The theory and practice of precedent england, the united states of america, france, germany, and recommendations for vietnam

FACULTY OF LAW, LUND UNIVERSITY HANOI LAW UNIVERSITY JOINT DOCTORAL PROGRAM NGUYỄN VĂN NAM THE THEORY AND PRACTICE OF PRECEDENT IN ENGLAND, THE UNITED STATES OF AMERICA, FRANCE, GERMANY, AND RECOMMENDATIONS FOR VIETNAM Legal Field : International Law and Comparative Law Code:62 38 60 01 Supervisors : l.Prof.Dr Lê Minh Tâm 2.Prof.Dr Michael Bogdan DOCTORAL DISSERTATION IN LAW TRUNG TÂM THƠNG TIN THƯ V Ệ N TRỰỊNG OẠI HỌC LUẬT HÀ NỘ! ị PHÓNG BỌC _ HÀ NỘI-2011 ACKNOV/LEDGEM ENTS To accomplish this doctoral dissertation, I would like to express my sincere thanks to all organizations, individuals and family members who have helped and facilitated my research tasks for years ( since 2006 to 2011) I express my deepest gratitude to my two supervisor professors They are Prf.Dr M ichael Bogdan (Faculty o f Law, University o f Lund , Sweden) and Prof.Dr Le Minh Tam (Hanoi Law University) Professor Le Minh Tam alvvays encouraged me to develop scientiíic ideas in the dissertation Professor M ichael Bogdan was very enthusiastic to guide me to carry out my research for my dissertation In the research process I learned a lot from my two supervisors For Professor Michael Bogdan, I really leamed a lot from him about how to use English in legal research, because o f my doctoral dissertation was written in both English and Vietnamese I understood that the enthusiasm and perceptive comments o f Professor M ichael Bogdan have helped me mature a lot in using English for my dissertation Proíessor Le Minh Tam gave me some suggestions which were very practical and versatile options on translating my dissertation from English into Vietnamese I am extremely grateful to the help o f teachers, faculty, and staff of Hanoi Law University W ithout their help I would encounter many difficulties in the im plem entation o f the research for my dissertation I really thank to all insightíìil com m ents o f Prof.Dr Nguyen Van Dong, Prof.Dr Thai Vinh Thang, Prof Dr Nguyen Minh Doan, Dr Nguyen Quoc Hoan, and Dr To Van Hoa I alsp thank Dr Nguyen Thi Van Anh, the director o f the Comparative Law Center, Hanoi Law University gave special chances to me to participate in teaching and scientiíìc exchange on comparative law at Hanoi Law ưniversity During the course o f doing researches for my dissertation, I received help and support from the board o f directors o f the project “ Strengthening Legal Education in Viet Nam funded by the Swedish International Development Cooperation Agency (Sida)” I vvould like to say thank you to Prof Dr Le Minh Tam, Prof Dr Le Thi Son, Prof Vu Thi Kim Phung I am grateíul for the thoughtful enthusiasm o f LLM Duong Thi Hien, MA Cu Thi Thuy Trang, who are working at the International Cooperation Department o f Ha Noi Law University would also like to thank you sincerely to those colleagues and other Phd candidates o f the joint doctoral program under the frame o f the project o f Strengthening Legal Education in Viet Nam íunded by Sida I especially thank the Sida-funded budget who sponsored for my study and research abroad according to the doctoral training programs To complete my doctoral dissertation, I was gi ven chances to study and research in Faculty o f Law, Lund University Studying and participating in scientific activities at the Faculty o f Law, Lund University was lucky and very happy for my life The help o f professors, lecturers, library staffs and the m em bers o f the Faculty o f Law in Lund have contributed signifícantly to the completion o f my doctoral dissertation I would like to especially thank those professors who are m em ber o f the Faculty o f Law-Lund They are Proí.Dr Bengt Lundell, Prof.Dr Lars Gốran M almberg, Prof.Dr Christina Moẽll, Prof Christian Hãthén Prof.Dr Kjell Ả Modéer, Prof.Dr Trasman Per Ole, Prof.Dr Hans H einrich Vogel, Prof.Dr M ichael Bogdan, Prof.Dr Christoffer Wong I am grateful for the enthusiasm o f the librarian Anna W iberg and others who helped me for searching materials used for my doctoral dissertation Contribution to the completion o f my dissertation, I w