The Pan-European General Principles on Transnational Mutual Assistance and Participation in Administrative Procedures and Transfrontier Cooperation between Administrative Authorities
(compiled by Ulrich Stelkens)
IV. Pan-European Individual Rights to Transnational Mutual Assistance and Transfrontier Cooperation?
I. Delination of the Scope of the Pan-European General Principles on Transnational Mutual Assistance and Participation in Administrative Procedures and Transfrontier Cooperation in Administrative Matters
The pan-European general principles on transnational mutual assistance and participation in administrative procedures deal with ad hoc cooperation between administrative authorities of different CoE Member States in relation with a specific administrative procedure to be carried out by an administrative authority of one of these states. The pan-European general principles on transfrontier cooperation deal with forms of institutionalised cross-border cooperation between administrative authorities of different CoE Member States usually based on an agreement between these administrative authorities with the aim of jointly to providing public services together or coordinating administrative actions (especially in the field of regional spatial planning).
However the distinction between transnational mutual assistance and transfrontier cooperation is not clear-cut, but rather gradual (as Article 17 of 'Convention 108' as amended by the Protocol amending the Convention for the Protection of Individuals with regard to Automatic Processing of Personal Data (CETS No. 223) in particular shows (click here).
The scope of application of the pan-European general principles on transnational mutual assistance and participation in administrative procedures and transfrontier cooperation in relation to the scope of application of other pan-European general principles can be delineated as follows:
- The pan-European general principles on transnational mutual assistance and participation in administrative procedures and transfrontier cooperation between administrative authorities are factually closely connected to the pan-European general principles on digitalisation of public administration and e-Government (for these principles click here): Internet and electronic communication facilitate and can therefore be used for transnational administrative action (such as the dissemination of (official) documents and the access to data in general) and may therefore be used for this purpose. Digitalisation may, thus, be a tool to promote transnational mutual assistance, participation and cooperation but this is only one 'public service' which can be provided by electronic government.
- In addition, the pan-European general principles on transnational mutual assistance and participation in administrative procedures and transfrontier cooperation complement all other pan-European general principles of good administration by adding a "transnational dimension".
II. The Pan-European General Principles on Transnational Mutual Assistance and Participation in Administrative Procedures
The idea that the CoE should engage in questions of transfrontier mutual assistance in administrative matters between the CoE Member States goes back to a proposal of the the Ad Hoc Committee on Legal Co-Operation to the Committee of Ministers:
"6. Mutual assistance in administrative matters
Decision: This subject was adopted for the legal programme subject to the preparation of a detailed study. Delegations were asked to communicate their observations to the Secretariat, which would subsequently draft an over-all report on the matter. In the light of this study the European Committee on Legal Co-operation would ultimately decide whether, and in what manner, the problem might be further examined.
Commentary
It was proposed that the possibility should be examined of concluding a Convention on mutual assistance in administrative matters on the lines of the Hague Convention of 1st March 1954 on civil procedure.
The question arose of the fields to be covered by any possible convention. Subjects mentioned were problems of road traffic, aliens regulations, hunting and fishing licences. The importance of having a system of direct notification between neighbouring States was emphasised. Furthermore, in cases of international disputes originating from expropriations ordered by a third State, co-operation between the administrations of various European States concerned might well prove useful; such expropriation often damaged the interests of nationals of several States, and some co-ordination of the attitude to be adopted by those States would then be expedient, if only to avoid duplication in the payment of compensation. It was also observed that the rules of courtesy did not always allow of solutions technically as satisfactory as those which might be obtained through the drafting of a convention."
The study was presented at the 2nd Colloquy on European Law in Aarhus (30 June –2 July 1971) organised by the CoE. Its proceedings are published in CoE (ed.), International Mutual Assistance in Administrative Matters (1971). An extended version of the report of Edwin Loebenstein prepared for this Colloquy is published as E. Loebenstein, International Mutual Assistance in Administrative Matters - Österreichische Zeitschrift für öffentliches Recht/Supplementum 2 (1972), 93 p.
4. Convention on Mutual Administrative Assistance in Tax Matters (ETS No. 127)
1. European Convention on the Service Abroad of Documents relating to Administrative Matters (ETS No. 094)
- Opening for signature: 24 November 1977
- Entry into force: 1 November 1982
- The convention is signed by 13 and ratified by 9 Member States of the CoE
Summary of the Treaty Office:
"The Convention aims to set out a legal basis for mutual assistance with regard to the service of documents relating to administrative matters. However, the Parties may extend its application to fiscal matters or to any proceedings in respect of offences the punishment of which does not fall within the jurisdiction of their judicial authorities.
The Convention lays down rules to be respected as regards requests for service, exemption from legalisation, language, and service by consular agents, post or other channels of transmission.
Each Party is to designate a central authority to receive and take action on requests for service of documents relating to administrative matters emanating from other Parties."
"Introduction
1. Owing to the large number of people who are living in foreign countries and the length of their stay in those countries, it is often necessary for the authorities of one State to assist those of another State in carrying out its tasks with regard to those persons.
Save for some international conventions, each of which binds only a more or less restricted number of the member States of the Council of Europe, mutual assistance between administrative authorities of different States is based mainly on informal or ad hoc arrangements which have been prompted by practical necessity as well as by neighbourliness. Mutual assistance in administrative matters is less developed than mutual assistance in civil, commercial or criminal matters; it has seldom been systematised except in some narrowly defined fields.
2. For this reason, in 1963 the Committee of Ministers of the Council of Europe included the problem of mutual assistance in administrative matters in its Resolution (63) 29 concerning the legal programme of the Council of Europe.
The matter was taken up in 1969 in the framework of the activities of the sub-committee to review the legal programme of the European Committee on Legal Co-operation (CCJ). The next step was its examination by the 2nd Colloquy on European Law which was organised in 1971 at Aarhus (Denmark) following a decision of the Committee of Ministers. The work of the colloquy was based on the replies by governments to a questionnaire on international mutual assistance in administrative matters as well as on papers presented by MM. M. Fromont, J. Gersing and E. Loebenstein.
3. In 1975, the Committee of Ministers decided, on the proposal of the CCJ, to set up a Committee of Experts on Mutual Assistance in Administrative Matters to study the possibility of drawing up appropriate legal instruments dealing with:
a. the service abroad of administrative documents emanating from one State and intended for persons residing in another State; as well as
b. improvement of means whereby the authorities of one State may obtain information from the authorities of another State;
and to determine the administrative fields to which these new instruments should apply.
4. The committee of experts held four meetings in 1975 and 1976 under the chairmanship of Professor J. Oyame (Switzerland); the Vice Chairman was Mr L. Chatin (France). It set up a working group presided by Mr L. Chatin and composed of Mr K. Berchtold (Austria), Mrs B. Lynaes (Denmark), Mr St. Cantono Di Ceva (Italy) and Mr J. S. Dixon (United Kingdom), which held two meetings in the summer of 1975.
The committee of experts began its work with a general discussion on the basic principles by which its activities should be guided. It carefully examined the various aspects of the problem, including the question of how many and what kind of legal instruments were to be elaborated; it took into account the fact that the CCJ had already ruled out the idea of a single international instrument which would cover the entire field of mutual assistance in administrative matters. The committee of experts decided to proceed by elaborating two draft conventions, the first one dealing with the service abroad of documents relating to administrative matters and the second one with the obtaining abroad of information and evidence in administrative matters.
5. Although the former has a direct bearing on relations between administrative authorities and the individual, whereas the latter deals mainly with the means of co-operation between administrative authorities inter se, the committee was of the opinion that the two conventions are closely linked, particularly in view of the similarity of the solutions adopted. For this reason, it devoted particular attention to problems of consistency between the two texts and with other multilateral international conventions on mutual assistance in civil and commercial matters on the one hand and criminal matters on the other.
6. The main preoccupation of the committee of experts was to fill in the gaps between other existing international conventions and at the same time to avoid overlapping with them, so as to establish a coherent conventional framework on which international mutual assistance between the member States could be based.
7. With regard to the European Convention on the Service Abroad of Documents relating to Administrative Matters, the committee took account particularly of the Hague Convention on Civil Procedure of 1 March 1954 and the Hague Convention on the Service Abroad of Judicial and Extra-judicial Documents in Civil or Commercial Matters of 15 November 1965, for example with regard to the transmission procedures to be followed; it also had regard to the European Convention on Mutual Assistance in Criminal Matters of 20 April 1959, in particular in connection with defining the scope of the Convention.
8. The committee of experts benefited from the attendance at its meetings of an observer from the Permanent Bureau of the Hague Conference on Private International Law."
2. European Convention on the Obtaining Abroad of Information and Evidence in Administrative Matters (ETS No. 100)
- Opening for signature: 15 March 1978
- Entry into force: 1 January 1983
- The convention is signed by 9 and ratified by 6 Member States of the CoE
Summary of the Treaty Office:
"Parties undertake to afford each other mutual assistance in administrative matters. Each Party designates a central authority to forward requests for assistance, and another to receive and take action on incoming requests. The request may concern information on law, regulations and customs, factual information and documents, as well as evidence to be used in judicial proceedings. Under certain conditions, Parties may obtain evidence in an administrative matter directly through their diplomatic or consular agents."
"Introduction
1. Owing to the large number of people who are living in foreign countries and the length of their stay in those countries, it is often necessary for the authorities of one State to assist those of another State in carrying out its tasks with regard to those persons.
Save for some international conventions, each of which binds only a more or less restricted number of the member States of the Council of Europe, mutual assistance between administrative authorities of different states is based mainly on informal or ad hoc arrangements which have been prompted by practical necessity as well as by neighbourliness. Mutual assistance in administrative matters is less developed than mutual assistance in civil, commercial or criminal matters; it has seldom been systematised except in some narrowly defined fields.
2. For this reason, in 1963 the Committee of Ministers of the Council of Europe included the problem of mutual assistance in administrative matters in its Resolution (63) 29 concerning the legal programme of the Council of Europe.
The matter was taken up in 1969 in the framework of the activities of the sub-committee to review the legal programme of the European Committee on Legal Co-operation (CCJ). The next step was its examination by the 2nd Colloquy on European Law which was organised in 1971 at Aarhus (Denmark) following a decision of the Committee of Ministers. The work of the colloquy was based on the replies by governments to a questionnaire on international mutual assistance in administrative matters as well as on papers presented by MM. M. Fromont, J. Gersing and E. Loebenstein.
3. In 1975, the Committee of Ministers decided, on the proposal of the CCJ, to set up a Committee of Experts on Mutual Assistance in Administrative Matters to study the possibility of drawing up appropriate legal instruments dealing with
a. the service abroad of administrative documents emanating from one State and intended for persons residing in another State; as well as
b. improvement of means whereby the authorities of one State may obtain information from the authorities of another State;
and to determine the administrative fields to which these new instruments should apply.
4. The committee of experts held four meetings in 1975 and 1976 under the chairmanship of Professor J. Voyame (Switzerland); the Vice-Chairman was Mr L. Chatin (France). It set up a working group presided by Mr L. Chatin and composed of Mr K. Berchtold (Austria), Mrs B. Lynaes (Denmark), Mr St. Cantono Di Ceva (Italy) and Mr J. S. Dixon (United Kingdom), which held two meetings in the summer of 1975. In 1977 a new committee of experts on mutual assistance met to give final consideration to the draft of the present Convention.
The committee of experts began its work with a general discussion on the basic principles by which its activities should be guided. It carefully examined the various aspects of the problem, including the question of how many and what kind of legal instruments were to be elaborated; it took into account the fact that the CCJ had already ruled out the idea of a single international instrument which would cover the entire field of mutual assistance in administrative matters. The committee of experts decided to proceed by elaborating two draft conventions, the first one dealing with the service abroad of documents relating to administrative matters and the second one with the obtaining abroad of information and evidence in administrative matters.
5. Although the former has a direct bearing on relations between administrative authorities and the individual, whereas the latter deals mainly with the means of co-operation between administrative authorities inter se, the committee was of the opinion that the two conventions are closely linked, particularly in view of the similarity of the solutions adopted. For this reason, it devoted particular attention to problems of consistency between the two texts and with other multilateral international conventions on mutual assistance in civil and commercial matters on the one hand and criminal matters on the other.
6. The main preoccupation of the committee of experts was to fill in the gaps between other existing international conventions and at the same time to avoid overlapping with them, so as to establish a coherent conventional framework on which international mutual assistance between the member States could be based.
7. Special attention was given, when the European Convention on the Obtaining Abroad of Information and Evidence in Administrative Matters was being elaborated, to the Hague Conventions on Civil Procedure of 1 March 1955 and on the Taking of Evidence Abroad in Civil or Commercial Matters of 18 March 1970, as well as the European Conventions on Information on Foreign Law of 7 June 1968 and on Mutual Assistance in Criminal Matters of 20 April 1959, particularly with regard to the mutual assistance machinery and certain forms of assistance provided for in this Convention, such as requests for information on law and practice and letters of request in administrative matters.
8. During its work the committee of experts benefited from the attendance at its meetings of an observer from the Permanent Bureau of the Hague Conference on Private International Law."
3. Mutual Assistance under the Convention for the Protection of Individuals with regard to Automatic Processing of Personal Data (ETS No. 108)
The 'Convention 108' is signed and ratified by all 46 Member States of the CoE. Its scope of application covers "to automated personal data files and automatic processing of personal data in the public and private sectors." (Article 3 (1)). For the general role of 'Convention 108' for the pan-European general principles on data protection in the public sector click here.
"Chapter IV – Mutual assistance
Article 13 – Co-operation between Parties
1 The Parties agree to render each other mutual assistance in order to implement this Convention.
2 For that purpose:
a each Party shall designate one or more authorities, the name and address of each of which it shall communicate to the Secretary General of the Council of Europe;
b each Party which has designated more than one authority shall specify in its communication referred to in the previous sub-paragraph the competence of each authority.
3 An authority designated by a Party shall at the request of an authority designated by another Party:
a furnish information on its law and administrative practice in the field of data protection;
b take, in conformity with its domestic law and for the sole purpose of protection of privacy, all appropriate measures for furnishing factual information relating to specific automatic processing carried out in its territory, with the exception however of the personal data being processed.
Article 14 – Assistance to data subjects resident abroad
1 Each Party shall assist any person resident abroad to exercise the rights conferred by its domestic law giving effect to the principles set out in Article 8 of this Convention.
2 When such a person resides in the territory of another Party he shall be given the option of submitting his request through the intermediary of the authority designated by that Party.
3 The request for assistance shall contain all the necessary particulars, relating inter alia to:
a the name, address and any other relevant particulars identifying the person making the request;
b the automated personal data file to which the request pertains, or its controller;
c the purpose of the request.
Article 15 – Safeguards concerning assistance rendered by designated authorities
1 An authority designated by a Party which has received information from an authority designated by another Party either accompanying a request for assistance or in reply to its own request for assistance shall not use that information for purposes other than those specified in the request for assistance.
2 Each Party shall see to it that the persons belonging to or acting on behalf of the designated authority shall be bound by appropriate obligations of secrecy or confidentiality with regard to that information.
3 In no case may a designated authority be allowed to make under Article 14, paragraph 2, a request for assistance on behalf of a data subject resident abroad, of its own accord and without the express consent of the person concerned.
Article 16 – Refusal of requests for assistance
A designated authority to which a request for assistance is addressed under Articles 13 or 14 of this Convention may not refuse to comply with it unless:
a the request is not compatible with the powers in the field of data protection of the authorities responsible for replying;
b the request does not comply with the provisions of this Convention;
c compliance with the request would be incompatible with the sovereignty, security or public policy (ordre public) of the Party by which it was designated, or with the rights and fundamental freedoms of persons under the jurisdiction of that Party.
Article 17 – Costs and procedures of assistance
1 Mutual assistance which the Parties render each other under Article 13 and assistance they render to data subjects abroad under Article 14 shall not give rise to the payment of any costs or fees other than those incurred for experts and interpreters. The latter costs or fees shall be borne by the Party which has designated the authority making the request for assistance.
2 The data subject may not be charged costs or fees in connection with the steps taken on his behalf in the territory of another Party other than those lawfully payable by residents of that Party.
3 Other details concerning the assistance relating in particular to the forms and procedures and the languages to be used, shall be established directly between the Parties concerned."
Articles 20 to 26 of the Protocol amending the Convention for the Protection of Individuals with regard to Automatic Processing of Personal Data (CETS No. 223) will change Chapter IV of 'Convention 108' as follows:
"Chapter V – Co-operation and mutual assistance
Article 16 – Designation of supervisory authorities
1 The Parties agree to co-operate and render each other mutual assistance in order to implement this Convention.
2 For that purpose:
a each Party shall designate one or more supervisory authorities within the meaning of Article 15 of this Convention, the name and address of each of which it shall communicate to the Secretary General of the Council of Europe;
b each Party which has designated more than one supervisory authority shall specify the competence of each authority in its communication referred to in the previous littera.
