The Rule of Law and Independence
of the Judiciary
under the Basic Law
基本法下的法治和司法獨立
1
Rule of law – concepts and principles
法治 - 概念和原則
What is “the Rule of Law” 何謂法治?
- an ideal to be pursued in a civilized society 文明
社會所追求的理想
- a policy to be actively practised 必須積極實施的
政策
- a standard to evaluate a civilized society and its
systems 用以評估文明社會及其制度的標準
2
Meaning of the Rule of Law 法治的含意
- a term not defined in any law 無法律定義
- meaning commonly understood 含意為人認識
- Scope developed in modern times 範圍隨時代轉變發
展
- Primary meaning 基本含意:
- Everything must be done according to law
必須依法行事
- Citizens and government must abide by the
law 市民與政府均須守法
3
Purpose to be achieved 要達致的目的
- Peace and order of society is maintained 保
持社會和平安定
- Personal safety and property of citizens are
protected 個人安全和財物受保障
Primary meaning universally recognized principle 世
界認同的原則
Meaning developed through the years 隨著時代發展的
含意
- reasons for change/shift 改變/轉移的原因
4
* concept changes over time, depending on conditions of
each society 概念隨時間改變因應社會情況;
* differs according to constitutional development 憲制發展
of each society;
* as society becomes more complicated 社 會 複 雜 化 ,
necessary to entrust powers and discretion to government
officials 必須託付予政府官員權力和酌情權;
* aimed at reducing risk of abuse by those with powers and
discretion 減少濫用權力和酌情權的機會.
5
Concepts of the Rule of law 法治的一些概念
(1)
Aristotle（亞里士多德） (Greek philosopher) 384 BC:
“It is better for the law to rule than one of the citizens.
法治較人治為優 So even the guardians （守護者）
of the laws are obeying the laws.”
(2)
A V Dicey 廸思 (Oxford Professor of English Law)
1885:
3 propositions:
(a) supremacy of the law（法律最高地位）: all
men are ruled by law and by the law alone;
6
(b) equality before the law （法律前人人平等） :
no man is above the law; every man is
subject to the law and the jurisdiction of
the courts (司法管轄權）;
(c) the general principles of the constitution
(the rights of citizens) are the result of
judicial decisions 憲法原則（市民的權利）
Principles involved in Dicey’s propositions 迪思見解
／主張的相關原則
-
a person can only be convicted on the
ground that he has committed a breach of
law and nothing else 只可因觸犯法律被判罪
7
-
a person can only be punished after trial by
the courts in ordinary legal manner 只可經
法庭審訊後才可被定罪
-
every person must be subject to the same
law 任何人均須遵守同一法律
-
every person must be subject to the same
jurisdiction of the courts 任何人均受同一法
庭管轄
-
citizens’ rights are protected by the courts
through their decision 市民權利受法庭保障
8
(3) Modern view 較 近 代 見 解 (Lord Bingham ( 英 國 大 法
官) – 2007)
(a)
everything must be done according to law;
(b)
every government act affecting citizens’
rights must have legal basis 有法律依據;
(c)
there must be rules and principles restricting
discretionary power 限 制 酌 情 權 and
preventing abuse 防止濫權;
(d)
disputes as to the legality of government
acts（ 政 府 行 為 合 法 性 ） to be decided by
judges who are independent of the executive
由獨立於行政機關的法官裁決;
9
(e)
courts to strike balance between need to
have fair and efficient government and
need to protect citizens’ rights 法院要在必須
有合理及有效率的政府與必須保障市民權利之
間取得平衡;
(f)
the law should be even-handed between
government and citizens; government
should not enjoy unnecessary privileges
and exemptions 政府不得享有不必要的特權和
豁免.