ould like to thank Max Planck Institute for Comparative and International Private Law, Hamburg, the Federal Republic o f Germany has created good conditions for me to find reading materials and writing my dissertation at this institute (from January to April 2008) M uch o f the content o f this dissertation related to the theory o f precedent in the common law was written during the time o f my study at Suffolk Law School), Boston, Mass., the U.S.A (from January, 2009 to July, 2009) I w ould like especially to thank Professor Stephen c Hicks, Prof Bem ard O rtw ein and Prof M ichael A very w ho were extremely enthusiastic guided and answ ered my questions about A m erican law I also express my sincere thanks to the help o f Jonathan D M essinger, A m erican Lawyer and his fam ily during my study in Boston L aw yer Jonathan D M essinger, who enthusiastically explained, discussing and helping me with practical approaches applied in the case o f the U S legal system Perhaps it would be difficult for me to vvrite about practices o f precedent in A m erican law in my dissertation if I did not have the opportunity to study in Boston Research on practices o f V ietnam ese P eople’ Suprem e Court, I would like to express my sincere thanks to the enthusiastic help o f ju d g e N guyen Van Cuong, deputy director o f the Institute for Judicial Science o f the Supreme People's Court It can be said to be exchanged and done research collaboration with TS N guyen V an C uong has helped me to get practical and usìil iníorm ation for my discussion about precedent in V ietnam ese law and also recommendation for Vietnam to adopt a proper doctrine o f precedent I would like to express my deep gratitude to m y parents, my wife and my tw o sons, my sisters and my brothers They all supported my research for accom plishing my dissertation on time Last but not least, I w ould like to express my gratitude to leaders the Academ y o f People's Security, my colleagues and the dean o f my law íaculty o f the Academ y o f People's Security They helped me to com bine my teaching and doing research for m y dissertation during the past years This dissertation is w ritten in both English and V ietnam ese Thereíbre, the author o f the thesis w ill be hard to avoid the lim itations o f language expressing the translation thesis T hank you for com m ents from readers N guyễn V ăn Nam Hanoi, M arch 10,2011 Table of Contents Chapter Introduction Background Purposes Limitation Research Methods Materials Outline of the Research Part I Theory Of Precedent 1 Chapter A General Concept of Precedent 10 Concept of precedent Ideology o f Judicial Decision - Making Ideology of Bound Judicial Decision-Making Ideology O f Free Judicial Decision-Making Ideology of Legal And Rational Judicial Decision-Making Chapter Theory Of Precedent In The Common Law System 10 Introduction The Traditional Concept O f Precedent The Positivist Theory O f Precedent American Legal Realism 18 19 20 21 10 13 13 15 16 18 Why Is Precedent Followed By Judges 23 Chapter Theory O f Precedent In The Civil Law System 25 Introduction The Historical School In Germany The Positivist Theory O f Precedent Theory O f Precedent In France Part II Precedent in The Common law systems 25 25 26 27 29 Chapter Precedent in The English Legal System 29 Introduction To The English Common Law The Overview o f the English Judiciary Introduction Hierarchy o f English Courts ( Diagram No 1) The English Doctrine o f Precedent The Concept o f Precedent in English law What Does Constitute A precedent In English law The Ratio Decidendi and Obiter Persuasive Authority o f Precedents Overruling Precedent Distinguishing Precedent The Operation o f Stare Decisis in English judiciary 29 31 31 32 35 35 35 38 42 44 45 46 i The House of Lords The Court O f Appeal The High Court Precedent and Legal principles The Role o f Precedent in Legal Education in England The Law Reports in England Chapter Precedent In The American Legal System 46 48 50 51 52 53 56 Introduction To The American Legal System The American Judiciary The Characteristic o f The U.S Judiciary The Hierarchy o f The Federal Court System An Overvievv About The State