Article 17 – Forms of co-operation
1 The supervisory authorities shall co-operate with one another to the extent necessary for the performance of their duties and exercise of their powers, in particular by:
a providing mutual assistance by exchanging relevant and useful information and co-operating with each other under the condition that, as regards the protection of personal data, all the rules and safeguards of this Convention are complied with;
b co-ordinating their investigations or interventions, or conducting joint actions;
c providing information and documentation on their law and administrative practice relating to data protection.
2 The information referred to in paragraph 1 shall not include personal data undergoing processing unless such data are essential for co-operation, or where the data subject concerned has given explicit, specific, free and informed consent to its provision.
3 In order to organise their co-operation and to perform the duties set out in the preceding paragraphs, the supervisory authorities of the Parties shall form a network.
Article 18 – Assistance to data subjects
1 Each Party shall assist any data subject, whatever his or her nationality or residence, to exercise his or her rights under Article 9 of this Convention.
2 Where a data subject resides on the territory of another Party, he or she shall be given the option of submitting the request through the intermediary of the supervisory authority designated by that Party.
3 The request for assistance shall contain all the necessary particulars, relating inter alia to:
a the name, address and any other relevant particulars identifying the data subject making the request;
b the processing to which the request pertains, or its controller;
c the purpose of the request.
Article 19 – Safeguards
1 A supervisory authority which has received information from another supervisory authority, either accompanying a request or in reply to its own request, shall not use that information for purposes other than those specified in the request.
2 In no case may a supervisory authority be allowed to make a request on behalf of a data subject of its own accord and without the express approval of the data subject concerned.
Article 20 – Refusal of requests
A supervisory authority to which a request is addressed under Article 17 of this Convention may not refuse to comply with it unless:
a the request is not compatible with its powers;
b the request does not comply with the provisions of this Convention;
c compliance with the request would be incompatible with the sovereignty, national security or public order of the Party by which it was designated, or with the rights and fundamental freedoms of individuals under the jurisdiction of that Party.
Article 21 – Costs and procedures
1 Co-operation and mutual assistance which the Parties render each other under Article 17 and assistance they render to data subjects under Articles 9 and 18 shall not give rise to the payment of any costs or fees other than those incurred for experts and interpreters. The latter
costs or fees shall be borne by the Party making the request.
2 The data subject may not be charged costs or fees in connection with the steps taken on his or her behalf in the territory of another Party other than those lawfully payable by residents of that Party.
3 Other details concerning the co-operation and assistance, relating in particular to the forms and procedures and the languages to be used, shall be established directly between the Parties concerned.
4. Convention on Mutual Administrative Assistance in Tax Matters (ETS No. 127)
- Opening for signature: 25 January 1988
- Entry into force: 1 April 1995; the Convention has been amended by the Protocol amending the Convention on Mutual Administrative Assistance in Tax Matters (CETS No. 208) of 2010 which has been ratified to date by 40 CoE Member States
- The convention is signed and ratified by all 46 Member States of the CoE (and 100 Non-CoE Member States)
Summary of the Treaty Office:
"This treaty allows the Parties to develop, on common foundations and respecting the basic rights of tax-payers, extensive administrative co-operation covering all compulsory taxes, with the exception of customs duty. The types of assistance are varied, covering the exchange of information between Parties, simultaneous tax examinations and participation in tax examinations carried out in other countries, the recovery of taxes due in other Parties and notification of documents issued in other Parties.
Moreover, any State wishing to accede to the Convention may tailor the extend of its obligations, by virtue of a detailed system of reservations expressly provided for in the text; it may restrict its participation to certain types of mutual assistance or to assistance in connection with certain taxes.
This enhanced mutual assistance is intended to help combat tax evasion, and is accompanied by safeguards to protect tax-payers, whether individual or corporate, and national economies. Thus a Party may refuse to supply information when this would mean divulging trade, industrial or professional secrets, or to provide assistance in connection with a tax which it regards as incompatible with the generally accepted principles of taxation. Moreover, application of the Convention may not restrict the rights and guarantees accorded to individuals by the law of the assisting State. There are strict rules covering the secrecy of information obtained in application of the text."
"The Convention on Mutual Administrative Assistance in Tax Matters is the result of work carried out jointly by the Council of Europe and by the Organisation for Economic Cooperation and Development (OECD).
It was drawn up within the Council of Europe by a committee of experts under the authority of the European Committee on Legal Co operation (CDCJ), on the basis of a first draft prepared by OECD's Committee on Fiscal Affairs. Experts from member countries of OECD which are not members of the Council of Europe participated as observers.
The Convention was opened for signature by the member States of the Council of Europe and member countries of the Organisation for Economic Co operation and Development on 25 January 1988 (the 1988 Convention).
The 1988 Convention was revised in 2010 primarily to align it to the internationally agreed standard on transparency and exchange of information and to open it up to States which are not members of the OECD or of the Council of Europe. The internationally agreed standard, which was developed by OECD and non OECD countries working together in the OECD’s Global Forum on Transparency and Exchange of Information, is included in Article 26 of the 2008 OECD Model Tax Convention, and has been endorsed by the G7/G8, the G20 and the United Nations.
The text of the Explanatory Report, prepared by the committee of experts and transmitted to the Committee of Ministers of the Council of Europe and the Council of OECD and approved by OECD's Committee on Fiscal Affairs, does not constitute an instrument providing an authoritative interpretation of the text of the Convention, although it may facilitate the understanding of the Convention's provisions.
The text of the Explanatory Report was amended in 2010 primarily on the basis of the Commentary on Article 26 of the OECD Model Tax Convention. It is understood that the provisions of the Convention, as amended by the 2010 Protocol, which follow the corresponding provisions of the 2008 OECD Model Tax Convention, shall generally be given the same interpretation as that expressed in the OECD Commentary thereon.
Introduction:
1. The object of this Convention is to promote international co operation for a better operation of national tax laws, while respecting the fundamental rights of taxpayers.
2. A measure of co operation already exists by virtue of various instruments, some bilateral, others multilateral, and the usefulness of these is well recognised. However, commercial and economic relationships are now so greatly concentrated and diverse that it has been felt necessary to prepare a new instrument both general in scope that is to say providing for the various possible forms of assistance and covering a broad range of taxes and multilateral, allowing more effective international co operation between a large number of States, through the uniform application and interpretation of its provisions.
3. This instrument is framed so as to provide for all possible forms of administrative co operation between States in the assessment and collection of taxes, in particular with a view to combating tax avoidance and evasion. This co operation ranges from exchange of information to the recovery of foreign tax claims.
4. The Convention is open to the signature of member States of each of the two international organisations which have participated in its drafting; namely the Council of Europe and OECD. Co operation between these States is greatly facilitated by the fact that they have legal systems based on similar general principles of justice and law as well as economies that are interrelated.
5. The Convention as revised by the 2010 Protocol is also open to the signature of States outside the Council of Europe or OECD.
6. In this context, the Convention attempts to reconcile the respective legitimate interests of those involved: in particular, the requirements of mutual international assistance in tax assessment and enforcement, respect for special features of national legal systems, the confidential nature of information exchanged between national authorities and the fundamental rights of taxpayers.
7. Taxpayers have especially the right to respect for their privacy and the right to a proper procedure in the determination of their rights and obligations in tax matters, including appropriate protection against discrimination and double taxation.
8. In applying the Convention, tax authorities will be bound to operate within the framework of national laws. The Convention specifically ensures that taxpayers' rights under national laws are fully safeguarded. However, national laws should not be applied in a manner that undermines the object and purpose of the Convention. In other words, the Parties are expected not to unduly prevent or delay effective administrative assistance."
5. Section II of the Appendix to Recommendation No. R (87)16 of the Committee of Ministers to member states on administrative procedures affecting a large number of persons
For the relevance of this recommendation in spatial planning procedures in general click here.
In the present context, the Recommendation No. R (87)16 is particularly interesting because it establishes (in its Section II) principles of transnational public authority participation and the participation of persons residing or having interests in the territories of neighbouring states (an aspect which seems only implicitely be covered by Articles 6 and 7 of the UNECE Convention on Access to Information, Public Participation in Decision-making and Access to Justice in Environmental Matters (Aarhus Convention) (for the relevance of the Aarhus Convention in the present context click here).
"The Committee of Ministers, [...].
Considering that, in an increasing number of fields, administrative authorities are called upon to take decisions which affect in varying ways a large number of persons, especially in the fields of major installations, industrial plant and spatial planning;
Considering that it is desirable that common principles be laid down in respect of such decisions in all member states so as to ensure compatibility between the protection of a large number of persons and the requirements of efficient administration;
Considering, in addition, that some of these administrative decisions may also affect persons residing or having interests in the territories of neighbouring states;
Bearing in mind in this respect recent trends in international environmental law concerning the transborder effects of activities carried out within the jurisdiction or under the control of a state;
Considering that it is desirable that administrative authorities also take into consideration observations from such persons concerned relating to potential effects of proposed decisions in the territory of neighbouring states;
[...].
Recommends the governments of member states to be guided in their law and administrative practice as well as in their mutual relations by the principles set out in the appendix to this recommendation; [...].
Appendix to Recommendation No. R (87) 16Scope and defintions
The present recommendation applies to the protection of the rights, liberties and interests of persons in relation to non-normative administrative decisions (administrative acts) which concern a large number of persons, more specifically:
a. a large number of persons to whom the administrative act is addressed, hereafter referred to as persons of the first category;
b. a large number of persons whose individual rights, liberties or interests are liable to be affected by the administrative act even though it is not addressed to them, hereafter referred to as persons of the second category;
c. a large number of persons who, according to national law, have the right to claim a specific collective interest that is liable to be affected by the administrative act, hereafter referred to as persons of the third category.
Persons of the three categories are hereafter referred to as persons concerned.
Section I below sets out the principles applicable to the making of the above-mentioned administrative acts and to the control thereof.
Section II states additional principles designed to protect the persons concerned when an administrative act is liable to have effects in the territory of a neighbouring state.
Section I: Administrative procedure and control [...]
Section II: International aspects
VIII.
When the administrative act is likely to affect rights, liberties or interests in the territory of a neighbouring state, the administrative participation procedure referred to in Section I should be accessible to the persons concerned in that state, on a non-discriminatory basis, according to the following indications :
a. The competent authority should provide these persons with the information mentioned in Principle I, at the same time as it informs the persons concerned on its territory. Such notification may be made either directly, by any appropriate means, provided the rules or practices governing relations between the states concerned so allow, or through the authorities of the neighbouring state.
b. Such representation arrangements as may be laid down by the competent authority should apply to the representation of these persons.
c. These persons may submit their observations either directly, in accordance with the procedure in the territory of the state where the act is being proposed, or through the authorities of the neighbouring state when these authorities have declared their readiness to perform such functions in their residents’ interest.
d. The competent authority should inform these persons of the administrative act following the methods of communication mentioned in paragraph a.
e. The competent authority can provide the information mentioned in paragraphs a and d in its own language. It shall not be bound to take into account observations submitted in other languages.
IX.
Access to the control procedure should be secured without discrimination on grounds of nationality or residence.
X.
Access to the administrative participation procedure and to the control procedure may be subject to reciprocity.
XI.
The application of the principles contained in this section may be subordinated to conventions concluded between the states concerned.
With due regard to the jurisdictions provided for by the internal law of each state as well as to the existing international agreements, the states and territorial communities or authorities concerned should further maintain liaison with one another with a view to ensuring an effective participation by all persons concerned. They should endeavour to facilitate exchanges of information between the competent authority and the persons concerned. They may conclude either general or specific agreements or arrangements on a basis of reciprocity and equivalence for such purposes as :
a. designating the authorities of the neighbouring state which should be approached according to the kind of administrative act proposed;
b. enabling the factors relevant to the taking of the administrative act to be made available to the persons concerned in the neighbouring state;
c. enabling an authority of the neighbouring state to obtain the observations of the persons concerned residing in its territory and to forward them to the competent authority;
d. stating the languages to be used."
See also the Explanatory memorandum (pp. 11 ff. of the Final Activity Report of the CDCJ on Draft Recommendation on administrative procedures affecting a large number of persons (CM(87)153-add2):
"2. It has been found that an increasing number of actions by public authorities are of such complexity or scale as simultaneously to affect, with varying intensity, a large number of persons. Their impact may even be felt in the territory of a neighbouring State. Such actions of public authorities may not only affect in a concrete manner the rights, liberties and interests of a large number of persons but they may also attract the attention and anxiety of a large number of other persons whose interests could be affected and cause them to want to influence the proposed action. In some circumstances the interests of the latter persons are so important that they ought to be given protection in the administrative procedure.
The factors now mentioned have a special bearing on the organisation of the administrative procedure and call for adequate solutions.
Two basic questions arise.
How should the protection of a large number of persons be organised so as to remain compatible with the requirements of efficient administration? To what extent, under which conditions and how should persons whose rights, liberties or interests are liable to be affected by an administrative act in the territory of a neighbouring State, have the possibility to take part in its making and to have it reviewed by a control organ?
3. [...].
4. In spite of the differences between the legal and administrative systems of the member States, it was possible to discover a large measure of agreement concerning the fundamental principles which should guide the rules on administrative procedures concerning a large number of persons and to recommend their extension. The task was basically one of developing and adapting the principles set out in Resolution (77)31 on the protection of the individual in relation to the acts of administrative authorities and, subsidiarily, in Recommendation No. R (80)2 concerning the exercise of discretionary power by administrative authorities.
5. The protection of rights, freedoms and interests liable to be affected in the territory of a neighbouring state raised more delicate issues. States admittedly have a duty to see to it that activities carried on within their jurisdiction cause no damage in the territory of another state. In conformity with recent trends in international environmental law, states do increasingly consult together and exchange such information as will enable them to assess any effects of proposed decisions on the environment (in the widest sense) in neighbouring states. On the lines of certain initiatives already taken at international level, notably in the framework of OECD, it appeared desirable to encourage national authorities called upon, to make decisions of such scope to take into consideration not only observations from authorities of the neighbouring state but also observations from persons liable to be affected by the said decisions in their rights, liberties or interests, in the territory of the latter state. The fullest possible participation by these persons in the administrative procedure and in the control procedure should accordingly be permitted. This includes participation, in appropriate ways, of persons having a legitimate concern or anxiety with respect to major projects of environmental importance.
6. Drafting a convention to cover the whole problem area was considered a premature move. Instead, the more cautious way of drafting a recommendation was chosen. Such an instrument had already been selected in the past to lay down the basic principles for the protection of the individual in relation to the acts of administrative authorities; there was no sound reason to depart from that course in the special field of proceedings concerning a large number of persons. The recommendation aims both at basing the internal law of member states on certain
fundamental principles, to which proposals for implementation are attached, and at suggesting lines along which international agreements
or arrangements may usefully be concluded in this field, in order better to take account of its international dimensions.""24. Envisaged in Section II are situations where a project which gives rise to a participation procedure in the territory of one state is liable to affect rights, liberties or interests in the territory of a neighbouring state, including a state separated from the state in which the act is being proposed by international waters. However, the instrument does not cover environmental effects which could occur a long way from the project launched or approved by administrative authorities (long-range transboundary air or water pollution). In the above situations, consultations between public authorities in each neighbouring state, in particular on the basis of model agreements set out in the European Outline Convention
on Transfrontier Co-operation between Territorial Communities or Authorities, will undoubtedly constitute a positive step forward. However, it was felt that the persons concerned themselves should be able to take part in the defence of their interests. Keeping in mind the declared aim of an ever-greater unity between member states, it appears justified to associate the said persons with the preparation of the act, in spite of the border’s existence.
[25 - 31 [Comments on principles VIII to X]
Principle XI
32. The extension of participation procedures to persons concerned by the effects of administrative acts in a neighbouring state may, in same instances, be dealt with in international conventions or agreements.
The first paragraph of Principle XI specifies that states may subordinate the application of all principles contained in Section II to the conclusion of interstate conventions. Concluding such conventions may, in particular, be deemed necessary by those states which want to rely on reciprocity or wish to stipulate more precisely the framework, forms and limits of the minimum administrative assistance referred to in Principle VIII.
33. The second paragraph is aimed at encouraging a wider measure of mutual assistance extending beyond the minimum prescribed in Principle VIII, via consultations between authorities, the simplification of exchanges between the competent authority and the persons concerned and, where appropriate, the conclusion of general or specific agreements or arrangements on a basis of reciprocity and equivalence. It contains various suggestions as to the measures of assistance which might be agreed upon. Here, a vast procedural field is open to cooperation, ranging from placing the relevant information at the disposal of the persons concerned in the town halls of the neighbouring state to the holding of hearings with representatives of the authority which is to take the act."
