Category Archives: the hobbit

The Hobbit and Refugee Law

This guest post was conceived of by Piyali Syam and authored by Eric Jokinen. Piyali is Managing Editor of LLM Info, where she occasionally writes about Middle Earth legal problems as well. Eric got his J.D. at the University of Southern California, and was an associate at Proskauer Rose in New York before branching out and becoming a full time freelance writer. Thereafter, he somehow got involved in attempting to analyze the legal problems of fictional characters.


The Hobbit and Refugee Law

With the recent release of the movie The Hobbit: The Desolation of Smaug, we thought it would be interesting to offer a bit of legal analysis to go along with the film. The central story is one that involves the displacement of a group of dwarves from their homeland by a conquering dragon, and it made us wonder—what would happen to the dwarves under modern international refugee law? What about the dragon? And what of the dwarves’ treasure hoard? Below, I will attempt to answer some of these unique questions.

It’s tempting to say that this entire post is a flight of fancy, given that we’re talking about fantastical beings. But since it seems that just like real-world dictators, dragons don’t bother themselves with the dictates of international law, the parallels may be closer than you might think.

Background facts – the dwarves’ expulsion from the Lonely Mountain

According to Middle Earth lore, the dwarves were the first to inhabit the Lonely Mountain.  Originally, it was used as a mining colony. Over many years, however, it developed into a central stronghold of a major dwarvish kingdom.

The dwarves of the Lonely Mountain were a prosperous people, and their mining activity yielded an extraordinary amount of precious metals and gems. Unfortunately, this attracted the attention of Smaug, a fire-breathing dragon. One day, he attacked the Lonely Mountain, and killed and drove out the dwarves. The surviving dwarves, led by Thorin Oakenshield, fled and went to live in exile in the Blue Mountains.

Back to reality – basic international refugee law

Refugee law on Regular Earth is governed mainly by the Convention Relating to the Status of Refugees of 1951 and the Protocol Relating to the Status of Refugees of 1967, to which most nations are parties. The primary international organization tasked with facilitating the proper treatment of refugees is the United Nations High Commission on Refugees (UNHCR).

So, who is a refugee under international law? A person who:

  • Is outside his or her country of nationality or if he or she doesn’t have one, outside his or her country of former habitual residence;
  • Has a “well-founded fear of persecution” due to race, religion, nationality, membership in a particular social group, or political opinion; and
  • Is unable or unwilling to return to their former country and attempt to avail him or herself of the protection thereof.

If a person meets this definition, he or she is entitled to a number of protections. Even if a person does not meet the definition, however, principles of customary international law generally still provide that person with some protection. For example, the principle of non-refoulement provides that a person should not be expelled or returned to the “Frontiers of territories where his life or freedom would be threatened on account of his race, religion, nationality, membership of a particular social group or political opinion.” There is also the 1984 Convention Against Torture, which prohibits the forcible removal of persons to a country where there is a real risk of torture.

So, where do the dwarves stand?

The dwarves are in an interesting situation.

Assuming that the Lonely Mountain was a sovereign nation under the control of the dragon Smaug, the danger is clearly too great for them to return there. The probability is quite high that, if they attempt to return home, they will be killed. And it can be argued that this danger is due to their race, nationality, or even political view. Thus, it seems that they might be entitled to protection as refugees under the laws of Regular Earth.

But the dwarves aren’t seeking asylum, and this changes things.

If the dwarves wanted to stay in the Blue Mountains, or the Shire, it would be a different question. But everyone knows that a soft life in a hobbit hole with a dozen meals a day doesn’t suit the pleasures of the dwarves.  They prefer to occupy themselves with mining and smithing. Instead of settling somewhere new, the courageous lot decided to retake their mountain—thanks in part to the persistence of Gandalf the Grey, who is a notorious troublemaker or one of the saviors of the world, depending on whom you ask.

