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You are here: BAILII >> Databases >> United Kingdom Asylum and Immigration Tribunal >> SS and Others (Sovereign immunity claim, Certificate conclusive) Malaysia [2009] UKAIT 00007 (11 February 2009) URL: http://www.bailii.org/uk/cases/UKIAT/2009/00007.html Cite as: [2009] UKAIT 7, [2009] UKAIT 00007 |
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SS and Others (Sovereign immunity claim – Certificate conclusive) Malaysia [2009] UKAIT 00007
Date of hearing: 27 January 2009
Date Determination notified: 11 February 2009
SS |
APPELLANT |
and |
|
ENTRY CLEARANCE OFFICER – KUALA LUMPUR | RESPONDENT |
Where an appellant claims State immunity a certificate issued by the Secretary of State under s.21 of the State Immunity Act is conclusive and may not be questioned by the Tribunal.
"was not satisfied on the balance of probabilities that you have not worked when you previously entered the UK as a visitor and that you have not employed deception to gain entry to the UK. Paragraph 320(11) and (12). These are normally grounds on which entry clearance to the UK should be refused. I have considered your application carefully taking into account the statement from your employer but I am not satisfied that this is an adequate basis to satisfy these provisions of the Immigration Rules and I am therefore not prepared to exercise discretion in your favour."
"The appellant's representative has suggested that he is serving staff of a 'sovereign or head of state', HRH Sultan of Pahang. However HRH Sultan of Pahang is one of nine sultans of states comprising Malaysia. There is a king or Agong who is nominated from one of these sultanates and I would therefore consider that this immunity would apply only to the head of state of Malaysia, the Agong, and not to the other state sultans."
"premised on the fact that the Sultan is entitled to sovereign immunity. This needs to be evidenced by a letter or certificate from the Secretary of State for the Foreign and Commonwealth Office (FCO) and the submissions were premised on the fact that adequate proof of exemption is to hand."
"Pahang is a constituent territory of Malaysia which is a federal state;
Haji Ahmad Shah, Al-Musta'in Billah ibni Almarhum Sultan Abu Bakar Ri'Ayatuddin Al-Mu'Adzam Shah is the Sultan of the territory of Pahang and is not the Head of State of Malaysia;
His Majesty Al-Wathiqu Billah Tuanku Mizan Zainal Abidin Ibni Al-Marhum Sultan Mahmud Al-Muktafi Billah Shah is the Head of State of Malaysia."
"A certificate by or on behalf of the Secretary of State shall be conclusive evidence on any question –
(a) whether any country is a State for the purposes of Part 1 of this act, whether any territory is a constituent territory of a federal State for those purposes or as to the person or persons to be regarded for those purposes as the head or government of a State…"
"(1) The immunities and privileges conferred by this Part of the Act apply to any foreign or commonwealth State other than the United Kingdom; and references to a State include references to –
(a) the sovereign or other head of that State in his public capacity;…"
"Section 12 above applies to proceedings against the constituent territories of a federal State; and Her Majesty may by Order in Council provide for the other provisions of this Part of this Act to apply to any such constituent territory specified in the Order as they apply to a State."
"(1) Subject to the provisions of this Section and to any necessary modifications, the Diplomatic Privileges Act 1974 shall apply to –
(a) a sovereign or other head of State;
(b) members of his family forming part of his household; and
(c) his private servants,
as it applies to the head of a diplomatic mission, to members of his family forming part of his household and to his private servants….
(5) This Section applies to the sovereign or other head of any State on which immunities and privileges are conferred by Part 1 of this Act and it is without prejudice to the application of that Part to any such sovereign or head of State in his public capacity."
"The issue whether the claimant is entitled to state immunity is essentially a question of law for the courts of this country on which the views of either Attorney General is not of any value…"
"There are two statutes which are relevant to this application, the Diplomatic Privileges Act 1964 and the State Immunity Act 1978. The first is concerned to bestow immunity in respect of civil and criminal proceedings on diplomatic staff. This Act implements many of the provisions of the Vienna Convention on Diplomatic Relations and Optional Protocol concerning the Compulsory Settlement of Disputes signed in 1961. In particular, it brings into effect in our domestic law, the provisions of art 31 of that convention, which, so far as relevant to this application, reads as follows:
'1. A diplomatic agent shall enjoy immunity from the criminal jurisdiction of the receiving State. He shall also enjoy immunity from its civil and administrative jurisdiction, except in the case of … (c) an action relating to any professional or commercial activity exercised by the diplomatic agent in the receiving State outside his official functions …'
When the 1964 Act became part of our law, it did not affect the common law immunity of heads of state, but only the immunity of representatives of a state, such as ambassadors. The 1978 Act is concerned primarily with state immunity. Until the passing of that Act, state immunity was a matter of common law and the extent of that immunity was the subject of some difficult case law."