10
Guarantee of Rule of Law by Basic Law 基本法的保證
No express provision in BL 無明確條款
Implied in BL 基本法內暗示
- BL 2 – high degree of autonomy 高度自治
and enjoy executive, legislative and
independent judicial power including
final adjudication 享有行政、立法和獨
立司法權包括終審權
11
- BL 4 – safeguard rights and freedoms in
accordance with law 依法保障權利和
自由
- BL 6 – protect right of private ownership of
property in accordance with law 依法
保護私有財產權
- BL 8 – laws previously in force including
common law shall be maintained 原
有法律包括普通法予以保留
12
- BL 19(1) –
vested with independent
judicial power including
final adjudication 享有獨立
司法權和終審權
- BL 25 –
equality before the law 法
律面前一律平等
- BL 26 to 41 – rights and freedoms
enjoyed by residents and
non-residents 居民和非居民
享有的權利和自由
13
Requirements under the rule of law 法治所要求的是什麼?
(1)
Every one shall be equal before the law (Basic
Law art 25; see also BoR 人權法 art 10)
(2)
The law must be accessible（ 可 得 知 ） ,
intelligible（可明白）and clear（清晰）; certain
（確定） and predictable（可預測） –
(i) to enable citizens to find out what they can
do or cannot do 使市民預知何事可為何事不
可為;
(ii) to enable lawyers to advise their clients on
what their rights and obligations are 律師可
向市民提供有關權利和義務的意見
14
(3)
The law must afford adequate protection of the
citizens’ fundamental human rights – 對市民的基
本人權有充份的保障 fundamental human rights
reflect the basic values which are shared
universally 基本人權反映世界認同的基本價值
(4)
The law should apply equally to all, and nobody is
entitled to special and unnecessary privilege or
preferential treatment 特別及不必要的特權或特殊優
惠 (save as to give effect to objectives against
discrimination) 反歧視的目的
15
(5)
Government officials must exercise the powers
conferred （賦予）on them in good faith, fairly
and reasonably 忠誠、公平合理 for the purpose
for which powers were conferred
(6)
Questions of legal rights 權利 and liability 責任
should ordinarily be resolved by the application
of the law and by the independent courts which
adjudicate disputes 裁決糾紛 publicly（公開）,
fairly （公平）and impartially（公正）
16
(7)
Entitlement to legal assistance 法律援助 in
pursuing 爭取 or defending 保護 rights
(8)
Access to the courts for resolving disputes
must be provided with expeditiously（迅速）
(without inordinate delay（過度延誤) and
without too much prohibitive costs 阻止性的費
用）
17
How to attain the Rule of Law 如何達致法治 ?
- obedience of the law（ 遵 守 法 律 ） and
respect for the law（尊重法律）
- separation of powers （三權分立）
- independence of judiciary （司法獨立）
18
Obedience of the law 遵守法律
-
This is the essence of the Rule of Law 法治的精髓
-
Nobody is above the law （凌駕法律）
-
Nobody is beyond the law（法律之外）
-
One must not put the law into one’s own hands
自行執法 (contrast self-defence 不同於自衞)
19
-
Serious consequences 嚴重後果 for individual
(punishment) and for society as a whole (break
down of system 破壞制度)
-
Basic Law art 42 – all residents (and other
persons in HK) shall have obligation to abide by
the laws in force 遵守法律義務
-
Civil disobedience 公民抗命: controversial 爭議
and drastic 激烈 concept 概念
20
Respect for the law and the courts 尊重法律與法庭
(1)
Executive and Legislature must comply with
court decisions and orders 遵行法庭裁決和命令;
(2)
By convention 傳統, Executive and Legislature
do not criticize performance of judges 批評法官
的表現;
(3)
Effectiveness of court orders and decisions
through enforcement by contempt of court 法庭
命令和裁決的有效性以藐視法庭來執行;
(4)
ultimately depends on the respect of the Rule of
Law by Legislature, government officials, and
all citizens 最終必須靠立法會、政府官員及全體市
民尊重法治.
21
Separation of powers
Purpose of principle 原則的目的
-
to avoid concentration of power 避免權力集中
which can lead to abuse of power 引致濫用權
力
-
to protect rights and liberty of citizens from
abuse of power 保障市民權利和自由不因濫用權
力受削弱
22
Government authority divided into different bodies
-
Legislature 立 法 機 構 : body to make 訂 立 ,
amend 修改 and repeal 廢除 laws (BL66-79)
-
Executive 行政機構: body to execute 執行and
enforce 實施 the laws (BL43-65)
-
Judiciary 司 法 機 構 : body to determine
disputes 裁決糾紛 by deciding what the law is
and how it is applied (BL80-96)
Separation of powers 權 力 分 立 or separation of
functions 功能/職能分工?