CoE (ed.), The administration and you (1st edition 1996/1997), p. 25:
"45. When the administrative act is likely to affect rights, liberties or interests in the territory of a neighbouring state, the administrative
participation procedure should be made accessible to the persons concerned in that state on a non-discriminatory basis.
45.1. Comment: In an increasing number of fields (major installations, industrial plants, spatial planning, etc.), administrative authorities are called upon to take administrative acts which affect in various ways a large number of persons. Some of these acts can also affect persons residing in neighbouring states. It is therefore desirable that administrative authorities also take into consideration observations from such persons concerned relating to potential effects of proposed acts in the territory of neighbouring states. In order to ensure compatibility between the requirements of
good and efficient administration on the one hand and, on the other hand, the fair and effective protection of a large number of persons including,
where appropriate, persons concerned by international effects of administrative acts, a Council of Europe recommendation adapted and complemented the principles which govern administrative acts addressed to one or a small number of individually identified private persons (see Appendix 3)."
III. The Pan-European General Principles on Transfrontier Cooperation between Administrative Authorities
For a collection of CoE material on cross-border cooperation see this website of the CoE.
See, furthermore, C. Ricq, Handbook of Transfrontier Co-operation (2nd edition 2006). This handbook was initiated by the CoE Committee of Experts on Transfrontier Co-operation (LR-CT).
1. Precursors of the European Outline Convention on Transfrontier Co-operation between Territorial Communities or Authorities (ETS No. 106)
a) PACE Recommendation 470 (1966) Draft Convention on European co-operation between local authorities
"The Assembly,
1. Considering that co-operation between local authorities of different European countries is desirable and has indeed become a necessity in certain frontier zones;
2. Considering that many local authorities are being forced to resort to inter-municipal co-operation in order to discharge their functions, and in particular to meet certain demands imposed upon them by contemporary civilisation;
3. Considering that machinery for intermunicipal co-operation between authorities of different countries is unsatisfactory and that the absence of any firm legal framework complicates co-operation of local authorities across frontiers;
4. Considering that international contacts between local authorities have nevertheless multiplied in the processes of European unification and the lowering of the former barriers of national frontiers;
5. Considering that it is worth while and necessary to provide local authorities in frontier areas of member States with adequate means to offset the drawbacks of their peripheral location by working together across frontiers, and to extend their national possibilities for co-operation to the European level;
6. Considering that frontier zones feel more and more the need for co-ordination of local and regional activities on opposite sides of frontiers and harmonisation of their development plans:
7. Recommends the Committee of Ministers:a to draw the attention of member Governments to the problem of European co-operation between local authorities;
b to instruct a committee of governmental experts to prepare as early as possible a draft convention based on the text appended hereto;
c to submit the draft Convention, after being prepared by the committee of experts, if necessary, to the Assembly and the European Conference of Local Authorities for an opinion or to communicate the text to these bodies;d also to instruct a committee of experts to make a comparative study of the possibilities for intermunicipal co-operation in member countries with a view to facilitating co-operation across frontiers between local authorities."
On the impact of this recommendation cf. para. 1 of the Explanatory Report to the European Outline Convention on Transfrontier Co-operation between Territorial Communities or Authorities:
"In September 1966 the Council of Europe’s Consultative Assembly adopted Recommendation 470 on European co-operation between local authorities, in which it recommended that the Committee of Ministers have a draft European convention drawn up by a committee of experts on the basis of a draft appended to the recommendation. The Committee of Ministers did not act on this recommendation, but a few years later it did ask the Committee on Co-operation in Municipal and Regional Matters to make a study of problems concerning co-operation between local authorities in frontier regions."
The study was prepared for the Committee on Co-operation in Muncipal and Regional Matters by P. Orianne and published as CoE (ed.), Co-operation between local authorities in frontrier regions: Difficulties in co-ooperation between local authorities and ways of solving them - Study Series Local and Regional Authorities in Europe (1973)
b) CM Resolution (74)8 on co-operation between local communities in frontier areas
On this recommendation cf. para. 2 of the Explanatory Report to the European Outline Convention on Transfrontier Co-operation between Territorial Communities or Authorities:
"In February 1974, after examining this study [cf. above], the Committee of Ministers adopted Resolution (74) 8 on co-operation between local communities in frontier areas, in which it recommended that Council of Europe member States, amongst other things:<
- promote European co-operation between local authorities in a number of specifically local fields recognised as such in national law;
- introduce into national legislation as soon as possible such changes as were necessary to remove any obstacles to transfrontier co-operation between local authorities;
- make administrative rules more flexible with a view to speeding up and simplifying protective procedures in regard to transfrontier co-operation between local authorities;
- supervise, if necessary, the establishment of regional transfrontier committees;
- provide local authorities with the instruments appropriate for transfrontier co-operation."
2. European Outline Convention on Transfrontier Co-operation between Territorial Communities or Authorities (ETS No. 106)
- Opening for signature: 22 May 1980
- Entry into force: 22 December 1981
- The convention is signed by 41 and ratified by 38 Member States of the CoE
Summary of the Treaty Office:
"The Convention is intended to encourage and facilitate the conclusion of cross-border agreements between local and regional authorities within the scope of their respective powers. Such agreements may cover regional development, environmental protection, the improvement of public services, etc., and may include the setting up of transfrontier associations or consortia of local authorities.
To allow for variations in the legal and constitutional systems in the Council of Europe's member States, the Convention sets out a range of model agreements to enable both local and regional authorities as well as States to place transfrontier co-operation in the context best suited to their needs.
Under the Convention, Parties undertake to seek ways of eliminating obstacles to transfrontier co-operation and to grant to authorities engaging in international co-operation the facilities they would enjoy in a purely national context."
"9. As Stated in its preamble, the Convention is aimed at promoting transfrontier co-operation as far as possible and contributing to the economic and social progress of frontier regions, since the smooth functioning of transfrontier co-operation between municipalities and regions enables them to carry out their tasks more effectively and, hence, enables frontier areas to be improved and developed more harmoniously."
3. Declaration of the Committee of Ministers on Transfrontier Cooperation in Europe, adopted on 6 October 1989 on the occasion of the 40th anniversary of the Council of Europe
"The Committee of Ministers of the Council of Europe,
On the occasion of the 4Oth Anniversary of the Council of Europe,
Recalling the Council of Europe's constant and repeated efforts over a period of many years in connection with transfrontier co-operation;
Welcoming the incessant endeavours of the Standing Conference of Local and Regional Authorities of Europe (CLRAE), the European Conference of Ministers responsible for Regional Planning (CEMAT) and the Parliamentary Assembly to combat xenophobia, incomprehension, mistrust and intolerance, so that the psychological barrier established at frontiers by centuries of history shall be dismantled for all time;
Noting with satisfaction the progress achieved in frontier regions towards creating a new spirit and making the peoples of Europe aware of the solidarity among them and their common destiny;
Recognising that frontier regions, the scars of history, now link the peoples of Europe together and that there is now a general consensus among those with political responsibility for territorial authorities on the need to work with their neighbours in a spirit of co-operation, neighbourliness, openness and solidarity;
Convinced of the need to pursue the search for ideas and the work which is under way, while restating the importance of transfrontier co-operation with a view to achieving true solidarity among citizens of Europe by the year 2000,
1. Recalls that co-operation between the states of Europe has developed within the Council of Europe in a very wide range of fields, such as regional planning, the environment, urban and rural development, infrastructure, economic policy, planning, the problems of frontier workers, coping with natural disasters, the harmonisation of law, culture, science, research and technology, and notes with satisfaction that, as far as the frontier regions are concerned, it has been directed towards:
- identifying the problems of frontier regions and defining appropriate practical solutions;
- systematising and co-ordinating initiatives;
- informing and raising the awareness of European, governmental, regional and local agencies and the public of the problems and beneficial effects of transfrontier co-operation;
- gradually eliminating the legal, administrative, economic and cultural obstacles still all too frequently encountered in respect
of harmonisation;
2. Recognises that their common interests make frontier communities the major protagonists of regional development and an ideal proving ground for co-operation and, this being so, encourages the work being done to prevent these regions from ever again being drawn towards an unbalanced and marginal situation and to commit them instead to the future, thanks to transfrontier co-operation, and to a harmonious process of development with due regard to the powers prescribed by the domestic law of each state;
3. Recalls the existence of the European Outline Convention on Transfrontier Co-operation between Territorial Communities or Authorities of 1980, ratified by fourteen member states, and invites those which have not yet done so to review their position with a view to acceding to the Convention, so as to ensure that good neighbourly relations between peoples are furthered on either side of frontiers. It invites the signatory states to the Convention to implement it, particularly by concluding bilateral agreements, and to use the model agreements proposed;
4. Thanks all the transfrontier institutions, organisations and associations for their efforts to find solutions to problems relating to their common interests, and urges them to continue these endeavours in future with special emphasis on improving relations with frontier regions of Central and Eastern European states, in the spirit of the Council of Europe Outline Convention;
5. Encourages continued study, in the most appropriate manner, of the work which is under way in co-operation with the European Community institutions:
- in order to develop the exchange of information between all agencies of transfrontier co-operation, national governments and territorial authorities;
- in order gradually to remove the barriers of every kind - administrative, legal, political and psychological - which might
curb the development of transfrontier projects;
6. Declares that the development of transfrontier co-operation, which gives practical expression to a true solidarity between peoples, is a major contribution to the progress of European unification, essential to healthy, fair and balanced growth in the Europe of tomorrow, and important in guaranteeing generations to come a future of peace and freedom."
4. Additional Protocol to the European Outline Convention on Transfrontier Co-operation between Territorial Communities or Authorities (ETS No. 159)
- Opening for signature: 9 November 1995
- Entry into force: 1 December 1998
- The convention ratified by 7 Member States of the CoE
Summary of the Treaty Office:
"The Protocol aims to strengthen the Outline Convention by expressly recognising, under certain conditions, the right of territorial communities to conclude transfrontier co-operation agreements, the validity in domestic law of the acts and decisions made in the framework of a transfrontier co-operation agreement, and the legal corporate capacity ("legal personality") of any co-operation body set up under such an agreement.
As the general legal framework for co-operation of local/regional authorities across borders in Europe, the Outline Convention together with its Protocol will be useful to the new member States in their governmental reform processes."
5. Protocol No. 2 to the European Outline Convention on Transfrontier Co-operation between Territorial Communities or Authorities concerning interterritorial co-operation (ETS No. 169)
- Opening for signature: 5 May 1998
- Entry into force: 1 February 2001
- The convention is ratified by 22 Member States of the CoE
Summary of the Treaty Office:
"The Protocol aims to strengthen inter-territorial co-operation between European countries. It follows the Council of Europe's declaration at the Vienna 1993 summit to build a tolerant and prosperous Europe through transfrontier co-operation.
The Protocol complements the existing Convention and Protocol which are concerned with relations between adjacent communities that share common borders. These two legal texts have proved so successful that twinning agreements have begun to spring up between areas that are further apart. Protocol 2 will act as a legal text to cover these new arrangements. It recognises the right of authorities to make such agreements and sets out a legal framework for them to do so."
6. Vilnius Declaration on Regional Co-operation and the Consolidation of Democratic Stability in Greater Europe (Adopted by the Committee of Ministers on 3 May 2002 at the 110th Session of the Committee of Ministers)
"Bearing in mind the statutory aim of the Council of Europe, which is to achieve a greater unity between its members across the continent on the basis of their common commitment to pluralist democracy, respect for human rights and the rule of law;
Convinced that regional co-operation between European countries can make an essential contribution to the building of a Greater Europe without dividing lines, encompassing all the countries on the continent, as advocated by the Committee of Ministers’ Budapest Declaration (7 May 1999);
Recalling also the Declaration on transfrontier cooperation in Europe adopted by the Committee of Ministers on the occasion of the 40th Anniversary of the Council of Europe;
We, the Ministers of Foreign Affairs of the member states of the Council of Europe, meeting in Vilnius for our 110th session and having discussed the achievements of a number of regional co-operation mechanisms;
Stress the importance of regional co-operation as a factor for consolidating democratic stability in various parts of the European continent;
Underline that, according to the particular situation of the countries involved and their common aims, regional co-operation helps to implement the Council of Europe’s founding principles of pluralist democracy, human rights and the rule of law at grass-roots level, by:
- promoting the Council of Europe’s values and standards on a day-to-day basis;
- strengthening the protection of national minorities while respecting the territorial integrity of states;
- transforming borders into lines of contact thus facilitating exchanges between peoples;
- promoting mutual understanding and cultural co-operation;
- encouraging good neighbourly relations and mutual trust;
- fostering social and economic development;
Call for the regional dimension of the Council of Europe’s co-operation programmes to be reinforced in the regions regarded as priorities by the Organisation, building on the results already achieved in the Council’s areas of responsibility;
Express our support for efforts to develop regional cooperation wherever a need for such cooperation exists;
Encourage member states, in view of the experience acquired by regional co-operation mechanisms, to reinforce this co-operation, especially with regard to the following:
- awareness-building in the spheres of human rights, protection of minorities, confidence-building measures and education;
- freedom of the media;
- more advanced integration processes and the resulting opportunities for all member states;
- transborder activities by civil society to promote pluralist democracy;
- transfrontier co-operation between local and regional authorities and the setting up and development of Euro-regions;
- cross-border harmonisation of the conditions governing social and economic development, trade and investment, as well as improvements to infrastructure and conservation of the natural and cultural heritage;
- freedom of movement and contacts between people, especially youth;
- education and health protection;
- justice and law enforcement, including the fight against organised crime and corruption, trafficking in human beings and illegal migration;
- co-operation against terrorist activities while respecting human rights and fundamental freedoms;
Agree to promote coherence between the activities of the Council of Europe and those of the various regional co-operation mechanisms, as well as the sharing of their experience and results;
To that end, invite the Secretary General of the Council of Europe to convene a working meeting of representatives of regional co-operation mechanisms with representatives of the Council of Europe and other European institutions and organisations, in order to:
- exchange and compare information on regional activities and projects;
- identify common methods and aims for effective interaction;
- discuss possible joint projects in specific areas;
- lay down guidelines for the exchange of information and for co-operation between their secretariats or representatives in the planning and implementation of programmes;
- gather information on the Council of Europe’s experience and achievements and contribute to ongoing or planned activities of relevance to them;
- make proposals regarding future co-operation.
7. Recommendation Rec(2005)2 of the Committee of Ministers to member states on good practices in and reducing obstacles to transfrontier and interterritorial cooperation between territorial communities or authorities
"The Committee of Ministers, under the terms of Article 15.b of the Statute of the Council of Europe,
Having regard to the European Framework Convention on Transfrontier Cooperation between Territorial Communities or Authorities, signed in Madrid on 21 May 1980 ("the Madrid Convention"), its Additional Protocol of 9 November 1995 and its Protocol No. 2 of 5 May 1998 concerning interterritorial cooperation;
Bearing in mind the Declaration of the Committee of Ministers on Transfrontier Cooperation in Europe, adopted on 6 October 1989 on the occasion of the 40th anniversary of the Council of Europe, which encouraged gradual action to remove administrative, legal, political and psychological barriers that might curb the development of transfrontier projects;
Bearing in mind the Vilnius Declaration on regional cooperation and the consolidation of democratic stability in Greater Europe, adopted by the Committee of Ministers on 3 May 2002;
Bearing in mind the Chişinău Political Declaration on transfrontier and interterritorial cooperation between states in South-Eastern Europe, adopted by the Committee of Ministers on 6 November 2003;
Recalling that cooperation between the local and regional authorities of Europe, particularly as developed under the Madrid Convention, is an essential component of good neighbourliness between member states and can help to strengthen democracy and democratic stability in Europe;
Having learnt, particularly from the annual reports of the Committee of Advisers for the Development of Transfrontier Cooperation in Central and Eastern Europe, of numerous examples of good practices in transfrontier cooperation between member states and their territorial communities or authorities;
In the light of the efforts of the Committee of Experts on Transfrontier Cooperation to identify a number of obstacles of a legal, administrative, economic or practical nature affecting transfrontier cooperation between territorial communities or authorities;
Convinced that the generalisation of good practices and the removal of obstacles could facilitate ratification of the Madrid Convention and its protocols by states that have not yet done so and enable existing parties to give full effect to their provisions;
Believing that the removal of obstacles to transfrontier and interterritorial cooperation could also eventually facilitate the preparation of new legal instruments or inter-state agreements to take account of developments in such cooperation,
Recommends that the governments of member states:
1. establish an appropriate legal framework for transfrontier and/or interterritorial cooperation activities of territorial communities or authorities, complying with the principles of the Madrid Convention and its Protocols;
2. consider the possibility of becoming party to the Convention and its Protocols;
3. take the measures proposed in the appendix to this recommendation, adapting them where necessary to particular situations, in order to improve transfrontier and interterritorial cooperation and reduce the obstacles encountered by their territorial communities or authorities in their transfrontier and/or interterritorial cooperation activities;
4. involve territorial communities or authorities with the relevant powers under domestic law in preparing and implementing the measures proposed in the Appendix to this Recommendation;
5. continue the process of dialogue and cooperation within the Steering Committee on Local and Regional Democracy (CDLR) and the Committee of Experts on Transfrontier Cooperation (LR-CT) aimed at strengthening the legal framework and practical arrangements for transfrontier and/or interterritorial cooperation."
