1. Introduction
This article examines the proposed introduction of suspended execution—a distinctive Chinese innovation in capital-punishment administration—into other jurisdictions in Asia. In the People’s Republic of China (“PRC” or “China”), suspended execution is a formal death sentence for which execution of the condemned is withheld for a set period of two years, conditional on the behaviour of the condemned. If the condemned individual commits a new “intentional crime” under “heinous circumstances” during the period of suspension, a petition is to be sent to the Supreme People’s Court for ratification, after which the execution may be carried out; otherwise, at the end of the two-year period, the death sentence is converted into a custodial sentence of incarceration. Footnote 1 It is estimated that upwards of 99% of people who are sentenced to suspended execution avoid death. Footnote 2 China’s Supreme People’s Court is credited with expanding the use of suspended execution as a diversionary legal tool to drastically reduce executions in the early twenty-first century. Footnote 3 Because the sanction of suspended execution packs both the symbolic wallop of a tough, official condemnation to death and a built-in mechanism that automatically diverts the actual killing in the vast majority of cases, it has been described as “an almost perfectly double-sided response to the problem of the death penalty,” as “the death penalty that isn’t” and as a “natural consolation prize for prosecutors and victims’ families.” Footnote 4
The success of suspended execution in reducing executions in China has provoked some commentators to suggest that it could be adopted elsewhere, particularly in Asia, Footnote 5 yet, until now, there has been no sustained empirical investigation of suspended execution outside China. In this article, we seek to move research forward by asking where, why, and how suspended execution has been considered and adopted or rejected beyond China’s borders. Where is a question we answer inductively. While capital-punishment regimes have a wide variety of mechanisms to divert death, Footnote 6 here we looked for jurisdictions that have considered amendments to capital punishment exhibiting the three characteristics we believe together make suspended execution unique: (1) the formal institution of a capital sanction, along with (2) a statutory provision for delay in the execution of the death sentence for a non-indefinite period and (3) a legal mechanism conditioned on the behaviour of the condemned for determining whether the execution should be carried out or the sentence should be modified at the end of this delay. We identify four jurisdictions other than the PRC that have considered or adopted a suspended-execution provision that meets this definition. Taiwan and Japan considered and rejected suspended execution between the 1970s and 2000s. Vietnam has now adopted a limited form of suspended execution for economic crimes. And Indonesia’s revised draft Criminal Code contains a provision directly inspired by the Chinese model. Why these jurisdictions have considered or adopted suspended execution is a question of comparative policy—we ask whether suspended execution is appealing as a way to reduce execution or addresses some other political concern. How such statutes are drafted is a question of comparative law—we ask whether and to what extent the legal structure of suspended execution resembles the mechanism in China.
We believe that these questions now merit scholarly attention for three interrelated reasons. First, understanding which other countries entertain suspended execution—the where of suspended execution—can shed light on regional policy dynamics between China and its neighbours. The burgeoning literature on law-and-policy diffusion identifies a range of mechanisms for the international spread of law and policy in general Footnote 7 and for penal law and practice in particular. Footnote 8 Regimes may coerce or export penal practices through hard influence such as colonialism and soft-power approaches such as neoliberalism. Footnote 9 States may also seek out or import penal practices through policy learning in which countries adopt successful practices observed elsewhere. Footnote 10 Law and policy also diffuse through the construction of shared norms; countries may adopt penalties that are understood as global best practices through processes of consensus in a “world polity.” Footnote 11 China has developed from a regional to a global powerhouse. Is China encouraging the introduction of suspended execution? Are other nations looking to China for policy direction? Is there an emerging Asian consensus on penal practice? The where of suspended execution can advance answers to these questions.
Second, the why of suspended execution merits attention because it engages the dynamics of death-penalty retention, reduction, and abolition. The majority of world executions take place in Asia. Footnote 12 Explaining Asia’s regional commitment to the death penalty has become an important plank of the research agenda in comparative criminal justice. Footnote 13 And, within Asia, one country stands out: China. While the precise figure is a state secret, it is estimated that China executes thousands of people a year, making it far and away the world’s leading executioner state. Footnote 14 But China has also reduced its executions drastically in recent years, due in part to the use of suspended execution. Suspended execution stands out as a distinctively home-grown solution to a Chinese criminal justice problem. Are other countries considering suspended execution as a way to reduce or abolish capital punishment? Or are they interested in suspended execution for other policy reasons unrelated to execution rates?
The four jurisdictions examined here—Taiwan, Japan, Vietnam, and Indonesia—all retain capital punishment in law and continue to use it in practice. Taiwan has edged toward abolition of the death penalty in the twenty-first century, although it performed executions in seven of the eight years between 2011 and 2018. Footnote 15 Japan’s death-penalty practice has been described as “low volume with high salience,” Footnote 16 with little recent momentum towards abolition. By contrast, Vietnam executed 429 people between 8 August 2013 and 30 June 2016, and in 2018 Vietnam disclosed that it executed at least 85 people that year, making it one of the most active global executioner states, both in absolute numbers and per head of population. Footnote 17 Under President Joko Widodo, Indonesia remains enthusiastic about executing drug traffickers as a deterrent mechanism, most recently doing so 18 times in 2015 and 2016. Footnote 18 Only procedural obstacles have prevented more executions since then. Footnote 19 Confronting the why of suspended execution provides insights into the motives of retentionist countries in an increasingly abolitionist world, and also serves to explain the reasons for state differences in proposed suspended-execution models, as our final question moves on to address.
The legal structure of suspended-execution policies—the how of suspended execution—engages the question of whether suspended execution can be implemented in a way that has structural traction as an alternative to the death penalty in countries that retain capital punishment. As the abolitionist movement has gained force, jurisdictions have struggled to find alternatives to death that fulfil the many functional and symbolic tasks traditionally accomplished by execution. Footnote 20 Across the globe, deprivation of liberty in the form of incarceration is now the prevailing method of formal state punishment for serious offences, yet determining a proportional period of incarceration for formerly capital crimes has proved vexing and unsatisfactory for many states. One alternative, namely life without the possibility of parole (LWOP), has been adopted unevenly. Footnote 21 The US, for example, has embraced LWOP with gusto, even as it retains the death penalty in many state jurisdictions. Meanwhile, in Europe, where the death penalty has been effectively abolished, Footnote 22 the European Court of Human Rights has found LWOP violates the European Convention on Human Rights. Footnote 23 LWOP is on its way to becoming as contentious as the death penalty it is proposed to replace in retentionist jurisdictions.
Despite the problems with LWOP, however, the world’s penal systems have come up largely empty-handed in the search for other substitutes for the death penalty beyond long or whole-life sentences. In this context, scholars concerned with capital punishment have floated suspended execution as a possible replacement to the death penalty in several Asian retentionist jurisdictions. Footnote 24 In particular, suspended execution holds the potential to capture the unique symbolic gravitas elicited from condemnation of an offender, while avoiding the actual killing. Footnote 25 But China’s capital regime also contains other unusual features, notably a lack of executive clemency provisions, that may make suspended execution uniquely effective as a diversionary mechanism in the PRC. Despite the desires of scholars and advocates, it is not clear that countries that adopt suspended execution can and will implement it as a penal release valve, like in China. How suspended execution is introduced into foreign jurisdictions provides a window into the way in which it can or will be used in the future.
The methodological approach to this research began inductively. The authors canvassed capital-punishment literature and spoke to policy experts to identify a total of four jurisdictions where suspended execution has been considered across Asia. After identifying the jurisdictions of interest, the authors drew on textual materials published in English, Chinese, Japanese, Vietnamese, and Indonesian. In addition, the authors conducted interviews with experts and policy-makers in China, Indonesia, Japan, and Taiwan between May 2018 and January 2020.
This article proceeds in the following five parts. Section 2 examines the history and practice of suspended execution in China and considers China’s relationship with its Asian neighbours in terms of penal policy. Section 3 briefly discusses two jurisdictions that did not adopt suspended execution, despite considering it: Taiwan and Japan. Section 4 examines the case of Vietnam, a country that recently adopted a narrow version of suspended execution. Section 5 concerns Indonesia, which first encountered suspended execution decades ago and is still reshaping the penalty for domestic ends. In Section 6, we offer a comparative discussion of the preceding five jurisdictions’ proposals and practices, in light of China’s suspended-execution model, before reaching a set of final conclusions.
2. Suspended execution in China
In many articles on the suspended execution system, there are two statements that deserve our attention. First, “suspended execution is China’s original creation.” Second, “Ming and Qing [Dynasty capital review practices] are the rudimentary form of suspended execution.” Footnote 26 (Sun Jiahong, Legal Historian)
This section discusses China’s use of suspended execution and its relationship with its neighbours regarding penal policy. Suspended execution (sixing huanqi zhixing, or sihuan) is a distinctive feature of China’s capital-punishment system. In its broadest strokes, suspended execution is a formal capital sanction for which execution is withheld for a two-year period of review following sentencing. At the end of this two-year period, the sentence is virtually always converted into an indeterminate term of incarceration. Footnote 27 Suspended execution therefore operates as both a nominal death sentence and a functional reprieve from execution.