23
Checks and balances 監察與制衡:
-
Legislature: scrutinizes 監察／審核 executive
actions;
-
Executive: introduces proposals for new laws
提出新法例建議 and controls public funds 管政
公共財政
-
Judiciary: reviews 覆核 constitutionality of
laws 法例的合憲性 and legality of executive
actions 行政機關行為的合法性
24
Functions of judiciary 司法機構的職能
(1)
to try 審判 and punish 懲罰 criminals 罪犯 fairly
and impartially 公 平 公 正 ; helps to maintain
peace and order of society;
(2)
to adjudicate 裁 決 fairly and impartially on
disputes between citizens 市 民 與 市 民 and
between citizens and government 市民與政府的
糾紛;
(3)
to protect rights and liberty of citizens against
government; standing between citizens and
government 保障市民的權利和自由;
25
(4)
to ensure the laws made by the Legislature 立法
會 are constitutional 符合憲法, i.e. fair to
everyone and comply with 遵守 basic human
rights principles;
(5)
to ensure the acts of the Executive are within
the law and powers of the Executive are not
abused;
(6)
to provide judicial review 司法覆核（司法審核）
of unconstitutional laws 違憲法律 or unlawful
government acts.
26
Administering justice 執行司法工作
Guiding principle: Justice must not only be done but
must also be seen to be done 不單秉行公義還須彰顯公義
Has justice been done in a case?
(i) What is a fair or just decision 公平裁決?
(ii) Is the judge impartial 公正、不偏不倚?
(iii) Subjective 主觀 or objective 客觀 or both?
(iv) Substantial justice 實 質 公 正 and procedural
fairness 程序公平
27
Essential features of justice 公義的基本因素:
- Access to court 訴諸法律
- Open justice 公開公義 – BoR （人權法）art 10 and
exceptions
- Procedural fairness 程序公義
(a) court rules and procedures;
(b) natural justice 自然公義定律
- right to be heard 有權答辯
- right to have legal advice 有權接受法律意見
- no bias/apparent bias 不受偏頗影響
28
- Reasoned decision 裁決必須有理
- Appeal system 上訴機制
Fair and just legal system is necessary for
(i) Social stability 社會穩定;
(ii) Public respect for and confidence in the law
and the legal system 公眾對法律及法律制度尊
重和有信心.
29
Meaning of judicial independence
(1)
in the board sense – absence of interference 干擾
with the administration of justice by the
Executive 行政機關 or Legislature 立法機關;
(2)
in the narrow sense – free from interference in
the decision making process (by any interested
party).
30
Need for judicial independence
(1)
it plays an important constitutional role 憲法角色;
(2)
it is required by the Basic Law 基本法 and Bill of
Rights (HKBOR) 人權法;
(3)
it serves a social purpose 社會目的.
31
Independence of judiciary 司法獨立
- Independence provided for in BL 基本法對司法獨立的
規定
BL 2 & 9 – independent judicial power 獨立司法
權;
BL 85 –
judicial power independently free
from any interference 不受任何干涉
的獨立審制權
32
- Independence provided in International Covenants
on Civil and Political Rights (ICCPR) 公民權利和政
治權利國際公約 art 14; Hong Kong Bill of Rights
(HKBOR) 香港人權法 art 10
“All persons shall be equal before the courts 法律前一律
平等 and tribunals. In the determination of any criminal
charge against him, or his rights and obligations in a suit
at law, everyone shall be entitled to a fair and public
hearing by a competent, independent and impartial
tribunal established by law. …依法成立的稱職、獨立和
公正的法庭 ”
(ICCPR applies to Hong Kong through Basic Law
art 39)
33
- Appointment of judges 法官任命
BL – art 88: appointed by the Chief Executive;
recommendation 推薦 of an
independent commission 獨立委員會
of local judges, persons from the
legal profession and eminent
persons 知名人士 from other sectors
(Judicial Officers Recommendation
Commission (Cap 92))
CE and Executive cannot nominate/recommend
提名／推薦 judges; can only veto
34
- Removal 免職 of judges (security of tenure 任期保
障)
BL 89: judge (i) inability to discharge duties 無力
履行職責 or (ii) for misbehavior 行為不檢;
removed by CE on the recommendation of
a tribunal appointed by the Chief Justice
consisting of 3 or more local judges
Chief Justice may be investigated 審議 by a tribunal
of 5 or more local judge; removed by CE on
recommendation of tribunal and in accordance
with the procedures prescribed 規定程序 in BL
35
- Endorsement by Legislative Council 立法會同意
in some cases
BL 90: appointment or removal of judges of the
CFA 終審法院法官 and the Chief Judge
of the High Court 高等法院首席法官; CE
shall follow procedures in BL 88 and 89
and obtain endorsement of LegCo and
report such appointment or removal to
the Standing Committee of the NPC for
the record.