Court System The American Doctrine o f Precedent American Common Law Tradition The American Attitudes to Precedent Concept of Precedent ( Stare decisis) Operation o f Doctrine of Precedent in The State Coưrt System Operation o f Precedent in Nevv York Court System Examples for Not Following Precedent of the New York State Court of Appeal Precedents in Constitutional Issues Upholding Stare Decisis Overruling Precedent Rationale for Overruling Precedent Examples o f Overruling Precedent of the U.S Supreme Court Precedent in lnterpreting Statutes A Role o f Legal Education in the U.S.A Law Reports In The U.S.A Part III Precedent in The Civil Law System Chapter Precedent in The French Legal System 56 58 58 60 63 64 64 66 69 74 74 76 Theory o f Precedent in French Law Non-binding Precedent in French Law Precedent in Different Areas of Law An Overvievv The French Court System Introduction Hierarchy o f French Court System The Judicial Court System The Administrative Court System Practice o f Precedent in The French Court System Example o f Precedent o f the Cour de Cassation Example o f Precedents o f the Conseil d ’Etat The Role o f precedent in French Legal Education Publishing Judgment o f French Courts 91 94 95 97 97 97 97 78 78 81 81 82 84 86 89 91 101 103 103 107 109 111 ii C hapter Precedent In The German Legal System Theory of Precedent in The German Law German Concept of Precedent Arguments In Favour o f Precedent Based Legislative Laws The Role of Precedent in Different Branches of Law The German Court System Practice o f Precedents in The German Court System Precedent o f the German Federal Constitutional Court Formal Bindingness o f Decisions ofthe German Federal Constitutional Court Overruling Precedent o f the Federal Constitutional Court The Dissenting Opinion o f The Federal Constitutional Court Example o f Precedents o f The Federal Constitutional Court Examples o f Precedents o f the Federal Constitutional Court in the Judicial Review of Statutory Laws Example o f Decisions o f The Federal Constitutional Court For The GapFilling of the Statutory laws Practice of Precedent o f the Federal Court of Justice Authority o f the German Federal Court of Justice‘s Precedents Examples o f Precedents of the Federal Court of Justice in Civil Law Matters Publication of Judgments and Law Reports The Role o f Precedent in the German Legal Education Part IV Precedent ỉn Vietnamese legal System and Recommendation For Vietnam Chapter Precedent in the Context of Vietnamese Legal System Introduction Theory of Precedent in Viet Nam Precedent and Concept o f law in The Vietnamese Legal System under Comparative Law Perspectives Chapter 10 Adoption of Precedent into The Vietnamese legal system Introduction The differences betvveen doctrine of precedent in Common law and Civil Law Systems 113 113 115 118 120 123 123 123 127 127 129 129 132 133 133 134 137 137 140 142 146 151 153 Binding and non-binding precedent Precedent and The legal Method Common law Precedent and Precedent Based Statutory Law Convergence o f Doctrines of Precedent in The Civil Law and Common Law System 153 154 156 157 Reception Doctrine o f Precedent into Vietnamese Legal System The Concept of Legal Reception Seeking For A Proper Doctrine of Precedent For Vietnam Skepticism versus Optimism about Precedent 160 160 161 163 iii 11.1 11.2 11.3 12.1 12.2 12.3 12.3.1 12.3.2 12.3.3 12.4 12.5 Chapter 11 The Role of Precedent for developing legal education in Vietnam Introduction Big Challenging for Using Precedent in Legal Education in Vietnam Solutions for Using Precedent in Legal Education Chapter 12 The Role of Vietnam’s Supreme PeopIe’s Court (SPC) in Developing Precedent Introduction The Position and Function o f Vietnam SPC in the Vietnamese Court system Reporting ofthe Vietnam SPC’s judicial decisions The Current Reporting o f Judicial Decisions Altemative systems o f reporting judicial decisions A typical Judgment o f The court How To Identify Precedents Among Reported Decisions o f The Vietnam SPC The persuasive force o f precedents o f the Vietnam’s SPC Chapter 13 Recommendations for Adopting a Precedent-based Approach in the Vietnamese Legal System Diagram