8. Protocol No. 3 to the European Outline Convention on Transfrontier Co-operation between Territorial Communities or Authorities concerning Euroregional Co-operation Groupings (ECGs) (CETS No. 206)
- Opening for signature: 16 November 2009
- Entry into force: 1 March 2013
- The convention is ratified by 6 Member States of the CoE
Summary of the Treaty Office:
"Protocol No. 3 to the Madrid Convention provides for the legal status, establishment and operation of "Euroregional Cooperation Groupings". Composed of local authorities and other public bodies from the Contracting Parties, the aim of a grouping is for transfrontier and interterritorial co-operation to be put into practice for its members, within the scope of their competences and prerogatives. Under the Protocol the Council of Europe may draw up model national laws for facilitating adoption by the Contracting Parties of appropriate national legislation for enabling the "Euroregional Co-operation Groupings" to operate effectively."
IV. Pan-European Individual Rights to Transnational Mutual Assistance and Transfrontier Cooperation?
The question arises whether effective transnational administrative mutual assistance and cooperation between the administrative authorities of the CoE Member States can also have an 'indivudal rights dimension'.
1. Possible impacts of pan-European individual rights to transnational mutual assistance and transfrontier cooperation between administrative authorities
Individual rights in relation with transnational administrative mutual assistance and cooperation between the administrative authorities of the CoE Member States are recognised with regard to safeguards for individuals in cases where mutual assistance is provided in administrative procedures leading to an administrative decision of such nature as it is likely to affect adversely the rights and interests of an individual (cf. Articles 21 - 23 of the Convention on Mutual Administrative Assistance in Tax Matters (ETS No. 127)).
However, there may also be a positive obligations on CoE Member States for transnational mutual assistance and transfrontier cooperation arising from pan-European individual rights. One may, e.g., ask:
- Can the non-recognition of documents issued by another CoE Member State or the failure to obtain information from another CoE Member State in the course of an administrative procedure conducted by that administrative authority be regarded as an interference by the authority with individual rights if that results in disadvantages or procedural complications for the person concerned (such as a certain "presumption of fraud") which are not suffered by persons who are not the subject of cross-border administrative investigations?
- Under what conditions can such an interference can be justified? Would it be conceivable to recognise a principle of mutual trust between CoE Member States "based on the fundamental premiss that each Member State shares with all the other Member States, and recognises that they share with it, a set of common values" on which the CoE is founded, as stated in Article 3 SCoE" (cf. the wording of ECJ [Full Court], Opinion 2/13 of 18 December 2014 at [168]), at least to the effect that there is a certain obligation for effective (not too cumbersome) transnational administrative cooperation where this is helpful for the realisation of individual rights of commuters, people living in border areas or people who live or have lived abroad?
- Do people living in border areas between CoE Member States have a right to expect the respective neighbouring states to promote cross-border cooperation between administrative authorities and collectivities in order to reduce the disadvantages associated with the border-area-situation and to take account of real cross-border commuting situations including the need to keep local border traffic open and as smooth as possible?
2. Possible sources of pan-European individual rights to transnational mutual assistance and transfrontier cooperation between administrative authorities
a) Article 2 (2) of Protocol 4 to the ECHR: The right of everyone to leave any country, including his own
- Opening for signature: 16 September 1963
- Entry into force: 2 May 1968
- The convention has been ratified by 42 Member States of the CoE (with the exception of Greece, Switzerland, Turkey and the United Kindgom)
A summary of the pertinent case law is presented in ECtHR (ed.), Guide on Article 2 of Protocol No. 4 to the European Convention on Human Rights - Freedom of movement (version of August 2022), para. 113 ff., para. 154 ff.
b) Article 8 ECHR
ECtHR, İletmiş v. Turkey (29871/96) 6 December 2005:
"42. The Court considers that the confiscation by the administrative authorities of the applicant's passport and their failure to return it to him for a number of years amount to an interference with the applicant's exercise of his right to respect for his private life. Sufficiently close personal ties existed for there to have been a risk that they would be seriously affected by the confiscation measure [...]. It observes in this connection that the applicant had been living in Germany for seventeen years, had gone there at the age of 22 to study at university and had got married there, that his two children had been born there and that the whole family lived in Germany, where both spouses were employed as social workers.
43. Such interference breaches Article 8 unless it is "in accordance with the law", pursues one or more of the legitimate aims referred to in paragraph 2 and appears "necessary in a democratic society" to achieve those aims.
44. First of all, on the question of "lawfulness" within the meaning of Article 8 § 2 of the Convention, the Court recognises that the interference was "in accordance with the law" [...].
45. The Court also accepts that the withdrawal of the passport in 1992, at the time of the applicant's arrest, pursued at least one of the "legitimate aims" set out in Article 8, namely preserving "national security" and/or "the prevention of ... crime".
46. As to whether the measure was "necessary in a democratic society", that is, whether it corresponded to a "pressing social need" and was proportionate to the legitimate aim pursued, the Court notes at the outset that the Convention finds no fault with preventive measures of this type [...].
47. The Court considers, however, that the longer the proceedings went on without any progress being made and without any evidence against the applicant being produced, the less compelling the legitimate aim became. Likewise, with the passing of time the applicant's right to freedom of movement, considered here as an aspect of his right to respect for his private life, increasingly outweighed the imperatives of national security and the prevention of crime.
48. On this point the Court observes that, in the fifteen years of proceedings during which the applicant was prohibited from leaving the country, no evidence of any threat to national security or any risk of crime was adduced. That no such threat existed is confirmed by the fact that the Assize Court at no time ordered the applicant not to leave the country. Furthermore, the administrative authorities themselves never gave reasons for the impugned prohibition. The Court fails to see, therefore, how the simple fact that the applicant had been suspected in 1984 of belonging to an illegal organisation, or that the resulting proceedings were still pending, could possibly justify such harsh measures against him over a period of fifteen years in the absence of any concrete evidence that there was a real danger of him committing a crime. The Court also stresses that the applicant had no criminal record and was eventually acquitted of the charges against him, no material proof of his purported membership of the organisations concerned having been found in the course of the preliminary investigations or the trial.
49. Finally, the Court must consider the applicant's personal and family situation when he lived in Germany [...] and take into account the extent of the uncertainty and upheaval in his life caused by the indefinite maintenance of the impugned measure.
50. At a time when freedom of movement, particularly across borders, is considered essential to the full development of a person's private life, especially when, like the applicant, the person has family, professional and economic ties in several countries, for a State to deprive a person under its jurisdiction of that freedom for no reason is a serious breach of its obligations.
The fact that "freedom of movement" is guaranteed as such under Article 2 of Protocol no. 4, which Turkey has signed but not ratified, is irrelevant given that one and the same fact may fall foul of more than one provision of the Convention and its Protocols [...].
The Court comes to the conclusion that, after a time [...], continuing to prohibit the applicant from leaving the country no longer answered a "pressing social need" and was therefore disproportionate in relation to the aims pursued, legitimate though they were under Article 8 of the Convention.
Accordingly, there has been a violation of Article 8 of the Convention."
ECtHR, Parmak and Bakır v. Turkey (22429/07 25195/07) 3 December 2019:
82. The Government raised two preliminary objections in their observations. Firstly, they argued that the second applicant’s complaint with respect to the travel ban in question related to freedom of movement, a right that was governed by Article 2 of Protocol No. 4, to which Turkey was not a party. They therefore asked the Court to declare this part of the second applicant’s complaint inadmissible.
83. Secondly, the Government argued that the second applicant had failed to substantiate any disadvantage he had allegedly suffered as a result of the alleged violation, and therefore asked the Court to declare this complaint inadmissible under Article 35 §§ 3 (b) and 4 of the Convention.
84. The Court reiterates that the fact that "freedom of movement" is guaranteed as such under Article 2 of Protocol No. 4, which Turkey has signed but not ratified, is irrelevant, given that one and the same fact may fall foul of more than one provision of the Convention and its Protocols [...]. Moreover, the Court has examined similar complaints under Article 8 of the Convention by having regard to the fact that freedom of movement, particularly across borders, is considered essential to the full development of a person’s private life, especially when he or she has family, professional and economic ties in several countries ( see İletmiş v. Turkey, no. 29871/96, § 50, ECHR 2005‑XII; Paşaoğlu v. Turkey, no. 8932/03, §§ 42-43, 8 July 2008; see also, mutatis mutandis, Riener v. Bulgaria, no. 46343/99, § 134, 23 May 2006, and Pfeifer v. Bulgaria, no. 24733/04, §§ 59-62, 17 February 2011). In that connection, submitting the necessary documents to that effect, the second applicant has substantiated before the domestic authorities as well as the Court that he was a lawful resident of Germany, and that he worked as a freelance journalist. Lastly, with regard to the Government’s objection concerning the alleged lack of a significant disadvantage, the Court notes that the parties do not dispute the fact that the applicant was a non-resident at the material time and that his life prior to his arrest in Turkey was based in Germany. In that respect the Court considers that the effects of the travel ban on the applicant’s private life in so far as it prevented him from returning to his place of residence cannot be underestimated. The Court also considers that it cannot be excluded that the travel ban had pecuniary implications for the applicant. Accordingly, there are no grounds for concluding that the applicant has suffered no significant disadvantage.
85. Accordingly, the Court rejects the Government’s preliminary objections and notes that the second applicant’s complaint under Article 8 of the Convention is not manifestly ill-founded within the meaning of Article 35 § 3 (a) of the Convention. It further notes that it is not inadmissible on any other grounds. It must therefore be declared admissible."
- Opening for signature: 13 December 1957
- Entry into force: 1 January 1958
- The convention has been ratified by 17 Member States of the CoE
Summary of the Treaty Office:
"The Agreement aims to facilitate personal travel of nationals of the Parties, who may enter or leave the territory of another Party by all frontiers on presentation of one of the documents listed in the appendix to this Agreement. Moreover, Parties agree to allow the holder of any of the documents to re-enter its territory without formality even if his/her nationality is under dispute.
The facilities accorded shall only be available for visits of not more than three months duration.
This Agreement shall in no way prejudice the provisions of any domestic law and bilateral or multilateral treaties or agreements in force or to enter into force, whereby more favourable terms are applied to the nationals of other Parties."
← back
The Pan-European General Principles on Public Liability for Administrative Action
(compiled by Ulrich Stelkens)
I. Public Liability for Administrative Action as a Pan-European General Principle
II. Reasons behind and Functions of Public Liability for Administrative Action
III. Scope of the Pan-European General Principles on Public Liability for Administrative Action
IV. Public Liability for Unlawful Administrative Action
V. Public Liability for Lawful Administrative Action
VI. Procedures of Public Liability Actions and Enforcement of Decisions Granting Reparation
I. Public Liability for Administrative Action as a Pan-European General Principle
1. Public liability in the ECHR and the case law of the ECtHR
"Article 5 - Right to liberty and security
(1) [...].
(5) Everyone who has been the victim of arrest or detention in contravention of the provisions of this article shall have an enforceable right to compensation."
Cf. on the case law on Article 5 (5) ECHR : ECtHR, Guide on Article 5 of the European Convention on Human Rights - Right to liberty and security (version of August 2022), para. 292 – 311
"Article 41 ECHR - Just satisfaction
If the Court finds that there has been a violation of the Convention or the protocols thereto, and if the internal law of the High Contracting Party concerned allows only partial reparation to be made, the Court shall, if necessary, afford just satisfaction to the injured party."
On the case law of the ECtHR regarding Article 41 ECHR and the principles underlying it
- A. Fenyves, E. Karner, H. Koziol, E.Steiner (eds.), Tort Law in the Jurisprudence of the European Court of Human Rights, 2011
- O. Ichim, Just Satisfaction under the European Convention on Human Rights (2015)
b) Right to compensation as a positive obligation deriving (implicitly) from Article 13 ECHR and other rights guaranteed by the ECHR?
ECtHR (GC), judgement Z and Others v. UK (29392/95) 10 May 2001:
"109. The Court has previously held that where a right with as fundamental an importance as the right to life or the prohibition against torture, inhuman and degrading treatment is at stake, Article 13 requires, in addition to the payment of compensation where appropriate, a thorough and effective investigation capable of leading to the identification and punishment of those responsible, including effective access for the complainant to the investigation procedure (see Kaya v. Turkey, judgment of 19 February 1998, Reports 1998-I, pp. 330-31, § 107). These cases, however, concerned alleged killings or infliction of treatment contrary to Article 3 involving potential criminal responsibility on the part of security force officials. Where alleged failure by the authorities to protect persons from the acts of others is concerned, Article 13 may not always require that the authorities undertake the responsibility for investigating the allegations. There should, however, be available to the victim or the victim's family a mechanism for establishing any liability of State officials or bodies for acts or omissions involving the breach of their rights under the Convention. Furthermore, in the case of a breach of Articles 2 and 3 of the Convention, which rank as the most fundamental provisions of the Convention, compensation for the non-pecuniary damage flowing from the breach should in principle be part of the range of available remedies."
ECtHR, judgement McGlinchey and Others v. UK (50390/99) 29 May 2003:
"63. In the case of a breach of Articles 2 and 3 of the Convention, which rank as the most fundamental provisions of the Convention, compensation for the non-pecuniary damage flowing from the breach should in principle be part of the range of available remedies (see Z and Others v. the United Kingdom [GC], no. 29392/95, § 109, ECHR 2001-V).
67. In this case therefore, the Court concludes that Judith McGlinchey, or the applicants acting on her behalf after her death, should have been able to apply for compensation for the non-pecuniary damage suffered by her. As there was no remedy which provided a mechanism to examine the standard of care given to Judith McGlinchey in prison and the possibility of obtaining damages, there has, accordingly, been a breach of Article 13 of the Convention."
ECtHR, judgement Roth v Germany (6780/18, 30776/18) 20 October 2020:
"77. Under the Court’s case-law as it emerges from the cases cited above (see paragraphs 65-69), it is recognised that a breach of Article 3, a core right of the Convention, as a rule causes the person concerned non‑pecuniary damage which is to be compensated for by a monetary award. The Court’s awards in respect of non-pecuniary damage serve to give recognition to the fact that non-material damage occurred as a result of a breach of a fundamental human right and reflect in the broadest of terms the severity of the damage see Varnava and Others v. Turkey [GC], nos. 16064/90 and 8 others, § 224, ECHR 2009; Al-Jedda v. the United Kingdom [GC], no. 27021/08, § 114, ECHR 2011; and Nagmetov v. Russia [GC], no. 35589/08, § 73, 30 March 2017 with further references).
78. [...]
79. The Court observes that in the present case the domestic courts acknowledged that the strip searches of the applicant had been unlawful and conceded that the interference with the applicant’s personality rights on account of these searches had been serious (see paragraphs 17 and 26 above). The national authorities can be considered to have recognised thereby, at least in substance, a breach of Article 3.
80. However, the national authorities, when refusing to grant the applicant legal aid in order to bring official liability proceedings, considered that granting him monetary compensation for the non-pecuniary damage caused by that breach was not necessary. The Court, however, does not discern any grounds warranting the conclusion that in the applicant’s case the breach of Article 3 by the repeated strip searches is of a minor nature (see paragraph 72 above), such that compensation would be unnecessary.
81. It follows that the applicant may still claim to be the victim of a violation of Article 3 within the meaning of Article 34 of the Convention.
82.There has therefore been a violation of Article 3 of the Convention.
[...].
93. In respect of arguable claims of a breach of Article 3 notably by ill‑treatment or poor conditions of detention, the Court has repeatedly found that there is a strong presumption that they have caused non-pecuniary damage to the aggrieved person [...]. In these circumstances, making the award of compensation conditional on the claimant’s ability to prove fault on the part of the authorities and the unlawfulness of their actions may render existing remedies ineffective [...]. Furthermore, the level of compensation awarded for non-pecuniary damage must not be unreasonable in comparison with the awards made by the Court in similar cases [...]."
"Article 23 – Compensation
1. Public authorities shall provide a remedy to private persons who suffer damages through unlawful administrative decisions or negligence on the part of the administration or its officials.
