sábado, 19 de diciembre de 2020

Decisión del 18-12-20 de la Corte Internacional de Justicia. caso: Guyana versus Venezuela

         INTERNATIONAL COURT OF JUSTICE

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 Summary

Unofficial

 

                      Summary 2020/5

                18 December 2020

 

Arbitral Award of 3 October 1899 (Guyana v. Venezuela) 

History of the proceedings (paras. 1-22)

 The Court recalls that, on 29 March 2018, the Government of the Co-operative Republic of Guyana (hereinafter “Guyana”) filed in the Registry of the Court an Application instituting proceedings against the Bolivarian Republic of Venezuela (hereinafter “Venezuela”) with regard to a dispute concerning “the legal validity and binding effect of the Award regarding the Boundary between the Colony of British Guiana and the United States of Venezuela, of 3 October 1899”

(hereinafter the “1899 Award” or the “Award”). In its Application, Guyana seeks to found the jurisdiction of the Court, under Article 36, paragraph 1, of the Statute of the Court, on Article IV, paragraph 2, of the “Agreement to Resolve the Controversy between Venezuela and the United Kingdom of Great Britain and Northern Ireland over the Frontier between Venezuela and

British Guiana” signed at Geneva on 17 February 1966 (hereinafter the “Geneva Agreement”). It explains that, pursuant to this latter provision, Guyana and Venezuela “mutually conferred upon the Secretary-General of the United Nations the authority to choose the means of settlement of the controversy and, on 30 January 2018, the Secretary-General exercised his authority by choosing judicial settlement by the Court”. 

 On 18 June 2018, Venezuela stated that it considered that the Court lacked jurisdiction to hear the case and that Venezuela would not participate in the proceedings. The Court was of the view that in the circumstances of the case, it was necessary first of all to resolve the question of its jurisdiction, and that this question should accordingly be separately determined before any proceedings on the merits. 

I. INTRODUCTION (PARAS. 23-28)

 As a preliminary, the Court expresses its regret at the decision taken by Venezuela not to participate in the proceedings before it. The non-appearance of a party obviously has a negative impact on the sound administration of justice. In particular, the non-appearing party forfeits the opportunity to submit evidence and arguments in support of its own case and to counter the allegations of its opponent. For this reason, the Court does not have the assistance it might have derived from this information, yet it must nevertheless proceed and make any necessary findings in the case.

 The Court emphasizes that the non-participation of a party in the proceedings at any stage of the case cannot, in any circumstances, affect the validity of its judgment, whilst recalling that, should the examination of the present case extend beyond the current phase, Venezuela, which remains a Party to the proceedings, will be able, if it so wishes, to appear before the Court to present its arguments.

 The Court further explains that, though formally absent from the proceedings, non-appearing parties sometimes submit to the Court letters and documents in ways and by means not contemplated by its Rules. It notes that, in this instance, Venezuela sent the Court a Memorandum, which the Court takes into account to the extent that it finds it appropriate in discharging its duty, under Article 53 of the Statute, to satisfy itself as to its jurisdiction to entertain the Application.

II. HISTORICAL AND FACTUAL BACKGROUND (PARAS. 29-60)

 The Court then turns to the historical and factual background of the case. In this regard, it observes that, located in the north-east of South America, Guyana is bordered by Venezuela to the west. At the time the present dispute arose, Guyana was still a British colony, known as British Guiana. It gained independence from the United Kingdom on 26 May 1966. The Court next explains that the dispute between Guyana and Venezuela dates back to a series of events that took place during the second half of the nineteenth century, each of which it describes in turn.

A.  The Washington Treaty and the 1899 Award (paras. 31-34)

 The Court recalls that in the nineteenth century, the United Kingdom and Venezuela both claimed the territory comprising the area between the mouth of the Essequibo River in the east and the Orinoco River in the west.

 In the 1890s, the United States of America encouraged both parties to submit their territorial claims to binding arbitration. The exchanges between the United Kingdom and Venezuela eventually led to the signing in Washington of a treaty of arbitration entitled the “Treaty between Great Britain and the United States of Venezuela Respecting the Settlement of the Boundary between the Colony of British Guiana and the United States of Venezuela” (hereinafter the “Washington Treaty”) on 2 February 1897.

 The arbitral tribunal established under this Treaty rendered its Award on 3 October 1899. This decision granted the entire mouth of the Orinoco River and the land on either side to Venezuela; it granted to the United Kingdom the land to the east extending to the Essequibo River. The following year, a joint Anglo-Venezuelan commission was charged with demarcating the boundary established by the 1899 Award. The commission carried out that task between November 1900 and June 1904. On 10 January 1905, after the boundary had been demarcated, the British and Venezuelan commissioners produced an official boundary map and signed an agreement accepting, inter alia, that the co-ordinates of the points listed were correct.

B.  Venezuela’s repudiation of the 1899 Award and the search  for a settlement of the dispute (paras. 35-39)

 The Court notes that on 14 February 1962, Venezuela informed the Secretary-General of the United Nations that it considered there to be a dispute between itself and the United Kingdom

“concerning the demarcation of the frontier between Venezuela and British Guiana”, that the

1899 Award had been “the result of a political transaction carried out behind Venezuela’s back and sacrificing its legitimate rights”, and that it therefore could not recognize the Award. 

 The Government of the United Kingdom, for its part, asserted that “the Western boundary of British Guiana with Venezuela [had been] finally settled by the award which the arbitral tribunal announced on 3 October 1899”, and that it could not “agree that there [could] be any dispute over the question settled by the award”. The United Kingdom nonetheless stated that it was open to discussions through diplomatic channels.

 On 16 November 1962, with the authorization of the representatives of the United Kingdom and Venezuela, the Chairman of the Fourth Committee of the United Nations General Assembly declared that the Governments of the two States (the Government of the United Kingdom acting with the full concurrence of the Government of British Guiana) would examine the “documentary material” relating to the 1899 Award (hereinafter the “Tripartite Examination”). This Examination took place from 1963 to 1965. It was completed on 3 August 1965 with the exchange of the experts’ reports. While Venezuela’s experts continued to consider the Award to be null and void, the experts of the United Kingdom were of the view that there was no evidence to support that position. On meeting in London in December 1965 to discuss a settlement of the dispute, each party maintained its position on the matter.

C.  The signing of the 1966 Geneva Agreement (paras. 40-44)

 The Court next recalls that, following the failure of the talks in London, the three delegations met again in Geneva in February 1966 and that, on 17 February 1966, they signed the Geneva Agreement, the English and Spanish texts of which are authoritative. On 26 May 1966, Guyana, having attained independence, became a party to the Geneva Agreement, alongside the Governments of the United Kingdom and Venezuela.

 The Geneva Agreement provides, first, for the establishment of a Mixed Commission to seek a settlement of the controversy between the parties (Articles I and II). Article IV, paragraph 1, further states that, should this Commission fail in its task, the Governments of Guyana and Venezuela shall choose one of the means of peaceful settlement provided for in Article 33 of the United Nations Charter. Finally, in accordance with Article IV, paragraph 2, should those Governments fail to reach agreement, the decision as to the means of settlement shall be made by an appropriate international organ upon which they both agree, or, failing that, by the Secretary-General of the United Nations.

D.  The implementation of the Geneva Agreement (paras. 45-60)

1. The Mixed Commission (1966-1970) (paras. 45-47)

 The Mixed Commission was established in 1966, pursuant to Articles I and II of the Geneva Agreement. During the Commission’s mandate, representatives from Guyana and Venezuela met on several occasions. However, the Mixed Commission reached the end of its mandate in 1970 without having arrived at a solution.

2. The 1970 Protocol of Port of Spain and the moratorium put in place (paras. 48-53)

 Since no solution was identified through the Mixed Commission, it fell to Venezuela and Guyana, under Article IV of the Geneva Agreement, to choose one of the means of peaceful settlement provided for in Article 33 of the United Nations Charter. However, in view of the disagreements between the Parties, a moratorium on the dispute settlement process was adopted in a protocol to the Geneva Agreement (the “Protocol of Port of Spain”), signed on 18 June 1970, the same day that the Mixed Commission delivered its final report. Article III of the Protocol provided for the operation of Article IV of the Geneva Agreement to be suspended so long as the Protocol remained in force. The Protocol was, pursuant to its Article V, to remain in force for an initial period of twelve years, which could be renewed thereafter.

 In December 1981, Venezuela announced its intention to terminate the Protocol of Port of Spain. Consequently, the application of Article IV of the Geneva Agreement was resumed from 18 June 1982.

 Pursuant to Article IV, paragraph 1, of the Geneva Agreement, the Parties attempted to reach an agreement on the choice of one of the means of peaceful settlement provided for in Article 33 of the Charter. However, they failed to do so within the three-month time-limit set out in Article IV, paragraph 2. They also failed to agree on the choice of an appropriate international organ to decide on the means of settlement, as provided for in Article IV, paragraph 2, of the Geneva Agreement.

 The Parties therefore proceeded to the next step, referring the decision on the means of settlement to the Secretary-General of the United Nations. 

 After the matter was referred to him by the Parties, the Secretary-General, Mr. Javier Pérez de Cuéllar, agreed by a letter of 31 March 1983 to undertake the responsibility conferred upon him under Article IV, paragraph 2, of the Geneva Agreement. 

 After one of his representatives had held meetings and discussions with the Parties, in early 1990 the Secretary-General chose the good offices process as the appropriate means of settlement.

3. From the good offices process (1990-2014 and 2017) to the seisin of the Court (paras. 54-60)

 Between 1990 and 2014, the good offices process was led by three Personal Representatives appointed by successive Secretaries-General. Regular meetings were held during this period between the representatives of both States and the Secretary-General.

 In September 2015, the Secretary-General held a meeting with the Heads of State of Guyana and Venezuela, before issuing, on 12 November 2015, a document in which he informed the Parties that “[i]f a practical solution to the controversy [were] not found before the end of his tenure, [he] intend[ed] to initiate the process to obtain a final and binding decision from the International Court of Justice”.

 In December 2016, the Secretary-General announced that he had decided to continue the good offices process for a further year.

 After taking office on 1 January 2017, the new Secretary-General, Mr. António Guterres, continued the good offices process for a final year, in conformity with his predecessor’s decision. In letters to both Parties dated 30 January 2018, the Secretary-General stated that he had “carefully analyzed the developments in the good offices process during the course of 2017” and announced that, “significant progress not having been made toward arriving at a full agreement for the solution of the controversy”, he had “chosen the International Court of Justice as the means that is now to be used for its solution”. 

                On 29 March 2018, Guyana filed its Application in the Registry of the Court.

III. INTERPRETATION OF THE GENEVA AGREEMENT (PARAS. 61-101)

 The Court recalls the three-stage process established by the Geneva Agreement and notes that the Parties failed to reach agreement on the choice of one of the means of peaceful settlement set out in Article 33 of the Charter, as provided for by Article IV, paragraph 1, of the Geneva Agreement. They then proceeded to the next step and referred this decision to the Secretary-General of the United Nations, pursuant to Article IV, paragraph 2, of the Agreement. The Court must thus interpret this provision in order to determine whether, in entrusting the decision as to the choice of one of the means of settlement provided for in Article 33 of the Charter to the Secretary-General, the Parties consented to settle their controversy by, inter alia, judicial means. If it finds that they did, the Court will have to determine whether this consent is subject to any conditions. As part of the interpretation of Article IV, paragraph 2, of the Geneva Agreement, the Court first examines the use of the term “controversy” in this provision. 

A. The “controversy” under the Geneva Agreement (paras. 64-66)

 For the purpose of identifying the “controversy” for the resolution of which the Geneva Agreement was concluded, the Court examines the use of this term in this instrument. 

 The Court notes, in particular, that in the conclusion and implementation of the Geneva Agreement, the parties have expressed divergent views as to the validity of the 1899 Award and the implications of this question for their frontier. Thus, Article I of the Geneva Agreement defines the mandate of the Mixed Commission as seeking satisfactory solutions for the practical settlement of “the controversy between Venezuela and the United Kingdom which has arisen as the result of the Venezuelan contention that the Arbitral Award of 1899 about the frontier between British Guiana and Venezuela is null and void”. That contention by Venezuela was consistently opposed by the United Kingdom in the period from 1962 until the adoption of the Geneva Agreement on 17 February 1966, and subsequently by Guyana after it became a party to the Geneva Agreement upon its independence, in accordance with Article VIII thereof. 