Suspended execution has been a part of the punitive apparatus of the PRC since virtually its founding in 1949, but the punishment has gained newfound attention following its rise to prominence as a policy tool used by the Supreme People’s Court to actively divert executions in China in recent years. Footnote 28 While China is widely reputed to be the world’s leading executioner state, the annual number of executions in China is estimated to have fallen drastically in the twenty-first century, Footnote 29 due in part to the substitution of suspended (or nominal)-execution sentences for immediate (or enacted) execution sentences. Footnote 30 In 2007, the head of the Supreme People’s Court stated that, for the first time in PRC history, the number of suspended-execution sentences surpassed the number of death sentences with immediate execution (i.e. with no suspension). Footnote 31 As the most-used capital sanction in the world’s highest-executing jurisdiction, China’s suspended-execution sentence is therefore likely to be the most frequently used capital-punishment provision in the world today.
The legal basis for suspended execution is situated within Chapter III Section 5 of China’s Criminal Law, Footnote 32 which concerns the death penalty. Suspended execution is available for any of China’s 46 capital eligible offences. Footnote 33 According to Article 48 of the PRC Criminal Law, a capital sentence of immediate execution is only to be applied to individuals who have committed “extremely serious” (jiqi yanzhong) acts. If an immediate execution is not deemed necessary, a suspension of execution for two years may be applied at the time of sentencing. At the expiration of the two-year period, if the offender has not committed a new “intentional crime” (guyi fanzui) under “heinous circumstances” (qingjie elie) while incarcerated, the sentence shall be converted into a term of imprisonment. Footnote 34
The statutory distinction that divides immediate and suspended execution—life and death—is vague. Internal court guidelines and guiding cases from the Supreme People’s Court have progressively narrowed the scope of eligibility for immediate execution. Nonetheless, criteria for determining what counts as an extremely serious criminal act remain publicly ambiguous and subject to political policy-making. Footnote 35 It is worth noting that both the initial sentencing decision and the sentencing review after two years are conducted entirely by the judiciary. China does not have a functioning executive clemency system—only a “unilateral” special amnesty scheme that has never been used in a death-penalty case since 1949. Footnote 36 China’s lack of a clemency system is highly unusual within retentionist states Footnote 37 and provision for commutations and pardons is considered by the UN and the International Covenant on Civil and Political Rights (ICCPR) (Article 6(4)) to be a core safeguard within the death-penalty process. Footnote 38 Previous scholars have debated whether the suspended death sentence operates as a substitute for executive clemency. Footnote 39
2.1 History, change, and continuity
While suspended execution has become a topic of interest in international policy circles following its increased use in the early twenty-first century, the practice itself has a much longer history in China. Scholars have noted the strong similarities between contemporary suspended execution and the death-penalty system of imperial China. Footnote 40 In imperial China, every death sentence handed down throughout the empire was sent to the Board of Punishments in the capital, which would ultimately refer the decision to the emperor with a recommendation of either immediate execution or delay until consideration at an annual review (also called the autumn assizes, or qiushen). During annual review, cases were divided into categories, with some categories presumptively meriting a reduction in punishment. One category, deferred execution, is particularly resonant: the sentence was typically suspended for two years, after which it was generally converted to a lesser punishment. Footnote 41
Suspended execution traces its more recent roots in the early history of the Chinese Communist Party (“CCP”). Well before the CCP gained control of China and established the PRC, the Party used forms of reprieve in wartime areas. Footnote 42 Following the founding of the PRC (1949–present), Party leaders immediately sought to consolidate power through the Campaign to Suppress Counterrevolutionaries (1950–53). Footnote 43 The Campaign mobilized a nationwide effort to ferret out perceived state enemies and led to the execution of more than 700,000 people. Footnote 44 As the death toll mounted, Mao Zedong issued a directive that execution
shall be confined to those who owe blood debts … while the policy towards the rest shall be one of passing the death sentence, granting a two-year reprieve and subjecting them to forced labor during this period to see how they behave. Footnote 45
This directive became a guiding penalty and was eventually integrated into the PRC’s first codified Criminal Law (1979) more than 25 years later. Footnote 46
Although the 1979 Criminal Law was promulgated after the end of the Cultural Revolution, it retained the strong ideological flavour of the PRC’s socialist origins. Counter-revolution continued to be a crime, re-education through labour was a criminal justice staple, and repentance remained the criterion for commutation of a prisoner’s suspended death sentence. In 1997, the Criminal Law underwent major revision. The crime of counter-revolution was replaced with the crime of endangering state security and overtly political revolutionary language was supplanted with increasingly technocratic or legalistic language. In place of repentance, the 1997 Criminal Law specified that a person’s suspended death sentence would be converted after two years so long as the offender did not commit a new “intentional crime” (guyi fanzui).
Since the last major revision to the Criminal Law in 1997, China’s legislature has repeatedly amended the law on suspended execution, primarily in order to address a perceived gulf in proportionality between suspended and immediate death sentences. Traditionally, prisoners who had suspended-execution sentences converted to imprisonment typically served less than two decades in prison; concerns about sentencing disparities led the legislature to introduce beefed-up terms of incarceration for suspended execution in the eighth (2011) and ninth (2015) Amendments to the Criminal Law. These more punitive measures effectively raise the minimum possible prison sentence following suspended execution by five years, prohibit sentence reductions for some types of repeat offenders, and—for the first time in Chinese history—introduce the possibility of a whole-life sentence (life without parole) in capital corruption cases. Footnote 47
The long history of suspended execution covers a variety of legal regimes—imperial, revolutionary, liberal-legal—in which the penalty has assumed different valences. A number of elements remain consistent through the arc of this practice. First, throughout its history, suspended execution has remained (nominally) a capital sentence, situated within the law as a form of administration of the death penalty. This is the case despite the fact that suspended execution is intended to act as a diversionary sentence; the typical outcome for the offender is presumptively not death, but a lesser punishment. Second, suspended execution dictates a delay before a final decision regarding execution is rendered. However, an offender is not in limbo for an indefinite amount of time. Third, suspended execution provides criteria for determining whether to enact or convert the death sentence at the end of the period.
2.2 China, its neighbours, and regional penal practice
China is the originator of the practice of suspended execution, so an obvious first place to look for explanations for the where, why, and how of introduction of suspended execution elsewhere lies in China’s own active international policy decisions. The literature on legal transmission and diffusion identifies a number of ways that countries intentionally or inadvertently promote the adoption of domestic legal practices into other jurisdictions. Footnote 48 Most directly, powerful states may export legal policies abroad overtly through coercive practices such as colonialism. Colonial Britain, for example, pushed the adoption of its criminal law and penal institutions both inside and outside its colonies. (The first prison in mainland China, for example, was built by the British in a treaty concession in Shanghai. Footnote 49 ) Less overtly, powerful states may promote international frameworks that encourage the reproduction of legal practices abroad. The logic of US neoliberalism, for example, created economic and political carrots and sticks that fostered the proliferation of American penal practices throughout much of the developing world. Footnote 50
Is China pushing suspended execution on its neighbours? China’s own historical development over the long haul points to some of these dynamics with regional neighbours in the past. Taiwan was annexed by the Qing Dynasty empire in 1683, subjecting Taiwan to Chinese legal rule by force in until Japan occupied the island in 1895. In Sino-Vietnamese relations, China has been the larger and more influential actor through three millennia, in periods of both conflict and co-operation. Footnote 51 In more recent years, China has projected soft power beyond its neighbours and across the world through infrastructural initiatives such as One Belt, One Road.
But, while the PRC does project its power aboard, it does not have a history of exporting legal practices. China’s current political regime, the CCP, has an ambivalent relationship to law as a mode of governance. Footnote 52 China is openly critical of institutions that aim to replicate US-style legal norms abroad and while, in other areas, China has created its own versions of US foreign policy institutions that it critiques, it has not yet done so with law. Within this project, the authors found no evidence that China is promoting—or even considering—the practice of suspended execution outside its borders. The Chinese academic and policy literatures do not indicate interest by either Chinese state or non-state actors such as lawyers or academics in the transmission of suspended execution elsewhere. The authors interviewed prominent Chinese criminal justice scholars and legal officials. Interviewees uniformly showed no knowledge of or interest in suspended-execution practices outside China, and expressed scepticism that China was promoting suspended execution outside its borders. Footnote 53 No person interviewed in China, nor in any of the other jurisdictions, could point to any Chinese event or initiative—such as a China-sponsored judicial tour or programme—encouraging suspended execution abroad. These findings indicate that explanations for the where, why, and how of suspended execution lie outside the People’s Republic. We turn now to those other places.