2. Before bringing actions for compensation against public authorities in the courts, private persons may first be required to submit their case to the authorities concerned.
3. Court orders against public authorities to provide compensation for damages suffered shall be executed within a reasonable time.
4. It shall be possible, where appropriate, for public authorities or private persons adversely affected to issue legal proceedings against public officials in their personal capacity."
"Private persons" are defined in Article 1 (3) of Recommendation CM/Rec(2007)7 as "individuals and legal persons under private law who are the subject of activities by public authorities" - see on the discussion of Article 23 the meeting report on the 4th meeting (10-12 July 2006) of the Working Party oft the Project Group on Administrative Law (CJ-DA-GT (2006) 3), para. 45; for the genesis of Recommendation CM/Rec(2007)7 in general click here
3. Recommendation No. R (84) 15 of the Committee of Ministers to member states relating to public liability
"The Committee of Ministers [...]
Considering that public authorities intervene in an increasing number of fields, that their activities may affect the rights, liberties and interests of persons and may, sometimes, cause damage;
Considering that, since public authorities are serving the community, the latter should ensure reparation for such damage when it would be inappropriate for the persons concerned to bear it;
[...].
Considering that it is desirable to protect persons in the field of public liability,
Recommends the governments of member states:
a. to be guided in their law and practice by the principles annexed to this recommendation;
b. to examine the advisability of setting up in their internal order, where necessary, appropriate machinery for preventing obligations of public authorities in the field of public liability from being unsatisfied through lack of funds.Appendix
Scope and definitions1. This recommendation applies to public liability, that is to say the obligation of public authorities to make good the damage caused by their acts, either by compensation or by any other appropriate means (hereinafter referred to as "reparation").
[...].
Principles
I.Reparation should be ensured for damage caused by an act due to a failure of a public authority to conduct itself in a way which can reasonably be expected from it in law in relation to the injured person.
Such a failure is presumed in case of transgression of an established legal rule.II.
1. Even if the conditions stated in Principle I are not met, reparation should be ensured if it would be manifestly unjust to allow the injured person alone to bear the damage, having regard to the following circumstances : the act is in the general interest, only one person or a limited number of persons have suffered the damage and the act was exceptional or the damage was an exceptional result of the act.
2. The application of this principle may be limited to certain categories of acts only."
"Introduction
1. Recommendation No. R (84) 15 relating to public liability is a logical sequel to the Council of Europe’s work in the field of administrative law, aimed at protecting persons in their dealings with public authorities. Public authorities in all states are acting in an increasing number of fields ; since their actions have a continuous and determining influence on the public’s activities, rights and interests, many occasions of conflict and damage inevitably arise and the problem is to determine how far the injured persons can be required to bear the damage.2. The Council of Europe’s work in this field began at the 9th Colloquy on European Law (Madrid, 2-4 October 1979) on the liability of the state and regional and local authorities for damage caused by their agents and administrative services, when the situation in member states was reviewed. The colloquy identified the differences that exist with regard both to the basis of public liability and to the rules for establishing the right to reparation and its scale.
3. There was seen to be a case for harmonisation at European level and, in 1980, the European Committee on Legal Co-operation (CDCJ) accordingly instructed the Committee of Experts on Administrative Law (CJ-DA) to draw up appropriate instruments dealing with specific aspects of state liability.
4. It was concluded that, besides the need of establishing a general rule according to which public authorities must be liable for their acts, specific principles are necessary in this field which would be appropriate to the particular nature of the activities of public authorities. Such principles are justified regardless of the question of whether public authorities are answerable before the same courts or whether, by statutory or case-law, they come under a separate system of liability.
5. Damage caused to persons may be the result either of "unlawful" or of "lawful" action by public servants or administrative bodies. The instrument accordingly contains principles providing for reparation in both cases. Nevertheless, since rules concerning reparation for damage caused by lawful acts may necessitate important changes in certain states’ legislation and practice, the instrument provides for the possibility of limited application of Principle II in national systems with the possibility of a gradual extension.
6. The existence of a system of public liability constitutes an essential safeguard for persons, but it is equally important that the system should be so implemented as to allow those injured to obtain just and expeditious reparation. Thus the recommendation, as well as laying down principles to govern the right to reparation, sets out ways of making such reparation effective and advocates that consideration be given to the desirability of setting up, where necessary, ways and means to prevent obligations in this field being unsatisfied through lack of funds."
"The Committee of Ministers [...],
Considering that the system of legal liability of local elected representatives consequently has a particular influence on the smooth operation of local and regional democracy;
Considering that, when establishing such a system, account must be taken at the same time of the legitimate interests of citizens, of the state, of the different territorial authorities and of elected representatives;
Considering that local elected representatives must be fully accountable to citizens and that legal liability of local elected representatives is an important aspect of more effective local democracy;
Considering, nonetheless, that the implementation of such liability raises legitimate concerns on the part of local elected representatives and that the adoption of specific provisions concerning their financial liability may be justified in view of their increasingly complex duties and their elective status;
Having regard to the report of the Steering Committee on Local and Regional Democracy (CDLR) on the liability of local elected representatives for acts or omissions in the course of their duties;
Having regard to the opinion of the Congress of Local and Regional Authorities of Europe on this matter (opinion 9 (1998)),
Recommends that the governments of the member states:
1. review the legal and administrative framework for the financial liability of local elected representatives, taking into account the principles and the proposals set out in the guidelines appended to this recommendation;
2. involve local elected representatives in the considerations about reforms to be undertaken in this area and on the procedure for implementing such reforms.
Appendix to Recommendation No. R (99) 8
Guidelines concerning the financial liability of local elected representatives for acts or omissions in the course of their duties
[...]
I. Scope and application of the financial liability of local authorities and local elected representatives
1. The injured person’s right to sue and right to compensation
The persons who suffered unjustified damage as the result of an act or omission of local elected representatives should always have the right to sue the local authority in question for compensation. In this framework, compensation should not be dependent on proof of misconduct on the part of the local elected representatives who may be individually responsible.
Given that the injured person can claim for compensation to the local authority, the possibility of direct action against local elected representatives should be either excluded or confined to cases of serious negligence or deliberate tortious intent on their part.
2. Liability of elected representatives for damage caused to their local authorities
Elected representatives’ liability for damage caused to their local authorities should in general be confined to cases of serious negligence or deliberate tortious intent.
Where the law lays down no such restriction, the body that has the power to sue the liable elected representatives for compensation should be able to choose not to exercise its right to sue. This could be the case, for example, in the event of slight negligence, or where the good faith of the elected representatives concerned is not at issue and where, having regard to the circumstances, the latter have exercised care and attention."
There seems to be no Explanatory memorandum to this recommendation. Recommendation No. R (99)8 was, however, been prepared by a report by the Steering Committee on Local and Regional Democracy (CDLR) with the collaboration of Phillippe Petit (CoE (ed.), Liability of local elected representatives for acts or omissions in the course of their duties (1999))
a) Guiding Principle 13 of Resolution 97(24) of the Committee of Ministers of the Council of Europe on the twenty guiding principles for the fight against corruption
"The Committee of Ministers [...]
Having received the draft 20 guiding principles for the fight against corruption, elaborated by the Multidisciplinary Group on Corruption (GMC);
Firmly resolved to fight corruption by joining the efforts of our countries,
agrees to adopt the 20 guiding principles for the fight against corruption set out below:
1. [...]
13. to ensure that the system of public liability or accountability takes account of the consequences of corrupt behaviour of public officials;
[...]."
Resolution 97(24) was prepared by CoE's 'Multidisciplinary Group on Corruption (GMC)' (cf. GMC's Activity Report (1994-2000) (CM(2000)158) 27 October 2000).
b) Article 5 of the Civil Law Convention on Corruption (ETS No. 174)
"Article 5 - State responsibility
Each Party shall provide in its internal law for appropriate procedures for persons who have suffered damage as a result of an act of corruption by its public officials in the exercise of their functions to claim for compensation from the State or, in the case of a non-state Party, from that Party’s appropriate authorities."
"48. Article 5 requires each Party to provide in its internal law for appropriate procedures for persons who have suffered damage as a result of an act of corruption by its public officials in the exercise of their function, to claim for compensation from the State or, in case of a non-State Party, from that Party’s appropriate authorities. Indeed such a procedure exists already in a number of European States.
49. Article 5 does not indicate the conditions for the liability of the Party. The Convention leaves each Party free to determine in its internal law the conditions in which the Party would be liable. Therefore, the conditions and procedures for filing claims against the State for damage caused by acts of corruption committed by public officials in the exercise of their functions, will be governed by the domestic law of the Party concerned. However, Article 5 requires Parties to provide "appropriate procedures" to enable victims of acts of corruption by public officials to have effective procedures and reasonable time to seek compensation from the State (or, in the case of a non-State party, from that party’s appropriate authorities).
50. The provision contained in Article 5 does not prevent Parties from providing in their internal law for the possibility for persons who have suffered damage as a result of an act of corruption to sue public officials, as well as the possibility for such Parties to sue their public officials for the reimbursement of any loss (including, for instance, the costs of defending the claim), for which they are adjudged to be responsible. In any event, most European legal systems already provide for this possibility."
II. Reasons behind and Functions of Public Liability for Administrative Action
1. Preventive functions of public liability?
2. Public liability as an element of the rule of law?
3. Public liability as an element of justice
4. Public liability as part of the guarantees of fundamental freedoms, rights and liberties?
5. Public liability as an instrument to promote effectiveness of administration?
1. Preventive functions of public liability?
The idea that state liability has a preventive (deterrent) function, i.e. that state liability provides incentives for potential offenders to behave correctly, clearly underlies Article 5 on state liability of the Civil Law Convention on Corruption (ETS No. 174).
There seems to be consensus that personal liability of the official responsible for the damage may have such a deterrent effect (irrespective of whether he or she is directly liable to the injured party or only indirectly by means of a recourse of the public authority which is liable for the damage to the injured party). Conversely, it is discussed (with different results) whether such a preventive function of public liability is a plausible hypothesis.
- Cf. e. g. for a "law and economics" perspective: G. Dari-Mattiacci, N. Garoupa and F. Gómez-Pomar, 'State Liability', (2010) 18 European Review of Private Law, pp. 773 - 811; B. J. Hartmann, 'Perspectives on the Economic Analysis of Public Liability Law', (2012) 3 JETL, pp. 378 - 389; J. De Mot and M. Faure, 'The Liability of Public Authorities: An Economic Analysis' in K. Oliphant (ed.), The Liability of Public Authorities in Comparative Perspective (2016), pp. 587 - 618.
- Cf., e. g. on the discussion on the deterrent effect of the ECJ case law on liability of the EU member states for infringement of EU law: H.-B. Schäfer, 'Can member state liability for the infringement of European law deter national legislators? in T. Eger ad H.-B. Schäfer (eds.), Research Handbook on the Economics of European Union Law (2012), pp. 82 - 94).
2. Public liability as an element of the rule of law?
Public liability is not (directly) mentioned as an element of the 'rule of law'in the CoE's definitions of the rule of law like
- the document The Council of Europe and rule of law – an overview (CM(2008)170) 21. November 2008 (Report of the Secretary General of the CoE at the request of the Minister's Deputies Rapporteur Group on Legal Cooperation (GR-J); for the genesis of this report click here,
- the Report on the Rule of Law (CDL-AD(2011)003rev9) of 4 April 2011 of the Venice Commission or
- the Rule of Law Checklist (CDL-AD(2016)007) of 18 March 2016 of the Venice Commission
Nor can any references to the 'rule of law' be found in Recommendation No. R (84) 15 of the Committee of Ministers to member states relating to public liability or its Explanatory memorandum (Appendix II (pp. 9 ff.) of the Final Activity Report of the CDCJ on Public Liability (CDCJ (84) 27) 18 July 1984).
However, (at least) in German scholarship, there is a long tradition to associate 'public liability' with the 'principle of legality' and the duty to implement the law (cf., e. g., M. Breuer, Staatshaftung für judikatives Unrecht, 2011, pp. 143 ff.; H. Saurer, Öffentliches Reaktionsrecht (2021), pp. 246 ff.).
In this logic, public liability claims can be considered as an 'instrument to enforce the law' and to make breaches of the law transparent (through the judicial procedures) to the superiors and the public.
With regard to the CJEU case law on liability of the EU member states for infringement of EU law it is sometimes assumed that the desire to obtain a compensation through public liability may be an incentive for 'private enforcement' of EU law (cf. T. Lock, 'Is private enforcement of EU law through State liability a myth? An assessment 20 years after Francovich', (2012) 49 CML Rev., pp. 1675 - 1702).
3. Public liability as an element of justice
"The Committee of Ministers [...]
Considering that public authorities interv enein an increasing number of fields, that their activities may affect the rights, liberties and interests of persons and may, sometimes, cause damage;
Considering that, since public authorities are serving the community, the latter should ensure reparation for such damage when it would be inappropriate for the persons concerned to bear it [...]."
"In a sense, the concept of the cheapest insurer applies to the state per se, since the latter is essentially financed from the taxes and duties paid by citizens. This is why the state can consistently transfer liability costs onto tax and duty payers. In economic terms, this notion is comparable to compulsory insurance. [Footnote 27 referring to G. Dari-Mattiacci, N. Garoupa and F. Gómez-Pomar, 'State Liability', (2010) 18 European Review of Private Law, pp. 773 - 811 (p. 778, pp. 793 ff.)]. In a sense the damages are ‘socialised’ among all those who benefit from the (potentially damage-causing) activity. The costs of car accidents, for instance, are borne by the community of drivers via the compulsory insurance premium, and the costs arising in cases of state liability are borne by the community of citizens via their liability to pay tax and duty to the extent of their taxable capacity. Citizens – including those who do not contribute to the financing of the state – are at the same time the persons in whose interest the state – bound by the standard of the common good and subject to democratic control – primarily acts."
4. Public liability as part of the guarantees of fundamental freedoms, rights and liberties?
Cf supra I 1 for the pertinent provisions of the ECHR and the case law of the ECtHR which clearly conceive a right to compensation in case of violation as an (implicit) element of the rights guaranteed by the ECHR
5. Public liability as an instrument to promote effectiveness of administration?
Recommendation No. R (99)8 of the Committee of Ministers to member states on the financial liability of local elected representatives for acts or omissions in the course of their duties is clearly based on the concern that a strict personal liability for administrative action may deterrend effect so that the willingness to make decisions (in time) decreases due to the fear of personal liability of those in charge. From this perspective public liability may also considered to be an instrument to promote effectiveness of administration. This argument is generalised in some jurisdictions (cf., e. g., K. A. Bettermann, 'Rechtsgrund und Rechtsnatur der Staatshaftung' (1954) Die Öffentliche Verwaltung, pp. 299 - 305 (p. 301)), so that public liability is also understood as a kind of liability insurance for the persons in charge.
However, such an "insurance effect" can only occur if the public official's internal liability vis-à-vis the body liable vis-à-vis the injured party is also limited, at least to a certain extent. This is clearly spelled out in Principle I 2 of Recommendation No. R (99)8 (cf. supra I 4).
2. Relation of public liability to other liability systems
3. Exclusion of public liability for judicial acts
4. Exclusion of legislative acts
5. Liability for private (law) acts of the administration (and accidents)
"Appendix to Recommendation No. R (84) 15
Scope and definitions1. This recommendation applies to public liability, that is to say the obligation of public authorities to make good the damage caused by their acts, either by compensation or by any other appropriate means (hereinafter referred to as "reparation").
2. The term "public authority" means:
a. any entity of public law of any kind or at any level (including state; region; province; municipality; independent public entity); and
b. any private person,
when exercising prerogatives of official authority.
3. The term "act" means any action or omission which is of such a nature as to affect directly the rights, liberties or interests of persons.
4. The acts covered by this recommendation are the following:
a. normative acts in the exercise of regulatory authority;
b. administrative acts which are not regulatory;
c. physical acts.
5. Amongst the acts covered by paragraph 4 are included those acts carried out in the administration of justice which are not performed in the exercise of a judicial function.
[...]."
"Scope and definitions
Paragraph 1
7. This paragraph states the scope of the recommendation and, for this purpose, indicates that it applies to public liability ; the latter is defined as the obligation of public authorities to make good the damage caused by their acts. Such liability of public authorities is traditionally known in several legal systems as "state liability". However, this notion was rejected because the word "state" does not always denote the same political and institutional realities. In some systems, for instance, the notion of state applies to all institutions which govern or regulate the public life of the nation whereas in others it refers only to central government. The expression public liability" is therefore preferable because it can apply in all legal systems to the type of liability covered by this
instrument.
