication and access (Art. 36, para.1(a)).
This clause is followed by the provision which spells out the modalities of consular
notification (Art. 36, para.1(b)). Finally Article 36, paragraph 1(c), sets out the measures
consular officers may take in rendering consular assistance to their nationals in the custody of
the receiving State. It follows that when the sending State is unaware of the detention of its
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nationals due to the failure of the receiving State to provide the requisite consular notification
without delay, which was true in the present case during the period between 1982 and 1992,
the sending State has been prevented for all practical purposes from exercising its rights under
Article 36, paragraph 1. It is immaterial for the purposes of the present case whether the
LaGrands would have sought consular assistance from Germany, whether Germany would
have rendered such assistance, or whether a different verdict would have been rendered. It is
sufficient that the Convention conferred these rights, and that Germany and the LaGrands
were in effect prevented by the breach of the United States from exercising them, had they so
chosen.
77. The Court notes that Article 36, paragraph 1(b), spells out the obligations the
receiving State has towards the detained person and the sending State. It provides that, at the
request of the detained person, the receiving State must inform the consular post of the
sending State of the individual’s detention “without delay”. It provides further that any
communication by the detained person addressed to the consular post of the sending State
must be forwarded to it by authorities of the receiving State “without delay”. Significantly,
this subparagraph ends with the following language: “The said authorities shall inform the
person concerned without delay of his rights under this subparagraph” (emphasis added).
Moreover, under Article 36, paragraph 1 (c), the sending State’s right to provide consular
assistance to the detained person may not be exercised “if he expressly opposes such action”.
The clarity of these provisions, viewed in their context, admits of no doubt. It follows, as has
been held on a number of occasions, that the Court must apply these as they stand. Based on
the text of these provisions, the Court concludes that Article 36, paragraph 1, creates
individual rights, which, by virtue of Article 1 of the Optional Protocol, may be invoked in
this Court by the national State of the detained person. These rights were violated in the
present case.
79. The Court will now consider Germany’s second submission, in which it asks the Court
to adjudge and declare:
“that the United States, by applying rules of its domestic law, in particular the doctrine of procedural
default, which barred Karl and Walter LaGrand from raising their claims under the Vienna Convention on
Consular Relations, and by ultimately executing them, violated its international legal obligation to Germany
under Article 36 paragraph 2 of the Vienna Convention to give full effect to the purposes for which the rights
accorded under Article 36 of the said Convention are intended”.
89. The Court cannot accept the argument of the United States which proceeds, in part, on
the assumption that paragraph 2 of Article 36 applies only to the rights of the sending State
and not also to those of the detained individual. The Court has already determined that Article
36, paragraph 1, creates individual rights for the detained person in addition to the rights
accorded the sending State, and that consequently the reference to “rights” in paragraph 2
must be read as applying not only to the rights of the sending State, but also to the rights of
the detained individual (see paragraph 77 above).
90. Turning now to the “procedural default” rule, the application of which in the present
case Germany alleges violated Article 36, paragraph 2, the Court emphasizes that a distinction
must be drawn between that rule as such and its specific application in the present case. In
itself, the rule does not violate Article 36 of the Vienna Convention. The problem arises when
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the procedural default rule does not allow the detained individual to challenge a conviction
and sentence by claiming, in reliance on Article 36, paragraph 1, of the Convention, that the
competent national authorities failed to comply with their obligation to provide the requisite
consular information “without delay”, thus preventing the person from seeking and obtaining
consular assistance from the sending State. [According to the United States, this rule
(procedural default rule):
“is a federal rule that, before a state criminal defendant can obtain relief in federal
court, the claim must be presented to a state court. If a state defendant attempts to
raise a new issue in a federal habeus corpus proceeding, the defendant can only do so
by showing cause and prejudice. Cause is an external impediment that prevents a
defendant from raising a claim and prejudice must be obvious on its face. One
important purpose of this rule is to ensure that the state courts have an opportunity to
address issues going to the validity of state convictions before the federal courts
intervene.” See para.23, ICJ Reports]
91. In this case, Germany had the right at the request of the LaGrands “to arrange for
[their] legal representation” and was eventually able to provide some assistance to that effect.
