1. Introduction
1. Subsequent to the Parliamentary Assembly’s current
affairs debate held on 2 October 2007 on “The looming crisis facing
the European Court of Human Rights: urgent action needed”,
the Bureau of the
Assembly requested the Committee on Legal Affairs and Human Rights
to present a report on this subject. I was appointed rapporteur
on 12 November 2007. On 6 March 2008, I presented an outline report
to the committee, in which I proposed a change in the title of the
report. The committee accepted this proposal, as it was agreed that
there was a need to widen the scope of the topics to be covered
in the report. Hence – as the report’s new title suggests – in order
to guarantee the authority and effectiveness of the European Convention
on Human Rights (ETS No. 5, “the Convention”) system, discussion
of this subject must encompass not only issues directly connected
to the Court’s own functioning, but also closely linked subjects
such as the Council of Europe’s budgetary predicament, the domestic
(non-)implementation of Convention standards and the need for prompt
and full compliance with judgments of the European Court of Human
Rights (“the Court”).
2. This report should be seen as a contribution to the longstanding
debate on the future of the Convention system. It provides an overview
of measures taken in recent years to try to respond to the call
for reform of the system (Part 2),
to
ponder over how greater institutional efficiency and effective enforcement
of Convention standards can be attained, and provides “food for
thought” as to how the authority of the judgments of the Court can
be consolidated and reinforced.
I have, intentionally – and somewhat
arbitrarily –, decided to deal with “selected issues” (in Part 3)
which, in my view, merit the particular attention of the Assembly.
3. Since the Ministerial Conference on Human Rights in Rome,
in November 2000, several Council of Europe bodies, in particular
the Committee of Ministers, principally through its Steering Committee
for Human Rights (CDDH) and other working groups, have put substantial
time and effort into dealing with these subjects.
4. Most recently, these efforts materialised in the Interlaken
and Izmir
Conferences in February 2010 and April
2011 respectively (as well as the entry into force of Protocol No.
14 to the Convention (CETS No. 194) in June 2010). These developments
reflect the substantial efforts that have been, and are still being,
undertaken to attain the goals referred to above.
5. The aim of this report is not to repeat, in detail, or even
to summarise all the work undertaken on this subject. As indicated
above, I believe that we, as parliamentarians, should focus our
attention on issues which are of direct relevance to us in our work
and which merit the special attention of the Assembly. That said,
any work on this subject must be seen in the context of two major
“impediments” which few leaders in Council of Europe member states
are ready to openly confront: the issue of certain states’ insufficient
commitment to, not to say procrastination in, abiding by human rights
standards set in the Convention
and the Council of Europe’s
untenable budgetary predicament,
to which
can be added the need to strongly react to recent – often gratuitous
and inappropriate – criticism of the Court’s case law.
2. Overview
of the present situation
6. Since its entry into force in 1953, the European
Convention on Human Rights system has rightly been heralded as one
of, if not the most effective legal mechanism for the protection
of international human rights.
However,
it has also been recognised that the system’s ability to meet the
“challenges resulting from its own success” is vital to its continued
viability, namely finding the means to efficiently manage the influx
of cases that create a significant backlog in the Court’s docket
without losing sight of the Convention's fundamental purpose as
the collective guarantor of human rights in Europe.
In 2006, the backlog
stood at 86 000; now there are over 160 000 applications pending,
increasing at a rate of 20 000 per annum
. However,
too much emphasis should not, in my view, be placed on this. It
is important to re-focus discussions from obsessive concern with the
rising backlog of applications (around 95% of which could be disposed
of in just under two and a half years by single-judge formations,
on the basis of current rates of output),
accept
the political reality that the Court must concentrate on the quality
of its work and deal with the most important, urgent cases relating
to allegations of very serious human rights violations (see “the
Court’s priority policy”
),
and to remind ourselves that the Court control system is subsidiary,
in that human rights must first and foremost be guaranteed on the
domestic plane by states parties. In other words, if major structural/systemic
problems were resolved in six states, namely Italy, Poland, Romania,
the Russian Federation, Turkey and Ukraine, which together provide
for nearly 70% of all applications brought before the Court,
the
Court would be able to spend much more of its time on its principal
task as the judicial guardian of human rights in all of Europe.
This point was clearly made, already back in 2009, by the committee's
former chairperson, Ms Herta Däubler-Gmelin, when she wrote that
“the Convention system ... is in danger of asphyxiation: it is impossible
for the Court to render justice to all individuals (as recognised
by the existence of committee and single-judge procedures, a ‘fig
leaf’ that maintains the legal fiction of a judicial determination
of all applications); it is totally absurd for the Court and its
staff to waste time and effort in dealing with repetitive applications
[citing Italy, Moldova, Poland, Romania, Russia and Ukraine as ‘persistent
defaulters’, and the] failure of many states to provide appropriate
effect to their Convention obligations, haphazard implementation
of the 2000-2004 reform package and unacceptable delays in full
execution of Strasbourg Court judgments”.
Concentrating on the pros and cons
of reforming procedures with respect to the manner in which the
Court functions is – and I stress this point – not necessarily the
most urgent problem. The Convention system is overburdened, and
states, if they really wish to maintain the Court’s principal role
as the “guardian” of human rights standards in Europe, must concentrate
their efforts on ensuring effective protection of human rights on
the domestic, national plane. By so doing they would relieve the
Court of a caseload of a magnitude that no other international court
has been confronted with (and which it should not be required to
handle), and thereby provide it with appropriate conditions to undertake
its principal tasks, including the need to maintain and reinforce
the quality and coherence of its case law.
2.1. Role of the European
Convention on Human Rights
7. The Convention system currently ensures states parties’
conformity with the Convention’s standards principally, but not
exclusively, via individual applications. The original purpose of
the right of individual petition, which was initially optional (as
too was the Court’s jurisdiction), was to help “provide a collective,
inter-state guarantee that would benefit individuals generally by
requiring the national law of the contracting parties to be kept
within certain bounds”.
However, this understanding has evolved
into the current “individualised approach” in which each meritorious
complaint is specifically remedied. The entry into force of Protocol
No. 11 to the Convention (ETS No. 155) made mandatory the right
of individual application, enabling individuals direct access to
the Court, while also providing the Court with jurisdiction over,
in effect, all member states and all individuals under their jurisdiction.