Paragraph 2
8. Public liability is characterised by the fact that its scope is limited to acts of public authorities.
The notion of "public authority" is defined by using a functional criterion, that is the exercise of powers or prerogatives exceeding the rights or powers of ordinary persons. The indication of the specific cases where this condition is met falls within the sphere of domestic law. In some legal systems, prerogatives of official authority are exercised in the performance both of activities traditionally viewed as falling within the sphere of public entities, such as the maintenance of public order, and of activities which can also be carried out by private persons, such as education or transport. Conversely, other systems consider that the prerogatives of official authority cannot be exercised in respect of the last-mentioned activities – which would consequently be subject to the liability system under ordinary law.
9. In some states, "public service" (service public) activities are also subject to a particular liability system.
The performance of tasks or activities which have special characteristics, or are of special interest to the community, is sometimes viewed as a public service. However, the notion of public service does not exist in all legal systems or does not always cover the same situations.
For this reason the recommendation does not specifically provide for the system of public liability to be applied to such activities, but nothing should prevent its application to those states which recognise the notion of public service and consider that activities relating to it must be subject to a liability system different from that existing under ordinary law.
10. Public authorities within the meaning of this recommendation may be both public law persons or entities and private law persons or entities, provided they come within the situation described above. Consequently, the enumeration in sub-paragraph a in paragraph 2 serves merely as an example. The public or private quality of an entity or person is therefore not decisive in giving rise to public liability. What matters is the nature of the powers it exercises.
Paragraph 3
11. The definition of the term "act", based on similar definitions in Resolution (77) 31 on the protection of the individual in relation to the acts of administrative authorities and Recommendation No. R (80) 2 concerning the exercise of discretionary powers by administrative authorities, states that "the term ‘act’ of public authorities means any action or omission which is of such a nature as to directly affect the rights, liberties or interests of persons". This text innovates, by comparison with the definitions in the above-mentioned instruments, by providing expressly that an act may be an action or an omission.
Paragraph 4
12. This provision defines the scope of the instrument. It covers specifically some acts of public authorities, but states may extend the application of the system of public liability to other categories of acts. [...]."
"Appendix to Recommendation No. R (84) 15
[...]
Final ProvisionsThis recommendation should not be interpreted as:
a. limiting the possibility for a member state to apply the principles above to categories of acts other than those covered by the recommendation or to adopt provisions granting a wider measure of protection to victims;
b. affecting any special system of liability laid down by international treaties;
c. affecting special national systems of liability in the fields of postal and telecommunications services and of transportation as well as special systems of liability which are internal to the armed forces, provided that adequate reparation is granted to victims having regard to all the circumstances;
d. affecting special national systems of liability which apply equally to public authorities and private persons.
"42. While not indispensable, these provisions are intended to underline the limits of the recommendation’s scope.
Although the recommendation is concerned only with the acts indicated in the chapter "Scope and definitions", states may also apply it to other categories of acts. States may also, in the domestic application of the recommendation, modify certain of its provisions so as to afford fuller protection to the injured person while remaining within its general scope. Since most states recognise the principle of the preeminence of international law, it follows that any system of liability set up under the recommendation will not take precedence over special systems set up as a result of an international treaty.
43. Sub-paragraph d concerns states where private persons and public authorities are subject to the same liability system. It is evident that, if in such states special systems of liability which are different from that provided for in this instrument exist, they prevail over the recommendation, provided that such systems are of general application and no more favourable position is accorded to public authorities."
"79.7. Comment: Special systems of liability can exist for the internal functioning of the armed forces as well as in the fields of postal and telecommunication services, transportation and other activities which, in some legal systems, fall under a special status of "public utility" (service public). This does not mean, however, that there may be simply no public liability at all in those fields.
[...].
79.13 Comment: Finally, it should be noted that the existence of a chapter on public liability in this handbook on principles of administrative law does not at all mean that there must be a distinct system of public liability as compared to contractual and tort liability under private law. In some states administrative (and other public) authorities are answerable under the same rules as private persons, whereas in other states they fall under a separate system of liability because it is thought that specific principles are necessary in this field in order to take into account the particular nature of the administrative activities accomplished in the general interest. This item is often, but not necessarily always, linked to the decision of whether or not one has special courts for litigations which involve administrative authorities (see above Chapter 5)"
CoE (ed.), The administration and you (2nd edition 2018), p. 43
"The principle of public liability does not require a separate system of law and procedure relating to public authorities, with special public or administrative law courts. Each state will apply the principle in the manner most appropriate to its own legal system. In some states public authorities must comply with the same rules as individuals, whereas in other states a separate system of liability applies to public authorities because it is considered that specific principles are necessary in relation to the legal responsibilities of public authorities in order to take into account the particular nature of their activities and the fact that they are undertaken in the public interest.
Special rules on public liability may apply in some member states in respect of the armed forces and certain public services such as postal, telecommunication and transport services.
In any case, rules on the liability of public authorities shall not discriminate against individuals on grounds of nationality, sex, race, colour, social origin or on any other ground."
3. Exclusion of public liability for judicial acts
The pan-European general principles on public liability for administrative action do not cover liability for judicial acts (including liability for undue delay in court proceedings).
"Appendix to Recommendation No. R (84) 15
Scope and definitions
[...]5. Amongst the acts covered by paragraph 4 are included those acts carried out in the administration of justice which are not performed in the exercise of a judicial function."
"13. Paragraph 5 draws a fundamental distinction between acts performed in the exercise of a judicial function and solely administrative acts carried out in the administration of justice. The former acts do not fall within the scope of this recommendation. The latter acts, whether performed by the judge himself or by his ancillary staff, may be equated with one of the types of acts set out in paragraph 4. These acts are covered by the recommendation."
It seems, that there has been a draft recommendation on public liability for judicial acts prepared in 1983 by the Committee of Experts on Administrative Law (CDCJ (83) 5) but this draft could not be obtained (cf. on this draft J. Velu, 'Essential Elements for a Legal Regime governing Public Liability for Judicial Acts' in: CoE (ed.), Judicial Power and Public Liabilty for Judicial Acts (1986), pp. 77 - 116 (pp. 79 ff.).
In general, public liability for judicial acts was discussed at the Fifteenth Colloquy on European Law in Bordeaux (17-19 June 1985) organized by the CoE. Its proceedings are published in CoE (ed.), Judicial Power and Public Liabilty for Judicial Acts (1986).
Furthermore Chapter VII on "Duties and responsabilities" of the Appendix to Recommendation CM/Rec(2010)12 of the Committee of Ministers to member states on judges: independence, efficiency and responsibilities address the issue from the perspective of judicial independence:
"Chapter VII − Duties and responsibilities
Duties
Liability and disciplinary proceedings
66. The interpretation of the law, assessment of facts or weighing of evidence carried out by judges to determine cases should not give rise to civil or disciplinary liability, except in cases of malice and gross negligence.
67. Only the state may seek to establish the civil liability of a judge through court action in the event that it has had to award compensation.
68. The interpretation of the law, assessment of facts or weighing of evidence carried out by judges to determine cases should not give rise to criminal liability, except in cases of malice.
69. Disciplinary proceedings may follow where judges fail to carry out their duties in an efficient and proper manner. Such proceedings should be conducted by an independent authority or a court with all the guarantees of a fair trial and provide the judge with the right to challenge the decision and sanction. Disciplinary sanctions should be proportionate.
70. Judges should not be personally accountable where their decision is overruled or modified on appeal.
80. When not exercising judicial functions, judges are liable under civil, criminal and administrative law in the same way as any other citizen."
The scope of Recommendation CM/Rec(2010)12 is defined (in para. 1 of its Appendix) as being "applicable to all persons exercising judicial functions, including those dealing with constitutional matters". The very essence of 'judicial functions' is not addressed in this recommendation or its Explanatory memorandum (drafted by the CDCJ - CM(2010)147-add1). With regard to para. 66 ff. of the Appendix to Recommendation CM/Rec(2010)12 these are merely paraphrased in the Explanatory memorandum.
Cf. on the notion of 'judicial acts'
- F. Morozzo della Rocca, 'The Different Form of Personal Liability of the Judge', in: CoE (ed.), Judicial Power and Public Liabilty for Judicial Acts (1986), pp. 54 - 76 (p. 56)
- J. Velu, 'Essential Elements for a Legal Regime governing Public Liability for Judicial Acts' in: CoE (ed.), Judicial Power and Public Liabilty for Judicial Acts (1986), pp. 77 - 116 (pp. 79 ff.) (referring to and quoting from the aforemantions draft recommendation on public liability for judicial acts and its draft Explanatory memorandum prepared in 1983 by the Committee of Experts on Administrative Law (CDCJ (83) 5)
4. Exclusion of legislative acts
The pan-European general principles on public liability for administrative action do not cover liability for legislative acts, cf. Recommendation No. R (84) 15 of the Committee of Ministers to member states relating to public liability:
"Appendix to Recommendation No. R (84) 15
Scope and definitions [...].
4. The acts covered by this recommendation are the following:
a. normative acts in the exercise of regulatory authority; [...]."
"Paragraph 4
12. This provision defines the scope of the instrument. It covers specifically some acts of public authorities, but states may extend the application of the system of public liability to other categories of acts.
It follows from paragraph 4 that the legislative acts adopted by parliament, and, in some states, by similar bodies of the entities forming the state which possess legislative power (regions, states in a federal state) are excluded from the scope of the recommendation.
In many states, the executive authorities (government, ministers, other administrative authorities) can adopt normative acts of general application. Those acts are adopted either on the basis of a delegation of power by the body which possesses the legislative power or by virtue of a power which is derived from the constitution.
According to paragraph 4, only acts of the executive bodies falling within "the regulatory authority" are covered by the recommendation.
The acts which fall within such a "regulatory authority" shall be determined in accordance with the law of each state."
- The principles of Recommendation No. R (84) 15 are directly applicable only in cases where an administrative authority exercises "prerogatives of official authority". However, the recommendation abstains from defining these cases. The Explanatory memorandum (Appendix II (pp. 9 ff.) of the Final Activity Report of the CDCJ on Public Liability (CDCJ (84) 27) 18 July 1984, para. 8) states in this regard that "prerogatives of official authorities" are "prerogatives exceeding the rights or powers of ordinary persons." Whether this condition is met falls "within the sphere of domestic law". If domestic law does not consider a specific (damaging) administrative action as "exercise of public authority" it "would consequently be subject to the liability system under ordinary law" (cf. supra III 1).
- The same concept underlies the "Final provisions" of Recommendation No. R (84) 15: If it follows from national law that the administration can "act as a private person, subject to private law" (cf. the government's submission quoted in para 90 of ECtHR (Plenary), judgement Engel and others v. the Netherlands (5100/71; 5101/71; 5102/71; 5354/72; 5370/72) 8 June 1976), then the liability of public authorities should be (at a minimum) identical to the liability of private persons. Compared to private persons public authorities should not enjoy a more favourable position in this (ordinary) liability system. Conversely, national law may apply the principles of Recommendation No. R (84) 15 even in these cases if this leads to a wider protection of to the damaged party.
- Domestic law may subject such accidents to private liability law (because no need is seen to protect the victims of damaging administrative actions more extensively compared to the victims of (comparable private actions).
- Domestic law may (at least in certain cases) subject such accidents to specific liability systems which takes into consideration the specifics obligations and needs of the administration.
- Domestic law may (at least partially) create special compensation regimes (of a "social law" rather than "tort law" nature).
IV. Public Liability for Unlawful Administrative Action
2. Conditions and limits of liability
Recommendation No. R (84) 15 of the Committee of Ministers to member states relating to public liability:
"Appendix to Recommendation No. R (84) 15
[...]
Principles
I.Reparation should be ensured for damage caused by an act due to a failure of a public authority to conduct itself in a way which can reasonably be expected from it in law in relation to the injured person.
Such a failure is presumed in case of transgression of an established legal rule.[...].
VIII.
The nationality of the victim should not give rise to any discrimination in the field of public liability."
"Principle I
15. This provision defines the factors which must be present for public liability to arise. With regard to the basis of liability, the instrument follows precedents already established in the area of civil liability by the work of the Council of Europe’s European Committee on Legal Co-operation (CDCJ), precedents which are in line with recent developments, especially recent court decisions, in a number of member states.
This principle does not make use of the two criteria of unlawfulness and fault. Public liability should arise whenever damage is caused by a failure of public authorities to comply with the standards of conduct which can reasonably be expected from them in law in relation to the injured person. This makes it possible, inter alia, to protect victims having suffered damage caused by agents unknown or by a department acting collectively.
16. The standards of conduct which public authorities might reasonably be expected in law to observe depend on their tasks and the means at their disposal. The public administration in particular, and public authorities in general, are instruments to which the nation, through its representatives, entrusts functions for which they are assigned the means. Public authorities must consequently be in a position to perform a series of tasks and provide a number of services to the community, the definition, scope and nature of these activities being established by legal rules. When a public authority fails to comply with a duty required by the legal rules and damage to citizens ensues, it should be possible for the latter to obtain reparation from the public authority in question, regardless of any personal liability of the agents or officials who caused the damage.
17. The term "in law" means that the state’s legal system must be considered as a whole. It refers to all applicable legal rules.
The scope of the notion of "legal rule" varies : in some systems, customary rules fulfilling certain conditions or possessing certain characteristics have the same binding force as written laws. It is therefore
a matter for domestic systems to decide which rules may be considered as legal rules.
18. The definition of the term "act" in paragraph 3, considered in conjunction with the expression "reasonably in relation to the injured person" in Principle I, makes it clear that public liability does not arise in every instance of transgression of a legal principle or legal rule, since such principle or rule must be one that affects a right, freedom or interest of the injured person. Only such a transgression can give rise to reasonable expectation within the meaning of Principle I. Transgression of a rule which is concerned with an administration’s internal organisation and does not directly or indirectly create an individual right or interest, does not give rise to liability under Principle I.
[...]
Principle VIII
41. The principles on public liability should be applied according to the same criteria and in a uniform way to all persons, regardless of their nationality, even if other states have a different legal provision. Progress in the protection of rights and legitimate interests of persons, in the spirit of the constant action of the Council of Europe, implies rejection of any discrimination in this field."
" 79. Reparation for injury caused by an administrative act, or by failure to take such an act, must be ensured:
(i) where the administrative authorities fail to conduct themselves in a way which can be reasonably expected from them in law by the injured person (which failure is presumed in
the case of transgression of an established legal rule); or
(ii) [...].
79.4. Comment: In some countries, administrative authorities will be exonerated from liability in the case of force majeure. Force majeure, an example of which arises out of atmospheric phenomena, is characterised by the fact that, since the cause of the damage cannot be attributed to the administrative authorities, the actual occurrence of the act causing damage is normally unpredictable and its consequences are unavoidable. It is not possible, in such cases, to speak of acts of causation of the administrative authorities which would justify attributing liability to the administrative authorities for the damage caused.
79.5. Comment: In certain cases the causal link may, in the legal sense, be broken by the intervention of a third person. If, for example, such an intervention prevents the administrative body from taking the necessary act, this frees the administrative authorities from liability.
79.6. Comment: A special problem linked to the concept of "administrative acts" may arise where damage is caused by an official ostensibly acting in the public service, but in fact acting in his or her own interest ; one must determine the criteria for defining what is referred to in some systems as separate personal fault (faute personnelle détachable) and administrative error (faute de service). Where the appearance of normal activity of an administrative authority is sufficient to mislead reasonable and careful people, public liability may arise even if such an appearance subsequently proves to be untrue. This consequence is based on the fact that appearance is constituted by factors that are objectively linked to public administration or a public service. Thus, under certain circumstances, liability may arise if, in the particular case, the capacity of an administrative official and the circumstances of his action are of such a nature as to mislead the injured person, at least if there has been a lack of control on behalf of the administration.
[...].
79.9. Comment re (i): The standards of conduct which administrative authorities might reasonably be expected in law to observe depend on their tasks and the means at their disposal. The administrative authorities are instruments to which the nation entrusts functions for which they are assigned the means. Administrative authorities must consequently be in a position to perform a series of tasks and provide a number of services to the community, the definition, scope and nature of these activities being established by legal rules. When an administrative authority fails to comply with a duty required by the legal rules and damage to citizens ensues, it should be possible for the latter to obtain reparation from the administrative authority in question, regardless of any personal liability of the agents or officials who caused the damage.
79.10. Comment re (i): The presumption raised in this principle is rebuttable, and the administrative authority in question will not be liable if it can show that violation of the rule does not amount to non-compliance with the standard of conduct which it was bound to observe. At the same time, this presumption helps to protect the victim, who is not obliged to investigate the conduct of the administrative department responsible for the act causing the damage but has merely to prove that the administrative authorities as a whole could not produce the state of things prescribed by a legal rule. One application of this principle is the presumption, in many states, of liability in the case of technical failure of equipment used by the administrative authorities, for example, the case in which there is a technical failure of the traffic lights. A claimant should be able to get reparation even if it is not possible to establish any fault on the part of any particular official.