3. Taiwan, Japan, and the path not taken
[Before importing] any system from the PRC, you should think about it twice. (Interview with Taiwanese NGO Staff Footnote 54 )
In looking for cases of suspended execution beyond the PRC, Taiwan is an obvious place to start. Taiwan is an island off the coast of Fujian province that shares a historical and cultural lineage with the mainland and a vexed relationship in politics and law. First annexed by imperial China in the seventeenth century, Taiwan was under the control of the Qing Dynasty until it was occupied by Japan at the end of the nineteenth century. In 1949, during the Chinese civil war, the Kuomintang Nationalist government (“KMT”) retreated to Taiwan, establishing the island as the centre of government for the Republic of China (“ROC”), which claimed sovereign rule over all of greater China in absentia. The KMT brought their mainland legal tradition with them. While the Criminal Code of the ROC (first promulgated in 1912) that Taiwan inherited included capital punishment, Footnote 55 it did not incorporate any form of suspended execution that had existed in imperial China.
The post-1949 divergence in suspended-execution practice between the ROC and PRC is arguably a matter of historical contingency. Immediately after seizing control over the mainland, Mao Zedong launched a bloody initiative, the Campaign to Suppress Counterrevolutionaries, to consolidate power. Footnote 56 Mao introduced suspended execution as a practice in the PRC in 1951 in an effort to moderate the violence of the campaign. Upon arriving in Taiwan, the ROC’s leader Chiang Kai-Shek took a similarly punitive approach to the consolidation of power. He imposed martial law, which remained in effect for 38 years until 1987. During this period, the KMT applied state killing on a scale that at some points perhaps equalled that of the PRC, Footnote 57 but the KMT never introduced a suspended-execution provision to divert killings as Mao had done, perhaps because of the reduced potential for social unrest within a smaller territory already pacified through martial law, or because the KMT did not face the risk that it would lose central control of criminal justice policy, as with the radically populist penal politics encouraged by the CCP.
While the PRC continued to use capital punishment on a massive scale throughout the late twentieth century, after Taiwan was liberalized in the 1980s, the use of capital punishment eventually diminished, falling from a post-martial-law peak of 78 executions in 1990 to zero executions between 2006 and 2009 and in 2017 and 2019. Footnote 58 At the same time, a flourishing civil society produced a vocal abolitionist movement. Footnote 59 In 2000, Chen Shui-Bian was elected president. Chen, as leader of the Democratic Progressive Party (DPP), has been the only president of Taiwan to take an abolitionist platform in both policy and practice. Footnote 60 During Chen’s second term in office, Minister of Justice Morley Shih enforced an official moratorium on executions by refusing to sign execution warrants for the 19 defendants who then remained on death row. Footnote 61 However, holding only a plurality of seats in the Taiwanese legislature and with a reluctance to defy public opinion, Chen’s party was not able to formally abolish the death penalty in law before the end of his presidential term in 2008. Footnote 62 Against high hopes that Taiwan would get rid of the death penalty, Taiwan resumed executions in 2010. Footnote 63
Although the ROC did not adopt suspended execution like the mainland did in the 1950s, the penalty has been a topic of discussion on the political and academic agenda in Taiwan for the past several decades. Since the end of martial law, several academic scholars have proposed a suspended-execution model as a means of reducing execution numbers without the need for formal death-penalty abolition. Footnote 64 For example, during the early 1990s, participants at a legislative hearing on the possibility of abolishing capital punishment suggested adopting a “probation system” allowing time for prisoners to show repentance, as the PRC had done. Footnote 65 Ultimately, executions continued to take place in Taiwan, yet the numbers declined significantly throughout the 1990s following other reforms, such as the abolition of non-violent capital crimes such as drug offences, the restriction and eventual abolition of the mandatory death penalty, and the creation of the Ministry of Justice’s Implementation Guidelines for Reviewing Death Sentence Execution in 1999. Footnote 66
Suspended execution re-emerged as a legislative possibility in Taiwan in the mid-2000s, under the abolition-minded President Chen. Footnote 67 In late 2005, Minister of Justice Morley Shih stated that his ministry was evaluating the introduction of a suspended-execution statute modelled on China as a step towards the abolition of the death penalty. Footnote 68 The Ministry of Justice commissioned Academia Sinica, the National Academy of the ROC, to produce a report on alternatives to the death penalty. Its 424-page report, A Study on the Abolition of the Death Penalty and Its Alternatives, Footnote 69 devotes a section to suspended execution, discussing its historical significance and development in China as well as its proposed introduction in Japan. At the same time, although the Taiwanese public continued to favour retention over outright abolition, Footnote 70 an opinion survey found that 62% of respondents supported suspending execution in favour of life or long-term imprisonment if the convicted person showed repentance during a probation period. Footnote 71
Nevertheless, the Academia Sinica report rejects suspended execution as a viable policy for Taiwan. The report criticizes the legal structure of suspended execution in the PRC, pointing out that the criterion of “extremely serious” criminal acts on which suspension of execution turns is overly vague and inimical to the rule of law. Footnote 72 While the report decries the legal indeterminacy of suspended execution, it ultimately rejects suspended execution as a matter of principle, rather than of implementation. The authors of the report—who were charged with considering alternatives to capital punishment—find that, as a method of diversion, suspended execution still “allows the continued operation of the death penalty system, only on a less intensive scale.” Footnote 73 Several other Taiwanese interviewees expressed a similar view that suspended execution in fact perpetuates the death penalty. Footnote 74
The Ministry of Justice therefore shelved plans to introduce suspended execution to the legislature and, in 2008, the DPP was voted out of power in both the legislative and presidential elections. In the years since Chen Shui-bian left office, at least one advocate has called for a reconsideration of suspended execution, Footnote 75 but no proposal has been introduced for legislation. Retentionist politicians are preoccupied with implementing capital punishment more often, rather than alleviating it. Footnote 76 Abolitionists, meanwhile, have instead proposed other changes to the current system to move Taiwan toward abolition, including the establishment of Life Without Parole as a sentencing alternative, Footnote 77 activating the dormant executive clemency system to commute existing sentences, Footnote 78 reinstituting an executive-led moratorium on executions, Footnote 79 or requiring agreement from all judges on a panel before a death sentence may be imposed. Footnote 80 Moreover, in addition to their principled or procedural criticisms of suspended execution as a self-contained policy model, some abolitionists also see inherent problems in adopting a reform from Taiwan’s authoritarian rival across the strait. Footnote 81
Japan’s engagement with suspended execution is similar to Taiwan’s. Proposals to adopt suspended execution in Japan were inspired by the Chinese practice and have an even longer history than in Taiwan. Between 1963 and 1974, the 50-member Japanese Ministry of Justice’s Special Committee for Criminal Law of the Legal System Deliberation Council discussed the possibility of implementing a Revised Penal Code. Footnote 82 During the years that the Revised Penal Code was under discussion, there was a proposal within the Special Committee’s punishment subcommittee to introduce an optional sentence of suspended execution, based on a five-year probation period imposed by the sentencing court. After five years had elapsed, the court would consider the opinion of a Committee for the Review of Death Sentences established through the Ministry of Justice as to whether the offender should be resentenced to life imprisonment, with eligibility for parole set at 20 years. Footnote 83
Nevertheless, the Legal System Deliberation Council never adopted such an idea Footnote 84 due to concerns about compromising the deterrent effect of the death penalty, failing to differentiate sentences of death and life imprisonment, prolonging uncertainty for prisoners, and the inapplicability of a “copy and paste” model from the PRC’s contemporaneous practice. Footnote 85 In the end, the draft Bill for a Revised Penal Code was never submitted to the National Diet. Footnote 86 Well into the twenty-first century, Japan has continued to employ its original Penal Code, promulgated in 1907, with only minor alterations. Footnote 87 Outside of the regular judicial appeal process, death sentences may be mitigated within multiple retrials upon the production of new evidence and following extraordinary appeals by prosecutors due to illegality. Footnote 88 Evidence of the defendant’s rehabilitation on death row remains inapplicable to capital sentencing. Footnote 89
In the years since the Special Committee’s work was abandoned, suspended execution has again been raised in Japanese academic circles and among political groups as an idea for reform. The possibility of implementing suspended execution was discussed by, variously, the Komeito Party during the early 1990s, Footnote 90 the Diet Members’ League for Abolition of the Death Penalty (between 2003 and 2005), and its successor the All-Party Parliamentary Group to Consider the Future of the Death Penalty in Japan (since 2012). Footnote 91 However, it has never become an official policy platform of a political party, nor has it ever been put to a vote in the National Diet. Interviewees advanced a variety of reasons for the recent lack of political enthusiasm for suspended execution. Mirroring the criticisms of Taiwanese abolitionists, above, Japanese informants worried that suspended execution preserves a sentence of capital punishment, thereby maintaining the risk of execution. Footnote 92 It also grants prison wardens or other civil servants the power to determine life or death based on vague determinants of prisoner behaviour, Footnote 93 and creates uncertainty among the relatives of victims and offenders. Footnote 94 As in Taiwan, suspended execution has proven less attractive to Japanese scholars and policy-makers because it originates from the authoritarian PRC. It is seen as a legislative alternative more relevant to systems with large numbers of death-row prisoners. Footnote 95 Japanese retentionists also disfavour suspended execution as it is “too easy” on death-row prisoners—a betrayal of the death sentence originally imposed and a disproportionately lenient punishment. Footnote 96
4. The case of Vietnam
We must have legislative techniques to make sure people who are executed should be executed, and not those who are not. (Lieutenant General Tran Van Do, former Chief Justice of the Central Military Court Footnote 97 )
This section examines a death-penalty diversion mechanism that was introduced as part of the 2015 Amendment to Vietnam’s Criminal Code. Some Western scholars have described this diversion mechanism as a form of suspended execution that resembles the practice in China. Footnote 98 Section 4 begins with background on Vietnam’s penal law and its historical relationship with China. We then discuss the political context of the 2015 Amendment to Vietnam’s Criminal Code. Finally, we consider the death-penalty provision itself.