 It follows, in the view of the Court, that the object of the Geneva Agreement was to seek a solution to the frontier dispute between the parties that originated from their opposing views as to the validity of the 1899 Award. This is also indicated in the title of the Geneva Agreement, which is the “Agreement to Resolve the Controversy between Venezuela and the United Kingdom of Great Britain and Northern Ireland over the Frontier between Venezuela and British Guiana”, and from the wording of the last paragraph of its preamble. The same idea is implicit in Article V, paragraph 1, of the Geneva Agreement, which refers to the preservation of the parties’ respective rights and claims to such territorial sovereignty. 

 Following its analysis, the Court concludes that the “controversy” that the parties agreed to settle through the mechanism established under the Geneva Agreement concerns the question of the validity of the 1899 Award, as well as its legal implications for the boundary line between Guyana and Venezuela.

B. Whether the Parties gave their consent to the judicial settlement of the controversy  under Article IV, paragraph 2, of the Geneva Agreement (paras. 67-88)

 The Court notes that, unlike other provisions in treaties which refer directly to judicial settlement by the Court, Article IV, paragraph 2, of the Geneva Agreement refers to a decision by a third party with regard to the choice of the means of settlement. The Court therefore begins by ascertaining whether the Parties conferred on that third party, in this instance the Secretary-General, the authority to choose, by a decision which is binding on them, the means of settlement of their controversy.

1. Whether the decision of the Secretary-General has a binding character (paras. 68-78)

 To interpret the Geneva Agreement, the Court applies the rules on treaty interpretation to be found in Articles 31 and 32 of the Vienna Convention on the Law of Treaties. Although that convention is not in force between the Parties and is not, in any event, applicable to instruments concluded before it entered into force, such as the Geneva Agreement, the Court recalls that it is well established that these articles reflect rules of customary international law.

                        The first sentence of Article IV, paragraph 2, of the Geneva Agreement provides that the

Parties “shall refer the decision . . . to the Secretary-General”. The Court considers that this wording indicates that the Parties made a legal commitment to comply with the decision of the third party on whom they conferred such authority, in this instance the Secretary-General of the United Nations. It then notes that the object and purpose of the Geneva Agreement is to ensure a definitive resolution of the controversy between the Parties.

 In view of the foregoing, the Court considers that the Parties conferred on the Secretary-General the authority to choose, by a decision which is binding on them, the means to be used for the settlement of their controversy. This conclusion is also supported by the position of Venezuela set out in its Exposition of Motives for the Draft Law Ratifying the Protocol of Port of

Spain of 22 June 1970, which recognizes the possibility that “the determination of the means of dispute settlement, would have left the hands of the two directly interested Parties, to be decided by an international institution chosen by them, or failing that, by the Secretary-General of the United Nations”. It is further supported by the circumstances in which the Geneva Agreement was concluded. In this regard, the Court observes that, in his statement of 17 March 1966 before the National Congress on the occasion of the ratification of the Geneva Agreement, the Venezuelan Minister for Foreign Affairs, in describing the discussions that had taken place at the Geneva Conference, asserted that “[t]he only role entrusted to the Secretary-General of the United Nations [was] to indicate to the parties the means of peaceful settlement of disputes . . . provided in Article 33”. He went on to state that, having rejected the British proposal to entrust that role to the General Assembly of the United Nations, “Venezuela [had] then suggested giving this role to the Secretary-General”.

2. Whether the Parties consented to the choice by the Secretary-General of judicial settlement (paras. 79-88)

 The Court then turns to the interpretation of the last sentence of Article IV, paragraph 2, of the Geneva Agreement, which provides that the Secretary-General “shall choose another of the means stipulated in Article 33 of the Charter of the United Nations, and so on until the controversy has been resolved or until all the means of peaceful settlement there contemplated have been exhausted”.

 Given that Article IV, paragraph 2, of the Geneva Agreement refers to Article 33 of the Charter of the United Nations, which includes judicial settlement as a means of dispute resolution, the Court considers that the Parties accepted the possibility of the controversy being settled by that means. It is of the opinion that if they had wished to exclude such a possibility, the Parties could have done so during their negotiations. Equally, instead of referring to Article 33 of the Charter, they could have set out the means of settlement envisaged while omitting judicial settlement, which they did not do either.

 The Court notes that, according to the wording of Article IV, paragraph 2, of the Geneva Agreement, the Parties conferred on the Secretary-General the authority to choose among the means of dispute settlement provided for in Article 33 of the Charter “until the controversy has been resolved”. It observes that Article 33 of the Charter includes, on the one hand, political and diplomatic means, and, on the other, adjudicatory means such as arbitration or judicial settlement. The willingness of the Parties to resolve their controversy definitively is indicated by the fact that the means listed include arbitration and judicial settlement, which are by nature binding. The phrase “and so on until the controversy has been resolved” also suggests that the Parties conferred on the Secretary-General the authority to choose the most appropriate means for a definitive resolution of the controversy. The Court considers that the Secretary-General’s choice of a means that leads to the resolution of the controversy fulfils his responsibility under Article IV, paragraph 2, of the Geneva Agreement, in accordance with the object and purpose of that instrument. 

 In light of the above analysis, the Court concludes that the means of dispute settlement at the disposal of the Secretary-General, to which the Parties consented under Article IV, paragraph 2, of the Geneva Agreement, include judicial settlement.

 The Court then notes that this conclusion is not called into question by the phrase “or until all the means of peaceful settlement there contemplated have been exhausted” at paragraph 2 of that Article, which might suggest that the Parties had contemplated the possibility that the choice, by the Secretary-General, of the means provided for in Article 33 of the Charter, which include judicial settlement, would not lead to a resolution of the controversy. There are various reasons why a judicial decision, which has the force of res judicata and clarifies the rights and obligations of the parties, might not in fact lead to the final settlement of a dispute. It suffices for the Court to observe that, in this case, a judicial decision declaring the 1899 Award to be null and void without delimiting the boundary between the Parties might not lead to the definitive resolution of the controversy, which would be contrary to the object and purpose of the Geneva Agreement.

 In light of the above, the Court concludes that the Parties consented to the judicial settlement of their controversy.

C. Whether the consent given by the Parties to the judicial settlement of their controversy  under Article IV, paragraph 2, of the Geneva Agreement  is subject to any conditions (paras. 89-100)

 The Court observes that, in treaties by which parties consent to the judicial settlement of a dispute, it is not unusual for them to subject such consent to conditions which must be regarded as constituting the limits thereon. It must therefore ascertain whether the Parties’ consent to the means of judicial settlement, as expressed in Article IV, paragraph 2, of the Geneva Agreement, is subject to certain conditions. 

 Noting that the Parties do not dispute that the Secretary-General is required to establish that the means previously chosen have not “le[d] to a solution of the controversy” before “choos[ing] another of the means stipulated in Article 33 of the Charter of  the United Nations”, the Court interprets only the terms of the second sentence of this provision, which provides that, if the means chosen do not lead to a resolution of the controversy, “the Secretary-General . . . shall choose another of the means stipulated in Article 33 of the Charter of the United Nations, and so on until the controversy has been resolved or until all the means of peaceful settlement there contemplated have been exhausted” (emphasis added).

                     The Court       must determine    whether, under Article IV, paragraph 2,     of         the

Geneva Agreement, the Parties’ consent to the settlement of their controversy by judicial means is subject to the condition that the Secretary-General follow the order in which the means of settlement are listed in Article 33 of the United Nations Charter.

 The Court considers that the ordinary meaning of this provision indicates that the Secretary-General is called upon to choose any of the means listed in Article 33 of the Charter but is not required to follow a particular order in doing so.

 In the view of the Court, an interpretation of Article IV, paragraph 2, of the Geneva Agreement whereby the means of settlement should be applied successively, in the order in which they are listed in Article 33 of the Charter, could prove contradictory to the object and purpose of the Geneva Agreement for a number of reasons. First, the exhaustion of some means would render recourse to other means pointless. Moreover, such an interpretation would delay resolution of the controversy, since some means may be more effective than others in light of the circumstances surrounding the controversy between the Parties. In contrast, the flexibility and latitude afforded to the Secretary-General in the exercise of the decision-making authority conferred on him contribute to the aim of finding a practical, effective and definitive resolution of the controversy.

 The Court also recalls that the Charter of the United Nations does not require the exhaustion of diplomatic negotiations as a precondition for the decision to resort to judicial settlement. 

 The Court finally notes that it emerges from the Parties’ subsequent practice that they acknowledged that the Secretary-General was not required to follow the order in which the means of settlement are listed in Article 33 of the Charter but instead had the authority to give preference to one means over another.

 Regarding the question of consultation, the Court is of the view that nothing in Article IV, paragraph 2, of the Geneva Agreement requires the Secretary-General to consult with the Parties before choosing a means of settlement. It also observes that, although the successive Secretaries-General consulted with the Parties, it is clear from the various communications of the Secretaries-General that the sole aim of such consultation was to gather information from the Parties in order to choose the most appropriate means of settlement.

 The Court concludes that, having failed to reach an agreement, the Parties entrusted to the Secretary-General, pursuant to Article IV, paragraph 2, of the Geneva Agreement, the role of choosing any of the means of settlement set out in Article 33 of the Charter. In choosing the means of settlement, the Secretary-General is not required, under Article IV, paragraph 2, to follow a particular order or to consult with the Parties on that choice. Finally, the Parties also agreed to give effect to the decision of the Secretary-General.

IV. JURISDICTION OF THE COURT (PARAS. 102-115)

 As the Court has established, the Parties, by virtue of Article IV, paragraph 2, of the Geneva Agreement, accepted the possibility of the controversy being resolved by means of judicial settlement. The Court therefore examines whether, by choosing the International Court of Justice as the means of judicial settlement for the controversy between Guyana and Venezuela, the Secretary-General acted in accordance with that provision. If it finds that he did, the Court will have to determine the legal effect of the decision of the Secretary-General of 30 January 2018 on the jurisdiction of the Court under Article 36, paragraph 1, of its Statute.

A. The conformity of the decision of the Secretary-General of 30 January 2018 with

Article IV, paragraph 2, of the Geneva Agreement (paras. 103-109)

 Having recalled the content of the letters that the Secretary-General addressed on 30 January 2018 to the Presidents of Guyana and Venezuela in relation to the settlement of the controversy, the Court first notes that, in announcing that he had chosen the International Court of Justice as the next means of settlement to be used for the resolution of the controversy, the Secretary-General expressly relied upon Article IV, paragraph 2, of the Geneva Agreement. The Court further notes that, if the means of settlement previously chosen does not lead to a solution of the controversy, this provision calls upon the Secretary-General to choose another of the means of settlement provided for in Article 33 of the Charter of the United Nations, without requiring him to follow any particular sequence. 

             The Court is of the view that the means previously chosen by the Secretary-General

“d[id] not lead to a solution of the controversy” within the terms of Article IV, paragraph 2. By 2014, the Parties had already been engaged in the good offices process within the framework of the Geneva Agreement for over twenty years, under the supervision of three Personal Representatives appointed by successive Secretaries-General, in order to find a solution to the controversy. As a result, in his decision of 30 January 2018, the Secretary-General stated that, no significant progress having been made towards arriving at a full agreement for the solution of the controversy in the good offices process, he had “chosen the International Court of Justice as the means that is now to be used for its solution”, thereby fulfilling his responsibility to choose another means of settlement among those set out in Article 33 of the Charter of the United Nations.

 Neither Article IV, paragraph 2, of the Geneva Agreement nor Article 33 of the Charter of the United Nations expressly mentions the International Court of Justice. However, the Court, being the “principal judicial organ of the United Nations” (Article 92 of the Charter), constitutes a means of “judicial settlement” within the meaning of Article 33 of the Charter. The Secretary-General could therefore choose the Court, on the basis of Article IV, paragraph 2, of the Geneva Agreement, as the judicial means of settlement of the controversy between the Parties. 

 The Court notes that, moreover, the circumstances surrounding the conclusion of the Geneva Agreement, which include ministerial statements and parliamentary debates, indicate that recourse to the International Court of Justice was contemplated by the parties during their negotiations. 