Today, the right of individual application is regarded as an indispensible
tool for the maintenance of one of the strongest human rights enforcement
mechanisms in existence, and has additionally served to focus the
nature of the Convention as a “type of European Bill of Rights”.
8. The Convention can also be regarded as having a “quasi-constitutional”
mission, with responsibility in laying down common European human
rights standards and determining the minimum level of protection
which all states parties must observe.
In
performing such a mission, the Convention’s scope extends beyond traditional
treaty law.
The basic
tenets of this view are that the rights guaranteed by the Convention
are practical and tangible, and the Court’s application of the “living
instrument theory” in the interpretation of the Convention and its
protocols,
allows
it to keep pace with social change and the evolution of standards.
Moreover, although states parties
are not legally obliged to incorporate the Convention into domestic
law, they have all, without exception, chosen to do so, and any
domestic law decisions reached by domestic courts or state authorities
found to be incompatible with the Court’s case law must be duly
adjusted: see Articles 1, 13, 19, 32 and 46 of the Convention.
9. In recent years it has been argued that the Court should limit
itself to a “constitutional” role, reviewing only those individual
applications that apply generally and contribute to the establishment
of a European public order based upon human rights, democracy and
the rule of law.
However, non-governmental
organisations (NGOs), academics and lawyers with extensive litigation
experience, including a number of Court judges, are opposed to limiting
individual access to the Court, arguing that such a reform would
serve to undermine the legitimacy and fundamental purpose of the
Convention,
the crucial
link between the individual and the Convention system.
10. If the reality faced by the Convention system is considered,
it becomes obvious that this dual function is necessary, especially
for states that were admitted to the Council of Europe without having
first developed functional democracies and implemented the rule
of law,
and
which in effect require the “hands-on” supervision available through
the right of individual application. I strongly reaffirmed the position
taken by the Assembly on this point when, back in March 2007, in
San Marino, I stressed the need for the Court to preserve its dual
task – a “constitutional” mission in laying down common principles
relating to human rights (determining the minimum level of protection
that states must observe), and its key role of adjudicating individual
cases providing justice of last resort to applicants; the Court
is unique because of its direct “link” to the individual which lies
at the heart of the Strasbourg machinery.
2.2. Overload of the
Court
11. It must be admitted that the Court’s dual role within
the Convention system, as explained above, has led to a proliferation
of applications, causing substantial difficulties for the Court.
Such developments are, to a certain extent, inherent in any system
of international and even national control. At present, there are
over 25 000 cases pending before the Court, with more than 55 000
new applications allocated to a decision-making body each year,
while the Court is at best able to deliver slightly less than 2 000
final judgments per year.
More than 90% of these
applications are declared inadmissible, mostly as manifestly ill-founded,
and of the remaining admissible cases, more than 60% are repetitive,
or derive from the same cause of action as in cases previously ruled
to be in violation of the Convention. Given the volume of incoming
applications, the necessary filtering of inadmissible and repetitive
cases has resulted in the diversion of the Court’s scarce resources
away from meritorious claims.
12. Moreover, the origin of applications is heavily unbalanced,
with nearly 70% of pending applications originating from only six
states parties: Italy, Poland, Romania, the Russian Federation,
Turkey, and Ukraine.
These states have significant
structural or systemic problems linked to the dysfunctioning of
their domestic legal systems, including with respect to Convention
standards. The disproportionate number of cases originating from
these states also serves to perpetuate the backlog of cases pending
before the Court.
2.3. Report of the Group
of Wise Persons; the
Interlaken and Izmir Conferences
13. The Group of Wise Persons was requested by the Committee
of Ministers to analyse and propose reforms for the Convention system’s
control mechanisms and to build upon Protocol No. 14 in order to
remedy the issues discussed above. After a series of investigations
and hearings, the Group made several recommendations in its November
2006 report which, it believed, would relieve the Court of the overload
of complaints if implemented in concert.
14. These recommendations included: reforming the Convention to
allow the Committee of Ministers to amend the provisions on the
judicial system for greater flexibility in the reform procedure;
creating a new filtering mechanism, a judicial committee composed
of independent judges to serve as a buffer between petitioners and
the current Court by making final admissibility decisions on applications
referred to it by the Registry of the Court; bolstering “subsidiarity”
and the role played by domestic courts in enforcing the Convention
through the Court issuing advisory opinions on “fundamental questions
of general interest”, shifting the burden of remedying violations
of the Convention to the member states; and promoting the use of alternative
means of dispute settlement in lieu of judicial proceedings in appropriate
cases.
15. There have been several additional efforts at expounding these
proposals. Suffice it, for present purposes, for me to refer to
the Assembly’s participation in the San Marino Colloquy in March
2007 on “Future developments of the European Court of Human Rights
in the light of the Wise Persons’ Report”,
the Stockholm Colloquy in June 2008, entitled
“Towards stronger implementation of the European Convention on Human
Rights at national level”
and the Skopje Conference in October
2010, on “Strengthening subsidiarity: integrating the Strasbourg
Court’s case law into national law and judicial practice”,
and, of course, the Assembly’s
involvement in the two important High Level conferences on the Future
of the European Court of Human Rights in Interlaken, in February
2010, and in Izmir, in April 2011.
16. The Interlaken process, into which I have incorporated the
follow-up conference in Izmir in the context of the present report,
was debated by the Assembly in April 2010: see
Resolution 1726 (2010) on the effective implementation of the European Convention
on Human Rights: the Interlaken process.
The
Interlaken Action Plan sets out obligations for the Committee of
Ministers, states parties, the Court and the Secretary General with
regard to: (1) access to the Court and individual petitions, (2)
domestic implementation of the Convention, (3) examination of new
filtering mechanisms within the Court, reduction of repetitive applications,
(4) improving the internal structure of the Court and application
of the existing admissibility criteria for improved efficiency, (5)
the effective, transparent supervision of the enforcement of the
Court’s judgments, and (6) simplifying the procedure for amendments
of the Convention, to allow this to be done by the Committee of
Ministers.
In June 2010, Protocol No. 14 to
the Convention entered into force, facilitating the further consideration
of certain reforms pursued in Interlaken and recommended by the
Group of Wise Persons.