4.1 Background
Vietnam is an active executioner state. Exact data are hard to come by because Vietnam is one of only three states (along with Belarus and, notably, China) where death-penalty statistics are state secrets. Footnote 99 Nonetheless, partial data over recent decades suggest that Vietnam executes frequently. Footnote 100 In 2018, Vietnam disclosed that it executed at least 85 people that year, leading Amnesty International to rank it among the world’s five most prolific executioner states. Footnote 101 On a per-capita basis, Vietnam may now rival China in its frequency of execution.
After Taiwan, Vietnam is arguably the most obvious place to look for the influence of Chinese penal practices on capital punishment outside the PRC. Footnote 102 The relationship between the two countries is asymmetric, as “China has always been a much more important presence for Vietnam than Vietnam has been for China.” Footnote 103 This influence is often noted in areas of law and policy. Footnote 104 In their survey of capital punishment in Asia, Johnson and Zimring note that:
comparative chronologies of the various Asian communisms show that policy initiatives not only came from China on a regular basis, they were frequently followed so closely that “the similarity sometimes seems to border on cloning.” In death penalty policy more particularly, Vietnamese practices bear a striking resembling to the patterns that have prevailed in China. Footnote 105
China’s direct influence on Vietnam’s penal practice goes back thousands of years. Footnote 106 The Le Dynasty’s (1428–1788) Hong Duc Code of 1483 borrows heavily from Chinese dynastic codes. Footnote 107 The penal provisions in the 1812 Gia Long Code, the legal code of Vietnam’s last dynasty (Nguyen Dynasty, 1802–1945), are a “faithful copy of China’s [Qing Dynasty] code,” which itself contained extensive capital-punishment measures, including a system of deferred execution that stands as a precursor to China’s contemporary suspended-execution penalty. Footnote 108 China’s influence on Vietnam’s penal law waned as French civil law dominated during the colonial period (1858–1945). However, under Ho Chi Minh, North Vietnam developed a close relationship with the CCP extending through re-unification in 1975. Under socialism, the two countries were frequently described to be as close as “lips and teeth.” Footnote 109 Like the PRC, the early Socialist Republic of Vietnam (“SRV”) had no codified criminal law. And, like the PRC, which codified its criminal law in 1979 as part of comprehensive social and economic reform, Vietnam codified its first Criminal Code since 1812 in 1985 amidst the Doi Moi reforms. Footnote 110 The 1985 SRV Criminal Code that emerged during these reforms marks the beginning of contemporary capital punishment in Vietnam. Footnote 111
While many aspects of the 1985 SRV Criminal Code bear strong resemblance to China, no suspended-execution provision is included in the Code. One scholar writing about China’s influence on the Code at the time of introduction observed that
The death penalty provision is one in which such an influence might appear, since Chinese law has an unusual procedure that permits reprieve after a period of time if the offender shows repentance. This procedure is followed even in contemporary Chinese law. No such procedure appears in the death penalty provision of the S.R.V. Code. Footnote 112
The SRV Code has been revised several times since 1985, notably in 1999. The 1999 Amendment reduced the number of capital eligible offences from 44 to 22 and further limited the extent of capital-punishment policy. Footnote 113 Again, it did not include any provisions resembling suspended execution.
4.2 2015 Amendment
In 2015, Vietnam introduced significant amendments to its Criminal Code. Among the most hot-button topics on the revision agenda was capital punishment. Debates on the amendments highlighted a significant policy rift among Vietnamese leaders on the future of the death penalty. On the one hand, some leaders—notably within the judiciary—wanted to reduce the scope of capital punishment and bring Vietnam’s capital regime in line with international law and human rights norms. Footnote 114 On the other hand, many policy-makers remained committed to the death penalty as part of a tough-on-crime deterrence strategy. The 2015 Amendment ultimately narrowed the formal legal scope of the death penalty somewhat, reducing the number of capital eligible crimes by seven and tightening the definition of “particularly serious crimes” for which the death penalty may be applied. Footnote 115
Among the most contested capital-punishment changes in the draft amendment was a provision for the suspension of the death penalty in capital cases in which the offender returns stolen assets. Corruption is a serious problem in Vietnam and a representative of the Ministry of Justice who advocated for the policy indicated that the state recovers only slightly more than 10% of stolen assets. Footnote 116 The debate over the measure became a microcosm of the larger capital-punishment debate. Deputy Minister of Justice Dinh Trung Tung described the proposal as being in line with judicial-reform goals of reducing capital punishment. Footnote 117 Meanwhile, in a 2015 newspaper roundup of opinions on amending capital-punishment provisions, Dr Nguyen Tat Vien, Permanent Member of the Central Judicial Reform Steering Committee, supported maintaining capital punishment for corruption, arguing that corruption causes widespread social harm and damages the prestige of the state. Footnote 118 Other officials worried that the provision would be tantamount to buying justice. Nguyen Duc Chung, director of the Hanoi Police Department, stated:
The poor, who are unable to afford [to live], are forced to trade in drugs for a living, [and] still face the death penalty. Meanwhile, people who are knowledgeable about the law, educated, hold[ing] big positions, but [have] embezzled large sums of money, [escape] the death penalty. Just by looking at these two examples, there are inadequacies and unfairness in the law. Footnote 119
Ultimately, a measure to divert capital punishment in cases involving reparation was included in the 2015 Amendment. The mechanism is defined under Article 40(3), which also prohibits the execution of pregnant woman, mothers of children under three, and people who are 75 or older. Article 40(3)(c) provides that, in cases where a death sentence is pronounced, it shall not be executed if
the person sentenced to death for embezzlement or taking bribes, after being sentenced, has returned at least one-third of the property embezzled or bribes taken, closely cooperates with the authorities in the process of investigation or trial, or has made reparation in an effort to atone for the crime.
Article 40(4) indicates that, if the death sentence is commuted, it shall be replaced by life imprisonment (which in Vietnam, as in China, is a sentence of indeterminate length that may be further commuted to a fixed term). Footnote 120 Article 63(6) on commutations clarifies that, even with further commutations, a convicted person initially sentenced to death must serve at least 30 years in prison.
The procedure for applying Article 40(3)(c) is not immediately clear. The Code provides no further detail on the definitions of “closely cooperates,” nor on the timeframe within which the prisoner must carry out such mitigation. The proviso that the condemned return the money “after being sentenced” suggests that this is a post-conviction sentence conversion. However, the two other parts of Article 40(3), which prohibit executions of pregnant women, mothers of children under three, and people 75 and older, would most likely be assessed before sentencing. Article 40(3)(c) also implies that authorities might have reason to delay execution so as to encourage reparations, but no timeline for this process is specified. Nor is it clear who initiates the process.
4.3 China’s influence
Law-makers explicitly pointed to China in debates on the introduction of Article 40(3)(c). For example, Tran Van Dung, Deputy Director of the Department of Administrative Criminal Law at the Ministry of Justice, told reporters that the ministry looked to China for anti-corruption measures, specifically regarding the measure to defer capital punishment if assets were collected. Footnote 121 The Vietnamese debate also bears an uncanny parallel to debates taking place at the same time in China, where asset recovery is also a priority. Footnote 122 China’s National People’s Congress considered abolishing capital punishment for corruption and bribery as part of both the eighth (2011) and ninth (2015) amendments to the Criminal Law. Footnote 123 With competing factions unwilling to either remove corruption from the roster of capital offences or keep it on the books in unmodified form, China’s legislature settled on a compromise, introducing a new, one-off sanction—whole-life imprisonment—for corruption. Corruption remains the only one of China’s 46 capital eligible crimes for which this punishment is available. Notably, while whole-life imprisonment may intuitively appear as a sentencing alternative to suspended execution, it is in fact structured as a sentencing enhancement to a suspended-execution penalty. In order to impose the whole-life sentence for corruption, a Chinese court must therefore first determine that corruption meets the threshold for capital eligibility, then determine that the crime nonetheless warrants a suspension of the death sentence, and then finally attach an enhancement specifying a whole-life sentence. Footnote 124
4.4 Conclusion
Is Vietnam’s corruption measure a form of Chinese suspended execution? Previous scholarship has suggested in passing that it might be. Footnote 125 Although Vietnam’s form of suspended execution looks somewhat different from the PRC’s, it meets our stated definition, in that the formal death sentence is still imposed by the Vietnamese authorities, subject to a non-indefinite period of delay in execution, with the latter conditional upon the actions of the defendant while incarcerated. Despite the distinct way in which it is designed to operate, limited solely to the white-collar offences of embezzlement and bribery, the connection between Vietnam’s provision and Chinese practice cannot be dismissed. Vietnam evidently looked to China for a compromise penalty that could divert executions and recover assets in corruption cases. In China, that penalty is embedded within an overarching regime of suspended execution. Vietnam did not adopt suspended execution for all capital crimes, but nonetheless modelled a practice that may be situated within China’s suspended-execution paradigm.