 In light of the foregoing, the Court is of the view that, by concluding the Geneva Agreement, both Parties accepted the possibility that, under Article IV, paragraph 2, of that instrument, the Secretary-General could choose judicial settlement by the International Court of Justice as one of the means listed in Article 33 of the Charter of the United Nations for the resolution of the controversy. The decision of the Secretary-General of 30 January 2018 was therefore taken in conformity with the terms of Article IV, paragraph 2, of the Geneva Agreement.

 The Court observes that the fact that the Secretary-General invited Guyana and Venezuela, if they so wished, “to attempt to resolve the controversy through direct negotiations, in parallel to a judicial process”, and his offer of good offices to that end, do not affect the conformity of the decision with Article IV, paragraph 2, of the Geneva Agreement. The Court has already explained in the past that parallel attempts at settlement of a dispute by diplomatic means do not prevent it from being dealt with by the Court. In the present case, the Secretary-General simply reminded the Parties that negotiations were a means of settlement that remained available to them while the dispute was pending before the Court.

B. The legal effect of the decision of the Secretary-General of

30 January 2018 (paras. 110-115)

 The Court then turns to the legal effect of the decision of the Secretary-General on its jurisdiction under Article 36, paragraph 1, of its Statute, which provides that “[t]he jurisdiction of the Court comprises all cases which the parties refer to it and all matters specially provided for in the Charter of the United Nations or in treaties and conventions in force”.

 The Court recalls that “its jurisdiction is based on the consent of the parties and is confined to the extent accepted by them”.

 Both this Court and its predecessor have previously observed in a number of cases that the parties are not bound to express their consent to the Court’s jurisdiction in any particular form. Consequently, there is nothing in the Court’s Statute to prevent the Parties from expressing their consent through the mechanism established under Article IV, paragraph 2, of the Geneva Agreement.

 The Court recalls that it must however satisfy itself that there is an unequivocal indication of the desire of the parties to a dispute to accept the jurisdiction of the Court in a voluntary and indisputable manner.

 The Court explains that Venezuela has argued that the Geneva Agreement is not sufficient in itself to found the jurisdiction of the Court and that the subsequent consent of the Parties is required even after the decision of the Secretary-General to choose the International Court of Justice as the means of judicial settlement. However, the decision taken by the Secretary-General in accordance with the authority conferred upon him under Article IV, paragraph 2, of the Geneva Agreement would not be effective if it were subject to the further consent of the Parties for its implementation. Moreover, an interpretation of Article IV, paragraph 2, that would subject the implementation of the decision of the Secretary-General to further consent by the Parties would be contrary to this provision and to the object and purpose of the Geneva Agreement, which is to ensure a definitive resolution of the controversy, since it would give either Party the power to delay indefinitely the resolution of the controversy by withholding such consent.

 For all these reasons, the Court concludes that, by conferring on the Secretary-General the authority to choose the appropriate means of settlement of their controversy, including the possibility of recourse to judicial settlement by the International Court of Justice, Guyana and Venezuela consented to its jurisdiction. The text, the object and purpose of the Geneva Agreement, as well as the circumstances surrounding its conclusion, support this finding. It follows that the consent of the Parties to the jurisdiction of the Court is established in the circumstances of this case.

V. SEISIN OF THE COURT (PARAS. 116-121)

             The Court next turns to the question whether it has been validly seised by Guyana. 

 In this regard, it recalls that its seisin is “a procedural step independent of the basis of jurisdiction invoked and, as such, is governed by the Statute and the Rules of Court”. Thus, for the Court to be able to entertain a case, the relevant basis of jurisdiction needs to be supplemented by the necessary act of seisin.

 In the present case, the Court is of the view that an agreement of the Parties to seise the Court jointly would only be necessary if they had not already consented to its jurisdiction. However, having concluded above that the consent of the Parties to the jurisdiction of the Court is established in the circumstances of this case, either Party could institute proceedings by way of a unilateral application under Article 40 of the Statute of the Court.

 In light of the foregoing, the Court concludes that it has been validly seised of the dispute between the Parties by way of the Application of Guyana. 

VI. SCOPE OF THE JURISDICTION OF THE COURT (PARAS. 122-137)

 Having concluded that it has jurisdiction to entertain Guyana’s Application and that it is validly seised of this case, the Court ascertains whether all the claims advanced by Guyana fall within the scope of its jurisdiction.

 The Court notes that, in its Application, Guyana has made certain claims concerning the validity of the 1899 Award and other claims arising from events that occurred after the conclusion of the Geneva Agreement. Consequently, the Court first ascertains whether Guyana’s claims in relation to the validity of the 1899 Award about the frontier between British Guiana and Venezuela fall within the subject-matter of the controversy that the Parties agreed to settle through the mechanism set out in Articles I to IV of the Geneva Agreement, and whether, as a consequence, the Court has jurisdiction ratione materiae to entertain them. Secondly, it will have to determine whether Guyana’s claims arising from events that occurred after the conclusion of the Geneva Agreement fall within the scope of the Court’s jurisdiction ratione temporis.

 With regard to its jurisdiction ratione materiae, the Court recalls that Article I of the Geneva Agreement refers to the controversy that has arisen between the parties to the Geneva Agreement as a result of Venezuela’s contention that the 1899 Award about the frontier between British Guiana and Venezuela is null and void. As stated above, the subject-matter of the controversy which the parties agreed to settle under the Geneva Agreement relates to the validity of the 1899 Award and its implications for the land boundary between Guyana and Venezuela. The opposing views held by the parties to the Geneva Agreement on the validity of the 1899 Award is demonstrated by the use of the words “Venezuelan contention” in Article I of the Geneva Agreement. The word “contention”, in accordance with the ordinary meaning to be given to it in the context of this provision, indicates that the alleged nullity of the 1899 Award was a point of disagreement between the parties to the Geneva Agreement for which solutions were to be sought. This in no way implies that the United Kingdom or Guyana accepted that contention before or after the conclusion of the Geneva Agreement. The Court therefore considers that, contrary to Venezuela’s argument, the use of the word “contention” points to the opposing views between the parties to the Geneva Agreement regarding the validity of the 1899 Award.

 This interpretation is consistent with the object and purpose of the Geneva Agreement, which was to ensure a definitive resolution of the dispute between Venezuela and the United Kingdom over the frontier between Venezuela and British Guiana, as indicated by its title and preamble. Indeed, it would not be possible to resolve definitively the boundary dispute between the Parties without first deciding on the validity of the 1899 Award about the frontier between British Guiana and Venezuela. 

 The Court considers that this interpretation is also confirmed by the circumstances surrounding the conclusion of the Geneva Agreement, and by the statement of the Minister for Foreign Affairs of Venezuela before the Venezuelan National Congress shortly after the conclusion of that Agreement. He stated in particular that “[i]f the nullity of the Award of 1899, be it through agreement between the concerned Parties or through a decision by any competent international authority as per Agreement, is declared then the question will go back to its original state”. 

 The Court therefore concludes that Guyana’s claims concerning the validity of the 1899 Award about the frontier between British Guiana and Venezuela and the related question of the definitive settlement of the land boundary dispute between Guyana and Venezuela fall within the subject-matter of the controversy that the Parties agreed to settle through the mechanism set out in Articles I to IV of the Geneva Agreement, in particular Article IV, paragraph 2, thereof, and that, as a consequence, the Court has jurisdiction ratione materiae to entertain these claims.

 With respect to its jurisdiction ratione temporis, the Court notes that the scope of the dispute that the Parties agreed to settle through the mechanism set out in Articles I to IV of the Geneva Agreement is circumscribed by Article I thereof, which refers to “the controversy . . . which has arisen as the result of the Venezuelan contention that the Arbitral Award of 1899 . . . is null and void”. The use of the present perfect tense in Article I indicates that the parties understood the controversy to mean the dispute which had crystallized between them at the time of the conclusion of the Geneva Agreement. This interpretation is not contradicted by the equally authoritative Spanish text. It is reinforced by the use of the definite article in the title of the Agreement (“Agreement to resolve the controversy”; in Spanish, “Acuerdo para resolver la controversia”), the reference in the preamble to the resolution of “any outstanding controversy” (in Spanish, “cualquiera controversia pendiente”), as well as the reference to the Agreement being reached “to resolve the present controversy” (in Spanish, “para resolver la presente controversia”) (emphases added). The Court’s jurisdiction is therefore limited ratione temporis to the claims of either Party that existed on the date the Geneva Agreement was signed, on 17 February 1966. Consequently, Guyana’s claims arising from events that occurred after the signature of the Geneva Agreement do not fall within the scope of the jurisdiction of the Court ratione temporis. 

 In light of the foregoing, the Court concludes that it has jurisdiction to entertain Guyana’s claims concerning the validity of the 1899 Award about the frontier between British Guiana and Venezuela and the related question of the definitive settlement of the land boundary dispute between the territories of the Parties.

VII. OPERATIVE CLAUSE (PARA. 138)

                       For these reasons,

                 THE COURT,

(1)  By twelve votes to four,

 Finds that it has jurisdiction to entertain the Application filed by the Co-operative Republic of Guyana on 29 March 2018 in so far as it concerns the validity of the Arbitral Award of 3 October 1899 and the related question of the definitive settlement of the land boundary dispute between the Co-operative Republic of Guyana and the Bolivarian Republic of Venezuela;

                                     IN FAVOUR: President Yusuf;                 Vice-President Xue;                          Judges Tomka,          Cançado Trindade,

                     Donoghue,                    Sebutinde,                     Bhandari,                    Robinson,                     Crawford,                          Salam,                      Iwasawa;

Judge ad hoc Charlesworth;

AGAINST: Judges Abraham, Bennouna, Gaja, Gevorgian;

(2)  Unanimously, 

 Finds that it does not have jurisdiction to entertain the claims of the Co-operative Republic of Guyana arising from events that occurred after the signature of the Geneva Agreement. 

*

 Judge TOMKA appends a declaration to the Judgment of the Court; Judges ABRAHAM and BENNOUNA append dissenting opinions to the Judgment of the Court; Judges GAJA and ROBINSON append declarations to the Judgment of the Court; Judge GEVORGIAN appends a dissenting opinion to the Judgment of the Court.

___________

 

 


Annex to Summary 2020/5

Declaration of Judge Tomka

 Having voted in favour of the conclusions reached by the Court, Judge Tomka wishes to offer some remarks on this case which is rather unusual. Although the 1966 Geneva Agreement, and in particular Article IV, paragraph 2, thereof, do not fit the usual moulds of special agreements or compromissory clauses providing for dispute resolution by the Court, the fact remains that the Geneva Agreement provides for a set of procedures and mechanisms aiming at the resolution of the dispute opposing Guyana and Venezuela.

 In the opinion of Judge Tomka, the Parties consented to the jurisdiction of the International Court of Justice by concluding the Geneva Agreement, should the Secretary-General choose it as a means of settlement. The Court’s jurisdiction ratione materiae, being based on that Agreement, encompasses the controversy over the frontier, including the issue of the validity of the 1899 Arbitral Award.

 By upholding its jurisdiction, the Court provides an opportunity for the Respondent to substantiate its contention that the 1899 Arbitral Award is null and void. The issue of the validity of the 1899 Arbitral Award is a legal question par excellence and no organ other than a judicial one is more appropriate to determine it. In the view of Judge Tomka, the Secretary-General of the United Nations made a sound decision when he chose the Court as a means of settlement of the dispute opposing Guyana and Venezuela.

 It is important for the Parties to understand that, should the 1899 Arbitral Award be declared null and void by the Court, it will be in need of further submissions about the course of the land boundary, in the form of evidence and arguments, in order for it to fully resolve the dispute opposing them.

Dissenting opinion of Judge Abraham

 Judge Abraham considers that there is no title of jurisdiction allowing the Court to entertain the dispute between Venezuela and Guyana upon the unilateral application of the latter. In his view, the majority is correct in holding that the Secretary-General had the authority to choose the International Court of Justice as the next means of settlement within the meaning of Article IV, paragraph 2, of the Geneva Agreement, and indeed that he was not obliged to follow any particular order in his choice of successive means. Nor is there any doubt, according to Judge Abraham, that the Secretary-General’s choice is not a mere recommendation without binding effect, but that it creates certain obligations for the parties to the Agreement.