By that time, however, because of the failure of the American authorities to comply with their
obligation under Article 36, paragraph 1 (b), the procedural default rule prevented counsel for
the LaGrands to effectively challenge their convictions and sentences other than on United
States constitutional grounds. As a result, although United States courts could and did
examine the professional competence of counsel assigned to the indigent LaGrands by
reference to United States constitutional standards, the procedural default rule prevented them
from attaching any legal significance to the fact, interalia, that the violation of the rights set
forth in Article 36, paragraph 1, prevented Germany, in a timely fashion, from retaining
private counsel for them and otherwise assisting in their defence as provided for by the
Convention. Under these circumstances, the procedural default rule had the effect of
preventing “full effect [from being] given to the purposes for which the rights accorded under
this article are intended”, and thus violated paragraph 2 of Article 36.
92. The Court will now consider Germany’s third submission, in which it asks the Court
to adjudge and declare:
“that the United States, by failing to take all measures at its disposa1 to ensure that Walter LaGrand was
not executed pending the final decision of the International Court of Justice on the matter, violated its
international legal obligation to comply with the Order on provisional measures issued by the Court on 3
March 1999, and to refrain from any action which might interfere with the subject matter of a dispute while
judicial proceedings are pending”.
99. The dispute which exists between the Parties with regard to this point essentially
concerns the interpretation of Article 41, which is worded in identical terms in the Statute of
each Court (apart from the respective references to the Council of the League of Nations and
the Security Council). This interpretation has been the subject of extensive controversy in the
literature. The Court will therefore now proceed to the interpretation of Article 41 of the
Statute. It will do so in accordance with customary international law, reflected in Article 31 of
the 1969 Vienna Convention on the Law of Treaties. According to paragraph I of Article 31, a
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treaty must be interpreted in good faith in accordance with the ordinary meaning to be given
to its terms in their context and in the light of the treaty’s object and purpose.
102. The object and purpose of the Statute is to enable the Court to fulfil the functions
provided for therein, and, in particular, the basic function of judicial settlement of
international disputes by binding decisions in accordance with Article 59 of the Statute. The
context in which Article 41 has to be seen within the Statute is to prevent the Court from
being hampered in the exercise of its functions because the respective rights of the parties to a
dispute before the Court are not preserved. It follows from the object and purpose of the
Statute, as well as from the terms of Article 41 when read in their context, that the power to
indicate provisional measures entails that such measures should be binding, inasmuch as the
power in question is based on the necessity, when the circumstances call for it, to safeguard,
and to avoid prejudice to, the rights of the parties as determined by the final judgment of the
Court. The contention that provisional measures indicated under Article 41 might not be
binding would be contrary to the object and purpose of that Article.
103. A related reason which points to the binding character of orders made under Article
41 and to which the Court attaches importance is the existence of a principle which has
already been recognized by the Permanent Court of International Justice when it spoke of
“the principle universally accepted by international tribunals and likewise laid
down in many conventions . . . to the effect that the parties to a case must abstain
from any measure capable of exercising a prejudicial effect in regard to the execution
of the decision to be given, and, in general, not allow any step of any kind to be taken
which might aggravate or extend the dispute” (Electricity Company of Sofia and
Bulgaria, Order of 5 December 1939, P.C.I.J, Series A/B, No. 79, p. 199).
108. The Court finally needs to consider whether Article 94 of the United Nations Charter
precludes attributing binding effect to orders indicating provisional measures. That Article
reads as follows:
“1. Each Member of the United Nations undertakes to comply with the decision of the
International Court of Justice in any case to which it is a party.
2. If any party to a case fails to perform the obligations incumbent upon it under a
judgment rendered by the Court, the other party may have recourse to the Security
Council, which may, if it deems necessary, make recommendations or decide upon
measures to be taken to give effect to the judgment.”
The question arises as to the meaning to be attributed to the words “the decision of the
International Court of Justice” in paragraph 1 of this Article. This wording could be
understood as referring not merely to the Court’s judgments but to any decision rendered by it,
thus including orders indicating provisional measures. It could also be interpreted to mean
only judgments rendered by the Court as provided in paragraph 2 of Article 94. Under the
first interpretation of paragraph 1 of Article 94, the text of the paragraph would confirm the
binding nature of provisional measures; whereas the second interpretation would in no way
preclude their being accorded binding force under Article 41 of the Statute. The Court
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accordingly concludes that Article 94 of the Charter does not prevent orders made under
Article 41 from having a binding character.
109. In short, it is clear that none of the sources of interpretation referred to in the
relevant Articles of the Vienna Convention on the Law of Treaties, including the preparatory
work, contradict the conclusions drawn from the terms of Article 41 read in their context and
in the light of the object and purpose of the Statute. Thus, the Court has reached the
conclusion that orders on provisional measures under Article 41 have binding effect.