They’re not asking anyone to allow them to settle within their borders. Instead, they mainly need material support and safe passage through various nations. Sadly, however, many of their actions on this quest, as detailed in J.R.R. Tolkien’s novel The Hobbit, would probably lead to their lawful arrest.

Detention of the dwarves

Take, for example, the dwarves’ detention by the elves of Mirkwood. While it’s true that detaining a refugee is generally presumed to be inappropriate, this rule is fairly broad. It even covers refugees that enter a country illegally, provided that they’ve come directly from their homeland and present themselves to authorities without delay. There are certain exceptions, however. An authority may detain refugees if time is needed to make an asylum determination or to verify identity, to name a few purposes.

Unfortunately for the dwarves, by the time they reach Mirkwood, they’ve traveled through a number of nations (without so much as a single passport stamp). Accordingly, the elves of Mirkwood were probably within their rights to apprehend the dwarves after finding them in conflict with giant spiders. This provides them with an opportunity to control the situation while attempting to properly verify the dwarves’ identities and immigration statuses.

Voluntary repatriation

Okay, so the dwarves aren’t asking anyone for asylum. Amazingly, they actually want to return home. So what happens to those refugees who want to go back? Well, there is historical precedent for voluntary repatriation, but it generally requires the participation of the government of the country the refugees want to return to. And, like difficult regimes back here on Regular Earth, there are no indications that Smaug wants to pursue a repatriation initiative—which means that the dwarves’ only option to return home is war.

Could Smaug ever become the rightful “owner” of the territory of the Lonely Mountain?

Under U.S. real estate law, a person can become the legal owner of the real property of another by “adverse possession.” This requires the new owner to make use of the property for a certain period of time and meet a number of other requirements. In our hypothetical scenario, however, Smaug is a conqueror of a nation, so adverse possession may not be the right way to view the situation.

In the context of war, the so-called “right of conquest” once was a principle of international law that legitimized conquerors of nations. Now, however, “wars of aggression” (i.e., not for self-defense, but for territorial or other gains) are negatively defined in U.N. Resolution 3314, but are not illegal per se.

War crimes, however, are illegal. Murder is a war crime that Smaug is likely guilty of in connection with his taking of the Lonely Mountain. As a war criminal, he likely would not be allowed to remain in possession of the Lonely Mountain. This includes the loss of the masses of gold and jewels within it, along with the key symbol of dwarvish royalty, the Arkenstone.

The Hobbit Contract, Part 6

It’s been a long series, but we’re finally at the end of the contract, or at least of interesting parts to write about.  If you’re just joining us, here are links to parts one, two, three, four, and five.  In today’s concluding installment we’ll be talking about a few miscellaneous provisions and giving some thoughts on the contract as a whole.

I. A Security Interest

In an unusual change of tone, the contract contains a clause that is not in the Dwarves’ favor but rather in Bilbo’s:


This is a remarkable clause for two reasons (and not counting the semi-incomprehensible middle section).  First, apparently the Dwarves have volunteered to be liable for a total of a 3/14ths share if they fail to pay Bilbo a 1/14th share in the proper way (in gold of correct weight or in other payment of good quality and correct and proper measure) and in the proper time (within one year of the completion of the Adventure).  Second, the Dwarves pledge the entirety of their assets (or at least their tangible goods) as a security interest not just for the payment but for all of the promises made in the contract (e.g. provision of a pony, meals, etc).  Given how lop-sided the rest of the contract is, this is a most generous set of terms.

Or is it?  It could be that the Dwarves realize that if they fail to pay Bilbo it’s probably because they didn’t realize any significant profits.  And it’s not clear that the Company (as opposed to the Dwarves individually) has any substantial assets at the outset of the venture.  Each member of the Company seems to have brought their own tools, weapons, etc.  It’s also possible that the Company already pledged its assets as security in an earlier transaction, giving another party priority over Bilbo.  So this could be a hollow promise in more ways than one.