17. Thus far, the Committee of Ministers has adopted a recommendation
to member states on effective remedies for complaints regarding
excessively long domestic proceedings, and put into operation, in
January 2011, a “twin-track supervision system” that provides for
continued supervision of state execution of Court judgments, while
promoting subsidiarity.
The Court has
also implemented certain reforms. These include the single-judge
system to filter inadmissible applications (with the creation of
a filtering section for five states with respect to which most applications
are filed) and three-judge committees (for certain states under
Protocol No. 14
bis and the
Madrid Agreement on the provisional application of Protocol No.
14), the use of new admissibility criteria, all of which became
mandatory with the entry into force of Protocol No. 14, and an important
priority policy to determine the order in which applications are
dealt with, adoption of a new Rule 61 in the Rules of the Court
regulating the pilot judgment procedure to deal with systemic and
structural weaknesses and repetitive applications, and an information
campaign by the Court Registry to provide potential applicants and
their legal representatives with improved access to precedential
case law, including a practical guide on admissibility criteria,
available in four languages (with an additional eight language versions
being prepared). The Court Registry and government representatives
have also discussed potential measures to reduce the influx of applications.
Despite this progress, the reforms implemented to date have not
stemmed the flow of new applications and the growth of the backlog.
18. Most recently, at the follow-up conference in Izmir, it was
determined that short, medium, and long-term strategies must be
developed and implemented in order to advance and further develop
the “Interlaken process”.
A selected
number of issues which, in my view, merit consideration will be
discussed in Part 3 below. But before so doing, there is one puzzling
aspect with regard to the Izmir Conference which needs to be highlighted.
Despite the presentation made by the President of the Assembly at
the conference, highlighting the importance of the “parliamentary
dimension” in work undertaken on this subject by the Assembly and
state legislative organs,
the Izmir Declaration makes no mention
whatsoever of the need to involve national parliaments, and only
makes a passing reference to the Assembly when it refers to the
creation of the advisory panel of experts on candidates for the
election of judges to the Court. It is simply beyond my comprehension why
a proposal to associate more closely a key statutory body of our
Organisation, as well the legislative branch of state authorities
in the “Interlaken process” was not included in the text adopted
in Izmir.
This point was
reiterated by the Assembly itself, in its
Resolution 1823 (2011) “National parliaments: guarantors of human rights in
Europe”, adopted in June: “the Assembly ... regrets that the post-Interlaken
debate on the future of the Convention system does not sufficiently
take into account the potentially important role of parliaments
and deplores the silence of the Izmir Declaration in this respect”.
So when member states report to
the Committee of Ministers, at the end of this year, on progress
made in the implementation of the “Interlaken process”, we must
ensure that national parliaments, as well as the Assembly, are also
provided with the opportunity to scrutinise these reports.
2.4. Major stumbling
block: the Council of Europe’s budgetary predicament
19. Despite arguments to the effect that the moment is
not appropriate to discuss the Council of Europe’s difficult budgetary
predicament (when will it ever be?), I feel duty-bound to do so,
especially in the context of the Organisation’s now entrenched real
zero-growth rate. As already indicated in my report on the “Interlaken process”
back in April 2010, we parliamentarians have an obligation to bring
this matter to the attention of our respective countries’ political
leaders. The present situation is simply untenable, not to say suicidal.
I have undertaken some
additional comparative research on this subject.
20. The yearly cost, within the Council of Europe’s budget, of
hiring a judge at the European Court of Human Rights is estimated
to be €333 667,
which
is more than the annual contribution made by 15 member states.
In other words, the
contribution made by those states does not even cover the cost of
their own judge!
21. Also of interest is a comparison of expenditure undertaken
in respect of other international courts, (regional) bodies and
institutions, with the Court’s budget of €58.96 million and 630
staff members:
- The Fundamental
Rights Agency (FRA) is an independent body of the European Union,
established to provide assistance and expertise to the European
Union and its member states when they are implementing EU/Community
law on fundamental rights matters. It employs around 70 members
of staff and its tasks are to collect data
on fundamental rights, conduct research and analysis, provide independent
advice to policymakers, network with human rights stakeholders,
and develop communication activities to disseminate the results
of its work and to raise awareness of fundamental rights. It is
not empowered to examine individual complaints, have regulatory
decision-making powers, monitor the situation of fundamental rights
in the member states for the purposes of Article 7 of the European
Union Treaty, deal
with the legality of EU/Community acts or question whether a member state
has failed to fulfil a legal obligation under the Treaty. Its budget
for 2009 was €17 million, for 2010 it was €20 million, and for 2011 it was, again, €20
million.
- The Publications Office of the European Union is an inter-institutional
office whose task is to publish the publications of the institutions
of the European Union. In 2010, it employed 672 staff members and
its administrative budget was €90 million.
- The Court of Justice of the European Union (CJEU) is now
composed of three courts: the Court of Justice, the General Court
and the Civil Service Tribunal. In 2010, the total number of new
cases for all three courts combined was 1 903, the total number
of completed cases was 1 230 and the total number of pending cases
was 2 284. The total number of staff at the
three courts was 1 927 in 2010 and 1 954 in 2011. Its budget in 2010 was €330 million
and in 2011 it was €341 million.
- The International Criminal Tribunal for the former Yugoslavia
(ICTY) has concluded proceedings for 126 accused persons and has
ongoing proceedings for 35 persons. As of August 2011, it employed 919 staff
members and its budget for 2010-2011 was €209 million.
- The International Criminal Court (ICC) had a budget of
€103 million for 2010. This was based on the assumption
that the Prosecutor would conduct five active investigations and
up to three trials during 2010. A figure of
763 staff members was approved and it filled 686 of these.
These
figures can be compared to the total number of applications decided
by the Strasbourg Court in 2010 (41 183), the total number of pending
applications (139 650) and the resources at its disposal (630 staff members,
and a total budget in 2011 of €58.96 million) – far less than the
entire budget of the Publications Office of the European Union in
2010, less than a quarter of the budget of the Court of Justice
of the European Union in 2011, less than a third of the budget of
the ICTY in 2011 and roughly half the budget of the ICC in 2010.
These figures appear even starker when one takes into account the
number of cases being dealt with by the European Court of Human
Rights when compared with the number of cases dealt with by the
CJEU, the ICTY or the ICC.