5. The case of Indonesia
[C]apital punishment in Indonesian law could be reformulated as a special exception… based on a review of Chinese criminal law. (Former Indonesian Minister of Justice Muladi Footnote 126 )
This section discusses suspended execution in Indonesia. Indonesia and China suffered a fraught relationship during the Cold War era, with President Suharto’s military-authoritarian regime (1967–98) providing the US with a bulwark against the spread of communism is Southeast Asia. Footnote 127 Following the failed Indonesian Communist Party coup in October 1965 that eventually brought Suharto to power, one of the twentieth century’s most extensive episodes of mass killing took place, targeting alleged Communist sympathizers and ethnic Chinese among other groups, across the Indonesian archipelago. Footnote 128 In 1950, under President Sukarno, Indonesia had been the first country in Southeast Asia to recognize the People’s Republic as the official government of China yet, in 1967, in the aftermath of the coup, Indonesia broke off its diplomatic relations with the PRC, not normalizing them until 1990. Footnote 129 In diplomacy, trade, aid, and tourism, Indonesia was largely absent from China’s sphere of influence in Asia for more than 20 years. Footnote 130
It seems incongruous, then, that Indonesian policy-makers have long considered introducing a Chinese-style “probationary” death sentence as part of Indonesia’s prolonged effort to restructure capital punishment through a Revised Criminal Code (Rancangan Kitab Undang-Undang Hukum Pidana, or RKUHP). Over the past few years, it finally seems as if efforts to reach a political compromise on death-penalty retention will come to legislative fruition through this process. At the time of writing, although the Revised Criminal Code has not yet been passed by the Indonesian legislature, the present death-penalty provisions, including a probationary death sentence, attract little disagreement among opposing political factions. Footnote 131 Of the four Asian jurisdictions that, to our knowledge, have considered enacting a suspended-execution model, influenced by the PRC’s practice, Indonesia has clearly come closest to enacting a scheme to mitigate punishment for all capital crimes that resembles the one in place in China.
5.1 Background to criminal-law reform in Indonesia
Plans to revise Indonesia’s Criminal Code (Kitab Undang-Undang Hukum Pidana, or KUHP), with its attendant death-penalty provisions, are almost as old as the country itself. Footnote 132 The KUHP has only been amended nine times since its promulgation in 1915 as the Wetboek van Strafrecht voor Nederlandsch-Indie (Criminal Code for the Netherlands Indies) under Dutch rule. Footnote 133 Redrafting attempts began in earnest in 1980 and resulted in the first complete draft in 1993. Footnote 134 However, the 1993 draft was never brought before the Indonesian legislature (Dewan Perwakilan Rakyat—People’s Representative Council, or DPR) and therefore never became law. The current version was introduced by the government in the DPR in 2013, and is still being revised and debated. Footnote 135 At the time of writing, progress appears to have stalled in light of domestic and international criticism of several controversial articles within the Bill, notably those criminalizing sex outside marriage, same-sex relations, insulting the president (lèse-majesté), and abortion (other than in cases of medical emergency or rape). Footnote 136 Nevertheless, the chances remain high that, in the near future, Indonesian law-makers will pass an entirely new Criminal Code—Indonesia’s first in more than a century.
Within the present RKUHP draft, the implementation of the death penalty as a judicial punishment is governed by Book 1 (General Principles), whereas the death penalty also appears as a punishment for individual crimes listed in Book 2 (Crimes). If the DPR proceeds to enact the current draft or something close to it, there will be three main changes to the general implementation of the death penalty within Book 1. All three changes show an effort to balance retentionist and abolitionist perspectives in the Indonesian legislature, government drafting body, and among the broader public. Footnote 137
The RKUHP’s first change will be the categorization of the death penalty as its own unique “special punishment” (pidana khusus) to be applied “alternatively, as a last resort” (Articles 67, 98) rather than as one of the “principal punishments” (pidana pokok) or “supplementary punishments” (pidana tambahan) (Articles 64–66) within Book 1. Footnote 138 In the existing KUHP, the death penalty is listed as a “principal punishment” (Article 10). Nevertheless, several sources cast doubt on whether this re-categorization would have any substantial impact on death-penalty practice in the future. Footnote 139 The death penalty is, after all, still retained as a maximum punishment for a wide variety of crimes in Book 2, including treason, premeditated murder, robbery resulting in death, and a variety of drug offences.
For present purposes, of greater potential significance are the second and third major changes in death-penalty regulations proposed by the RKUHP. These are the provision of a new “probationary” death sentence and the president’s ability to reconsider a clemency rejection. All three moves (designation as a special and alternative punishment, suspended execution, and clemency reversal) are now relatively uncontroversial among law-makers and the government’s drafting body. Footnote 140 It is therefore likely that the probationary death sentence will shortly become part of Indonesia’s formal death-penalty scheme.
5.2 The probationary death sentence and clemency-reconsideration provisions
The new provision shares many similarities with the Chinese provision and merits quoting at length. As at September 2019, the relevant sections of the RKUHP draft read as follows:
Article 100
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(1)A judge may impose a death sentence with a probation period of 10 (ten) years if:
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a. the prisoner shows remorse and the potential for rehabilitation;
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b. the role of the accused in the crime was not very significant; or
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c. there are mitigating factors.
…
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(3)The 10-year probation period begins 1 day after the court ruling obtains permanent legal force.
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(4)If the prisoner demonstrates commendable attitude and behavior during the probation period, the death sentence may be converted to life imprisonment by Presidential Decree, after obtaining an opinion of the Supreme Court.
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(5)If the prisoner does not demonstrate commendable attitude and behavior during the probation period and there is no prospect of rehabilitation, the death sentence may be executed on the order of the Attorney General.
Article 101
If the prisoner’s clemency petition has been rejected but, other than due to escape from prison, the death sentence has not been carried out for 10 years thereafter, the death sentence may be converted to life imprisonment by Presidential Decree.
In Bahasa Indonesia, the probationary death sentence described in Article 100, above, is widely known as pidana mati bersyarat (a conditional death sentence) or pidana mati penundaan (a suspended death sentence). Footnote 141 How it will operate is as follows. A judge passing the death sentence, whether at trial in a district court or on appeal, may suspend the execution of the sentence for ten years (but for no lesser or greater period), based on the criteria outlined in subsection (1)(a)(b)(c), including taking account of the community’s reaction to the crime “wherever possible.” Footnote 142 The word “may” in Article 100(1) suggests that the currently applicable death sentence, with no suspension period, will continue to exist alongside the probationary death sentence. Footnote 143 The prisoner’s attitude and behaviour will then be observed by prison officials during the course of the ten-year probation period, which begins after the judicial decision attains “permanent legal force,” meaning either when the Supreme Court has disposed of the cassation appeal or when the prisoner has abandoned appeals or is out of time (Butt and Lindsey, Reference Butt and Tim2018, p. 99). The present subsection (3) suggests that death-row prisoners’ final procedural options—case reopening by the Supreme Court (peninjauan kembali) and petitioning for executive clemency to the president of Indonesia (grasi)—will take place during the currency of the ten-year probation period (Pascoe Reference Pascoe2019b).