Diagram Diagram Diagram Diagram No No No No No English Court System The U.S Court System The German Court System The German Court System The Vietnamese Court System Table o f cases Bibliography Official Documents Materials on the internet 168 168 171 174 174 178 178 181 182 184 188 190 194 195 196 197 198 199 201 209 210 iv List of Abbreviations - BAG Bundesarbeitgericht (the Federal Labour Court) - B.G.B Bver/GG - BverýGE - BGH BGHZ Bũrgerlìches Gesetzbuch (German Civil Code) Bundesverfassungerichtsgesetz (Law on the Federal Constitutional Court) Entscheidungen des Bundesver/assungsgericht ( the Law report vvhich consists o f decisions of the German Federal Constitutional Court) Bundesgerichtsho'f (the German Federal Court of Justice) - BFH Entscheidungen des Bundesgerichthofes in Zivilsachen (the Law report consisting of the civil judgments of the German Federal Court o f Justice) Entscheidungen des Bundesgerichthofes in Strafsachen (the Law report consisting of the criminal judgments of the German Federal Court o f Justice) Bundevenvaltungsgericht (the German Federal Administrative Court) Bundesfmanzhof (the German Federal Financial Court) - BSG Bundessozialgericht (the German Federal Social Security Court) - BTA Bilateral Trade Agreement - CIEM Vietnam Central Institute For Economic Management - ECJ European Court of Justice - EU European Union - GG - GVG - HL Grundgesetz (the Basic Law of the Federal Republic of Germany) Gerichtsverfassungsgestz (The German Law on the Organization o f C ourts) H ouseofLords - ICJ International Court o f Justice - ICR Industrial Case Reports - LR Law Reports - NJW - NA Neue Juristische Wochenschrift (The German Law Joum al) Nation Assembly - BGHSt - BVenvG Diagram No 4, The G erm an C ourt System (See:Michael Bogdan, C om parative Law , K luw er N orstedts Juridik Tano,1994, p.191) Federal Constitutional Court Federal Court o f Justice (Bundesgerichtshof -BGH) ( Appeal on point of law only) Higher Regỉonal Courts o f Appeal (Oberlandesgerichte-OLG ) Regional Courts (LandgerichteLG) Federal A dm ỉnỉstrative C o u rt (Bundesvenvaltungsgericht -BVenvG) ( A ppeal on point of law only) H igher A drninistrative C ourts (O berverw altungsgerichte A dm inỉstratỉve Courts (V envaltungsgerichte) (Bundesver/assungsgericht) Federal Financial Court Federal Labour Court Federal Social Court (Bundesfỉnanzhọf) (Bundesarbeỉtsgericlit-BGA) (BundessozỉalgerichtBSG) Financỉal Courts (Finanzgerichte) Higher Labour Court Hỉgher Social Court (LandesozỉaI -gerichte) (L andesarbeitsgerichte) Labour Courts (Arbeitsgerichte) Socỉal Court (SoziaIGerichte) Local Courts (AmtsgerichteAG) 197 Diagram N o The, V ietnam ese Court System District Courts ( Trial Courts) Table of Cases American Precedents - Pavne V Tennessee 501 U.S 808 828 11 ì S.Ct 2597 115 L.Ed.2d 720 (1991) - Roe V Wade, 410 U.S 113 (1973) - Bowers V Hardwick (1986) 478 U.S 186, 106 S.Ct 2841, 92 L.Ed.2d 140 (1986) Brown V Board o f Education (1954) Buckley V City o f New York (1982) Caseyv Planned Parent o f Pennsylvania, 505 U.S (1992) Casey V Planned Parent o f Pennsylvania, 505 u s (1992) Dickerson V United States 430 U.S (2000) Erie R.R.Co v.Tompkins, 304 U.S.64(1938) Helvering v.Hallock, 309 u s (1940) Heỉvering v.Hallock, 309 u s (1940) Hertz V Woodman 218 U.S (1910) - Hertz V Woodman, 281 us 205 (1910) - Hudson V Guestier (1801) U.S Cranch 293 293( 1808) - Lawrence V Texas, U.S 558,123 S.Ct 2472 - Marbury V Madison U.S (1 Cranch) 137 (1803) McDermott V Wisconsin, 228 U.S (1913), - New York Time V Sullivan, 376 U.S.254 (1964) - North Dakota V United States, 460 U.S 300 (1983) - Plessy V Ferguson (1896) R.J.Reynolds Tobacco Co V Roberton, 80F.2d 966 (1930), - Roperv Simmons,534 u.s.551,125 S.Ct.l 183 Siừiman V United States, 101 U.S 465 (1879) Stanỉord V Kentuckv 492 U.S 361 109 S.Ct 2969 106 L.Ed.2d 306 Swifív Tyson 41 U.S (1842) Tilton V Missouri Pac R Co., 306 F.2d 870 (1962) United States V E.c Knight 156 U.S (1895) English Precedents Anns V Merton LBC([Ỉ978]AC 728,H L) Anns V Merton LBC[1978]AC 728,HL - Beamish V Beamish 66\ m \ ) [1861] HL Cas 273 Bookes V Barnard [1964] AC 1129 Broome V Casselỉ [1971] QB 354 Button VDirector o f Public Prosecutions[ỉ966] AC 591; [1965] AU ER 587 Cassell V Broome[1972] AC 1028 Derbyshire County Council V Times Nexvspaper Ltd [1993] A ll ER 1011 - 666 [1861] HL Cas 273 199 - - - - - 667 Donoghue V Síevenson ^1932]AC562,HL.] Gaidan V Godin-Mendoza [2004] UKHL,30 Honoman FC (Respondent) VLondon Borough o f Southward (Appellant) [2009] UKHL 29 (1 June 2009) Kleinwort Benson Ltd VLincoln City Council Kleinwort Benson Ltd V Lincoln City Council [1999] A c 349 London Property Trust Ltd V High Trees House Ltd ? London Tramvvays V London County Counciỉ [?