 Judge Abraham believes, however, that these elements do not permit the finding that there is, in this instance, “an unequivocal indication of the desire of the parties to a dispute to accept the jurisdiction of the Court in a voluntary and indisputable manner”. He disagrees in particular with the majority’s understanding of the object and purpose of the Agreement. To his mind, Article IV, paragraph 2, does indeed express the parties’ acceptance of the idea that their dispute may ultimately be resolved by means of judicial settlement; but it does not establish a binding mechanism aimed at ensuring that such a resolution will be obtained, by negotiation if possible, or by judicial means if necessary. On the contrary, it is clear from several provisions of the Agreement that the parties accepted the possibility that its implementation would not necessarily result in the settlement of their dispute. That is true of Article IV, paragraph 2, according to which the Secretary-General must choose means of settlement one after another, “and so on until the controversy has been resolved or until all the means of peaceful settlement there contemplated have been exhausted”. In concluding the Agreement, the parties therefore did not intend to give their consent in advance to judicial settlement. In the absence of such consent, the Court should have declined jurisdiction.

Dissenting opinion of Judge Bennouna

 In the case brought by Guyana against Venezuela concerning a dispute on the validity of the Arbitral Award of 3 October 1899, the Court declared itself competent to entertain Guyana’s Application on the basis of Article IV, paragraph 2, of the Geneva Agreement of 17 February 1966. According to Judge Bennouna, this provision cannot establish the jurisdiction of the Court, since the Parties have not clearly and unequivocally consented to the settlement of their dispute by the Court. Rather, it is a provision on the choice of means. Under this provision, the Parties vested in the Secretary-General the power to choose one of the means for the settlement of their dispute, from among those provided for in Article 33 of the Charter of the United Nations, “until the controversy has been resolved or until all the means of peaceful settlement there contemplated have been exhausted”. Judge Bennouna is of the opinion that the Court’s interpretation favoured the object and purpose of the Agreement, namely that of reaching a final settlement of the dispute, over the ordinary meaning of the second alternative of this provision, depriving the latter of its effet utile. In so doing, the Court concluded that the Secretary-General could consent in lieu of the Parties to the jurisdiction of the Court. This is a delegation without precedent in international practice and one that would not be subject to any temporal limitation. The Secretary-General himself was not persuaded by the authority conferred on him by the Parties, as is clear from his letter to them of 30 January 2018, in which he identified the Court as the next means of settlement, while offering his good offices as a complementary procedure which “could contribute to the use of the selected means of peaceful settlement”. Also in the context of its teleological interpretation of the Geneva Agreement, the Court concluded that it had jurisdiction not only over the dispute concerning the validity of the Arbitral Award of 3 October 1899, but also over another quite distinct dispute, namely that concerning the delimitation of the land boundary between the two States. Judge Bennouna does not share this conclusion which, in his view, ignores the ordinary meaning of the terms contained in the Geneva Agreement, in so far as the only dispute envisaged by that instrument concerns the validity of the Arbitral Award of 3 October 1899.

Declaration of Judge Gaja

 Judge Gaja concurs with the view of the majority that the Parties are bound to submit their dispute to the Court in pursuance of Article IV, paragraph 2, of the 1966 Geneva Agreement and of the Secretary-General’s choice of judicial settlement as the means to be used. However, according to Judge Gaja, the Secretary-General’s decision is not sufficient to confer jurisdiction on the Court. Article IV, paragraph 2, empowers the Secretary-General to select any of the means of settlement referred to in Article 33 of the United Nations Charter, but leaves the implementation of this decision to the Parties. The inclusion of judicial settlement among the means of settling the dispute under the Geneva Agreement cannot be construed as implying the Parties’ consent to the Court’s jurisdiction.

Declaration of Judge Robinson

1.      In his declaration, Judge Robinson states that he is in agreement with the finding in the dispositif of the Judgment but wished to make some brief comments on the case. 

2.      According to Judge Robinson, in the Geneva Agreement, sequence and stages are everything. He states that the sequence follows a path along the stages of various means of settlement and that, in this process, the failure of a particular means of settlement to resolve the controversy sets the stage for the employment of another means of settlement for the same purpose. For Judge Robinson, in the circumstances of this case, this approach leads to two results. First, in the final stage, the means of settlement selected is such that it will resolve the controversy. Second, by the time the final stage of Article IV (2) has been reached, the Parties have consented to accept the means of settlement selected by the Secretary-General, that is, the International Court of Justice, thereby consenting to the jurisdiction of the Court over the controversy. 

3.      According to Judge Robinson, this result has a special significance since the Geneva Agreement does not have the usual compromissory clause in a treaty empowering a party to submit to the Court, a dispute concerning its interpretation or application. He states that a compromissory clause reflects the consent of the parties to a treaty to the jurisdiction of the Court. However, Judge Robinson notes that it is settled that consent to the jurisdiction of the Court does not have to be expressed in a particular form. Consequently, he concludes that, in the instant case, the Court has to satisfy itself that on the basis of the Geneva Agreement and any other relevant material that the Parties have consented to its jurisdiction. Judge Robinson states that Article I of the Geneva Agreement provides for the establishment of a Mixed Commission to find a solution for the practical settlement of the controversy between the two countries arising from Venezuela’s argument that the Award of 1899 was null and void. He also refers to Article II which sets out the procedure for the establishment of the Mixed Commission and Article III which provides that the Commission was to submit reports at six-month intervals over a period of four years. 

4.      Judge Robinson cites Article IV (I) which provides that, if within a period of four years the Mixed Commission had not arrived at “a full agreement for the solution of the controversy”, it was to refer any outstanding questions to the two countries, which were obliged to choose one of the means of settlement in Article 33 of the Charter of the United Nations. 

5.      According to Judge Robinson, the important paragraph 2 may be divided into two stages. In accordance with the first stage, failing agreement between the Parties within three months of receiving the final report on the choice of one of the means of settlement in Article 33, the Parties were obliged to “refer the decision as to the means of settlement to an appropriate international organ upon which they both agree or, failing agreement on this point, the means to the Secretary-General of the United Nations”. He observes that significantly, in the circumstances of this case, what has been referred to the Secretary-General is not simply the decision as to the means of settlement but rather, the decision as to the choice of the means of settlement. He states that since the Parties failed to agree on referring the decision as to the means of settlement to an appropriate international organ, that decision was referred to the Secretary-General. He notes that, in the ordinary meaning of the word “decide”, to decide a matter is to bring that matter to a definitive resolution and that consequently, the effect of the referral of the decision as to the means of settlement to the Secretary-General is to confer on him the power to bring to a definitive resolution the question of the means of settlement. For Judge Robinson, implicit in the word “decision” is the notion of an outcome that is binding, and not merely recommendatory. 

6.      Judge Robinson comments that in the second stage of the process, paragraph 2 stipulates that, in the event that the means chosen by the Secretary-General does not lead to a solution of the controversy, he was obliged to “choose another of the means stipulated in Article 33 of the Charter of the United Nations, and so on until the controversy has been resolved or until all the means of peaceful settlement there contemplated have been exhausted”. He notes that the means of good offices was employed by four Secretaries-General over a period of 27 years, without producing a solution to the controversy. Consequent on that failure, the Secretary-General, acting on the authority vested in him by the Parties, stated on 30 January 2018 that in light of the lack of progress in resolving the controversy, he had “chosen the International Court of Justice as the means to be used for the solution of the controversy”. Judge Robinson makes four points in this regard. 

7.      The first point is that, Articles I, II, III and IV establish a sequence in the use of various means for the settlement of the controversy. Following the failure of the various means of settlement in Articles I, II, III and the first stage of Article IV (2), Judge Robinson observes that we are left, in the second stage of Article IV (2), with a Secretary-General on whom the Parties have conferred the power to make a binding decision as to the means of settlement. 

8.      The second point is that, by agreeing in the first stage of Article IV (2) to refer the decision as to the means of settlement to the Secretary-General, the Parties not only empower and require the Secretary-General to make a decision on the choice of the means of the settlement, but also express their agreement with the choice made by the Secretary-General, and thereby confer, on the particular means selected by him: the International Court of Justice, jurisdiction over the controversy. Consequently, Judge Robinson concludes that the Court’s jurisdiction is therefore established pursuant to Article 36 (1) of the Statute which provides for its jurisdiction on the basis of “treaties”, the Geneva Agreement being the relevant treaty. Thus, according to Judge Robinson, the Court has satisfied the requirement under Article 53 (2) of the Statute of ensuring that it has jurisdiction in a case where a party does not appear. 

9.      The third point made by Judge Robinson is that a proper reading of Article IV (2), and indeed Article IV as a whole, does not yield the conclusion that the agreement of both Parties is needed for the institution of proceedings before the Court. He states that this is so because, when in the first stage of Article IV (2) the Parties refer the decision as to the means of settlement to the Secretary-General, they are agreeing that the decision of the Secretary-General is binding on both of them; consequently, it is a decision on the basis of which either of them can unilaterally institute proceedings before the Court. Judge Robinson observes that reading Article IV (2) as requiring the other Party to agree to the institution of proceedings would run counter to the object and purpose of the Agreement to find a solution for the controversy, since it is very likely that the other Party would not agree to such a course. 

10.   Judge Robinson therefore concludes that, once the Secretary-General had identified the International Court of Justice as the means of settlement, it was perfectly proper for either Guyana or Venezuela to file an application before the Court in accordance with Article 40 (1) of the Statute. In this case it was Guyana that filed an application. 

11.   The fourth point made by Judge Robinson is that there is nothing in the second stage of Article IV (2) that obliges the Secretary-General to exhaust some or all of the non-judicial means of settlement in Article 33 before he is entitled to choose judicial settlement by the Court for the resolution of the controversy. Judge Robinson observes that consequent on the failure of good offices to provide a solution, the Secretary-General was entitled and required to choose any other of the means in Article 33 in his search for a solution to the controversy. He notes that it is logical and understandable that, following the failure of good offices, used over a period of 27 years, the Secretary-General would choose a means of settlement that would produce a result that was binding on the Parties. He comments that, in choosing the International Court of Justice, the Secretary-General settled on a means of settlement, the result of which would be binding on the Parties. This choice is consistent with the intention of the Parties in adopting the Geneva Agreement to provide for a dispute settlement procedure that would lead to a final and complete resolution of the controversy. 

12.   According to Judge Robinson, the real issue for the Court is whether, in choosing the

International Court of Justice as a form of judicial settlement under Article 33 of the Charter, the

Secretary-General acted within the scope of his powers under Article IV (2) of the Geneva Agreement. For example, was he obliged to choose a means of settlement other than judicial settlement, or was he obliged to choose a means of settlement in a particular order, and it was not the turn of judicial settlement to be chosen? According to Judge Robinson, the answer is no. The Secretary-General was empowered to “choose another of the means” of settlement in Article 33 of the Charter. He was left with the choice of any other means of settlement from the suite of means set out in Article 33. The second stage of Article IV (2) obliges the Secretary-General to “choose another of the means stipulated in Article 33 of the Charter of the United Nations, and so on until the controversy has been resolved or until all the means of peaceful settlement there contemplated have been exhausted”. Judge Robinson observes that it has been argued that the Secretary-General may have recourse to all the means of settlement set out in Article 33 without the dispute being resolved. That argument is fallacious because the means of settlement included two that were capable of definitively resolving the dispute, namely arbitration and judicial settlement. Therefore, once the Secretary-General chose the International Court of Justice, there was no need for him to have recourse to any of the other means set out in Article 33, because the International Court of Justice as a judicial body would settle the dispute by arriving at a decision that would be binding on the Parties. Judge Robinson concludes that, intriguing though the questions raised by that argument might be, the phrase “or until all the means of peaceful settlement there contemplated have been exhausted”, having been rendered inoperative, has no practical consequences in the circumstances of this case. 

13.   In light of the foregoing, Judge Robinson respectfully disagrees with the inclusion of paragraph 86 in the Judgment. In his view, the cautionary note sounded by the paragraph is not warranted in the circumstances of this case. 

Dissenting opinion of Judge Gevorgian

 Judge Gevorgian disagrees with the Court’s conclusion that it has jurisdiction to entertain Guyana’s claims. 