After ten years’ detention, a second decision becomes due, on whether the probation period has been successful, based on the criteria set out in subsection (4). The legislation implies that, for cases where courts choose the probationary-death-sentence option, executions will be few and far between. Footnote 144 The September 2019 draft lists the president of Indonesia as the final decision-maker on sentence reduction, in contrast with the minister of law and human rights, who bore this responsibility within the 2000, 2013, and 2016 drafts. It was only in 2017 that the president assumed the final decision-making power over mitigation, and only in the 2018 draft that the Supreme Court was called upon to provide mandatory advice to the president, mirroring the position for executive clemency, in Article 14(1) of the Constitution of Indonesia 1945. Indeed, several interviewees suggested that the reason for the shift to the president as final decision-maker is that only the head of state should have the power to alter a finalized judicial decision, as with the clemency power in Indonesia’s Constitution. Moreover, given that the Supreme Court’s decision to leave the death sentence in place on appeal (or to impose it in the first place) is the ruling being affected, the Supreme Court itself must be consulted. Footnote 145
The second means of restricting execution that the RKUHP proposes might be more appropriately labelled a “second chance for clemency” from the president, albeit without a formal request or petition. If, despite the prisoner not receiving a probation period as described above, the death penalty is not executed for a total of ten years (for any reason, other than due to escape from prison), then the president may alter the death sentence to life imprisonment by decree. This provision serves a redemptive function similar to that of the probation period in Article 100. Article 101 provides the prisoner a lifeline long after clemency has been rejected, although this new presidential power should be interpreted as a concession to humanity after a long period spent on death row, rather than as a legislative attempt at incentivizing rehabilitation. Footnote 146 Current death-row prisoners are restricted to a single opportunity to apply for clemency, and the Indonesian president one opportunity to grant it, even if a prisoner has not been executed after many years on death row. Footnote 147 The wording of Article 101 suggests that the section may benefit existing long-term death-row prisoners, and not merely those prosecuted or sentenced after the Bill is passed. Footnote 148
5.3 China’s influence
What is the origin of the reforms contemplated by Articles 100 and 101? Indonesia’s proposed probationary death sentence certainly bears a strong circumstantial resemblance to China’s suspended death sentence—a similarity that Indonesian scholars themselves have noted. Footnote 149 This resemblance notwithstanding, one prevailing—and mistaken—view is that the drafters of the RKUHP borrowed the idea from the Constitutional Court in Sianturi v. State—a 2007 ruling upholding the constitutionality of capital punishment for drug offences. Footnote 150 In his opinion in Sianturi, Chief Justice Jimly Asshiddiqie did suggest a number of potential death-penalty reforms to the legislature including a ten-year probation period and the designation as a “special” punishment. Footnote 151 However, in reality, these suggestions are themselves borrowed, appearing in earlier drafts of the RKUHP as early as 1993. This point is openly acknowledged in the judgment itself, which cites expert opinion by Indonesian criminal-law scholars Dr Rudi Satrio and Dr Mudzakir, referring to the contemporaneous RKUHP draft. Footnote 152
So where did the Indonesian proposal for a “probationary” death sentence come from? It came from China. Indonesian policy-makers may in fact have learned about China’s use of suspended execution in 1980, at the Sixth United Nations Congress on the Prevention of Crime and the Treatment of Offenders, in Caracas, Venezuela. Seventy-four national delegations to the Congress presented data, outlining, among other matters, various legal tools to make capital punishment more humane. Among these mitigatory options were methods to delay execution or to mitigate the penalty altogether. Footnote 153 There is no documentary evidence that the list of measures presented included the PRC’s sentence of suspended execution. However, both Chinese and Indonesian delegations were present at the Congress. Footnote 154 In a conspicuous coincidence, the PRC had just promulgated its first Criminal Law (1979) the previous year and, as discussed above, suspended execution features prominently in it. It is likely, although we have no direct evidence to support this claim, that the Indonesian delegation left the Congress replete with new policy ideas such as to suspend the execution of death sentences for a limited period of time while observing prisoner rehabilitation.
Regardless of whether Indonesian policy-makers first encountered suspended execution in Caracas in 1980 or slightly later, they did get the idea from China. Interviewees confirm that the suspended-execution provisions that first appeared in the 1993 draft of the Indonesian RKUHP were based upon research on the 1979 PRC Criminal Law conducted by Professor Muladi Footnote 155 and his fellow drafters during the mid-1980s. Footnote 156 Whether the original catalyst for its adoption was an earlier interaction at the UN Caracas Congress or not, the history of the proposed probationary death sentence may therefore be traced directly back to Article 43 of the 1979 PRC Criminal Law, as well as earlier drafts of what eventually became the 1997 PRC Criminal Law. Footnote 157 In adapting the idea from the PRC, Footnote 158 during the 1980s and early 1990s, the Indonesian drafting team saw a ten-year probationary period as an ideal way to balance retentionist and abolitionist perspectives among different drafters. Footnote 159
While the PRC may have been an inspiration for Indonesia’s early death-penalty-reform proposals, there is scant evidence to link the present Article 101, enabling prisoners with a “second chance” at clemency, with PRC policy. Instead, to a certain extent, this provision codifies a long-established Indonesian practice whereby prisoners whose clemency appeals have been rejected by previous presidents are left on death row indefinitely if their execution is not deemed a political priority. Footnote 160 Although the Article 101 provision loosely resembles the situation in several common-law jurisdictions whereby the courts have barred executions on human-dignity grounds, following excessive delay, Footnote 161 it is instead an Indonesian domestic-policy invention, designed to prevent “double punishment.” Footnote 162 In any case, the Indonesian drafting body could not possibly have borrowed this policy idea from the PRC itself, given that China has never made functional use of executive clemency in death-penalty cases since 1949. Footnote 163
5.4 Conclusion
As with the situation in Vietnam, we can see the long shadow cast by the PRC in recent Indonesian death-penalty-policy debates. Yet, the PRC influence on suspended-execution proposals in Indonesia seems both attenuated and unintentional. Drafters of the RKUHP “borrowed” the idea of a death-penalty probation period from the PRC so early on that many contemporary commentators no longer recognize its origins. As with other key elements of Indonesia’s capital-punishment system, such as execution by firing squad, Footnote 164 and the president’s constitutional power to grant clemency to death-row convicts, Footnote 165 the probationary-death-sentence model has been adopted from outside of Indonesia. The frequency and diversity of Indonesia’s borrowing practices in the area of capital punishment do not indicate that there is anything particular, or particularly important, about China’s penal influence there. Balancing different political positions on the death penalty and finding a unique retentionist solution has been endorsed as the “Indonesian way,” Footnote 166 reflecting a deep-seated cultural preference for collective decision-making and “consensual deliberation.” Footnote 167 However, as this section has demonstrated, one of the central pillars of proposed death-penalty reform in Indonesia does not have indigenous origins—it is, in fact, a transplant from another jurisdiction further north—the PRC.
6. Discussion
6.1 Where?
What can we learn from the cases of these four countries that have considered adopting suspended execution? Our first observations concern the where of suspended execution. The four countries on our list all retain capital punishment and are all currently active executioners. Otherwise, they have little in common. Our list contains both democratic and communist states; civil-law and socialist-law traditions; it includes a state (Taiwan) so culturally close to China that the PRC considers it sovereign territory and another (Indonesia) that broke off diplomatic relations with China entirely between 1967 and 1990. It contains states with a variety of religious faiths, including Buddhism, Taoism, Shinto, and Islam. It contains one archipelagic nation that is the fourth most populous country on Earth (Indonesia) and another island nation with a population smaller than that of Shanghai (Taiwan). Only one of the four countries in question (Vietnam) has a land border with China; of the other six retentionist countries that do share a land border with China, none has introduced suspended execution. In short, within Asia, our four examples are dissimilar in many ways, although they are each broadly classifiable as forming part of the subregions of “Southeast” or “East” Asia. We are not aware of any South Asian, Central Asian, or Middle Eastern nations that have seriously considered adopting the PRC’s policy of suspended execution.
The most straightforward observation about the where of suspended execution may also be the most important: in relation to China, these countries are all over the map, both literally and figuratively. Indeed, we found no evidence that China is promoting the sanction abroad through either hard-power coercive techniques or soft-power policy guidance. Footnote 168 Nor did we identify a Chinese ideology or hegemonic political logic—like the US’s promotion of neoliberalism Footnote 169 —that accounts for consideration of these policies. In the language of legal diffusion, we do not see evidence of “coercion.” Footnote 170 This finding makes sense. As the world’s leading executioner state—and a country that endures sustained international criticism for that distinction Footnote 171 —China takes a firm position that capital punishment is an internal affair of state. Footnote 172 There is little reason to think that China would draw additional attention to its domestic death-penalty policies by peddling them elsewhere.
Although we find no evidence that China is promoting suspended execution, in all four cases, the host countries recognize China as the point of origin for suspended execution in their policy discussions. This is explicit in published materials on the proposals in Taiwan, Japan, Vietnam, and Indonesia, and is supported in related field interviews. Footnote 173 Indeed, Indonesia, Japan, Taiwan, and Vietnam each deliberated on the Chinese practice of suspended execution before choosing to adopt or reject a variant of it. In the academic literature, this style of legal transmission in which countries evaluate the efficacy of policies in other jurisdictions before adopting a variant for themselves is sometimes termed a “learning” or a “borrowing” mode of conveyance. Footnote 174 This finding is important because it engages the reasoning employed by scholars who advocate for suspended execution—namely that other countries might “emulate China” by adopting suspended execution. Footnote 175 Other accounts of legal transmission notwithstanding, in the case of suspended execution, the four countries we identified did in fact look to learn from China, but did so with trepidation. In the cases of Taiwan and Japan in particular, the Chinese pedigree of the sanction was a mark against it.