22. And what makes matters worse is that every time the Court’s
budget increases (examples were provided in my explanatory memorandum
in the report on the “Interlaken process”), money has, in the past,
been transferred to the Court from the Council of Europe’s Programmes
of Activity budget, seriously curtailing and undermining the impact
of the Council of Europe’s other activities, including, for example,
the work of other major monitoring mechanisms and human rights training
programmes. Now that this policy of transfer has been stopped, the
Organisation’s budget may no longer be able to cope with the logistical
needs of the Court.
The Council of Europe’s budget
is very small, comparatively speaking; the Organisation’s tasks
are enormous. But there is not a word about these important issues
in either the Interlaken or Izmir Declarations. Instead of rigorously
pursuing, in member states, the urgent need to reinforce this –
comparatively speaking – fragile budgetary situation, the Committee
of Ministers does not appear to be too concerned. Hence the need
for the Assembly, as the other principal statutory organ of the
Council of Europe, to take a firm stand on this matter.
3. Selected issues
which merit consideration
23. As explained in the introduction, I do not consider
it necessary, or indeed useful, to undertake an in-depth analysis
of all the work that has been undertaken on the Court’s “authority”
and its effectiveness, be it on the governmental or intergovernmental
side, documents issued by the Secretary General, the Human Rights Commissioner,
the Court itself, or others within or outside the Organisation,
including contributions by NGOs; I refer the reader to material
cited in the first two sections of this memorandum. Similarly, I
have decided not to deal with a number of important issues that
have been thoroughly dealt with, in particular, in previous reports presented
to the Assembly by the Committee on Legal Affairs and Human Rights.
A number of reports, ranging from
the need to ensure the election of judges of the highest quality
onto the Court, non-compliance with interim measures issued by the
Court, European Union accession to the European Convention on Human Rights,
judicial corruption in certain states parties to the need to eradicate
impunity, are of particular relevance in this respect.
3.1. A reminder as to
what “subsidiarity” means
24. Member states must shoulder full responsibility to
ensure that human rights are respected and that their law and practice
conform to the Convention, and execute fully and in good time judgments
of the Court. Once human rights are efficiently and effectively
protected at the national level, in States Parties to the Convention, the
Court will receive fewer applications. If this cannot be achieved,
in the long run the Court will not have the capacity to deal with
the growing number of applications and this may well lead to a situation
in which “obstacles” are placed on individuals’ access to the Court.
This would be highly detrimental to the right of individual application
as we know it today. Hence the urgency in “convincing” those states
in which major and numerous human rights violations occur,
as well as in those in which
major structural problems exist,
to undertake firm corrective
measures. If this is not done, the Strasbourg Court will not be
in a position to dispose of applications within a reasonable time,
and at the same time to maintain the quality and authority of its judgments.
25. The Convention places primary responsibility on states parties
to secure fundamental rights and freedoms to everyone within their
jurisdiction (Article 1), and the Court should be seized only “after
all domestic remedies are exhausted” (Article 35, paragraph 1).
This is referred to as the principle of subsidiarity. Subsidiarity
and, to a certain extent, the related doctrine of a “margin of appreciation”
require that
the Strasbourg Court plays a complementary role to domestic court
decisions and legislation: states have the duty to integrate Convention
standards, as interpreted by the Court, within their own legal systems.
In other words, the principle of
subsidiarity has two aspects: one procedural, requiring individuals
to go through all the relevant procedures at national level before
seizing the Court, and the other substantive, based on the assumption
that states parties are, in principle, better placed to assess the
necessity and proportionality of specific measures. That said, a
state can and often does guarantee a higher level of protection,
and the Court obviously accords a certain latitude to the domestic
authorities to strike their own balance regarding Convention rights,
guided by the relevant European case law; but the Court has the
final say on the interpretation of the Convention in all cases brought
before it.
3.2. Absence of effective
domestic remedies still a major problem
26. At present, a number of states parties have been
unable – and in some instances have lacked the political will –
to fulfil their duty effectively to remedy violations of the Convention
within their domestic systems, as required by Article 13 of the
Convention.
The
Court and the Committee of Ministers have defined “effective domestic
remedies” as being accessible and providing adequate redress for
any violation that has already occurred or preventing the general
continuation of a violation.
However,
even when a judgment of the Court identifies a violation, the practice
often persists and remedies are either not available at all or not
applied to subsequent violations due to structural deficiencies
in national legal systems or due to political controversy.
This
undermines the efficacy of the Convention system and opens the door
to repetitive/“clone” applications.
27. The absence of effective remedies at domestic level is not
only the responsibility of governments (the executive), but also
that of legislative organs. It is too easy to point the finger at
others when we ourselves – parliamentarians – are (partly) to blame
for not adequately dealing with the structural problems in our countries. The
persistence of excessively long proceedings in civil, criminal and
administrative cases, in violation of Article 6, paragraph 1, of
the Convention, has been recorded in,
inter
alia, Bulgaria, Greece, Italy, Moldova, Poland, Romania,
the Russian Federation, Turkey and Ukraine.
This category of cases has become
one of the main sources of litigation before the Court since the
Kudła case in 2000, in which the
Court clearly reiterated that Article 13 requires domestic remedies
for such violations.
28. Moreover, the proliferation of Article 6 cases may actually
affect the quality of judgments issued by the Court. It has been
suggested that, in the effort to stay afloat, the Court assesses
such cases in a “quasi-automatic” manner, analysing each case “summarily”
rather than providing a full, in-depth judicial examination of each
case.
These problems
are further compounded by the variation of domestic legal systems:
newer democracies whose legal systems are confronted with serious
structural problems and states with established democracies in which
issues of the (in)efficient administration of justice are exposed.
29. States have found a variety of methods to comply with these
obligations. For example, in the Procaccini case, the Court indicated
that all states parties could follow the practice of those states
that have created dual domestic remedies for Article 6 violations,
combining compensation for victims with methods for accelerating legal
proceedings.
Likewise, recent Polish legislation
formulated to improve compliance with the Convention
has been deemed effective
by the Court
as it allows individuals to sue for
acceleration of proceedings, just satisfaction awards or to recover
restitutionary damages for breach of the right to a trial within a
reasonable time. Moreover, this law applies to applications that
predate its drafting which were filed before the Strasbourg Court
but are still awaiting admissibility decisions, allowing them to
revert to the domestic courts for adjudication. Such legislation
enables states to shoulder their own Convention obligations and
reduce the number of applications before the Court.