 In his view, the Court’s Judgment undermines the fundamental principle of consent of the parties to the Court’s jurisdiction. The Court has made the unprecedented decision to exercise jurisdiction on the basis of a treaty that does not even mention the Court and contains no clause referring disputes to it. This is especially problematic as one of the Parties has consistently refused to submit the present dispute to the Court, and the dispute concerns national interests of the highest order, such as territorial sovereignty.

 In particular, Judge Gevorgian considers that Article IV (2) of the Geneva Agreement does not empower the Secretary-General of the United Nations to issue a legally binding decision as to the means of settlement to be employed by the Parties. The contrary conclusion reached by the Court is not supported by the text of the Geneva Agreement or by the Agreement’s object and purpose. 

 In Judge Gevorgian’s view, the object and purpose of the Geneva Agreement is to help the Parties reach an agreed settlement to their dispute. As such, the Secretary-General has a non-binding role similar to that of a conciliator or mediator, entrusted with facilitating the Parties’ attempts to reach an agreed solution, but not empowered to impose a means of settlement on them. 

 Finally, Judge Gevorgian considers that the Court gives inadequate attention to Venezuela’s current and historical position regarding third-party dispute settlement, including the fact that Venezuela had, on several occasions prior to 1966, manifested its unwillingness to have issues related to its territory decided by third parties without its clear consent.

___________

 

viernes, 11 de diciembre de 2020

Resolución N° : 2020-0029 Fecha: Miércoles, 09 Diciembre de 2020. Resolución mediante el cual se crean los Lineamientos para la Práctica de las Notificaciones Electrónicas.

 Caracas, 9 de diciembre de 2020

210° y 161

RESOLUCIÓN Nº 2020-0029

De conformidad con lo establecido en los artículos 267 y 269 de la Constitución de la República Bolivariana de Venezuela, corresponde al Tribunal Supremo de Justicia, la dirección, el gobierno y la administración del Poder Judicial.

CONSIDERANDO

Que la Constitución de la República Bolivariana de Venezuela en sus artículos 2, 26 y 257 disponen el acceso a los órganos de administración de justicia como derecho que garantiza la tutela judicial efectiva, con la omisión de las formalidades no esenciales al proceso, así como, el derecho que tiene toda persona a obtener con prontitud, la decisión correspondiente, siendo deber del Estado garantizar que la justicia se administre de forma expedita y sin dilaciones indebidas.

CONSIDERANDO

Que el artículo 110 de la Constitución de la República Bolivariana de Venezuela, prevé "El Estado reconocerá el interés público de la ciencia, la tecnología, el conocimiento, la innovación y sus aplicaciones y los servicios de información necesarios por ser instrumentos fundamentales para el desarrollo económico, social y político del país, así como para la seguridad y soberanía nacional."; de donde resalta el deber del Poder Público, y concretamente de los órganos jurisdiccionales, de valerse de los avances tecnológicos para su optimización.

CONSIDERANDO

Que la Ley de Infogobierno publicada en la Gaceta Oficial de la República Bolivariana de Venezuela N° 40.274 del 17 de octubre de 2013, establece los principios, bases y lineamientos que rigen el uso de las tecnologías de información,  con el objeto de mejorar la gestión pública y los servicios que se prestan, impulsando la transparencia del sector público, la participación y el ejercicio pleno del derecho de soberanía, así como, la promoción del desarrollo de las tecnologías de información libres en el Estado, a fin de garantizar la independencia tecnológica; la apropiación social del conocimiento, así como la seguridad y defensa de la Nación.

CONSIDERANDO

Que es deber de este alto Tribunal de la República Bolivariana de Venezuela, garantizar la administración de justicia en forma célere y próxima a las usuarias y a los usuarios.

CONSIDERANDO

Que mediante distintas Resoluciones y de forma gradual, se han creado los Circuitos Judiciales de Protección de Niños, Niñas y Adolescentes en todo el país, compuestos por Tribunales de Mediación, Sustanciación y Ejecución, Tribunales de Juicio, y Tribunales Superiores de Protección de Niños, Niñas y Adolescentes, con competencias para tramitar, decidir y ejecutar las sentencias conforme a la Ley Orgánica para la Protección de Niños, Niñas y Adolescentes.

CONSIDERANDO

Que para la fecha, en todo el país existe un elevado ingreso diario de asuntos jurisdiccionales en materia de protección de niños, niñas y adolescentes, generando que cada día aumente de manera considerable el volumen de trabajo en los Circuitos Judiciales de Protección de Niños, Niñas y Adolescentes, existentes en cada Estado de nuestro país.

CONSIDERANDO

Que la reforma de la Ley Orgánica para la Protección de Niños, Niñas y Adolescentes, opta por la notificación eliminando la citación prevista en Ley Orgánica para la Protección del Niño y del Adolescente de 1998, con el objeto de hacer más sencillo y expedito el proceso e impedir las estrategias dilatorias dirigidas a dificultar y obstaculizar la notificación y con ello, el desarrollo del proceso.

CONSIDERANDO

Que la Ley Orgánica para la Protección de Niños, Niñas y Adolescentes, de conformidad con el artículo 459, prevé la práctica de la notificación por los medios electrónicos de los cuales dispongan los Circuitos Judiciales y Tribunales de Protección de Niños, Niñas y Adolescentes a Nivel Nacional.

CONSIDERANDO

Que en el artículo 4 de la Ley sobre Mensajes de Datos y Firmas Electrónicas, otorga a la información contenida en un mensaje de datos, reproducida en formato impreso, la misma eficacia probatoria atribuida en la Ley a las copias o reproducciones fotostáticas.

CONSIDERANDO

Que en esta situación mundial de pandemia, Venezuela implementó en la práctica un modelo de gestión digital, recibiendo demandas y solicitudes virtuales, con notificaciones electrónicas, audiencias virtuales a través de video conferencias, teniendo resultados efectivos y eficaces, demostrando así, que los medios electrónicos son pertinentes, competentes y confiables, para la consecución de nuevas prácticas en los procesos jurisdiccionales.

RESUELVE

LINEAMIENTOS PARA LA PRÁCTICA DE LAS NOTIFICACIONES ELECTRÓNICAS

Dictar las normas que regularán la práctica de la notificación electrónica, a través de correo electrónico o cualesquiera otros medios de las Tecnologías de la Información y la Comunicación, por los Circuitos Judiciales y Tribunales de Protección de Niños, Niñas y Adolescentes a Nivel Nacional.

Articulo 1° Los Jueces y Juezas de los Tribunales de Mediación, Sustanciación y Ejecución, Tribunales de Juicio, y Tribunales Superiores de Protección de Niños, Niñas y Adolescentes, acordarán la notificación electrónica, por correo electrónico o cualquier otro medio de las Tecnologías de la Información y la Comunicación, una vez conste en las actas del expediente que las partes cuentan con los medios telemáticos suficientes a los fines de llevar a cabo dicha actuación procesal, de conformidad con lo previsto en el artículo 456, literal “e” de la Ley Orgánica para la Protección de Niños, Niñas y Adolescentes.

Articulo 2° Los Jueces y Juezas de los Tribunales de Mediación, Sustanciación y Ejecución, Tribunales de Juicio, y Tribunales Superiores, deberán remitir a la Unidad de Actos de Comunicación copia de las actuaciones necesarias para la práctica de la notificación electrónica y la dirección electrónica procesal (correo electrónico o cualquier otro medio de las Tecnologías de la Información y la Comunicación) de la persona a quien se practicará la notificación electrónica.

Articulo 3° La Unidad de Actos de Comunicación, una vez realizada la notificación electrónica a través del correo electrónico institucional o cualquier otro medio de las Tecnologías de la Información y la Comunicación, escaneará, imprimirá o realizará un soporte por medio de procedimientos digitales para dejar constancia de que se materializó la notificación electrónica (no solo que se envió el correo contentivo de la notificación, sino que el receptor la recibió, tuvo acceso a la lectura del documento).

Articulo 4° La Unidad de Actos de Comunicación, remitirá al Tribunal que conoce la causa el soporte respectivo de haberse materializado la notificación electrónica para que sea agregada al expediente.

Articulo 5° Una vez recibida la actuación por parte de la Unidad de Actos de Comunicación, el Tribunal certificará por secretaría la práctica de la notificación, dejando constancia de que las partes se encuentran debidamente notificadas.

Articulo 6° Corresponde a la Coordinación Nacional de la Jurisdicción de Protección de Niños, Niñas y Adolescentes velar por la correcta ejecución e implementación de la presente Resolución.

Artículo 7° Esta Resolución entrará en vigencia a partir de su aprobación en Sala Plena. Se ordena la publicación de esta Resolución en la Gaceta Oficial de la República Bolivariana de Venezuela, Gaceta Judicial y en el portal electrónico del Tribunal Supremo de Justicia.

            Comuníquese y publíquese.

Dada, firmada y sellada en el Salón de Sesiones del Tribunal Supremo de Justicia, a los (9) días del mes de diciembre de dos mil veinte (2020). Años: 210º de la Independencia y 161º de la Federación.

EL PRESIDENTE,

 MAIKEL JOSÉ MORENO PÉREZ

PRIMER  VICEPRESIDENTE,                                    SEGUNDA VICEPRESIDENTA,

JUAN JOSÉ MENDOZA JOVER                          MARÍA CAROLINA AMELIACH VILLARROEL

 Los  Directores y la Directora,

YVÁN DARÍO BASTARDO FLORES                        MARJORIE CALDERÓN GUERRERO

 MALAQUIAS GIL RODRÍGUEZ

Los Magistrados y las Magistradas,

 ARCADIO DELGADO ROSALES                   MARCO ANTONIO MEDINA SALAS

FRANCISCO RAMÓN VELÁZQUEZ  ESTÉVEZ            ELSA JANETH GÓMEZ MORENO

JESÚS MANUEL JIMÉNEZ ALFONZO               CARMEN ZULETA DE MERCHÁN

JHANNETT MARÍA MADRIZ SOTILLO        MÓNICA MISTICCHIO TORTORELLA

BÁRBARA GABRIELA CÉSAR  SIERO          INOCENCIO ANTONIO  FIGUEROA  ARIZALETA

GUILLERMO  BLANCO VÁZQUEZ                       MARISELA  VALENTINA  GODOY  ESTABA

FRANCIA COELLO GONZÁLEZ                              EDGAR  GAVIDIA RODRÍGUEZ

DANILO ANTONIO MOJICA MONSALVO            CALIXTO ANTONIO  ORTEGA  RÍOS

LUIS  FERNANDO  DAMIANI  BUSTILLOS              LOURDES  BENICIA SUÁREZ  ANDERSON

EULALIA COROMOTO GUERRERO RIVERO    FANNY B. MÁRQUEZ CORDERO

VILMA MARÍA FERNÁNDEZ GONZÁLEZ            JUAN LUIS  IBARRA VERENZUELA

YANINA BEATRIZ  KARABÍN  DE DÍAZ                   GRISEL LÓPEZ QUINTERO

RENÉ ALBERTO DEGRAVES ALMARZA               CARMEN ENEIDA ÁLVES NAVAS

El Secretario,

JOHN ENRIQUE PARODY GALLARDO

_______

http://historico.tsj.gob.ve/informacion/resoluciones/sp/resolucionSP_0003790.html

Resolución N°: 2020-0028. Fecha: Miércoles, 09 Diciembre de 2020. Resolución mediante el cual se regula el Uso de la Videoconferencia y demás Soportes Tecnológicos y Telemáticos en los Procesos llevados en la Jurisdicción de Protección de Niños, Niñas y Adolescentes

 Caracas, 9 de diciembre de 2020

210° y 161

RESOLUCIÓN Nº 2020-0028

El Tribunal Supremo de Justicia en ejercicio de las atribuciones que le confiere el artículo 267 de la Constitución de la República Bolivariana de Venezuela, en concordancia con las previstas en la Ley Orgánica del Tribunal Supremo de Justicia, determinantes en la  dirección, gobierno y administración del Poder Judicial, dicta la presente Resolución.