6.2 Why?
The lessons that other countries draw from China’s suspended execution bring us to our second set of observations: the why of these proposals. Although it has been suggested that foreign jurisdictions might be attracted to suspended execution as a mechanism to reduce executions because of PRC success in this area, Footnote 176 we find that the empirical evidence for this hope is thin. It is worth reiterating that, while suspended execution has a long history as a diversionary capital sentence, it only gained international prominence as a policy to constrain capital punishment in the early 2000s when the Supreme People’s Court actively deployed it for this purpose. Footnote 177 If this policy association were the sanction’s most salient feature, we might expect to see more states considering the policy over the last decade. That is, the when of suspended execution is indicative of the why. If jurisdictions entertained suspended-execution proposals since China’s twenty-first-century death-penalty reforms, that would be strong circumstantial evidence of the influence of reform in policy appeal. Instead, we find that three of our four cases predate China’s reforms.
In fact, one feature that makes suspended execution so attractive as a method of reducing executions—its symbolic value as the “the death penalty that isn’t”—may make it less appealing to jurisdictions looking to change the course of capital-punishment policy. Footnote 178 This is particularly the case for states with civil-society constituencies that categorically oppose the death penalty. Under an abolition-minded administration, Taiwan decided not to adopt suspended execution because, although it mitigates executions, it still constitutes a form of capital punishment itself. Since the early 1990s, the abolitionist members of Japan’s National Diet who initially considered suspended execution have also come to the same view.
If suspended execution is unappealing to states with vocal abolitionist constituencies, does it at least appeal to reductionist retentionist states? Indonesia is an ambiguous case. Joko Widodo’s present administration remains keen to execute drug traffickers in particular, whereas the country’s consideration of suspended execution derives from the early to mid-1980s—a period when China was still executing at a furious pace, despite the existence on the books of suspended execution. Footnote 179 We find no evidence that policy-makers in Indonesia have reconsidered suspended execution in a new light following China’s own success with the sentence as a tool of death-penalty reform. Indeed, Indonesia’s retention of suspended execution as a policy idea owes more to maintaining a political compromise between the retentionist and abolitionist blocs in the RKUHP drafting body and the legislature, rather than any overt desire to further restrict the country’s already sporadic execution practice.
Only Vietnam embraced suspended execution after China’s death-penalty reform. Yet, the case of Vietnam illustrates that suspended execution may appeal to jurisdictions for reasons other than reducing executions. Vietnam—a high-volume executioner—sees suspended execution as a policy prescription for a different reason: recovering state assets lost to corruption. That is the reason that Vietnam’s suspended-execution model looks noticeably different from China’s, Indonesia’s, and the earlier Japanese proposal. The threshold for commutation is much higher, requiring restitution of two-thirds of the funds embezzled, and the only crimes that are eligible for suspension contemplating mitigation are white-collar offences. However, as we noted above, Vietnam’s scheme ultimately falls within our broad definition of “suspended execution.”
Comparing Japan, Taiwan, Indonesia, and Vietnam raises a conundrum: nations with vocal constituencies committed to abolishing capital punishment may pass over suspended execution precisely because it leaves the death penalty in place; meanwhile, in retentionist states with less explicit abolition goals, suspended execution may appeal only where it can serve other policy ends while leaving capital punishment intact, much like in China itself. In Japan, abolitionist politicians and attorneys now tend to view suspended execution as an unwarranted continuation of capital punishment deriving from an authoritarian state. In Taiwan, the minister of justice during President Chen Shui-bian’s second term, Morley Shih, floated the idea to introduce suspended execution in keeping with the administration’s goal of doing away with the death penalty. However, the proposal was rejected by both death-penalty opponents and national-policy analysts because suspended execution did not go far enough: while suspended sentences might divert some capital verdicts, a suspended-execution regime requires the continuance of capital punishment. During President Chen’s administration, Democratic Progressive Party law-makers and civil society in Taiwan were evidently unable to see suspended execution as an incremental step towards de jure abolition—the equivalent of well-established measures such as reducing the number of capital crimes, exempting certain individuals from the scope of capital punishment, pardoning offenders en masse, or even imposing a formal moratorium on executions. Footnote 180 That is entirely understandable, given the origins of suspended execution in China, by far the world’s most aggressively executing state.
A form of suspended execution has so far only been adopted by two nations (Vietnam and Indonesia) that intend to keep using capital punishment in the medium term. Their motivations are quite different from Taiwan’s under Chen Shui-bian. In Vietnam, as mentioned, the state’s limited form of suspended execution is a means of recouping state funds lost in massive incidents of corruption. Vietnam’s persistently high execution rates demonstrate that, irrespective of apparent reductionist measures directed at an international audience, Footnote 181 the state does not presently intend to move towards eventual abolition. The country’s adoption of a very limited form of suspended execution is also explainable by the ready availability of executive clemency as a potential safeguard against excessive execution totals, and as a means of achieving other utilitarian outcomes for the state, such as ensuring the co-operation of defendants with investigators and the maintenance of close international relations with abolitionist states whose citizens find themselves on Vietnam’s death row. Footnote 182
In Indonesia, where the country’s large population, Islamic majority, conservative courts, and populist electoral politics may also prevent the abolition of capital punishment in the medium term, Footnote 183 suspended execution has long been proposed as a means of (1) reconciling abolitionist and retentionist political blocs; (2) paying heed to the cultural preference for negotiated, “middle-way” outcomes; and (3) contributing towards the decolonization and (purported) indigenization of the state’s Dutch-era Criminal Code. Footnote 184 Although the first two of these objectives speak broadly to death-penalty reductionism, suspended execution in the guise of the RKUHP’s “probationary death sentence” is not intended to be a precursor to de jure abolition. Footnote 185 If anything, once the RKUHP is passed by the Indonesian legislature, capital punishment will become further entrenched within Indonesia’s criminal justice system.
6.3 How?
The final, and most complex, question we ask in this section is how each of the schemes works, particularly for the jurisdictions that have chosen to adopt some variant of the Chinese model: Vietnam and Indonesia. Footnote 186 The question of how suspended execution is structured is a technical one; it is also in these details of implementation that the rubber hits the road as a tool of death-penalty reduction or staged abolition.
In comparing the legal architecture of the three models under analysis here (China, Vietnam, and Indonesia), at least six features are relevant: (1) the offences to which the sentence applies; (2) which decision-maker suspends execution; (3) the criteria for suspension; (4) the length of suspension; (5) the criteria for formal mitigation of punishment; and, finally, (6) the identity of the decision-maker on mitigation. Although the Chinese, Vietnamese, and Indonesian policies differ on each of the six components identified, common among all three schemes is that the sentence of suspended execution remains a formal death sentence, albeit subject to a compulsory postponement for a non-indefinite period, complete with an assessment based on the defendant’s behaviour to determine whether to formally commute the sentence at the end of the suspension period.
How do the sentencing schemes differ? The first and most obvious difference concerns offences. The Vietnamese scheme differs from its Chinese and Indonesian counterparts in that it only applies to bribery and embezzlement, rather than to murder and drug trafficking, which form the most common capital offences, not only in the PRC and Indonesia, but also in Vietnam itself. Footnote 187 As described within the preceding subsection, the reason for Vietnam’s adoption of suspended execution (to recover state funds lost through white-collar crimes) serves to explain its distinct statutory model. The Vietnamese legislature did not aim to substantially reduce execution totals by amending the Penal Code in 2017. Instead, the purpose of the Vietnamese scheme is only to address the hot-button concern of lost state assets. It would be almost impossible to develop a suspended-execution system under the same auspices in a retentionist jurisdiction like Indonesia, where death sentences are, in practice, only passed for murder, drug offences, and terrorism, rather than for white-collar crimes. The Vietnamese Amendment’s closest analogy in murder cases across the retentionist world is the victim-perpetrator pecuniary reconciliation agreement, which can result in a suspended death sentence in China (sometimes known as “cash for clemency”), or in a lesser prison sentence, or even in an outright pardon in parts of the Islamic world. Footnote 188 It is worth noting again that, in 2015, China instituted its own one-off punishment for corruption: whole-life imprisonment. However, the Chinese penalty of whole-life imprisonment is in fact legally structured as an enhancement following a suspended-execution sentence. Footnote 189
The second characteristic feature of the schemes under study is the decision-maker. In Indonesia, as with the PRC and the abandoned Japanese proposal, it will be a panel of sentencing judges who make the initial discretionary decision on a suspended-execution sentence. The Indonesian proposal formally adopted judicial decision-making on suspension only in 2018, with the previous position being uncertain on the face of the legislation. Footnote 190 Article 48 of the PRC Criminal Law also clearly designates courts. The Vietnamese provision is different still, with the contingent reprieve not requiring any action on the part of the sentencing judge, nor any confirmation by the executive. As soon as a death sentence is passed for a corruption or embezzlement offence, the defendant is entitled to mitigate the death sentence if he or she is able.
Although both the Indonesian and the Chinese sentencing courts enjoy front-end discretion as to whether execution should be suspended or not, under the present Chinese model, there is very little back-end discretion. So long as the prisoner does not commit an “intentional crime” (guyi fanzui) under “heinous circumstances” (qinglie elie) in prison during the two-year probation period, the execution will not go forward and the death sentence will be converted into a sentence of incarceration of indeterminate length (wuqi tuxing). Footnote 191 If the prisoner performs “major meritorious service,” then the sentence may be directly commuted to a fixed term of 25 years. Footnote 192 Even if the prisoner has in fact committed a new intentional crime under heinous circumstances during the period of suspension, a submission must be made to the Supreme People’s Court for further direction.