30. The Court judgments in the Procaccini and Scordino
cases demonstrate that
states parties enjoy “a margin of appreciation” in choosing the
manner in which domestic remedies are implemented; but it is not absolute
in that all remedies must fulfil certain generally accepted criteria.
Despite identifying both preventive and compensatory measures as
being the most appropriate, the Court also acknowledged that states
may choose to provide solely compensatory remedies, but that such
remedies must be administrated effectively and expeditiously.
Moreover, states may not choose exclusively
to put into place a mechanism for preventing delays in judicial
proceedings without redressing the harm done to the individual complainant.
States may also
base their choice of which measures to take to provide domestic
remedies, depending on which type of case they are dealing with.
In criminal cases, the Court has determined that taking into account
the length of proceedings during sentencing (as a mitigating factor)
can be an appropriate way to provide redress for Article 6, paragraph
1, violations.
31. While several states have drafted laws similar to the Polish
legislation that are aimed at complying with Article 6, this approach
has not been uniformly adopted, or, in some cases, not effectively
implemented.
For example,
the Italian
Pinto law, which
is similar in purpose to the Polish legislation discussed above,
is flawed to such an extent that it has done little to stem the
flow of Italian applications to the Strasbourg Court for Article 6
violations, and has even given applicants cause to add additional
Article 13 complaints to their cases for lack of a proper remedy.
32. At its recent meeting in Oslo, on 6-7 June 2011, the Committee
on Legal Affairs and Human Rights held a hearing on this subject,
during which one of the experts, Mr Dymtro Kotliar, conveniently
summarised the situation. According to him, the main structural
problems, principally due to states’ lack of political will to solve them,
are: excessive length of legal proceedings, non-enforcement or delayed
enforcement of final court decisions, unlawful or extended detention
on remand, deaths or ill-treatment which take place under the responsibility
of state authorities and lack of effective investigation thereof,
and poor conditions and overcrowding in detention facilities. As
concerns the excessive length of legal proceedings, in principle,
a reform of the whole judicial system is in many instances needed.
Alternative dispute resolution and time-limits for completion of
proceedings must also be envisaged. As regards deaths or ill-treatment
under the responsibility of state authorities, new sanctions and
changes in criminal legislation, as well as cultural changes within
the law enforcement bodies, are often necessary. At a general level,
he concluded that – in particular in a number of “new democracies”
– effective national remedies (such as an action for violation of
human rights or a civil compensation remedy) and oversight and preventive
mechanisms must be established without delay. For example, the Strasbourg
Court has held that a complaint submitted to a Constitutional Court
about the length of legal proceedings may constitute an effective
domestic remedy.
33. As my committee colleague, Mr Serhii Kivalov (Ukraine, ALDE),
will present a separate report on “Ensuring the viability of the
Strasbourg Court: structural deficiencies in states parties”,
I
have refrained from dealing with this important subject in detail
in the present report. However, it would be inappropriate for me
not to refer to one particular category of major structural problems,
namely those relating to grave human rights violations. As explained
by Mr Pourgourides: “it is simply unacceptable – for states belonging
to a European Organisation which considers itself the ‘Conscience
of Europe’ – not to take immediate and strong measures following
deaths or ill-treatment suffered at the hands of law enforcement
officials; the importance of eradicating impunity cannot be overstated,
not only in the North Caucasus region of the Russian Federation, although
this problem is the most virulent there, as shown by Mr Dick Marty’s
report.
Failure to implement judgments of
the Court in such instances gravely undermines the value of the
protection system established by the Convention”.
That
said, on the basis of the list of problems enumerated by Mr Kotliar,
it is obvious that a one-size-fits-all approach for improving domestic
remedies (for example, requiring state legislatures to draft similar
laws) is not appropriate. The Court recognises that states parties
require flexibility to operate within the bounds of their diverse
national conditions and legal frameworks. I should also like to
draw attention to Mr Kotliar’s insight that lack of political will
to solve certain structural problems (including those relating to
grave human rights violations, when there has been flagrant non-compliance
with a Strasbourg Court judgment), remains a major obstacle in certain
instances.
3.3. Need to enhance
the authority of the Convention and the Court’s case law on the
domestic plane
34. Considerable effort must still be made to have not
only the text of the Convention and its protocols available in all
the languages of the Council of Europe, but also the Court’s case
law. There is also a substantial need to introduce and, where necessary,
reinforce training programmes for, in particular, persons responsible for
law enforcement and the administration of justice. But above all,
in order to optimise the Court’s effectiveness and authority, it
is – in my view – now essential for the Committee of Ministers to
adopt a recommendation on the principle of res
interpretata (the interpretative authority of the Court’s
Grand Chamber judgments of principle within the legal orders of
states other than the respondent state in a given case).
35. The importance of
res interpretata is
a subject which has been broached within the Committee on Legal Affairs
and Human Rights on a number of occasions,
as well as by the
Court’s outgoing President, Jean-Paul Costa, when he wrote “[i]t
is no longer acceptable that states fail to draw the consequences
as early as possible of a judgment finding a violation by another
state when the same problem exists in their own legal system. The binding
effect of interpretation by the Court goes beyond res judicata in
the strict sense”.
Hence the need to integrate
the Strasbourg Court’s case law into national law and the judicial
practice of states parties beyond the (minimum) requirement of Article
46, paragraph 1, of the Convention.
36. The Interlaken Declaration of 2010 specifies, in its Preamble, “the subsidiary nature of the
supervisory mechanism established by the Convention and notably
the fundamental role which national authorities, namely governments,
courts and parliaments, must play in guaranteeing and protecting
human rights at the national level”. Also, the Interlaken Action
Plan calls on member states to commit themselves to taking into
account “the Court's developing case law, also with a view to considering
the conclusions to be drawn from a judgment finding a violation
of the Convention by another State, where the same problem of principle
exists within their own legal system”. (Point B. Implementation
of the Convention at the national level, paragraph 4.c).