79.11. Comment re (i): But public liability does not arise in every instance of transgression of a legal principle or legal rule, since (a) such principle or rule must be one that affects a right, freedom or interest of the injured person and (b) there must be damage. This means that neither the transgression of a rule which is concerned with an administration’s internal organisation and does not directly or indirectly affect an private person’s right or interest, nor the transgression of rule which does affect the private person’s rights but which did actually not cause any damage, do give rise to public liability in the sense used here. This should not prevent the possibility of liability of a different kind like, for instance, criminal or disciplinary liability."
CoE (ed.), The administration and you (2nd edition 2018), pp. 41 ff.
"Principle 16 – Liability and redress
Public authorities shall be accountable in law for their unlawful or negligent actions or inactions, and any resulting damage or loss suffered by individuals.
Public authorities shall provide full redress for any such damage or loss, including that resulting from actions or inactions of their officials, and also, where provided by national law, as a result of no-fault liability. Court orders or administrative decisions granting redress shall be executed within a reasonable time.
[...]
Commentary
Liability
This principle concerns the liability of a public authority towards the individual as a result of unlawful or negligent actions or inactions causing loss or damage to the individual. The principle does not extend to loss or damage sustained by individuals due to actions or inactions of public officials engaged in criminal activity, nor does it concern employment matters between officials and public authorities.
Liability arises whenever damage or loss is suffered by individuals as a result of failure by a public authority to comply with standards of conduct reasonably expected to be met in law. [...]
The standards of conduct which public authorities might reasonably be expected by law to observe depend on their functions and the means at their disposal. They must be in a position to perform a wide range of tasks and deliver a large number and variety of services to the community. The definition, scope and nature of these services are established by law.
Damage or loss suffered by an individual as a result of the actions or inactions of a public official acting without legal authority and beyond the scope of his or her powers, may still result in the liability of the public authority. Liability of the public authority in these circumstances will depend on the functions performed by the public official and the circumstances of his or her actions, in particular whether the actions or inactions were of such a nature as to mislead the injured person into thinking that the official was acting within his or her powers, and whether the public authority failed to exercise sufficient control over the official’s actions or to clearly explain the role of the official in the particular situation. Some legal systems distinguish between the personal liability of the official concerned (faute personnelle détachable) and administrative error (faute de service) where the public authority would be responsible.
Public authorities will, as a general rule, be exonerated from liability in the case of force majeure where circumstances beyond the control of the public authority arise which are often unpredictable and may have unavoidable consequences. There will also be no liability where the damage or loss is caused as a result of a significant intervention in the chain of events by a third party. In such cases, liability will normally lie with the third party. [...]."
2. Conditions and limits of liability
Recommendation No. R (84) 15 of the Committee of Ministers to member states relating to public liability:
"Appendix to Recommendation No. R (84) 15
[...]
Principles
I. [...].
III.
If the victim has, by his own fault or by his failure to use legal remedies, contributed to the damage, the reparation of the damage may be reduced accordingly or disallowed.
The same should apply if a person, for whom the victim is responsible under national law, has contributed to the damage.
[...].
V.
Reparation under Principle I should be made in full, it being understood that the determination of the heads of damage, of the nature and of the form of reparation falls within the competence of national law.
[...]."
CoE (ed.), The administration and you (1st edition 1996/1997), pp. 49 ff.:"Principle III
28. The provisions of Principle III are based upon those relating to the same subject in the European Convention on Products Liability in regard to Personal Injury and Death. The principle covers cases in which the injured person has himself contributed to the damage. The fault of the victim is the main cause that modifies the liability. However, the case of the failure of the victim to use the legal remedies available to him, which might have prevented or reduced the damage, has been expressly mentioned. It will be for the court to determine in a specific case the contribution to the damage by the victim with a view to assessing the reparation or, if appropriate, disallow it.
29. The second paragraph states that reparation may also be reduced where the damage is the result of an act committed by a person for whom the victim is responsible under national law (for example, depending on the system : agent, minor).
30. Although the recommendation does not expressly mention this matter, public authorities will, as a general rule, be exonerated from liability in the case of force majeure. Force majeure, an example of which arises out of atmospheric phenomena, is characterised by the fact that, since the cause of the damage cannot be attributed to the public authorities, the actual occurrence of the act causing damage is normally unpredictable and its consequences are unavoidable. It is not possible,in such cases, to speak of acts of the public authorities or of causation which would justify attributing liability to the public authorities for the damage caused. The causal link may, in certain cases, be broken by the intervention of a third person which would, for example, by preventing the action of an administrative body, consequently free the public authorities from liability.
[...]
Principle V
34. This provision establishes the principle that reparation must be made in full, meaning that the victim must be compensated for all the damage resulting from the wrongful act which can be assessed in terms of money, and be appropriately compensated for other damage. However, it leaves it to domestic law to determine the heads of damage, the nature and the form of the reparation. In most legal systems, however, reparation covers both immediate material damage (damnum emergens) and the loss incurred (lucrum cessans).
35. [...]."
"79.1. Comment: The term "reparation" used here is the broadest legal term possible to design the fact of making good damage done. Reparation can take various forms among which compensation (payment of a sum of money or granting of another advantage in order to compensate an injury suffered which cannot be directly repaired) and restitution (handing back the original good or restoring someone in his rights). See below II : "Reparation".
79.2. Comment: "Injury" for which reparation must be ensured, can be physical damage or financial loss, whereas reparation for moral suffering is not granted in most countries.
79.3. Comment: The affirmation that the damage must be "caused" by an administrative act establishes the need for causal relation between the act of the administrative authorities and the damage.
[...]
81. Reparation on grounds of public liability :
(i) [...] ;
(ii) must be paid in full where the administrative act was unlawful and may be paid in part if it was lawful ;
(iii) may not be payable or only partly payable where the victim was partly responsible for the injury ;
(iv) [...].
(v) [...].
[...]
81.3. Comment re (ii): This provision establishes the principle that reparation must be made in full, meaning that the victim must be compensated for all the damage resulting from the wrongful act which can be assessed in terms of money, and be appropriately compensated for other damage. However, it leaves it to domestic law to determine the heads of damage, the nature and the form of the reparation. In most legal systems, however, reparation covers both immediate material damage (damnum emergens) and the loss incurred (lucrum cessans).
[...].
81.5. Comment re (iii): The victim is partly to blame for the injury if he/she has contributed to the damage by his/her own fault or by failing to use legal remedies. The same applies if a person, for whom the victim is responsible under national law (like, for example, an agent or a minor), has contributed to the damage. It will be for the court to determine in a specific case the contribution to the damage by the victim with a view to assessing the reparation or, if appropriate, disallow it."
"Commentary
Liability
Liability arises whenever damage or loss is suffered by individuals as a result of failure by a public authority to comply with standards of conduct reasonably expected to be met in law. [...] .
A public authority will be liable for physical damage or financial loss and even nonpecuniary damage (for example, injury to reputation) where provided by national
law. There must be a direct causal link between the action or inaction of the public authority and the damage or loss suffered.
[...].Redress
Public authorities should in general provide full redress to individuals for damage or loss suffered as a result of unlawful or negligent actions or inactions of public
authorities, whether within or outside their powers.
[...]
When a public authority fails to properly comply with its legal duties resulting in damage or loss to an individual, redress should be available to the individual regardless of any personal liability of public officials who may have caused the damage or loss.
"Redress", in this context, means all possible forms of making good any damage or loss suffered by an individual as a result of actions or inactions of public authorities. It includes compensation in the form of a monetary payment or other means aimed at compensating an individual for damage or loss that cannot be directly repaired. It also includes restitution (where a contract is rescinded or restoring previous rights or privileges before a contract was entered into), as a result of no-fault liability or an act of corruption committed by a public official. The nature and form of redress may vary and will be determined by national law, including the heads of damage in the case of compensation. The level of redress may be reduced or redress may be denied completely where an individual, or a person for whom he or she is responsible under national law, contributed to the damage or loss incurred or is deemed solely
liable.The principle of "full redress" means that an individual is compensated for all damage caused by the unlawful or negligent action to the extent that it can be given a monetary value and appropriately compensated for. In most legal systems, compensation covers both immediate material damage and consequent loss."
V. Public Liability for Lawful Administrative Action
Recommendation No. R (84) 15 of the Committee of Ministers to member states relating to public liability:
"Appendix to Recommendation No. R (84) 15
[...]
Principles
[...]
II.
1. Even if the conditions stated in Principle I are not met, reparation should be ensured if it would be manifestly unjust to allow the injured person alone to bear the damage, having regard to the following circumstances : the act is in the general interest, only one person or a limited number of persons have suffered the damage and the act was exceptional or the damage was an exceptional result of the act.
2. The application of this principle may be limited to certain categories of acts only.
[...].
V. [...].
Reparation under Principle II may be made only in part, on the basis of equitable principles.
[...]."
24. A person’s rights and legitimate interests may be infringed and damage caused not only when a public authority fails to conduct itself in the way required of it but also, in certain instances, when it acts in a proper manner and cannot be accused of breach of duty. Such damage is the consequence of a risk inherent in all social activity, and criteria must be established for determining those instances in which the damage should be borne by the injured person and those in which, on the other hand, it should be the responsibility of the community.
25. A generally accepted principle of social solidarity requires persons to accept a whole range of inconveniences and damage as a normal consequence of life in society, when they are not excessively important or serious and they affect the population as a whole. Conversely, it seems unjust to require the injured person to bear damage to which the aforementioned qualifications do not apply and which constitutes an excessive burden for a specific person in relation to the principle of equality in sharing the consequences of public obligations.
26. For these reasons, even if the conditions stated in Principle I are not met, in other words even if there has not been any failure by a public authority to conduct itself in a way which could reasonably be expected of it, in law, the recommendation invites states to provide in their internal law for rules granting reparation to the victim whenever it would be manifestly unjust for the injured person to bear the damage alone. In order to help to qualify the unjust character of the damage,
this principle enumerates three cumulative conditions.
27. To facilitate implementation of the recommendation, particularly by states with no objectively defined general system of liability, paragraph 2 provides that states may restrict the application of Principle II to specified categories of acts. This will also enable those states, if they so wish, to apply Principle II in stages to ever-wider categories of acts.
[...]
Principle V
[...]
35. In the circumstances referred to in Principle II, in view of the characteristics of acts by public authorities which cause damage, and having regard to the basis of the duty to make reparation, it may be appropriate for the injured person to bear a part of the damage. Indeed, since this provision specifically mentions cases in which it would be manifestly unjust for the injured person to bear the damage "alone", it follows that it may be just to make fair rather than full reparation. The amount of such reparation is to be fixed in the light of all the factors used in such cases to establish the degree of liability of public authorities and the consequent entitlement of the injured person."
"79. Reparation for injury caused by an administrative act, or by failure to take such an act, must be ensured:(i) [...]
(ii) where an administrative act causes exceptional harm to an individual private person or to a group of private persons and it is manifestly unfair that such individual private person or group of private persons alone suffers the adverse effects of the act.
[...].
79.12. Comment re (ii): A person’s rights and legitimate interests may be infringed, and damage caused, not only when an administrative authority fails to conduct itself in the way required of it but also, in certain instances, when it acts in a proper manner and cannot be accused of breach of duty. Such damage is the consequence of a risk inherent in all social activity, and criteria must be established for determining those instances in which the damage should be borne by the injured person and those in which, on the other hand, it should be the responsibility of the community. A generally accepted principle of social solidarity requires persons to accept a whole range of inconveniences and damage as a normal consequence of life in society, when they are not excessively important or serious and they affect the population as a whole. Conversely, it seems unjust to require the injured person to bear damage to which the aforementioned qualifications do not apply and which constitutes an excessive burden for a specific person in relation to the principle of equality in sharing the consequences of public obligations. For these reasons, even if the conditions stated in paragraph 79 (i) are not met, in other words even if there has not been any failure by administrative authority to conduct itself in a way which could reasonably be expected of it, the Council of Europe expects states to provide in their internal law for rules granting reparation to the victim whenever it would be manifestly unjust for the injured person to bear the damage alone. In order to help to qualify the unjust character of the damage, this principle enumerates cumulative conditions.
80. The principle of liability for damages caused by lawful administrative acts (see above paragraph 79 (ii)) may be limited to certain categories of acts.
80.1. Comment: When the pertinent Council of Europe recommendation was drawn up in 1984, it was considered that, "since rules concerning reparation for damage caused by lawful acts may necessitate important changes in certain states’ legislation and practice, [there had to be] the possibility of limited application of [the principle of liability for lawful acts] in national systems with the possibility of a gradual extension".
[...].
81.4. Comment (ii): In the circumstances referred to in paragraph 79 (ii), in view of the characteristics of acts by administrative authorities which cause damage and having regard to the basis of the duty to make reparation, it may be appropriate for the injured person to bear a part of the damage. Indeed, since this provision specifically mentions cases in which it would be manifestly unjust for the injured person to bear the damage "alone", it follows that it may be just to make fair rather than full reparation. The amount of such reparation is to be fixed in the light of all the factors used in such cases to establish the degree of liability of administrative authorities and the consequent entitlement of the injured person."
"Commentary
Liability
[...] Where a public authority has neither acted unlawfully nor negligently, nor failed to conduct itself in a way that can be reasonably expected of it, national law may still impose liability on public authorities if it would be manifestly unfair for individuals alone to bear damage or loss sustained as a result of the public authority’s action or inaction.
[...].
An individual’s rights and legitimate interests may be infringed, and damage or loss caused, not only when a public authority acts unlawfully or negligently, or fails to properly conduct itself, but also in certain other situations, for example when it acts lawfully but improperly. In these cases, criteria must be established for determining the instances in which the burden of damage or loss should be borne by the injured person alone and when it should be borne by the community. The generally accepted principle of social solidarity requires the public to accept a whole range of inconveniences, damage or loss as a normal consequence of everyday life in society, which are not excessive or serious and affect the population as a whole. Conversely, when damage or loss is excessive or serious and is suffered by only one or some individuals or groups of individuals and it would be unfair for these persons to bear the full burden of the damage or loss themselves, they should be compensated. Accordingly, Recommendation No. R (84) 15 relating to public liability expects member states to provide in their national law rules for granting compensation to the injured person whenever it would be manifestly unjust for him or her alone to bear the burden of damage or loss.
[...].
Redress
[...]
National law may impose an obligation on public authorities to provide redress for damage or loss not resulting from unlawful or negligent actions or inactions of public authorities, where it would be manifestly unfair for the injured individual alone to bear such damage or loss. In these cases redress may be partial, provided it is fair.
[...]
"Fair redress" shall be determined on the basis of the following factors: the nature of the public interest giving rise to the individual’s damage or loss; the prevalence of the incident and the extent to which the action was exceptional or the fact that the resulting damage or loss was exceptional. [...]."
"167. The Court’s case-law enshrining, in accordance with the second paragraph of Article 288 EC, both the existence of the regime governing the non-contractual liability of the Community for the unlawful conduct of its institutions and the conditions for the regime’s application is thus firmly established. By contrast, that is not so in the case of a regime governing non-contractual Community liability in the absence of such unlawful conduct.168. Contrary to what the Court of First Instance stated in the judgments under appeal, it cannot, first of all, be deduced from the case-law prior to those judgments that the Court of Justice has established the principle of such a regime.169. As the Court of Justice noted in particular in Dorsch Consult v Council and Commission , paragraph 18 [...] the Court has on the contrary hitherto limited itself, as set out in settled case-law, to specifying some of the conditions under which such liability could be incurred in the event of the principle of Community liability for a lawful act being recognised in Community law (see also, in similar terms, Case 59/83 Biovilac v EEC [1984] ECR 4057, paragraph 28). It was solely on that basis that the Court noted in Dorsch Consult v Council and Commission , paragraph 19, that if the principle of such liability came to be recognised, at the very least three conditions, comprising the fact of damage, the existence of a causal link between it and the act concerned and the unusual and special nature of the damage, would all have to be satisfied in order for liability to be incurred.170. Secondly, as regards the liability regime recognised in Community law, the Court, while noting that it is to the general principles common to the laws of the Member States that the second paragraph of Article 288 EC refers as the basis of the non-contractual liability of the Community for damage caused by its institutions or by its servants in the performance of their duties, has held that the principle of the non-contractual liability of the Community expressly laid down in that article is simply an expression of the general principle familiar to the legal systems of the Member States that an unlawful act or omission gives rise to an obligation to make good the damage caused (Brasserie du pêcheur and Factortame , paragraphs 28 and 29).171. As regards, more specifically, liability for legislative activity, the Court moreover pointed out at a very early stage that, although the principles in the legal systems of the Member States governing the liability of public authorities for damage caused to individuals by legislative measures vary considerably from one Member State to another, it is however possible to state that the public authorities can only exceptionally and in special circumstances incur liability for legislative measures which are the result of choices of economic policy (Bayerische HNL Vermehrungsbetriebe and Others v Council and Commission , paragraph 5).172. The Court has therefore held in particular that, in view of the second paragraph of Article 288 EC, the Community does not incur liability on account of a legislative measure which involves choices of economic policy unless a sufficiently serious breach of a superior rule of law for the protection of the individual has occurred (see, inter alia, Joined Cases 9/71 and 11/71 Compagnie d’approvisionnement, de transport et de crédit and Grands Moulins de Paris v Commission [1972] ECR 391, paragraph 13; Bayerische HNL Vermehrungsbetriebe and Others v Council and Commission , paragraph 4; Case 50/86 Les Grands Moulins de Paris v EEC [1987] ECR 4833, paragraph 8; and Case C-119/88 AERPO and Others v Commission [1990] ECR I‑2189, paragraph 18).173. It has further pointed out, in this connection, that the rule of law the breach of which must be found has to be intended to confer rights on individuals (see to this effect, inter alia, Case C-352/98 P Bergaderm and Goupil v Commission [2000] ECR I‑5291, paragraphs 41 and 42, and Case C-282/05 P Holcim (Deutschland) v Commission [2007] ECR I‑2941, paragraph 47).