The position of prisoners in the proposed Indonesian system will be far more fraught than with the PRC, given the much longer period under observation (ten years) and the more subjective definition of rehabilitation itself, as “commendable attitude and behavior” (RKUHP 2019, Article 100(4)). Certainly, the commission of a felony in prison is likely to fail the test, but Article 100(5) also envisages more ambiguous situations where the prisoner fails to demonstrate good behaviour during the ten-year probation period, has no prospect of doing so in the near future, and thus is executed. In this respect, the present Indonesian proposal more closely resembles the earlier 1979 PRC Criminal Law that the Indonesian drafters originally borrowed from, which was more ambiguous and required repentance (huigai) as a condition of commutation.
As noted, the length of the suspension period in China is the shortest of any of the systems under study, at two years. In the failed Japanese proposal, the probation period was set at five years, Footnote 193 whereas, in Indonesia, prisoners will be under observation for a full decade. For future death-row prisoners in Indonesia, the effects of the proposed new law are difficult to predict—ten years provides far more opportunity to demonstrate remorse and rehabilitation, for the executive to sour on capital punishment, and for foreign and civil society lobbying to mitigate the sentence. Footnote 194 However, ten years also provides more time for things to go wrong (such as committing further crimes in prison), not to mention exacerbating the “death-row effect”—that is, the cruelty of an uncertain and hopeless wait for execution—which was the very reason that the RKUHP drafting team incorporated the complementary “second chance at clemency” provision. Footnote 195
The main justifications suggested for the much longer probation period in Indonesia are a need to balance retentionist and abolitionist factions among drafters and politicians Footnote 196 and the need for a necessarily lengthy period during which a prisoner’s remorse and rehabilitation might be observed. Footnote 197 Several interviewees believed that two years would not be long enough to observe significant changes in behaviour. Footnote 198 The ten-year period in Indonesia’s suspended-execution proposal also has a practical significance. Conditional release (parole) is granted by the minister for law and human rights for good behaviour and rehabilitation in prison, and may reduce time spent incarcerated by a up to a third. Footnote 199 Within the present RKUHP draft, the maximum length of fixed-term imprisonment absent aggravating factors is 15 years (Article 68(2)), two-thirds of which is ten years, hence a proposed probation period of the same length. Footnote 200
This takes us to the operation of the Vietnamese provision. Unlike in the PRC (two years) and Indonesia (ten years), the length of the suspension period is undefined for corruption and embezzlement cases. It may take some time for a prisoner to raise or to liquefy the funds so as to pay back the state for the money stolen. Moreover, an opportunity to “closely cooperate … with the authorities” might not arise until after several years on death row. Footnote 201 Setting an artificial deadline would only reduce the chances of repayment and co-operation, thereby compromising the very object of the scheme. Indeed, with the amount of money involved in embezzlement from state-owned enterprises in Vietnam and the complexity of such investigations, Footnote 202 a typical defendant might not meet the set conditions for the equivalent length of time as the PRC’s (active) or Japan’s (abandoned) suspension period. Footnote 203 Yet, at the same time, the period available for capital prisoners to justify mitigation is non-indefinite. The Vietnamese authorities made a conscious decision to retain capital punishment for white-collar offences in 2015, and presumably reserve the right to keep enforcing it. Absent empirical data, the practical operation of the Vietnamese suspended-execution provision, including the percentage of white-collar cases that are commuted and the length of time it takes successful prisoners to fulfil the conditions of the new Article 40, remains a topic for future academic inquiry.
Finally, as with the Indonesian proposal, and in contrast to the PRC’s established practice, Footnote 204 for mitigation of punishment, the Vietnamese scheme depends not on judicial verification, but rather on the executive branch. In Indonesia, it is not the prosecutorial equivalent, the Attorney-General’s Office, Footnote 205 but rather the president himself who commutes the death sentence, albeit after considering the advice of the Supreme Court (RKUHP 2019, Article 100(4)). The Indonesian drafters’ greater concern over the separation of powers eventually led them to reallocate the power to mitigate suspended death sentences from the minister of law and human rights to the president. Footnote 206 With the Vietnamese authorities evincing less of a concern in blurring judicial and executive functions, Footnote 207 plus with the more technical criteria that prisoners must work together with law enforcement to satisfy, in Vietnam, leaving the national leadership out of the decision-making process was the best solution.
7. Conclusion
In this article, we investigated the introduction of suspended execution—a Chinese legal innovation—in jurisdictions beyond China. We identified four jurisdictions that have considered suspended-execution proposals. Two of those jurisdictions (Vietnam and Indonesia) embraced suspended execution in some modified form, while two jurisdictions (Japan and Taiwan) rejected it entirely. No jurisdiction imported the Chinese practice whole cloth.
We initially supposed that China’s growing international influence and well-publicized death-penalty reforms might boost the appeal of suspended execution among China’s regional neighbours. Our findings refute that hypothesis. In both Japan and Taiwan, democratic retentionist jurisdictions with strong abolitionist constituencies, suspended execution’s Chinese provenance was a mark against it. For policy-makers in these countries on both sides of the debate, China’s history of procedural laxity and high-volume execution was more salient than its recent reforms. Meanwhile, committed retentionists in Indonesia and Vietnam were not enticed to consider suspended execution as a result of China’s reforms because these countries were not looking for mechanisms to reduce execution totals. Indeed, Vietnam is the only country in our study that considered suspended execution after China’s death-penalty reforms. In Vietnam, suspended execution was appealing as a mode of recovering state assets, not as a mode of reducing state killing.
We also did not identify any other single alternative common point of origin that explains why suspended execution was considered (and modified or rejected) across all four of our cases. We did not, for example, find a particular UN resolution, global conference, regional trade agreement, geopolitical event, or international provocation that led all these countries to consider suspended execution. Nor did we find that these four countries all framed the discussion of suspended execution around a single emerging global norm, best practice, or international consensus. The circumstances of the debate over the adoption of suspended execution were particular to each country under consideration and varied across time, political context, and international conditions. This variation may be nothing more than the obvious path of policies that do not enjoy widespread adoption. But this heterogony could also point to something more particular: if death-penalty abolition is now the global norm, then debates about death-penalty practices in retentionist countries today may be unusually likely to be animated by specific national dynamics that overwhelm the influence of global trends. Footnote 208 It remains an open question for future research whether death-penalty practices in general are less likely to diffuse today than other penal laws and policies.
What is the future of suspended execution outside China? Does it have a role to play in the abolitionist movement, or will its spread perpetuate the death penalty in states that would otherwise have abolished or enforced moratoria? The limited evidence from this study is that suspended execution will tend to only appeal to countries that plan to keep executing, rather than nations seemingly on their way to abolition (e.g. South Korea). Vietnam intends to keep executing, and so does Indonesia. And Japan came close to adopting suspended execution at a time when it displayed reductionist, not abolitionist, characteristics. Footnote 209
Where might it be adopted next? Within East and Southeast Asia, where China has most cultural influence (and where many states still retain the death penalty), the range of potential adopters extends to states such as Myanmar, Thailand, Malaysia, Singapore, and North Korea. Yet, Thailand has good reason to maintain its existing system: to perpetuate the king’s authority and benevolence through individual and mass commutations in lieu of execution; Footnote 210 North Korea has shown few outward signs of modifying its penal policies or looking elsewhere for policy guidance. Footnote 211 Singapore is a possible adopter, given its famous aversion to executive clemency. Footnote 212 But, given its provenance from China, Singapore might also find suspended execution inimical to its “rule of law” governance ideology, Footnote 213 as with the abolitionist critics interviewed as part of this study in Indonesia, Japan, and Taiwan. If any, Malaysia and Myanmar seem the most likely to follow. Each are Southeast Asian states that have displayed some ambivalence over capital punishment in recent years, including concern over how retention and usage impact their international reputation. Yet, as social scientists, we know that the future is difficult to predict. Overall, we are doubtful that China’s model of suspended execution will find much future traction elsewhere in the region, or farther afield. For now at least, China is not selling the practice, and its neighbours don’t appear to be buying it.
Acknowledgements
The authors wish to thank Chihiro Arima, Herbert Cheng Ho Fai, Benjamin Chong Kin Chiu, Stephen Hesse, Mari Hirayama, Jasmine Ho Chieh Yu, Johann Koehler, Thomas Hung Chun Kit, David Johnson, Liu Renwen, Liam McHugh-Russell, Panwaroj Naviganuparp, Mike Nix, Trang (Mae) Nguyen, Genevieve Painter, Mai Sato, Keito Tachiiwa, Hal Tilemann, Alex Wang Jiang Jia, Chieri Yamamoto, and Maoko Yokouchi, as well as the editorial staff at the Asian Journal of Law and Society and the two anonymous reviewers. We also thank the many individuals who spoke with us about the death penalty in their countries during research for this project.