37. It follows that, when the authorities in a State Party to
the Convention (the executive, the courts, the legislature) are
aware of standards stemming from the Court's case law in cases concerning
not only their own country but also other states, and these standards
are applied, this invariably has the potential for limiting the number
of applications brought before the Strasbourg Court. An increasing
number of examples exist in the practice of the states parties of
how the interpretative authority (
res
interpretata) of the Strasbourg Court is now taking root.
I will limit myself to providing just a couple of examples of legislative
initiatives taken in this context: the United Kingdom’s 1998 Human
Rights Act, Section 2, paragraph 1, which specifies that national
courts “must take into account” Strasbourg Court judgments – and
Article 17 of Ukrainian Law No. 3477–IV of 2006, which reads, “Courts
shall apply the Convention and the case law of the [European] Court
[of Human Rights] as a source of law”.
Hence,
the Court's case law – especially that of the Grand Chamber’s judgments
of principle – creates a body of law which encompasses “common European
standards” by which states, and in particular their judicial authorities,
are bound. This European supervision functions without prejudice
to the advisability of ensuring higher standards of human rights
protection, where possible (Article 53 of the Convention).
38. The issue of translation, publication and dissemination of
the Court’s case law is also of primary importance and, indeed,
often indispensible to ensure that the highest judicial organs of
state are able to take it into account. The Court’s case law is
available via the Court website’s HUDOC database
and is also published in a wide
variety of outside publications, in many languages, ranging from
ministerial bulletins and other official state publications, documents
issued by NGOs and a host of academic and commercial sources, to
a growing series of (links to) websites and blogs of variable quality.
And
although the use of only two official languages, English and French,
can facilitate work in Strasbourg, for those who possess a good
knowledge of at least one of these languages, reception of the Court’s
case law is far from satisfactory at the domestic level. National
judicial and administrative institutions, practising lawyers, academics
and the public at large should all be able to have (better) access
to the most important Court case law in their respective languages.
39. I tend to agree with the Group of Wise Persons (see paragraphs
13 and 14 above), that it is principally incumbent upon state authorities
to take responsibility for translation and distribution or publication
of at least extracts of the Court’s most important judgments in
member states. In this connection, I find the idea of the production
of an annual list of around five “must read judgments” supplemented
by another five that are country specific particularly interesting.
The use of such a limited list of cases,
which must be representative of the evolving case law, would diminish
the costs of translation significantly, irrespective of the question
of who will carry the burden of so doing.
It
follows logically that, if a state is required to translate a Strasbourg
Court judgment as part of the “general measures” foreseen in the
context of the execution of a Court judgment, by virtue of Article
46, paragraph 2, of the Convention, it is the defendant state itself
which must bear the cost of translation and ensure appropriate dissemination
of the text.
40. Renewed efforts are now also being undertaken in many states
to provide professional training courses on the Convention and the
Court’s case law for, in particular, judges, lawyers and persons
responsible for law enforcement and the administration of justice.
This work is often being undertaken in co-operation with the Council
of Europe.
For
instance, the HELP II Programme was launched in 2010 to assist national
training institutions of judges and prosecutors to incorporate the
Convention into their curricula for initial and continuous training.
It focuses
in particular on capacity-building of national training institutions.
However, unlike the initial programme of which it is a follow-up,
it
is limited to a relatively small number of states.
41. The Human Rights Trust Fund (HRTF), managed by the Council
of Europe Development Bank (CEB), was established in 2008
and supports the implementation
of the European Convention on Human Rights through two projects.
The first is aimed at removing
obstacles to the enforcement of domestic court judgments, as their
non-enforcement is one of the most frequent sources of violations
found by the Court in several states (discussed above
),
and is being implemented by six states. The second is aimed at contributing
to the execution of judgments of the Court by the Russian Federation.
This initiative
merits additional support, including from the CEB itself
. With more widespread
membership, the HRTF has the potential of becoming an important
forum for the funding, development and implementation of ECHR training programmes
within states parties.
This
HRTF could also, perhaps, help fund the secondment of judges/lawyers
at the Court’s Registry in Strasbourg from certain countries.
42. Finally, there are also important programmes run jointly by
the Council of Europe and the European Union. While the majority
of joint programmes are country-specific, there are also a number
of regional and multilateral thematic joint programmes regarding,
for instance, national minorities, awareness-raising on the abolition
of the death penalty, national minorities, as well as a programme
to strengthen democracy and constitutional development in central
and eastern Europe in liaison with the Council of Europe's European Commission
for Democracy through Law (Venice Commission).
3.4. Advisory Opinions:
a platform for judicial dialogue
43. In the Izmir Declaration of April 2011, there is
a specific section on “Advisory Opinions” which specifies, in part,
that “Bearing in mind the need for adequate national measures to
contribute actively to diminishing the number of applications, [the
Conference] invites the Committee of Ministers to reflect on the
advisability of introducing a procedure allowing the highest national
courts to request advisory opinions from the Court concerning the
interpretation and application of the Convention that would help
clarify the provisions of the Convention and the Court’s case law,
thus providing further guidance in order to assist states parties
in avoiding future violations”.
Although this has been
understood by some as an invitation to reopen the discussion on
the institution of “preliminary rulings” with respect to the Court
of Justice of the European Union, I see this as a request to revisit
the proposal already mooted by the Group of Wise Persons back in
2006,
namely to provide an
additional mode of dialogue between the highest national courts
and the Strasbourg Court.
44. Such a procedure, drafted as an Optional Protocol to the Convention,
would enable national courts to consult the Strasbourg Court with
regard to legal questions on the interpretation of the Convention.
These opinions would not be binding, but would carry considerable
authority, without in any way “interfering” with the right of individual
application (Article 34 of the Convention). As, on the intergovernmental
side, the arguments in favour and against this suggestion have already
–
and will now again – be analysed in some depth, I limit my comments
to indicating my support for this idea. This is certainly not a
priority issue, and it is a procedure which may generate at first
some extra work for the already overburdened Court. But it could
be limited to a narrow category of cases while applying to and potentially
enabling state-level resolution of a large number of issues, thus
preventing future repetitive applications to the Court. In effect,
the resolution of questions of interpretation of the Convention
would shift from
ex-post to
ex-ante, saving valuable Court resources. Moreover,
this one-time “delay” in national proceedings would have the advantage
of permanently resolving a question of interpretation, leading to
speedier resolution of parallel cases at the domestic level. Such
a procedure would also strengthen the link between the Court and
the states’ highest courts by creating a platform for judicial dialogue,
thereby facilitating the application of the Court's case law by
national courts.