110. The Court will now consider the Order of 3 March 1999. This Order was not a mere
exhortation. It had been adopted pursuant to Article 41 of the Statute. This Order was
consequently binding in character and created a legal obligation for the United States.
111. As regards the question whether the United States has complied with the obligation
incumbent upon it as a result of the Order of 3 March 1999, the Court observes that the Order
indicated two provisional measures, the first of which states that
“[tlhe United States of America should take al1 measures at its disposal to ensure that
Walter LaGrand is not executed pending the final decision in these proceedings, and
should inform the Court of all the measures which it has taken in implementation of this
Order”.
The second measure required the Government of the United States to “transmit this Order
to the Governor of the State of Arizona”. The information required on the measures taken in
implementation of this Order was given to the Court by a letter of 8 March 1999 from the
Legal Counsellor of the United States Embassy at The Hague. According to this letter, on 3
March 1999 the State Department had transmitted to the Governor of Arizona a copy of the
Court’s Order. “In view of the extremely late hour of the receipt of the Court’s Order”, the
letter of 8 March went on to say, “no further steps were feasible”. The United States
authorities have thus limited themselves to the mere transmission of the text of the Order to
the Governor of Arizona. This certainly met the requirement of the second of the two
measures indicated. As to the first measure, the Court notes that it did not create an obligation
of result, but that the United States was asked to “take all measures at its disposal to ensure
that Walter LaGrand is not executed pending the final decision in these proceedings”. The
Court agrees that due to the extremely late presentation of the request for provisional
measures, there was certainly very little time for the United States authorities to act.
112. The Court observes, nevertheless, that the mere transmission of its Order to the
Governor of Arizona without any comment, particularly without even so much as a plea for a
temporary stay and an explanation that there is no general agreement on the position of the
United States that orders of the International Court of Justice on provisional measures are
non-binding, was certainly less than could have been done even in the short time available.
The same is true of the United States Solicitor General’s categorical statement in his brief
letter to the United States Supreme Court that “an order of the International Court of Justice
indicating provisional measures is not binding and does not furnish a basis for judicial relief”.
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113. It is also noteworthy that the Governor of Arizona, to whom the Court’s Order had
been transmitted, decided not to give effect to it, even though the Arizona Clemency Board
had recommended a stay of execution for Walter LaGrand.
114. Finally, the United States Supreme Court rejected a separate application by Germany
for a stay of execution, “[given the tardiness of the pleas and the jurisdictional barriers they
implicate”. Yet it would have been open to the Supreme Court, as one of its members urged,
to grant a preliminary stay, which would have given it “time to consider, after briefing from
all interested parties, the jurisdictional and international legal issues involved . . .” (Federal
Republic of Germany et al. v. United States et al., United States Supreme Court, 3 March
1999).
115. The review of the above steps taken by the authorities of the United States with
regard to the Order of the International Court of Justice of 3 March 1999 indicates that the
various competent United States authorities failed to take all the steps they could have taken
to give effect to the Court’s Order. The Order did not require the United States to exercise
powers it did not have: but it did impose the obligation to “take all measures at its disposal to
ensure that Walter LaGrand is not executed pending the final decision in these proceedings . .
.”. The Court finds that the United States did not discharge this obligation. Under these
circumstances the Court concludes that the United States has not complied with the Order of 3
March 1999.
116. The Court observes finally that in the third submission Germany requests the Court
to adjudge and declare only that the United States violated its international legal obligation to
comply with the Order of 3 March 1999: it contains no other request regarding that violation.
Moreover, the Court points out that the United States was under great time pressure in this
case, due to the circumstances in which Germany had instituted the proceedings. The Court
notes moreover that at the time when the United States authorities took their decision the
question of the binding character of orders indicating provisional measures had been
extensively discussed in the literature, but had not been settled by its jurisprudence. The Court
would have taken these factors into consideration had Germany’s submission included a claim
for indemnification.
117. Finally, the Court will consider Germany’s fourth submission, in which it asks the
Court to adjudge and declare “that the United States shall provide Germany an assurance that
it will not repeat its unlawful acts and that, in any future cases of detention of or criminal
proceedings against German nationals, the United States will ensure in law and practice the
effective exercise of the rights under Article 36 of the Vienna Convention on Consular
Relations. In particular in cases involving the death penalty, this requires the United States to
provide effective review of and remedies for criminal convictions impaired by a violation of
the rights under Article 36.”