} Louca (Appellant) V A German Judicial Auíhority (Respondents)[2Q09] UKSC4; Mendoza V Ghaidan [2002] EWCA Civ 1533 Miỉiangos V George Frank (Textiles) Ltd [ 1976] Oxfam V Birmingham City Council [1975] ALL ER 289 Police Authority fo r Hudderfìeld V Watson [1947] KB 842 Poole Borough Council V B.& Q (Retail) Ltd[1983] 29 January R VMohammed [2005] EWCA Crim 1880 R V Greater Manchester Corner ex parte Tal [ 1984] ALL ER 240 R V Taylor [ 1950] KB 368,371 ,CA Rv.R [1992] A.C.599 Whitehouse V Jordcm[ 1981] All ER 267 Willis V Baddeley /11892] B.Q.234.] Willis V Baddeleyị 1892] B.Q.234 at p.326 Wilỉis V Baddeley,[ 1892] Q B 324 Young V Bristol Aeroplane Co.Ltd /[1944] K.B 718,CA] French case-laws Decision o f Koné case on July 3rd, 1996, quoted in Marine Lombard, The French Administrative Law, Justice Publisher -Vietnam, 2007 Cour de Cassation decided in Case Avicanca Decision n° 2009-590 DC o f October 22nd 2009 Case Guilloux V Sciété des raffirteries nantaises667, (25 May 1870) Case Union syndicale des industries aéronautiques on October 11**1, 1956 Conseil d ’Etat o f November 15, 1993 in case Extradition o/M rs.Aylor (G.P., 6-8 Feb 1994.) The Constitutional Council’s Decision n° 2009-590 DC of October 22nd 2009 G erm an case-laws Classroom Cruciíix II Case, 93 BVerfG 1(1995), Quoted in Brian K.Landsberg and Leslie Gielovv Jacobs, Global Issues in Constitutional Law, American Casebook Series, Thomson West, p.185 DP 1870.1.257 200 - Press release no 64/2005 of 18 July 2005 on the judgment of 18 July 2005(2 BvR 2236/04) (http//: www.bundesverfassungsgericht.de/en/press/bvg05-064en.html ( Dec 5th , 2009) - Press release no 47/2009 o f May 5th, 2009, on the judgment of May 5th, 2009 (BvR 1155/03), - Press release no 134/2009 of December l st, 2009 on the judgment of December l st, 2009 (1 BvR 2857/07 and BvR 2858/07) - Press release no 64/2005 o f 18 July 2005 on the judgment of 18 July 2005(2 BvR 2236/04) (http//: www.bundesverfassungsgericht.de/en/press/bvg05-064en.html ( Dec 5th , 2009) - Press release no 10/2009 o f February 3rd, 2009 on judgment of February 3rd, 2009 ( BvL 54/06), (http//: 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O f the Form 11 http ://conflictoflaw net/2007/new -conditions-for-recognition-ofju d g m en t-in -fran ce/ 12 http://w w w utexas.edu/iaw /academ ics/centers/transnational/w ork new /f rench/case.php?id= 1017 13 http://www.ukcle.ac.uk/resources/intemationalisation/sefton-green/ 210 14 http ://ww w ukcie ac u k /resources/intem ationalisation/ sefton-green/ 14 http//: w w w bundesverfassungsgericht.de/en/press/bvg05-064en.htm l 15 http//:w w w bundesverfassungsgericht.de/pressem itteilungen/bvg09010en.htm l 16 http//: w w w bundesverfassungsgericht.de/en/press/bvg09-047en.htm l 17 http://w w w th an h n ien co m v n/N ew s/P ages/201034/20100821094153.as m 18 h ttp ://v n eco n o m v v n /2 10082101 ĩ 420908p0c9920/chua-dua-an-le-vaocong-tac-xet-xu-cua-toa-an.htm 19 http://w w w starvietnam org.com 20 http://toaan.gov.vn/ 211 ... study of the theory and practice of precedent in some countries with a view to the systematic introduction of the doctrines of precedent into Vietnam The title of my thesis is ? ?The theory and practice. .. practice of Precedent in the United States, England, France, and Germany with recommendations for Vietnam. ’ 1.2 Purposes The research has three aims First, the theory and practice of precedent. ..FACULTY OF LAW, LUND UNIVERSITY HANOI LAW UNIVERSITY JOINT DOCTORAL PROGRAM NGUYỄN VĂN NAM THE THEORY AND PRACTICE OF PRECEDENT IN ENGLAND, THE UNITED STATES OF AMERICA, FRANCE, GERMANY, AND RECOMMENDATIONS