3.5. Filtering of applications
and repetitive cases before the Court: the available options
45. In order to ensure that judges have sufficient time
to devote to cases which raise substantial or new and complex issues
of human rights law or involve allegations of serious human rights
violations warranting a full process of considered adjudication,
there is consensus that the filtering mechanism of single and three-judge formations
(which deal with “manifestly well-founded” cases), instituted by
Protocol No. 14, must be supplemented. The Evaluation Group, back
in 2001, referred to the need to have recourse to additional “standby”
judges,
while
the Group of Wise Persons, in 2006, advocated the establishment
of a completely new judicial filtering body (a “Judicial Committee”
of lower-ranking judges).
The Interlaken
and Izmir Declarations both called for the development of further
measures for effective filtering and the appropriate treatment of
repetitive applications.
46. It is not for me, in this report, to go over well-trodden
ground.
Instead,
I prefer to take a firm stand on this subject and suggest that,
for reasons which I outline below, much of this work ought to be
carried out by temporary judges and/or senior Registry lawyers.
A number of proposals have been mooted in this connection.
One suggestion, which seems
sensible to me, is that certain senior Registry lawyers, possibly under
the supervision of a judge, be given the competence to reject all
or some clearly inadmissible cases, cases which, it could be argued,
do not require (or even deserve) the considered attention of an
international judge.
47. A second suggestion is that filtering be entrusted to a new
category of judge, a variant of what was proposed by the Group of
Wise Persons. They would be devoted primarily, but not exclusively,
to this task. This approach would retain the judicial character
of decision-making, whilst liberating the time of existing, regular judges
for work on
prima facie admissible
cases.
48. A third suggestion, inspired by the
ad
litem judge system that exists at the International Criminal
Tribunal for the former Yugoslavia (ICTY),
is
making it possible for the Court to be reinforced with temporary judges.
Both the latter two proposals
involve a separate category of judge appointed for a limited period
and for a specific purpose, with the aim of enhancing the Court’s
judicial capacity. However, ICTY
ad litem judges are
primarily intended to discharge the same function as permanent judges
(although they may also act as reserve judges) and are required
to have the same qualifications. In both cases, such judges would
not be immediately operational. A filtering mechanism could combine
two or more of these suggestions.
49. The Interlaken Declaration also called on the Committee of
Ministers to consider whether repetitive cases could be handled
by judges responsible for filtering. This could, of course, be envisaged
for the last two categories, but not for Registry officials.
50. It is noteworthy, in this connection, that the Court has indicated
on several occasions that its case-processing capacity could be
substantially (but not sufficiently) increased even before the adoption
of a new mechanism, by increasing the staff of the Registry. In
any case, no new system of filtering could significantly augment
the Court’s decision-making capacity without including additional
Registry staff to prepare decisions, unless at the cost of work
on other, higher priority cases – which would surely be counter-productive.
51. If senior Registry lawyers were not appointed to undertake
this work, how exactly, and by whom, would the judges be nominated
and chosen? What role, if any, would or should the Assembly play
in such a situation? Also, budgetary considerations will need to
be borne in mind. In this connection, I have made a rough calculation
of how much a "new filtering judges" body might cost: with five
filtering judges (paid at the level of a Section Registrar at the
Court), plus 20 assistant lawyers to prepare decisions, with the
help of two assistants, the additional annual cost would be around
1.5 million euros in salaries, which would permit the processing
of an extra 8 000 decisions or so (the Registry assumes that one
assistant lawyer can prepare 400 draft decisions a year). Given
that the backlog grows by over 20 000 applications a year, this
is a considerable expenditure. If the five filtering judges were
replaced with Registry staff (by, for instance, a few more senior
staff to supervise and a substantial number of assistant lawyers),
the output could triple for the same amount of money expended. Hence,
if states continue to insist that such decision-making power remain
in the hands of judges, senior Registry staff could be appointed
as auxiliary judges for the purpose of making decisions on (in)admissibility,
as was suggested by the Evaluation Group back in 2001.
Yet another
argument in favour of this solution is that any system involving
the appointment of persons from outside the Registry would automatically
entail additional expenditure for the training and relocation of
such persons, with rotation being necessarily at a greater frequency
than the terms of nine years served by Court judges at present.
3.6. Utility of simplifying
the procedure to amend the Convention
53. There is a logic in providing the possibility of amending
provisions relating to organisational matters by means of, for example,
a unanimously adopted resolution of the Committee of Ministers without
an amendment to the Convention being necessary each time, especially
in the light of difficulties experienced with the entry into force
of Protocol No. 14.
Work
on this subject was entrusted to a specially appointed sub-committee
of the CDDH in 2010 and will probably continue in 2012.
I consider this proposal of instituting
a more flexible system interesting. But the putting into operation
of such a procedure is likely to necessitate the adoption of an amending
protocol. The difficulty here is that this form of “delegation of
powers” might not be considered, in certain states, as compatible
with established ratification procedures with respect to which national
parliaments have an important role.
Hence,
implementation of any such arrangement, once in place (for example,
the designation of
ad litem or
“lower-ranking” judges, discussed above), would, I submit, need
to be contingent on the Assembly’s (and probably also the Court’s)
prior approval.
54. I do not find the idea of (complex) negotiations on the subject
of a possible Statute of the Court to be a priority consideration.
To
enter into protracted discussions concerning the utility of “downgrading”
certain provisions of the Convention and “upgrading” a number of
the Court’s Rules into a possible Statute is a potentially complicated,
and perhaps even dangerous, procedure which does not need to be
given priority in the near future.
3.7. The responsibility
of parliaments to ensure compliance with Convention standards
55. The double mandate of parliamentarians – as members
of the Assembly and of our respective national parliaments – can
be of fundamental importance to ensure that standards guaranteed
by the Strasbourg Court are effectively protected and implemented
domestically without, in the vast majority of cases, the need for individuals
to seek justice in Strasbourg. Hence the utility of stressing –
despite the apparent lack of recognition of the value of this “parliamentary
dimension” in the Interlaken and Izmir documents (see paragraph
18 above)
– “the key role
parliaments can play in stemming the flood of applications submerging
the Court by, for instance, carefully examining whether (draft)
legislation is compatible with the Convention’s requirements and
in helping states to ensure prompt and full compliance with the
Court’s judgments” (Assembly
Resolution 1726
(2010), paragraph 5).