121. Turning first to the general demand for an assurance of non-repetition, the Court
observes that it has been informed by the United States of the “substantial measures [which it
is taking] aimed at preventing any recurrence” of the breach of Article 36, paragraph 1 (b).
Throughout these proceedings, oral as well as written, the United States has insisted that it
“keenly appreciates the importance of the Vienna Convention’s consular notification
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obligation for foreign citizens in the United States as well as for United States citizens
travelling and living abroad”; that “effective compliance with the consular notification
requirements of Article 36 of the Vienna Convention requires constant effort and attention”;
and that “the Department of State is working intensively to improve understanding of and
compliance with consular notification and access requirements throughout the United States,
so as to guard against future violations of these requirements”. The United States points out
that
“[t]his effort has included the January 1998 publication of a booklet entitled ‘Consular
Notification and Access: Instructions for Federal, State and Local Law Enforcement and
Other Officials Regarding Foreign Nationals in the United States and the Rights of
Consular Officials to Assist Them’, and development of a small reference card designed
to be carried by individual arresting officers”.
According to the United States, it is estimated that until now over 60,000 copies of the
brochure as well as over 400,000 copies of the pocket card have been distributed to federal,
state and local law enforcement and judicial officials throughout the United States. The
United States is also conducting training programmes reaching out to all levels of
government. In the Department of State a permanent office to focus on United States and
foreign compliance with consular notification and access requirements has been created.
123. The Court notes that the United States has acknowledged that, in the case of the
LaGrand brothers, it did not comply with its obligations to give consular notification. The
United States has presented an apology to Germany for this breach. The Court considers
however that an apology is not sufficient in this case, as it would not be in other cases where
foreign nationals have not been advised without delay of their rights under Article 36,
paragraph 1, of the Vienna Convention and have been subjected to prolonged detention or
sentenced to severe penalties. In this respect, the Court has taken note of the fact that the
United States repeated in all phases of these proceedings that it is carrying out a vast and
detailed programme in order to ensure compliance by its competent authorities at the federal
as well as at the state and local levels with its obligation under Article 36 of the Vienna
Convention.
124. The United States has provided the Court with information, which it considers
important, on its programme. If a State, in proceedings before this Court, repeatedly refers to
substantial activities which it is carrying out in order to achieve compliance with certain
obligations under a treaty, then this expresses a commitment to follow through with the
efforts in this regard. The programme in question certainly cannot provide an assurance that
there will never again be a failure by the United States to observe the obligation of
notification under Article 36 of the Vienna Convention. But no State could give such a
guarantee and Germany does not seek it. The Court considers that the commitment expressed
by the United States to ensure implementation of the specific measures adopted in
performance of its obligations under Article 36, paragraph 1 (b), must be regarded as meeting
Germany’s request for a general assurance of non-repetition.
125. The Court will now examine the other assurances sought by Germany in its fourth
submission. The Court observes in this regard that it can determine the existence of a
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violation of an international obligation. If necessary, it can also hold that a domestic law has
been the cause of this violation. In the present case the Court has made its findings of
violations of the obligations under Article 36 of the Vienna Convention when it dealt with the
first and the second submission of Germany. But it has not found that a United States law,
whether substantive or procedural in character, is inherently inconsistent with the obligations
undertaken by the United States in the Vienna Convention. In the present case the violation of
Article 36, paragraph 2, was caused by the circumstances in which the procedural default rule
was applied, and not by the rule as such. In the present proceedings the United States has
apologized to Germany for the breach of Article 36, paragraph 1, and Germany has not
requested material reparation for this injury to itself and to the LaGrand brothers. The Court
considers in this respect that if the United States, notwithstanding its commitment referred to
in paragraph 124 above, should fail in its obligation of consular notification to the detriment
of German nationals, an apology would not suffice in cases where the individuals concerned
have been subjected to prolonged detention or convicted and sentenced to severe penalties. In
the case of such a conviction and sentence, it would be incumbent upon the United States to
allow the review and reconsideration of the conviction and sentence by taking account of the
violation of the rights set forth in the Convention. This obligation can be carried out in
various ways. The choice of means must be left to the United States.
127. In reply to the fourth submission of Germany, the Court will therefore limit itself to
taking note of the commitment undertaken by the United States to ensure implementation of
the specific measures adopted in performance of its obligations under Article 36, paragraph 1
(b), of the Vienna Convention, as well as the aforementioned duty of the United States to
address violations of that Convention should they still occur in spite of its efforts to achieve
compliance.
