CONSTUTIONALISM AND JUDICIAL APPOINTMENT AS A MEANS OF SAFEGUARDING JUDICIAL INDEPENDENCE IN SELECTED AFRICAN JURISDICTIONS by SAUL PORSCHE MAKAMA Submitted in accordance with the requirements for the degree of MASTER OF LAWS at the UNIVERSITY OF SOUTH AFRICA SUPERVISOR: PROF NJ BOTHA NOVEMBER 2012 DECLARATION I declare that 'Constitutionalism and the process of judicial appointment as a means of safeguarding democracy and judicial independence in selected African jurisdictions' is my own work and that all sources that I have used or quoted have been indicated and acknowledged by means of complete references. 33630496 Signature: Mr. S P MAKAMA STUDENT NUMBER Date: November 2012 ABSTRACT The beginning of the 1990s saw many African countries embarking on the process of drafting new constitutions as they abandoned independence constitutions. Most of the independence constitutions were perceived as constitutions without constitutionalism and they were generally blamed for failure of democracy and the rule of law in Africa. The study analyses the state of democracy and constitutionalism and the impact that colonialism had on the African continent. Apart from the spurt of new constitutions adopted, democracy is growing very slowly in most African states with widespread human rights violations and disregard for the rule of law and the principle of separation of powers, still holding the centre stage. Judicial independence is an important component of democracy in the modern state. The study therefore scrutinizes how the principle of judicial independence can be promoted and protected to enhance democracy. One important mechanism which plays a crucial role in safeguarding judicial independence is the way judicial officers are appointed. The study selects four countries – Swaziland, Kenya, Zimbabwe and South Africa and analyses how judicial officers are appointed in these countries in an effort to find an effective and optimal approach. The premise of the study is centred on the role of constitutionalism and the process of appointing judges as a means of promoting and safeguarding democracy in these selected countries. Key terms Constitutionalism, Constitution, Rule of Law, Democracy, International Law, Judicial Independence, Judiciary, and separation of powers. ii ACKNOWLEDGEMENTS First and foremost I would like to thank the Mighty GOD for the strength that he has given me throughout the period of writing this dissertation. My earnest gratitude to the following people:  Prof Neville J Botha, my supervisor, for his guidance, encouragement and inspirational ideas, suggestions and quality comments during the writing of my dissertation.  Prof André Thomashausen, the COD in the Department of Public, Constitutional and International Law.  Prof Wessel le Roux, whom I started this dissertation with as my supervisor but later, left the University.  Thea de Villiers.  My family and friends for their support.  My colleagues in the Department of Public, Constitutional and International Law.  The UNISA Library staff.  Lastly I dedicate this dissertation to Sandie Khumalo; I say your support has been a true inspiration during the long journey. iii ABBREVIATIONS ACHPR African Charter on Human and People’s Rights ANC African National Congress APP African People’s Party APRM African Peer Review Mechanism AU African Union BIICL British Institute of International and Comparative Law BLA Black Lawyers Association CA Constitutional Assembly CALS Centre for Applied Legal Studies CASAC Council for the Advancement of the South African Constitution CC Constitutional Court CJ Chief Justice CODESA Convention for a Democratic South Africa CPA Criminal Procedure Act (SA) CP Constitutional Principle CSVR Centre for the Study of Violence and Reconciliation DA Democratic Alliance DCJ Deputy Chief Justice DJCD Department of Justice and Constitutional Development DRC Democratic Republic of Congo ECK Electoral Commission of Kenya EEC European Economic Community EU European Union FUL Freedom Under Law GA General Assembly GCB General Council of the Bar GNU Government of National Unity iv GPA Global Political Agreement IBA International Bar Association IC Interim Constitution ICCPR International Covenant on Civil and Political Rights ICESCR International Covenant on Economic, Social and Cultural Rights ICD Independent Complaints Directorate ICJ International Commission of Jurists JSA Judicial Service Act JASA Justice Alliance of South Africa JSC Judicial Service Commission KADU Kenya Democratic Party KANU Kenya African National Union LSSA Law Society of South Africa MDC Movement for Democratic Change MJCD Minister of Justice and Constitutional Development MPNP Multi-Party Negotiating Process MP Member of Parliament Mps Members of Parliament MPS Municipal Police Service NA National Assembly NADEL National Association of Democratic Lawyers NARC National Rainbow Coalition NCOP National Council of Provinces NDI National Democratic Institute NDPP National Director of Public Prosecution NEPAD New Partnership for Africa’s Development NPA National Prosecuting Authority OAU Organization of African Unity OSISA Open Society Initiative for Southern Africa v PAC Pan Africanist Congress PSC Public Service Commission SAA South African Airways SAHRC South African Human Rights Commission SADC Southern African Development Community SADCLA Southern African Development Community Lawyer Association SAIIA South African Institute of International Affairs SAPS South African Police Service SCA Supreme Court of Appeal (South Africa) UDHR Universal Declaration of Human Rights UN United Nations US United States WJP World Justice Project WWI First World War WWII Second World War ZANU-PF Zimbabwe African National Union – Patriotic Front vi TABLE OF CONTENTS Declaration............................................................................... i Abstract. ................................................................................ ii Key terms................................................................................ ii Acknowledgements. ...................................................................... iii Abbreviations............................................................................. 4 Chapter One INTRODUCTION AND GENERAL OVERVIEW 1.1 Background. ...................................................................... 2 1.2 Research Questions. ................................................................ 3 1.3 Aim of Study. ..................................................................... 4 1.4 Scope and Limitation of Study......................................................... 5 1.5 Description of Planned Research Methodology............................................ 5 1.6 Structure of the Study and Outline of the Chapters. ........................................ 6 1.7 Key Concepts...................................................................... 7 1.7.1 Constitutionalism............................................................ 7 1.7.2 Democracy................................................................. 7 1.7.3 The Rule of Law. ........................................................... 9 1.7.4 The Separation of Powers Doctrine.............................................. 9 1.7.5 Judicial Independence. ...................................................... 11 1.7.5.1 Functional and Personal Independence. ............................... 12 1.7.5.2 Appointment Process of Judicial Officers in Comparative Perspective . ...... 12 Chapter Two ANALYSIS OF CONSTITUTIONALISM, DEMOCRACY, SEPARATION OF POWERS, AND THE RULE OF LAW IN AFRICA 2.1 Introduction. ..................................................................... 17 2.2 The Impact of Colonialism on Constitutionalism in Africa.................................. 19 2.2.1 Defining Colonialism........................................................ 19 2.2.2 The State of Africa after Colonialism. .......................................... 21 2.3 Explaining the Concept of Constitutionalism............................................. 25 2.4 Explaining the relationship and connection between the concepts of Constitution(s), Constitutionalism, Democracy, and Elections. .............................. 28 2.4.1 The state of democracy and constitutional sovereignty in South Africa since the adoption of the 1993 Interim Constitution (and Constitution of the Republic of South Africa, 1996) and the first democratic elections of 1994: Are there lessons for other African countries?..................................... 30 2.4.2 Overview of Elections v Democracy in Africa. ................................... 33 2.4.2.1 The African Union (AU) and the African Charter on Democracy, Elections and Governance (ACDEG)........................ 35 2.5 The Doctrine of Separation of Powers and the Rule of Law in Africa.......................... 36 2.5.1 Explaining the Doctrine of Separation of Powers. ................................. 38 vii 2.5.2 Implementation of the Idea of Constitutionalism and the Doctrine of Separation of Powers in Selected African States in Contrast with the US and Germany................ 40 2.5.2.1 Checks and Balances. ............................................. 41 2.5.2.2 The System of Checks and Balances and Separation of Powers under the US Constitution. ................................... 41 2.5.2.3 Constitutionalism and Separation of Powers in the Federal Republic of Germany.............................................. 43 2.5.2.4 Constitutionalism and Separation of Powers under the South African Constitution. ............................................. 46 2.5.2.5 Constitutionalism and Separation of Powers in Zimbabwe. ................ 52 2.5.2.6 Constitutionalism and the Doctrine of Separation of Powers in Kenya. ....... 58 2.5.2.6.1 Kenya from Independence (1963)......................... 58 2.5.2.6.2 The Period 1978 to 1991. .............................. 60 2.5.2.6.3 The influence of Elections on Constitutionalism and Separation of Powers in Kenya. ...................... 62 2.5.2.6.3.1 Multi-Party Elections.................... 62 2.5.2.6.3.2 1992 Elections. ........................ 62 2.5.2.6.3.3 1997 Elections. ........................ 62 2.5.2.6.3.4 2002 Elections. ........................ 63 2.5.2.6.3.5 2007 Elections. ........................ 64 2.5.2.7 Constitutionalism and Separation of Powers in Swaziland...... 65 2.5.3 A Comparative Assessment of Constitutionalism and Democracy in Western and African Countries. ............................................... 66 2.5.4 Africa and the Rule of Law. .................................................. 67 2.5.4.1 Explaining the Rule of Law. ........................................ 67 2.5.4.2 The African Peer Review Mechanism (ARPM) and the rule of law in Africa................................................... 