CONSIDERANDO

Que la Constitución de la República Bolivariana de Venezuela propugna en su artículo 2 a nuestra Nación como Estado democrático y social de Derecho y de Justicia, haciéndose indispensable, a través del Poder Judicial, forjar la garantía plena del derecho a la tutela judicial efectiva de conformidad con lo previsto en el artículo 26 de nuestra Carta Magna, consagrando una justica gratuita, accesible, imparcial, idónea, transparente, autónoma, independiente, responsable, equitativa y expedita, sin dilaciones indebidas, sin formalismos o reposiciones inútiles; para todos sus ciudadanos y ciudadanas, concretamente en materia de Protección de Niños, Niñas y Adolescentes.

CONSIDERANDO

Que el artículo 78 de la Constitución de la República Bolivariana de Venezuela  establece que los niños, niñas y adolescentes son sujetos plenos de derecho y estarán protegidos por la legislación, órganos y tribunales especializados, los cuales respetarán, garantizarán y desarrollarán los contenidos de esta Constitución, la Convención sobre los Derechos del Niño y demás tratados internacionales que en esta materia haya suscrito y ratificado la República. El Estado, las familias y la sociedad asegurarán, con prioridad absoluta, protección integral, para lo cual se tomará en cuenta su interés superior en las decisiones y acciones que les conciernan.

CONSIDERANDO

Que el artículo 110 de la Constitución de la República Bolivariana de Venezuela prevé que: “El Estado reconocerá el interés público de la ciencia, la tecnología, el conocimiento, la innovación y sus aplicaciones y los servicios de información necesarios por ser instrumentos fundamentales para el desarrollo económico, social y político del país, así como para la seguridad y soberanía nacional...”; de donde resalta el deber del Poder Público, y concretamente de los órganos jurisdiccionales, de valerse de los avances tecnológicos para su optimización.

CONSIDERANDO

Que el artículo 120 de la Ley Orgánica del Tribunal Supremo de Justicia prevé que: “… El Tribunal Supremo de Justicia y sus órganos auxiliares deberán crear, mantener y actualizar un sistema de información físico y electrónico que contenga, entre otros, el esquema actualizado de su organización y funcionamiento, así como un mecanismo de comunicación e información electrónica disponible para todas las personas”; y en consecuencia, que ese mecanismo de comunicación e información electrónica disponible para todas las personas puede consistir en un sistema de videoconferencia, por tratarse de una herramienta que posibilita la comunicación electrónica.

CONSIDERANDO

Que, adicionalmente, existen otras leyes de la República que admiten el uso de las tecnologías de información en el proceso jurisdiccional: La Ley Orgánica para la Protección de Niños, Niñas y Adolescentes de 2007 y su reforma en 2015; la Ley Orgánica Procesal del Trabajo de 2002; la Ley de Protección de Víctimas, Testigos y demás Sujetos Procesales de 2006; la Ley Orgánica de la Jurisdicción Contencioso Administrativa de 2010; la Ley Orgánica contra la Delincuencia Organizada y el Financiamiento del Terrorismo de 2012; el Código Orgánico Procesal Penal de 2012 y –en atención a la materia- la Resolución de la Sala Plena del Tribunal Supremo de Justicia N° 2017-0019, de cuatro (4) de octubre de 2017, que regula el Procedimiento a seguir para la aplicación del Convenio de la Haya del 25 de octubre de 1980, Sobre los Aspectos Civiles de la Sustracción Internacional de Menores, en todos los Circuitos o Tribunales de Protección de Niños, Niñas y Adolescentes a nivel Nacional. Dichos cuerpos normativos permiten el uso de estas tecnologías en el ámbito procesal, lo cual es complementado con el Decreto con Rango y Fuerza de Ley sobre Mensajes de Datos y Firmas Electrónicas, el Decreto con Rango, Valor y Fuerza de Ley sobre Acceso e Intercambio Electrónico de Datos, Información y Documentos entre los Órganos y Entes del Estado y la Ley de Infogobierno, fomentando la telematización de la actividad pública y del Poder Popular

CONSIDERANDO

Que la Sala Constitucional de este Tribunal Supremo de Justicia de la República Bolivariana de Venezuela, en sentencias N° 1.571 de 22 de agosto de 2001 y N° 1 de fecha 27 de enero de 2011, ha establecido la utilización de videoconferencias a los fines de garantizar el derecho de los niños, niñas y adolescentes a ser oídos en los procedimientos judiciales, en especial, los seguidos ante la jurisdicción de protección de niños, niñas y adolescentes, sin que ello atente contra el principio de inmediación, por cuanto señala la referida Sala que “el principio de inmediación en su fase clásica: presencia del sentenciador en la incorporación (evacuación) de las pruebas, puede tener dos manifestaciones o grados: (…) 2) Que, el juez no presencie personalmente in situ la evacuación de la prueba, pero si la dirige de una manera mediata, utilizando técnicas y aparatos de control remoto, que le permiten aprehender personalmente los hechos mediante pantallas, sensores, monitores o aparatos semejantes (video-conferencias, por ejemplo), coetáneamente a su ocurrencia.

CONSIDERANDO

Que el Estado debe velar por el respeto y resguardo de los derechos y garantías fundamentales de sus ciudadanos, mediante la realización de procesos judiciales que garanticen un verdadero acceso a la justicia, teniendo como responsabilidad dentro de ese ámbito, gestionar el funcionamiento y optimización de dichos procesos.

CONSIDERANDO

Que  de manera ineludible debe hacerse uso de las tecnologías de la información y comunicación, como avances de la humanidad que pone a su propio servicio, requiriéndose entrar en la era digital para sustituir, entre otros aspectos, la cultura del papel e incluso, la presencia física ante el administrador de justicia.

CONSIDERANDO

Que la movilidad humana como Derecho Humano fundamental se ha incrementado en el mundo producto de la globalización y ha traído por efecto el traslado de niños, niñas y adolescentes, que requieren la administración de justicia para sustentar su desenvolvimiento legal y por tanto, la comunicación a través de las tecnologías de comunicación e información es vital para el logro de estos fines.

CONSIDERANDO

Que debe estudiarse lo referente a la incorporación material y jurídica de la videoconferencia en los procesos judiciales, y muy especialmente, en los procesos jurisdiccionales en materia de protección de niños, niñas y adolescentes, en armonía con la legislación patria y respetando el principio de inmediación procesal, que le permite al juez tener contacto directo con la fuente probatoria, reduciendo lapsos y costos procesales, e incrementando la participación en el proceso al permitir el acceso de personas alejadas de la sede judicial.

RESUELVE

RESOLUCION QUE REGULA EL USO DE LA VIDEOCONFERENCIA Y DEMÁS SOPORTES TECNOLÓGICOS Y TELEMÁTICOS EN LOS PROCESOS LLEVADOS EN LA JURISDICCIÓN DE PROTECCIÓN DE NIÑOS, NIÑAS Y ADOLESCENTES

Artículo 1. VIDEOCONFERENCIA. Los jueces y juezas de la jurisdicción de protección de niños, niñas y adolescentes podrán hacer uso de videoconferencias a los fines de realizar la escucha de los niños, niñas y adolescentes en todos los procedimientos judiciales, de jurisdicción voluntaria o contenciosa con el objeto de garantizar el derecho a ser oído, consagrados en los artículos12 de la Convención de los Derechos del Niño, 78 de la Constitución de la República Bolivariana de Venezuela y 80 de la Ley Orgánica para la Protección de Niños, Niñas y Adolescentes.


Igualmente pueden hacer uso de las videoconferencias a fin de oír a los padres, madres, representantes, responsables, guardadores, optantes a familia sustituta, a familia adoptiva y testigos.


 


Artículo 2. Verificación de los medios telemáticos disponibles. El juez o jueza deberá verificar que las partes cuenten con los medios tecnológicos necesarios a los fines de llevar a cabo la videoconferencia, en reguardo a las garantías procesales, garantizando el cumplimiento del principio de inmediación por lo que se precisa la importancia de la percepción visual y no sólo auditiva.


 


Artículo 3. Las videoconferencias se realizan en el horario comprendido durante las horas de despacho, salvo que se habilite el tiempo necesario, jurada como fuese la urgencia del caso, en este caso podrá ordenarse la celebración en un horario distinto.


 


Artículo 4. A los fines de llevar a cabo la audiencia virtual mediante la videoconferencia, el juez o jueza deberá atender las siguientes consideraciones:


 


a.             Convocar para la audiencia y solicitar acuse de recibo de la convocatoria.


b.             Por parte del Tribunal, debe contarse con la presencia del juez o jueza, secretario y el alguacil, y corresponderá a este último anunciar la audiencia de manera virtual.


c.             El secretario o secretaria del tribunal deberá identificar a las partes, haciendo visible el documento que la acredite (cédula de identidad o pasaporte según sea el caso) pudiendo corroborarse, de considerarse necesario, a través de un testigo, hábil y conteste.


d.             Se procederá a preguntar a las partes si dan fe que son quienes dicen ser, según el instrumento presentado, y se verifican entre ellas.


e.             Se procede a la audiencia en la fase correspondiente, mediación o avenimiento que pueda darse de oficio o a solicitud de las partes en cualquier estado y grado del proceso.


f.              Se otorga el tiempo de exposición correspondiente a cada parte por igual.


g.             Se recoge la audiencia en acta sucinta que contenga con precisión la audiencia.


h.             El acta se lee antes de concluir la audiencia, se envía por cualquier medio digital, otorgándose 10 minutos para su verificación y se pregunta a las partes si están de acuerdo con el contenido, asentándose su conformidad o no.


i.               En los asuntos de jurisdicción voluntaria, el juez se retira una hora para decidir y puede volver a convocar para dictar su decisión.


j.               En los casos donde deba estar presente el Ministerio Público, Defensa Pública, Instituto Autónomo Consejo Nacional de Derecho del Niño, Niña y Adolescente, Defensoría del Pueblo y cualquier otra institución de las establecidas en el artículo 119 de la Ley Orgánica para la Protección de Niños, Niñas y Adolescentes, además de participar activamente, deben dar su conformidad con el contenido del acta, y el juez certifica que ha impuesto del contenido virtualmente, todos declaran estar contestes.


k.             De requerirse presencia del Equipo Multidisciplinario serán convocados para su asistencia virtual y así se hará constar.


Artículo 5. Los jueces y juezas con competencia en materia de protección de niños, niñas y adolescentes, podrán aplicar el uso de las tecnologías de la información y de las comunicaciones en la medida en que cuenten con las herramientas de telecomunicación e informática básicas para garantizar la justicia digital, en este sentido podrán recibir solicitudes, demandas,  reconvenciones, escritos de promoción de pruebas de forma digital, en formato de documento portátil, o sus siglas en inglés PDF, a través de correo electrónico debidamente registrado y autorizado por la Coordinación Nacional de la Jurisdicción de Protección de Niños, Niñas y Adolescentes.

Artículo 6. La demanda o solicitud, además de cumplir con los requisitos previstos en el artículo 456 de la Ley Orgánica para la Protección de Niños, Niñas y Adolescentes, deberá contener de manera expresa el número de teléfono de las partes (demandante o solicitante y demandado), así como la dirección de correo electrónico, de conformidad con lo previsto en el literal “e” eiusdem.

Se establece una oportunidad para la confrontación del documento original, a los fines de que la consignación del documento en forma digital tenga valor, lo que deberá ser informado a la parte promovente a través de la dirección de correo y número de teléfono señalado para tal fin, quien deberá comparecer a la oficina de recepción.

Al respecto, se debe puntualizar que en caso de no cumplir con la carga procesal el documento no tendrá validez alguna, en todo caso una vez realizada la confrontación se dará acuse de recibo electrónico.

Artículo 7: Corresponde a la Coordinación Nacional de la Jurisdicción de Protección de Niños, Niñas y Adolescentes velar por la correcta ejecución e implementación de la presente Resolución.

Artículo 8: Esta Resolución entrará en vigencia a partir de su aprobación en Sala Plena. Se ordena la publicación de esta Resolución en la Gaceta Oficial de la República Bolivariana de Venezuela, Gaceta Judicial y en el portal electrónico del Tribunal Supremo de Justicia.

Comuníquese y publíquese.

Dada, firmada y sellada en el Salón de Sesiones del Tribunal Supremo de Justicia, a los (9) días del mes de diciembre de dos mil veinte (2020). Años: 210º de la Independencia y 161º de la Federación.