56. It is incumbent upon states’ national authorities to guarantee
the rights and freedoms enshrined in the Convention and its protocols:
“[t]he High Contracting Parties shall secure to everyone within
their jurisdiction the rights and freedoms defined in Section I
of this Convention” (Article 1 of the Convention). It is the responsibility
of all the state organs – the executive, the courts and the legislature
– to prevent or remedy human rights violations at the national level.
Governments and parliaments are principally responsible for prevention,
whereas remedying violations is mainly the responsibility of the
judiciary, unless the only remedy available is a change to the law.
The legislature must examine whether draft legislation is compatible
with the Convention and its protocols, as interpreted by the Court.
Only when the domestic system fails should the Court step in. Subsequently,
if and when there is an adverse finding by the Court, the emphasis
shifts back to the domestic arena and the state is required to execute
the judgment under the supervision of the Committee of Ministers
(Article 46). At this stage, too, parliamentary involvement may
be necessary. The (rapid) adoption of legislative measures is often
required to ensure full compliance with Court judgments. Hence the
need for parliaments, which can influence the direction and priority
of legislative initiatives, to exercise effective oversight of action
or inaction of the executive.
57. Even more importantly – as has been regularly repeated in
several Assembly Resolutions since 2000
– although the execution of the Court’s
judgments is the principal responsibility of the Committee of Ministers under
Article 46 of the Convention, it is clear that the Assembly and
national parliaments must now play a more proactive role in this
respect; the viability of the Convention system is at issue.
Here again, the dual
role of parliamentarians as members of their respective national
legislative bodies and of the Assembly, merits emphasis. As concerns
the work of parliaments, the problem is the unsatisfactory manner
in which many legislative bodies function in this respect. In its
recent
Resolution 1823
(2011) “National parliaments: guarantors of human rights in
Europe”, the Assembly pointed to positive examples in several member
states, notably the United Kingdom, the Netherlands, Germany, Finland
and Romania, in which (rigorous) parliamentary procedures and/or
structures exist to monitor the implementation of the Court’s judgments.
But most parliaments do not have such supervisory mechanisms.
In
these circumstances, I can only endorse the views of Mr Christos
Pourgourides, the committee's rapporteur on the implementation of
judgments of the Court, who – in all his country visits – has systematically
stressed the need to reinforce parliamentary involvement in this
respect. He has even gone so far as to suggest that “the Assembly
may – in the future – seriously need to consider suspending the
voting rights of a national delegation where its national parliament does
not seriously exercise parliamentary control over the executive
in cases of non-implementation of Strasbourg Court judgments”.
On 5 April 2011, the President
of the Assembly wrote to a number of chairpersons of the Assembly
delegations asking them to indicate what follow-up had been given
– by their respective parliaments – to
Resolution 1787 (2011), which, in its paragraph 10.4 “call[ed] upon the chairpersons
of national parliamentary delegations – together, if need be, with
the relevant ministers – of [the eight] states in which in situ
visits were undertaken to present the results achieved in solving
substantial problems highlighted in [the] resolution”. In his letter,
President Çavusoglu specified the need to ensure full and expeditious
compliance with the Court’s judgments which, in many instances,
requires regular and rigorous parliamentary oversight. We, the Parliamentary
Assembly, and the Committee on Legal Affairs and Human Rights in
particular, are duty-bound to follow up this important initiative.
4. Conclusions
58. Primary responsibility for applying Convention standards
lies with domestic courts and authorities; the Court should play
a secondary role. This is embodied in the principle of subsidiarity.
It is understood that states, in most instances, provide a higher
level of protection than the “common European standard” guaranteed
by the Court, and their national authorities are accorded a certain
latitude in the implementation of Convention rights, on the understanding
that it is the Court which has the final say in cases brought before
it: Articles 19, 32 and 46 of the Convention (see paragraphs 24
and 25 above).
59. The statistics in Strasbourg look somewhat alarming. The stock
of pending applications before the Court stands at 160 000, and
the volume continues to rise by over 10% per year. The Committee
of Ministers had 9 922 cases pending before it at the end of 2010.
But of the pending cases, only some 13% of these were “leading”
cases, namely those identified as revealing new systemic/structural
problems requiring the adoption of new general measures.
The
rest, amounting to 87%, are in principle clone or repetitive cases.
That said, it is evident, as indicated by the Court’s Registrar,
that the “root problem ... is simple and well-known: there are too
many applications coming to the Court compared to its current capacity”.
Numerous
attempts to reform the system have not been able to ebb the overwhelming
tide of new applications, diminish the Court’s backlog or, so it
is claimed, create a sustainable system that will continue to be
effective in the future.
In this respect, it has
been argued that even Protocol No. 14 has a limited, specific lifespan,
being merely a tool for the temporary survival of the system while
other, more appropriate solutions are sought.
60. Two separate, and yet intertwined, issues merit priority treatment.
The first concerns the need for the Court to be given the means
to regulate the filtering of applications appropriately and deal
with repetitive cases (as discussed in section 3.5 above, at paragraphs
45-51). Governmental experts should not be tinkering with peripheral
issues such as compulsory legal representation or the possible introduction
of court fees before the Court.
The Court has taken the bold step
of adopting a “priority policy” which, if implemented rigorously,
will “ensure that the most serious cases and the cases which disclose
the existence of widespread problems capable of generating large
numbers of additional cases are dealt with more rapidly”.
By taking this decision, the Court
has, in effect, provided “breathing space” to those engaged in the
reform process, and will permit all concerned to re-focus discussion
away from the obsessive concern with the rising backlog of applications before
the Court and instead grapple with problems of “persistent defaulters”
in which serious human rights problems exist.
The future
of the Convention system is in our hands, collectively, and not
only in those of the Court. It is therefore principally for member
states and their executive, judicial and parliamentary authorities to
guarantee the authority and long-term effectiveness of the European
Convention on Human Rights.