"The 1978 Act includes two significant provisions relating to the sovereign or head of state, that is to say a sovereign or head of state of a state recognised by virtue of the issue of a suitable certificate. The first, s 20(1)(a), provides:
'Subject to the provisions of this section and to any necessary modifications, the Diplomatic Privileges Act 1964 shall apply to – (a) a sovereign or other head of state…'
Thus, the head of state has all the immunities bestowed on diplomatic personnel such as ambassadors. Secondly, in some cases, it is possible to bring proceedings against the head of state as representing the state itself. Because that is so, s 14(1)(a) of the 1978 Act provides:
'The immunities and privileges conferred by this Part of this Act apply to any foreign or commonwealth State other than the United Kingdom; and references to a State include references to – (a) the sovereign or other head of that State in his public capacity …'
This means that when a head of a recognised state is acting in his private capacity, he has the same immunities as say, the ambassador of that state under the 1964 Act. On the other hand, when acting in his public capacity, effectively as the embodiment of the state, he has all the immunities the state has under the 1978 Act. It would appear at first blush that the immunities are cumulative, thus the fact that he has immunities when acting in a public capacity, does not detract from the immunities derived from the 1964 Act by virtue of s 20(1) of the 1978 Act. (see in this regard s 16 of the 1978 Act.)
If in this case the defendants had been trying to bring third party proceedings against the head of a recognised state in his private capacity, the provisions of the 1964 Act would give him immunity from suit. In particular, the provisions of art 31(1)(c) of the convention only removes the immunity from suit where the diplomatic agent, or in his case head of state, is carrying on a professional or commercial activity in the receiving state, that means in England. There is no suggestion that Sheikh Zayed is carrying on or has carried on any relevant activity in England. Furthermore, as Mr Goldsmith accepted, to avoid immunity it would be necessary to show that the head of state carried on a continuous business activity here with a view to profit. That also was not asserted against Sheikh Zayed.
However, these are not the only statutory provisions relevant to this application. A recognised state may be a federation. The 1978 Act makes certain provisions for the constituent territories of such a federation. In particular, s 14(5) provides:
'Section 12 above applies to proceedings against the constituent territories of a federal State; and Her Majesty may by Order in Council provide for the other provisions of this Part of this Act to apply to any such constituent territory specified in the Order as they apply to a State.'
For example, an Order in Council might have the effect of treating the constituent territory as if it were itself a recognised state, so that the head of the constituent territory would also be treated as if he were head of a recognised state.
However, if there is no such order, s 14(6) applies and that provides:
'Where the provisions of this Part of this Act do not apply to a constituent territory by virtue of any such Order subsections (2) and (3) above shall apply to it as if it were a separate entity.'
This refers back to s 14(2)(a) and (b) which are the only provisions of s 14 to which it is necessary to refer for the purpose of this application. Section 14(2) is in the following terms:
'A separate entity is immune from the jurisdiction of the courts of the United Kingdom if, and only if – (a) the proceedings relate to anything done by it in the exercise of sovereign authority; and (b) the circumstances are such that a State (or, in the case of proceedings to which section 10 above applies, a State which is not a party to the Brussels Convention) would have been so immune.'
It is now possible to consider the effect of these provisions on the position of a constituent state which is not the subject of an order. When such a state does something, 'in the exercise of sovereign authority', it is given the benefit of the same immunities as the state of which it forms a constituent part. It is not in dispute that the 'sovereign authority' in s 14(2)(a) is a reference to the sovereign authority of the recognised state. In other words, when a constituent territory or other separate entity acts for and on behalf of the recognised state and effectively acts as if it was exercising the state's sovereign authority, it obtains the immunity that the state would have obtained, had it acted on its own behalf.
Secondly, if it does not fall within the provisions of s 14(2)(a), the constituent territory or other separate entity has no immunity. It neither falls under s 14 nor does it obtain immunity under the 1964 Act. In particular, there is no equivalent provision to s 20(1)(a) extending to such a constituent territory any of the 1964 Act immunities. This is not surprising because the 1964 Act immunities are clearly concerned with giving immunities from suit to individuals rather than territories.
With that in mind, it is possible to turn to the particular facts of this case. Most of these facts I do not understand to be in dispute. (1) the United Arab Emirates is a state within the meaning of the 1978 Act, a certificate to that effect has been signed by the Secretary of State. (2) His Highness Sheikh Zayed is the head of that state. (3) Abu Dhabi is a constituent territory of the United Arab Emirates for the purpose of the 1978 Act and once again a certificate to that effect has been issued, signed by the Secretary of State. (4) It is, however, not a territory in respect of which an order under s 14(5) has been made. It therefore is treated just like a separate entity under s 14(2) of the 1978 Act. (5) As such, it has no immunity of its own, it only obtains the immunity it can acquire under s 14(2)(a), when it does things in the exercise of the sovereign authority of the United Arab Emirates. (6) Sheikh Zayed is the Ruler of Abu Dhabi. In that capacity, he is not a head of state within the meaning of the 1978 Act." (pp.111-113)
"The Act makes no distinction between political sub-divisions and constituent units of a federal state and takes a more restrictive line to the conferment of immunity on agencies created by such federal units than did the Court of Appeal in Mellenger…"
There is a passage at page 433 to similar effect.
"This needs to be evidenced by a letter or certificate from the Secretary of State for the Foreign and Commonwealth Office (FCO) (see below paragraph 8)."
Signed Date 6 February 2009
Senior Immigration Judge Warr