II. A Survival Clause

There is a curious clause that is repeated throughout the document, both in the main text and in the addenda and margins:

All conditions imposed herein are deemed to survive loss or destruction of this document, whether by accidental of wilful mishap, fair means or foul, and any reconstruction, re-wording, updating or improvements or additions made shall include a condition similar to this condition, notwithstanding any repetition  redundancy, overstatement or implication hereby recognized or disclosed.

This is an odd clause because the loss or destruction of a writing does not void the contract.  In fact, not only is the contract still valid, but “The loss or destruction of a memorandum does not deprive it of effect under the Statute [of Frauds].”  Restatement (Second) of Contracts § 137.  If the original is lost then the contents of the contract can be proven via an unsigned copy or by oral evidence.  I suspect, then, that this clause is really included for humor rather than for (fictional) legal effect.

III. Ownership of the Ring






IV. Closing Thoughts

On the whole the contract is pretty well written.  There are some anachronisms, unnecessary clauses, typos, and a small number of clear drafting errors, but given the contract’s length and its role in the film (which is to say not a huge one, especially in the particulars) it’s an impressive piece of work.  I do wish there had been less material obviously taken from a modern film contract*, but I can understand cutting a few corners here and there, and at least the filler is more-or-less apropos.  I congratulate prop-maker and artist Daniel Reeve on a strong piece of work.  A lesser studio or artist might have been tempted to go with several pages of lorum ipsum written in Cirth.  If you’d like an even more accurate replica of the contract, Weta’s online store has a version with hand-made touches by Mr. Reeve.

* If you have a copy, check out the larger of the two fold-outs.  Almost all of it could have come straight out of a film contract.

The Hobbit Contract, Part 5

After the first four parts of our ongoing series about the contract in The Hobbit movie we’re finally entering the home stretch.  Today we’ll take a look at a group of clauses dealing with disputes arising under the contract.  This is an important part of many contracts.  If you’re going to the trouble of creating a formal legal agreement, then you might as well contemplate what might happen if the deal goes bad.

I. Mandatory Binding Arbitration

Somewhat anachronistically, the contract contains an arbitration clause:




II. Choice of Language





III. The (Non-Existent) Choice of Law Clause


  • The contract was signed in the Shire.


IV. Attorneys’ Fees

Finally, the contract includes a clause regarding attorneys’ fees*:


This clause is notable because it tells us something about the (actual, non-fictional) writer of the contract.  They were very likely either been an American or at least were copying from an American contract.  In essentially every other Western country, the default rule is that the losing side pays (or at least contributes to) the winning side’s costs.  This is commonly called the English Rule, in contrast to the American Rule in which each side bears its own costs by default.  There’s nothing unusual about a clause like this in an American contract; in fact, they are pretty common.  But I think it would be unusual elsewhere.

* The precise spelling of “attorneys’ fees” is a matter of some dispute.  See Communities for Equity v. Michigan High School Athletic Assoc., 2008 WL 906031, n.1 (W.D. Mich. 2008).

We’ve probably only got one or two more posts about the contract to go.  If any of our readers have questions about the contract (maybe you bought a copy or read about it elsewhere) please let us know before we wrap up the series and we’ll try to include it.

The Hobbit Contract, Part 4


I. Signatures and Witnesses






II. Written Contract Required?



III. Non-disclosure Agreements

Next we have a non-disclosure or confidentiality clause:








The Hobbit Contract, Part 3


I. More Waivers

The next section is yet another waiver







II. Payment









III. Spoilers and Conclusion


Continue reading

The Hobbit Contract, Part 2


I. The Adventure and Consideration

Two clauses describe Bilbo’s primary obligations:





II. Defined Terms and Illegal Contracts




III. Contract Interpretation and the Limits of Liability Waivers




IV. Conclusion


The Hobbit Contract



So, without further ado it, let’s get to it.

I. The Contract in General





II. Entire Agreement Clauses and the Parol Evidence Rule









III. Additions and Changes







IV. The Severability Clause





V. Conclusion