36
- Immunity from civil claims 不受法律追究
BL 85 - immune from legal action in
performance of judicial functions 履行審
判職責.
37
Challenges 挑戰
-
tendency to over assert rights and freedoms? 過份
宣示／堅持權利和自由？
*Misunderstanding of rights and freedoms
*Overlook rights and freedoms of others
38
-
showing less respect to Rule of law and
independence of judiciary? 對法治／司立獨立少了尊重？
*Use of Chinese in court proceedings
*Extreme activist actions
*Overlook obligation to obey the law BL42
39
-
politicising court proceedings? 法庭被政治化？
*Taking political issues to court
*Courts inappropriate to resolve political issues
*Weaken respect to legal system
-
SCNPC power of interpreting Basic Law? 人大常委
釋法權力？
*Affect power of Court of Final Appeal
40
Nature of rights and freedoms 權利和自由的性質
Common law concept – residual 剩餘 nature of rights
& freedom
Rights & freedoms under Basic Law and Bill of
Rights
(a) Absolute or non-derogable 絕對／不可剝奪
(b) Derogable 可被剝奪
(c) As prescribed by law / in accordance with
law 可依法享受
41
Justifying interference of rights & freedoms 干擾的理由
(a) There is a legitimate social purpose 合法的社會目的
for having law or measure 去制定法律或政策
affecting the right or freedom
(b) The law in question / measure taken is necessary
for achieving such purpose
(c) The law in question / measure taken is
proportionate 相稱
42
Power of Court of Final Appeal to interpret Basic Law 解釋權
-
Power to interpret and also constitutional obligation 憲
制上的責任
-
Scope of such power 權力範圍
*Power conferred under BL158(2) & (3) –
delegated power 轉授權力
*Exercisable only in adjudicating cases 審理案件
43
*Provisions in BL which CFA can interpret
(a) Provisions within the limits of autonomy
(b) Other provisions except (i) provisions
concerning affairs which are the responsibility
of Central Government; (ii) provisions
concerning relationship between Central
authorities and SAR [(i) & (ii) = exception
provisions 除外條款]
44
For exception provisions, CFA must refer to SC NPC
(a) interpretation is necessary for the case 必須
(b) interpretation affects the decision 影響
(c) not obviously unarguable 明顯不可爭議
(d) before final decision
45
-
SCNPC consults BL Consultation Committee
諮詢委員會 before making interpretation
-
SCNPC interpretation binding 有約束力 on
courts in all future cases but not decisions
already made
46
Power of SCNPS to interpret Basic Law
- independent power conferred under Chinese
Constitution 中國憲法 (art 67 since BL is also
national law 全國性法律)
- any provision in the BL, need not for purpose of
deciding case
- applying principles 原則 under civil law system 成
文法制度 – different from common law system 普通
法制度: legislative interpretation
47
-
whether affect power of CFA
*Within power of SC NPC – BL also national law
*Final appellate jurisdiction in SAR – this power is
only link between Central authorities and SAR
*This power only exercisable on Basic Law, not any
other law
48
*Not affect previous cases decided by CFA
*Under common law system, if final court decision
give rise to difficulty in implementation, legislature
can amend law to override final decision, but not for
BL which is constitution
49