EL PRESIDENTE, 

 MAIKEL JOSÉ MORENO PÉREZ

       PRIMER  VICEPRESIDENTE,                                    SEGUNDA VICEPRESIDENTA,

     JUAN JOSÉ MENDOZA JOVER                          MARÍA CAROLINA AMELIACH VILLARROEL

 Los  Directores y la Directora, 

YVÁN DARÍO BASTARDO FLORES                        MARJORIE CALDERÓN GUERRERO

MALAQUIAS GIL RODRÍGUEZ

Los Magistrados y las Magistradas,

ARCADIO DELGADO ROSALES                   MARCO ANTONIO MEDINA SALAS

FRANCISCO RAMÓN VELÁZQUEZ  ESTÉVEZ            ELSA JANETH GÓMEZ MORENO

JESÚS MANUEL JIMÉNEZ ALFONZO               CARMEN ZULETA DE MERCHÁN

JHANNETT MARÍA MADRIZ SOTILLO        MÓNICA MISTICCHIO TORTORELLA

BÁRBARA GABRIELA CÉSAR  SIERO          INOCENCIO ANTONIO  FIGUEROA  ARIZALETA

GUILLERMO  BLANCO VÁZQUEZ                       MARISELA  VALENTINA  GODOY  ESTABA

FRANCIA COELLO GONZÁLEZ                           EDGAR  GAVIDIA RODRÍGUEZ

DANILO ANTONIO MOJICA MONSALVO             CALIXTO ANTONIO  ORTEGA  RÍOS

LUIS  FERNANDO  DAMIANI  BUSTILLOS         LOURDES  BENICIA SUÁREZ  ANDERSON

EULALIA COROMOTO GUERRERO RIVERO FANNY B. MÁRQUEZ CORDERO

VILMA MARÍA FERNÁNDEZ GONZÁLEZ            JUAN LUIS  IBARRA VERENZUELA

YANINA BEATRIZ  KARABÍN  DE DÍAZ                   GRISEL LÓPEZ QUINTERO

RENÉ ALBERTO DEGRAVES ALMARZA               CARMEN ENEIDA ÁLVES NAVAS

El Secretario,

JOHN ENRIQUE PARODY GALLARDO

_______

http://historico.tsj.gob.ve/informacion/resoluciones/sp/resolucionSP_0003789.html

miércoles, 9 de diciembre de 2020

ALGUNAS SENTENCIAS Y ARTÍCULOS RELACIONADOS CON EL NOMBRAMIENTO DE ABOGADOS EN EL PROCESO PENAL VENEZOLANO

Siempre es necesario estar asistido de abogado de su confianza en el proceso penal venezolano, ya sea por nombramiento de su defensor privado o que tenga un defensor público a su disposición por el Juez Penal (ver artículo 139 del COPP). Si es víctima, debe tener su abogado de confianza para que le represente judicialmente en sus derechos e intereses. 


JURISPRUDENCIAS DE LA SCP:


N° de Expediente: A16-213 N° de Sentencia: 278 del 18 de Julio de 2016, sobre el nombramiento del defensor. En el avocamiento que procede a solicitud de parte, tal como ocurre en el presente caso, es necesario asegurar el examen de la legitimación de los solicitantes para el uso de esta figura (1):


"En todos los procesos judiciales, sin distinción por la materia que se trate, los ciudadanos instituidos profesionalmente para prestar la asistencia técnica son los abogados, pues son ellos quienes ostentan la capacidad de postulación y pueden realizar actuaciones dentro del proceso, adicionalmente se requiere tener pleno goce de los derechos civiles y políticos.

Concretamente en el proceso penal, el nombramiento o designación de los abogados no está sujeto a formalismos rigurosos. Así tenemos que el Código Orgánico Procesal Penal establece:

“Artículo 139. El imputado o imputada tiene derecho a nombrar un abogado o abogada de su confianza como defensor o defensora. Si no lo hace, el Juez o Jueza le designará un defensor público o defensora pública desde el primer acto de procedimiento o, perentoriamente, antes de prestar declaración.

En ese sentido, en sentencia N° 234, del 17 de julio de 2014, la Sala estableció sobre la legitimación de las partes en general, lo siguiente:

"En todos los procesos judiciales, sin distinción por la materia que se trate, los ciudadanos instituidos profesionalmente para prestar la asistencia técnica son los abogados, pues son ellos quienes ostentan la capacidad de postulación y pueden realizar actuaciones dentro del proceso, adicionalmente se requiere tener pleno goce de los derechos civiles y políticos.

Concretamente en el proceso penal, el nombramiento o designación de los abogados no está sujeto a formalismos rigurosos. Así tenemos que el Código Orgánico Procesal Penal establece:

“... En el proceso penal venezolano, el imputado, el Fiscal del Ministerio Público y la víctima ostentan la cualidad de partes, por ser el primero, sobre quien recae la acción; el segundo, el representante del estado encargado de ejercer la acción penal; el tercero, a quien se pretende resarcir o proteger del daño causado por el victimario. En lo que respecta al defensor, solo el profesional del derecho debidamente nombrado, juramentado y acreditado para ello, será el único habilitado para ejercer la representación judicial del imputado. …”. (Resaltado de la Sala.)

Sobre la legitimación para solicitar el avocamiento, en reciente sentencia N° 40 del 10 de febrero de 2015, esta Sala estableció lo siguiente:

“La consignación, aún en copia simple, de la aceptación y de la juramentación de los defensores ante el juez competente, que los habilite para actuar como parte en el proceso penal seguido contra el ciudadano ... es ineludible, pues en el avocamiento que procede a solicitud de parte, tal como ocurre en el presente caso, es necesario asegurar el examen de la legitimación de los solicitantes para el uso de esta figura, es decir, la Sala debe comprobar que los solicitantes (en el momento) estén acreditados por las partes para requerir este remedio procesal”.

La Sentencia Nº 152 de la Sala de Casación Penal, Expediente Nº 04-0412 de fecha 03/05/2005, ha dicho:

“La Sala aclara que las figuras jurídicas del nombramiento del defensor, la juramentación, la imputación y la declaración se encuentran previstas en el Código Penal adjetivo de forma diseminada, por lo cual debe el intérprete hacer labor exegética, por una parte; y por la otra, interpretar en conjunto, en atención a los principios y garantías procesales, a fin de llenar los vacíos o dudas que pudiera presentar el articulado.”


N° de Expediente: 12-217 N° de Sentencia: 417 del 07 de Noviembre de 2012, sobre el nombramiento del defensor - Acto personalísimo (2):


"...dada las condiciones de evadido en que se encuentra el ciudadano XXXXXXXXXXXXXXXX, la designación de abogado defensor es un acto personalísimo y cuando dicho ciudadano haya cumplido con la exigencia de comparecer (ponerse a derecho) ante la autoridad judicial que lo está requiriendo, podrá designar a sus defensores y estos ejercer sus defensas."


N° de Expediente: C11-448, N° de Sentencia: 037 del 27 de Febrero de 2012 sobre el nombramiento del defensor y ratificación del defensor por parte del imputado - validez.(3):


"Al estarle atribuida al imputado el nombramiento de su defensor, lo cual puede hacer por cualquier medio, de conformidad con lo dispuesto en el artículo 139 del Código Orgánico Procesal Penal, la designación de la abogada XXXXXX, por la hermana del acusado XXXXXXX, no tiene ninguna validez sino es ratificada por éste y al no existir en autos constancia de que así haya sido, dicho nombramiento no puede surtir ningún efecto jurídico."


N° de Expediente: C07-0107 N° de Sentencia: 404, del 17 de Julio de 2007 sobre el nombramiento del defensor. la Designación de Defensor Público-durante el Lapso de interposición del Recurso de Apelación (4):


"...lapso correspondiente para el ejercicio del recurso de apelación, transcurrió sin que el acusado contara con una defensa técnica que interpusiera dicho recurso, en razón de lo cual esta Sala considera procedente ... ordenar la reposición de la causa al estado en que se reabra el lapso para la interposición del recurso de apelación..."


N° de Expediente: C05-0230 N° de Sentencia: 518, del 09 de Agosto de 2005, sobre el nombramiento del defensor (Art. 139 COPP) (5):


"Considera la Sala, que ciertamente el nombramiento de defensor debe hacerlo directamente el imputado y para ello no se requiere ninguna formalidad.

En el presente caso el ciudadano ... , padre legítimo del acusado de autos, presentó diligencia mediante la cual solicitó la revocatoria del defensor que venía asistiendo a su hijo y que se le designara al profesional del derecho ... , quien en virtud de dicho nombramiento solicitó se le tomara el juramento de ley para ser tenido como defensor del prenombrado acusado en la presente causa, así consta en las diligencias que cursan a los folios ...

En tal sentido y partiendo de la premisa que el nombramiento de defensor no está sujeto a ninguna formalidad como lo señaló la Corte de Apelaciones en su decisión y puede hacerlo valiéndose de cualquier medio para ello, no debió soslayarse la circunstancia que era el padre del acusado quien estaba haciendo la solicitud de revocatoria y nueva designación de un defensor para su hijo.

Ahora bien, en virtud de esta solicitud realizada por el progenitor del acusado de autos y a los fines de dar cumplimiento a la normativa prevista en el artículo 139 del Código Orgánico Procesal Penal, que es el acusado propiamente quien hace la designación de su defensor, el Tribunal de Juicio debió trasladar al acusado ... a objeto que ratificara o no la solicitud de revocatoria y nombramiento de un nuevo defensor realizada por su progenitor para preservar el debido proceso y el derecho a la defensa del acusado."


N° de Expediente: C05-0024 N° de Sentencia: 311, del 06 de Junio de 2005 sobre el nombramiento y juramentación del defensor (6):


"Ciertamente, la citada norma, no prevé la suspensión del lapso para la interposición de recurso alguno, luego de publicada la sentencia, y haber sido revocado y designado un nuevo defensor. Sin embargo, considera esta Sala, que en casos como el presente, debe suspenderse el lapso de interposición del ejercicio recursivo, hasta tanto la nueva defensa sea juramentada, toda vez que ésta, necesariamente debe enterarse de las actas del proceso para así cumplir fielmente con los deberes que le impone el cargo, además de que el acto de juramentación, no puede ni debe tenerse como una formalidad no esencial, sino lo contrario, es decir, como una formalidad esencial...

Efectivamente al ser considerado el acto de juramentación una forma esencial en el proceso, el cual tiene como objeto alcanzar la plenitud de su investidura, a los fines de favorecer el ejercicio recursivo, no debe dejarse de un lado la norma prevista en el artículo 49, ordinal 1°, parte in fine, de la Constitución de la República Bolivariana de Venezuela, que establece que "Toda persona declarada culpable tiene derecho a recurrir del fallo, con las excepciones establecidas en esta Constitución y la ley; con lo cual se consagra el derecho a recurrir como regla general."


También tenemos:


La sentencia 491 del 13 de octubre de 2009 de la SCP.

La sentencia 314 del 02 de julio de 2009, de la SCP.

La sentencia 727 del 17 de diciembre de 2008, de la SCP.

La sentencia 362 del 10 de julio de 2008 de la SCP.

La sentencia 875 del 30 de mayo de 2008 de la SC.

La sentencia 729 del 18 de diciembre de 2007 de la SCP.

La sentencia 613 de 07 de noviembre de 2007 de la SCP.

La sentencia 328 del 19 de junio de 2007 de la SCP.

La sentencia A-062 del 04 de mayo de 2007 de la SCP.

La sentencia 207 del 22 de mayo de 2006 de la SCP.

La sentencia 124 del 04 de abril de 2006 de la SCP.

La sentencia 05 del 24 de enero de 2001 de la SC.

la sentencia 02 del 24 de enero de 2001 de la SC.

La sentencia 515 del 31 de mayo de 2000 de la SC.


Dice el Artículo 3 de la Ley de Abogados que para comparecer por otro en juicio, evacuar consultas jurídicas, verbales o escritas y realizar cualquier gestión inherente a la abogacía, se requiere poseer el título de abogado, salvo las excepciones contempladas en la Ley. 

Los representantes legales de personas o de derechos ajenos, los presidentes o representantes de sociedades cooperativas, asociaciones o sociedades civiles o mercantiles que no fueren abogados, no podrán comparecer en juicio a nombre de sus representados sin la asistencia de abogados en ejercicio. 