69 2.6 Conclusion....................................................................... 71 Chapter Three PROTECTING JUDICIAL INDEPENDENCE 3.1 Introduction. ..................................................................... 75 3.2 Judicial Independence in the Contemporary State......................................... 77 3.3 Different Ways of Ensuring Judicial Independence........................................ 80 3.3.1 The Constitution and Legislation............................................... 80 3.3.2 Judicial Service Commissions or Councils. ...................................... 81 3.3.3 Courts or Tribunals. ........................................................ 81 3.3.4 International Law/Conventions or Documents..................................... 83 3.3.5 The Process for the Appointment of Judicial Officers............................... 84 3.3.6 Personal Independence. ..................................................... 84 (i) Appointment . ................................................... 85 (ii) Removal. ....................................................... 85 (iii) Terms of Office................................................... 86 (iv) Remuneration.................................................... 86 (v) Conditions of Service.............................................. 87 3.3.7 Functional Independence..................................................... 87 3.4 Judicial Independence in Practice: The Case of South Africa................................ 90 3.4.1 South Africa’s Constitution (1996) and the Notion of Judicial Independence............. 90 viii 3.4.2 How does the Concept of Judicial Independence Link to Human Rights and Democracy in a State? (For example – the Constitution of the Republic of South Africa declares that the bill of rights is the cornerstone of democracy in the country). ..................... 91 3.4.3 Judicial officers and the “fit and proper” requirement............................... 92 3.4.4 The nexus between the notion of judicial independence and human rights and democracy: A South African constitutional perspective. ................... 96 3.5 South Africa’s Judicial History under Apartheid Rule and the Judicial Triumph and Challenges since the Start of a New Democratic and Constitutional Order. ................ 102 3.6 Conclusion...................................................................... 103 Chapter Four THE APPOINTMENT PROCESS OF JUDICIAL OFFICERS IN SWAZILAND, KENYA, ZIMBABWE AND SOUTH AFRICA 4.1 Introduction. .................................................................... 106 4.2 The Judiciary and the Selection Process of Judicial Officers in Swaziland..................... 108 4.2.1 The Constitution and Judicial Authority in Swaziland.............................. 108 4.2.2 The Appointment of Judicial Officers under the Swazi Constitution................... 110 4.2.3 The Judicial Service Commission (JSC) in Swaziland. ............................ 112 4.2.4 The State of the Judiciary since the adoption of the New Constitution in Swaziland. ..... 115 4.2.5 Judicial Crisis. ........................................................... 119 4.3 The Judiciary and the Selection Process Of Judicial Officers in Kenya........................ 121 4.3.1 The Judiciary in Kenya. .................................................... 121 4.3.2 The Judiciary under the new Constitution of Kenya, 2010. ......................... 124 4.3.3 Appointment of Chief Justice, Deputy Chief Justice and other Judges in Kenya. ........ 126 4.3.4 The Role of the Judicial Service Commission in Kenya. ........................... 128 4.3.5 Assessment. ............................................................. 129 4.4 The Judiciary and the Selection Process of Judicial Officers in Zimbabwe..................... 130 4.4.1 A Brief Description of the Crisis in Zimbabwe since 2000.......................... 130 4.4.2 The Judiciary and the Constitution in Zimbabwe. ................................ 131 4.4.3 Appointment of Judges. .................................................... 134 4.4.4 The Judicial Service Commission in Zimbabwe. ................................. 135 4.4.5 Assessment. ............................................................. 136 4.5 The Judiciary and the Selection Process of Judicial Officers in South Africa................... 137 4.5.1 The Judicial Service Commission in South Africa. ............................... 137 4.5.2 The Appointment of Judicial Officers in terms of Section 174 of the Constitution........ 140 4.5.3 The need for the judiciary to reflect broadly the racial and gender composition of South Africa when judicial officers are appointed (Section 174(2)). .................. 141 4.5.4 The Appointment of the Chief Justice (CJ) and Deputy Chief Justice (DCJ) of the CC and the Appointment of the President and Deputy President of the SCA (Section 174(3) of the Constitution). ....................................................... 143 4.5.5 Appointment to the Constitutional Court (Section 174(4)). ......................... 149 4.5.6 Appointment in the Supreme Court of Appeal and the High Courts. .................. 151 4.5.7 Term of Office, Remuneration and Removal of Judges in South Africa................ 153 4.6. Conclusion...................................................................... 155 Chapter Five GENERAL CONCLUSION.......................................................... 158 ix