Establece el Artículo 4 de la Ley de Abogados, que toda persona puede utilizar los órganos de la administración de justicia para la defensa de sus derechos e intereses. Sin embargo, quien sin ser abogado deba estar en juicio como actor, como demandado o cuando se trate de quien ejerza la representación por disposición de la Ley o en virtud de contrato, deberá nombrar abogado, para que lo represente o asista en todo el proceso. 


Deberes para con el Asistido o Patrocinado


Veamos los artículos relacionados con los Deberes para con el Asistido o Patrocinado, según la Ley de Abogados Venezolana (1967):


Artículo 19. El abogado, en defensa de la verdad y los intereses que representa, ejercerá libremente y con moderación su ministerio, sin más limitaciones que las establecidas en las demás normas que regulen el ejercicio profesional de la abogacía. 

Artículo 20. La conducta del abogado deberá caracterizarse siempre por la honradez y la franqueza. No deberá aconsejar ni ejecutar actos que puedan calificarse de dolorosos, hacer aseveraciones o negaciones falsas, citas inexactas, incompletas o maliciosas, ni realizar acto alguno que pueda entorpecer una eficaz y rápida administración de la justicia. 

Artículo 21. El abogado que en el ejercicio de su ministerio, directa o indirectamente, intente o ejecute actos en concusión, soborno o cualesquiera otros de corrupción, incurre en grave falta contra el honor y la ética, sin perjuicio de las acciones penales a que hubiere lugar. 

Artículo 22. El abogado deberá abstenerse de hacer uso de recusaciones injustificadas y de ejercer otros recursos y procedimientos legales innecesarios, con el solo objeto de entorpecer o retardar la secuela del juicio. 

Articulo 23. Es deber del abogado la defensa gratuita de las personas de escasos recursos económicos, debiendo observar no obstante, las normas que al respecto contiene la Ley de Abogados y el Reglamento Nacional de Honorarios Mínimos. 

Artículo 24. Es deber del abogado aceptar la defensa de una persona a quién le imputa delito o falta y emplear todos los medios lícitos para obtener la recta aplicación de la Ley. Podrá excusarse de aceptar esa defensa por razones morales. 

------------------------------------------

(1) http://historico.tsj.gob.ve/decisiones/scp/julio/189134-278-18716-2016-A16-213.HTML

(2) http://historico.tsj.gob.ve/decisiones/scp/noviembre/417-81112-2012-12-217.HTML

(3) http://historico.tsj.gob.ve/decisiones/scp/febrero/037-28212-2012-C11-448.HTML

(4) http://historico.tsj.gob.ve/decisiones/scp/julio/404-17707-2007-C07-0107.HTML

(5) http://historico.tsj.gob.ve/decisiones/scp/agosto/518-RC05-0230.HTM

(6) http://historico.tsj.gob.ve/decisiones/scp/junio/RC05-0024.HTM

domingo, 6 de diciembre de 2020

Extracto de la sentencia Nº152, del 03/12/2020, de la Sala de Casación Penal, sobre la nulidad absoluta del acto de audiencia preliminar, por falta de motivación, porque el Tribunal no realizó el estudio en cuanto al hecho punible y si el mismo se subsume o no en el precepto jurídico mencionado por las partes, como aplicable

" ...Ahora bien, una vez recibidas las actuaciones, el Juzgado Trigésimo Primero de Primera Instancia en Función de Control del Circuito Judicial Penal del Área Metropolitana de Caracas, fijó la realización de la audiencia preliminar, la cual se inició el 3 de julio de 2019 y finalizó el 16 de julio del mismo año, y con ocasión a la misma, dictó la resolución judicial, de sobreseimiento definitivo del proceso penal.

Es el caso, que al inicio de la aludida audiencia preliminar, el Tribunal delegó en el Ministerio Público la verificación del otorgamiento de uno de los instrumentos poder conferidos a una de las partes del proceso, y en los días siguientes, presentó nuevamente un escrito acusatorio, en contra del ciudadano GREGORIO CARAVASILE FRANCOYANNI, por la comisión del delito de ESTAFA, por encontrarse presuntamente “viciado de nulidad” el primer acto conclusivo presentado. Es de observar, que en cuanto a ese primer acto de acusación presentado no consta la debida motivación de la verificación de inadmisión del mismo, es decir, nada establece la decisión que haya permitido al Ministerio Público presentar un nuevo acto conclusivo.

Igual vicio se constata en cuanto a la “desestimación” de las acusaciones presentadas, la acusación particular propia y la acusación presentada por el Ministerio Público, que generó el decretó el sobreseimiento definitivo del proceso penal conforme a lo previsto “en el artículo 28 [numeral].4, literal[es] “f” y literal “i”, concatenado con el artículo 308 y 34 [numeral]4… del Código Orgánico Procesal Penal”.

En la mencionada decisión solo consta la identificación de las partes en el proceso, así como de las circunstancias en que se efectuó la audiencia preliminar y en las consideraciones para decidir plasmó los supuestos fácticos del hecho, la aplicación de las máximas de las sentencias nros. 1500 y 1303 dictadas por la Sala Constitucional del Máximo Tribunal de la República, para finalmente señalar la inexistencia del despojo injusto a que hace referencia la víctima y el Ministerio Público.

De igual forma, señaló que la acción penal descrita en las dos acusaciones presentadas por el Ministerio Público, y la acusación particular propia se circunscriben contra actos registrales perfeccionados.

Subsiguientemente, declaró con lugar la excepción promovida por la defensa conforme al artículo 28, numeral 4, literal “f” del Código Orgánico Procesal Penal, referido a la falta de legitimidad para actuar en el caso de marras, de parte de la representación de la víctima.

Por otro lado, decidió la excepción promovida por la defensa conforme al artículo 28, numeral 4, literal “i” del Código Orgánico Procesal Penal, referida a la falta de requisitos para intentar la “acusación fiscal” y los requisitos del artículo 308 eiusdem, dejando constancia que la misma se encontraba infundada por cuanto carecía de los requisitos establecidos en el “numeral 3 del artículo 308” mencionado, esgrimiendo una serie de circunstancias de fondo como la facultad que tenía el imputado para dirimir el acervo accionario de la empresa “estatutariamente…DIMITRU CARAVASILE, con el 20% del acervo accionario”.

Finalmente, desestimó la acusación particular propia presentada en contra del ciudadano GREGORIO CARAVASILE FRANCOYANNI, por la presunta comisión del delito de ESTAFA, así como la acusación presentada por el Ministerio Público y decretó el sobreseimiento del proceso penal, de conformidad con lo previsto en el artículo 28, numeral 4, literales “f” e “i” del Código Orgánico Procesal Penal, en relación con lo establecido en los artículos 308 y 34, numeral 4 eiusdem,  “por cuanto los vicios advertidos no son subsanables”.

 Observándose del fallo mencionado, que el mismo adolece de la debida fundamentación, conforme a las exigencias de los numerales 2, 3 y 4 del artículo 306 del texto adjetivo penal, que establece la descripción del hecho objeto de la investigación, las razones de hecho y de derecho en que se funde la decisión con indicación de las disposiciones legales aplicadas, incurriendo en el vicio de inmotivación.

Adicionalmente, no realizó el estudio en cuanto al hecho punible y si el mismo se subsume o no en el precepto jurídico mencionado por las partes, como aplicable.

Razones éstas que impiden a los sujetos procesales, obtener una resolución razonable, congruente y fundada en derecho, que les permitiera conocer los fundamentos en que fueron resueltas sus pretensiones. Circunstancias de interés público, que vulneran la garantía al debido proceso y tutela judicial efectiva, indispensables en todo proceso jurisdiccional.

Es menester resaltar, que era obligación del juez de la audiencia preliminar, de conformidad con el mencionado artículo 26 Constitucional, proporcionar a las partes una respuesta adecuada, congruente y ajustada a Derecho, conforme al ordenamiento jurídico vigente.

Debiendo, el juez o jueza de la audiencia preliminar, antes de proceder a declarar el sobreseimiento del proceso penal, verificar todas y cada una de las exigencias de admisión o no de la acusación fiscal, la acusación particular propia y las excepciones promovidas por la defensa del acusado, en la oportunidad legal, lo cual sólo puede surgir con la debida motivación judicial, con la finalidad de tutelar el derecho que le asiste a las partes, el acusado y la víctima a reclamar eventualmente el resarcimiento de los daños, en garantía de lo previsto en el último aparte del artículo 30 de la Constitución de la República Bolivariana de Venezuela.

En tal sentido, constatada como ha sido la infracción de la garantía del debido proceso y de la tutela judicial efectiva en relación a los derechos que le asiste a las partes , tal como lo consagran los artículos 26, 49 y 257 Constitucional, esta Sala de Casación Penal en atención a lo establecido en el artículo 175 del Código Orgánico Procesal Penal, estima que lo procedente y ajustado a derecho es decretar de oficio la NULIDAD ABSOLUTA del acto de audiencia preliminar celebrada en el presente proceso penal en fechas 3 y 16 de julio de 2019, ante el Tribunal Trigésimo Primero de Primera Instancia en Función de Control del Circuito Judicial Penal del Área Metropolitana de Caracas, con la consecuente nulidad de todas las actuaciones cumplidas con posterioridad al acto írrito.

Se ANULA, la decisión que decretó el sobreseimiento de la causa y todos los actos cumplidos con posterioridad, se repone la causa al estado en que un juzgado de control, celebre nuevamente la audiencia preliminar, con prescindencia de los vicios que dieron lugar al presente fallo. En tal sentido, se ORDENA la remisión del expediente a la Presidencia del mencionado Circuito Judicial Penal para su distribución en un Tribunal de Primera Instancia en Función de Control del Circuito Judicial Penal del Área Metropolitana de Caracas, distinto al que conoció, de conformidad con lo dispuesto en los artículos 174 y 175 del Código Orgánico Procesal Penal. Así se decide.

V

DECISIÓN

Por las razones expuestas, el Tribunal Supremo de Justicia en Sala de Casación Penal, administrando justicia en nombre de la República Bolivariana de Venezuela y por autoridad de la ley, decide:

PRIMERO: Se declara la NULIDAD ABSOLUTA del acto de audiencia preliminar celebrada en fechas 3 y 16 de julio de 2019, ante el Tribunal Trigésimo Primero de Primera Instancia en Función de Control del Circuito Judicial Penal del Área Metropolitana de Caracas, con la consecuente nulidad de todas las actuaciones cumplidas en el presente proceso con posterioridad al acto írrito.

SEGUNDO: Se REPONE la causa al estado en que se celebre de nuevo el acto de audiencia preliminar ante un Tribunal de Primera Instancia en Función de Control del señalado Circuito Judicial Penal, distinto al que conoció anteriormente.

TERCERO: Se ORDENA la remisión del expediente a la Presidencia del Circuito Judicial Penal del Área Metropolitana de Caracas, para su posterior remisión a un Tribunal de Primera Instancia en Función de Control del Circuito Judicial Penal del Área Metropolitana de Caracas. Remítase copias certificadas de la presente decisión a la Sala Dos de la Corte de Apelaciones del Circuito Judicial Penal del Área Metropolitana de Caracas.

Publíquese, regístrese, ofíciese lo conducente y remítase el expediente.

Dada, firmada y sellada en el Salón de Audiencias del Tribunal Supremo de Justicia, en Sala de Casación Penal, en Caracas, a los tres (3) días del mes de diciembre de dos mil veinte (2020). Años 210º de la Independencia y 161º de la Federación.

El Magistrado Presidente,

MAIKEL JOSÉ MORENO PÉREZ

(Ponente)

     La Magistrada Vicepresidenta,

 ELSA JANETH GÓMEZ MORENO   

La Magistrada 

FRANCIA COELLO GONZÁLEZ 

         El Magistrado,

JUAN LUIS IBARRA VERENZUELA

        La Magistrada

   YANINA BEATRIZ KARABIN DE DÍAZ

La Secretaria,

ANA YAKELINE CONCEPCIÓN DE GARCÍA

MJMP

Exp. nro. AA30-P-2020-000091"

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http://historico.tsj.gob.ve/decisiones/scp/diciembre/310873-152-31220-2020-C20-91.HTML