174. The Court has, moreover, stated that the strict approach taken towards the liability of the Community in the exercise of its legislative activities is attributable to two considerations. First, even where the legality of measures is subject to judicial review, exercise of the legislative function must not be hindered by the prospect of actions for damages whenever the general interest of the Community requires legislative measures to be adopted which may adversely affect individual interests. Second, in a legislative context characterised by the exercise of a wide discretion, which is essential for implementing a Community policy, the Community cannot incur liability unless the institution concerned has manifestly and gravely disregarded the limits on the exercise of its powers (see, in particular, Brasserie du pêcheur and Factortame , paragraphs 45).175. Finally, it is clear that, while comparative examination of the Member States’ legal systems enabled the Court to make at a very early stage the finding recalled in paragraph 170 of the present judgment concerning convergence of those legal systems in the establishment of a principle of liability in the case of unlawful action or an unlawful omission of the authority, including of a legislative nature, that is in no way the position as regards the possible existence of a principle of liability in the case of a lawful act or omission of the public authorities, in particular where it is of a legislative nature.176. In the light of all the foregoing considerations, it must be concluded that, as Community law currently stands, no liability regime exists under which the Community can incur liability for conduct falling within the sphere of its legislative competence in a situation where any failure of such conduct to comply with the WTO agreements cannot be relied upon before the Community courts.177. In the case in point, the conduct which the appellants allege to have caused them damage comes within the context of establishment of a common organisation of the market and clearly falls within the sphere of legislative activity of the Community legislature.178. It is immaterial in this regard whether that conduct is to be regarded as a positive act, namely the adoption of Regulations No 1637/98 and No 2362/98 following the DSB’s decision of 25 September 1997, or as an omission, namely the failure to adopt measures calculated to ensure the correct implementation of that decision. Failure on the part of the Community institutions to act can also fall within the legislative function of the Community, including in the context of actions for damages (see, to this effect, Les Grands Moulins de Paris v EEC , paragraph 9).179. It follows from all of the foregoing that, in affirming in the judgments under appeal the existence of a regime providing for non-contractual liability of the Community on account of the lawful pursuit by it of its activities falling within the legislative sphere, the Court of First Instance erred in law.180. However, two further points should be made.
181. First, the finding in paragraph 179 of the present judgment is made without prejudice to the broad discretion which the Community legislature enjoys where appropriate for the purpose of assessing whether the adoption of a given legislative measure justifies, when account is taken of certain harmful effects that are to result from its adoption, the provision of certain forms of compensation (see to this effect, with regard to agricultural policy, Joined Cases C-20/00 and C‑64/00 Booker Aquaculture and Hydro Seafood [2003] ECR I‑7411, paragraph 85).
182. Second, it is to be remembered that it is settled case-law that fundamental rights form an integral part of the general principles of law the observance of which the Court ensures.
183. With regard, more specifically, to the right to property and the freedom to pursue a trade or profession, the Court has long recognised that they are general principles of Community law, while pointing out however that they do not constitute absolute prerogatives, but must be viewed in relation to their social function. It has thus held that, while the exercise of the right to property and to pursue a trade or profession freely may be restricted, particularly in the context of a common organisation of the market, that is on condition that those restrictions in fact correspond to objectives of general interest pursued by the Community and that they do not constitute, with regard to the aim pursued, a disproportionate and intolerable interference which infringes upon the very substance of the rights guaranteed (see, inter alia, Case 265/87 Schräder HS Kraftfutter [1989] ECR 2237, paragraph 15; Germany v Council , paragraph 78; and Case C-295/03 P Alessandrini and Others v Commission [2005] ECR I‑5673, paragraph 86).
184. It follows that a Community legislative measure whose application leads to restrictions of the right to property and the freedom to pursue a trade or profession that impair the very substance of those rights in a disproportionate and intolerable manner, perhaps precisely because no provision has been made for compensation calculated to avoid or remedy that impairment, could give rise to non-contractual liability on the part of the Community."
"The Committee of Ministers [...]
[...].
Recommends the governments of member states:
a. to be guided in their law and practice by the principles annexed to this recommendation;
b. to examine the advisability of setting up in their internal order, where necessary, appropriate machinery for preventing obligations of public authorities in the field of public liability from being unsatisfied through lack of funds.
Principles
I. [...].
IV.
The right to bring an action against a public authority should not be subject to the obligation to act first against its agent.
If there is an administrative conciliation system prior to judicial proceedings, recourse to such system should not jeopardise access to judicial proceedings.
V. [...].
VI.
Decisions granting reparation should be implemented as quickly as possible. This should be ensured by appropriate budgetary or other measures.
If, under domestic law, a system for a special implementation procedure is provided for, it should be easily accessible and expeditious.
VII.
Rules concerning time-limits relating to public liability actions and their starting points should not jeopardise the effective exercise of the right of action.
VIII. [...]."
"Principle IV
31. This principle departs from the approach, now discarded by many states, whereby a person having suffered damage caused by a public activity or service had to bring a claim against the official or civil servant allegedly liable. This solution did not provide the victim with satisfactory protection because it was sometimes impossible to find the person who had actually caused the damage, or very often, that person was insolvent.
32. The liability of public authorities is at present the victim’s basic guarantee that he will obtain proper compensation, but there are two different means whereby action can be taken. In cases where the official or person who has caused the injury can be identified, some legal systems allow the victim to claim either against the public authority for which the official was working at the time or against the official himself, or against both simultaneously. Under other systems, claims must always be brought against the public authority, which can then take action against the official or civil servant who has caused the damage. The instrument adopts a compromise solution, establishing that states should not hinder the victim in the exercise of his right to proceed directly against the public authority liable or bound to make good the damage, thus leaving it to the victim to choose in countries where direct action can be taken against the official in question. [...].
33. The recommendation does not pronounce on the desirability of establishing administrative conciliation systems prior to judicial proceedings. Their main advantage could be said to be to facilitate friendly settlements in certain cases, although they might also have the disadvantage of making procedures unwieldy or of discouraging ill-informed persons from exercising their legitimate rights. Work has already been carried out on this question in the Council of Europe and attention may be drawn to Principle 3 of Recommendation No. R (81) 7 of the Committee of Ministers on measures facilitating access to justice, which states that "Measures should be taken to facilitate or encourage, where appropriate, the conciliation of the parties and the amicable settlement of disputes before any court proceedings have been instituted or in the course of proceedings". This principle is explained in greater detail in the Explanatory memorandum to the recommendation, which states, inter alia, that "for the sake of efficiency, purely formal and dilatory conciliation proceedings should be avoided".
This recommendation merely introduces therefore a principle according to which, where conciliation procedures are provided for in law, they should be conceived and implemented in a manner which does not jeopardise the taking of legal action, since that is the principal means whereby a victim may obtain compensation.
[...].
Principle VI
36. The final decision recognising the right of the victim to receive reparation does not always result in effective reparation being received without delay. Procedurally speaking, the enforcement of decisions in this field is made according to one of the following systems :
a. The decision can be immediately enforced and constitutes sufficient title to obtain reparation ;
b. The decision cannot be immediately enforced and a special procedure is provided for in order to obtain effective reparation.
37. In principle, the first system permits fast reparation. Nevertheless, it was thought useful to lay down the general principle according to which enforcement of decisions in this field should be made as quickly as possible. If the second system is followed, the recommendation emphasises that the enforcement procedure should be easily accessible and fast. These two rules comply with the principles contained in No. R (81) 7 of the Committee of Ministers on measures facilitating access to justice.
38. However, practical or legal obstacles to obtaining an effective reparation may exist. One is represented by strict budgetary rules of the state or other public entities which might prevent the disposal of the funds necessary to comply with the decision. Another possible obstacle is the inertia of the officials of the administration. A third obstacle lies in the prohibition, in some states, of enforcement in respect of the public authorities.
39. The instrument does not describe specific measures to overcome such obstacles, and recommends that states adopt budgetary or other appropriate measures. In some states, for example, budgetary rules provide for orders to pay and, if necessary, the automatic entry in the following year’s budget of the sums which are due to the victim. To remedy the inertia or malicious conduct of officials of the administration, some systems provide for the possibility of the personal liability of the agents concerned.Principle VII
40. Procedural time-limits and rules relating to their calculation have the double aim of fixing the period within which a right of action must be exercised and of instituting a measure of legal certainty by reasonably limiting the possibility of affecting legal rights. In the sector of private law, the first factor prevails and, consequently, time-limits are usually long. Long periods may sometimes constitute an obstacle to the smooth operation and effectiveness of administration action and, at the same time, would not seem indispensable for the protection of individual rights. For this reason, states lay down shorter periods. The recommendation recognises the need for this but it also underlines that such rules must not jeopardise the effective exercise of the right of action."
CoE (ed.), The administration and you (2nd edition 2018), pp. 44 f."81. Reparation on grounds of public liability :
(i) must not depend on an administrative claim having been made or on a prior attempt to sue the agent responsible ;
(ii) [...];
(v) must be decided and paid straightforwardly and without undue delay.
(vi) [...].
81.1. Comment re (i): Administrative conciliation systems prior to judicial proceedings may have the main advantage of facilitating friendly settlements in certain cases, although they might also have the disadvantage of making procedures unwieldy or of discouraging ill-informed persons from exercising their legitimate rights. Therefore it is requested that where conciliation procedures are provided for in law, they should be conceived and implemented in a manner which does not jeopardise the taking of legal action since that is the principal means whereby a victim may obtain compensation.
81.2. Comment re (i): In cases where the official or person who has caused the injury can be identified, some legal systems allow the victim to claim either against the administrative authority for which the official was working at the time or against the official himself, or against both simultaneously. Under other systems, claims must always be brought against the administrative
authority, which can then take action against the official or civil servant who has caused the damage. The Council of Europe advocates a compromise solution, establishing that states should not hinder the victim in the exercise of his right to proceed directly against the administrative authority liable or bound to make good the damage, thus leaving it to the victim to choose in countries where direct action can be taken against the official in question.
[...]
81.6. Comment re (v): The final decision (administrative act) recognising the right of the victim to receive reparation does not always result in effective reparation being received without delay. Procedurally speaking, the enforcement of decisions in this field is made according to one of the following systems : (a) The decision can be immediately enforced and constitutes sufficient title to obtain reparation ; or (b) the decision cannot be immediately enforced and a special procedure is provided for in order to obtain effective reparation. In principle, the first system permits fast reparation.
Nevertheless, it was thought useful to lay down the general principle according to which enforcement of decisions in this field should be made as quickly as possible. If the second system is followed, the enforcement procedure should be easily accessible and fast.
81.7. Comment re (v): However, practical or legal obstacles to obtaining an effective reparation may exist. One is represented by strict budgetary rules of the state or other public entities which might prevent the disposal of the funds necessary to enforce the decision (execute that administrative act). Another possible obstacle is the inertia of the officials of the administration. A third obstacle lies in the prohibition, in some states, of enforcement in respect of the administrative authorities. The Council of Europe does not describe specific measures to overcome such obstacle and recommends that states adopt budgetary or other appropriate measures. In some states, for example, budgetary rules provide for orders to pay and, if necessary, the automatic entry in the following year’s budget of the sums which are due to the victim. To remedy the inertia or malicious conduct of officials of the administration, some systems provide for the possibility of the personal liability of the agents concerned."
"In cases where damage or loss suffered by an individual has been caused by a public official, legal systems will vary as to whether the individual may choose to make a claim against the employing public authority or against the public official presumed responsible (or against both simultaneously), or whether the individual must invariably make his or her claim against the public authority (leaving the authority concerned to subsequently take action against the official, should it so wish). The Council of Europe advocates a compromise solution, that states should not hinder the individual in the exercise of his or her right to proceed directly against the public authority concerned, with both the public authority and the individual being able to institute legal proceedings against public officials in their personal capacity.
However, if the damage or loss is the result of a lawful act, there should be no legal basis for a public authority to recover against a public official the amount of compensation that it has paid, or been ordered to pay, to the injured individual.
Furthermore, contracting states to the Council of Europe Civil Law Convention on Corruption (ETS No. 174) are required to establish appropriate procedures for compensation claims against the state by persons who have suffered damage or loss as a result of an act of corruption by a public official acting in the exercise of his or her functions (Article 5).
An individual’s right to bring a court action against a public authority for redress shall not be subject to prior compulsory or voluntary administrative conciliation procedures. However, before bringing such an action, national law may stipulate that individuals should first seek to resolve the dispute by conciliation. Conciliation
and other alternative dispute resolution mechanisms (mediation, negotiated settlement and arbitration) aimed at achieving friendly settlements without the need for expensive legal proceedings are indeed clearly recommended by the Council of Europe (see below, Principle 17). Where they exist, they should not operate in such a manner that might prevent or dissuade individuals from exercising their legitimate rights or prevent them pursuing their cases before the courts.
Court orders or administrative decisions granting redress to an individual who suffers loss or damage caused by public authorities should be executed within a reasonable time (see above, Principle 14). An injured individual may not always be guaranteed immediate redress if it is offered by a public authority ex gratia (voluntarily). In some national systems the decision concerning redress can be enforced immediately; in others, enforcement is a separate special procedure which can engender delay. Other practical obstacles may exist to prevent individuals receiving redress within a reasonable time; for example, lack of funds available to the public authority, inertia within the public authority and rules in some national systems preventing the enforcement of decisions against public authorities. In order to counter these difficulties, Recommendation No. R (84) 15 requires that separate special procedures, where they exist, should be easily accessible and expeditious, and recommends that public authorities have sufficient means to meet orders for compensation. To overcome the inertia or malicious conduct of individual public officials, some national systems provide for the personal liability of the officials concerned for failure to enforce court orders or administrative decisions concerning redress within a reasonable time."
← back
The Pan-European General Principles on Judicial Review of Administrative Action
(compiled by Ulrich Stelkens)
I. Judicial Review of Administrative Action as a Pan-European General Principle
II. Notion of Judicial Review of Administrative Action
III. Access to Judicial Review of Administrative Action
IV. Fair Procedure and Judicial Review of Administrative Action
V. Scope of Judicial Review of Administrative Action
VI. Res Iudictata, Effects and Execution of Judicial Decisions in Administrative Matters
VII. Provisional Court Protection in Administrative Matters
I. Judicial Review of Administrative Action as a Pan-European General Principle
The pan-european general principles on judicial review of administrative action only cover the access of private persons to judicial review. Access to judicial review of central government, regional, local or other administrative authorities and bodies falls outside their scope (cf. Article 22 Recommendation CM/Rec(2007)7 of the Committee of Ministers to member states on good administration - click here). Whether administrative authorities have access to judicial review of administrative action of other administrative authorities is a question of the law on administrative organisation in general and on local self-government in particular.
4. Judicial review of administrative action as an element of the CoE's definitions of the rule of law
5. The CoE handbook "The administration and you"
1. No general right to an effective remedy before 'an independent and impartial tribunal established by law' in administrative matters under the ECHR
a) Summaries of the relevant case law on Article 6 and 13 ECHR
a) Summaries of the relevant case law on Article 6 and 13 ECHR
A summary of the case law of the ECtHR on the scope of the "civil limb" of Article 6 ECHR with regard to judicial review of administrative action is presented in ECtHR (ed.), Guide on Article 6 of the European Convention of Human Rights - Right to a fair trial (civil limb) (version of August 2022) para. 32 ff.
A summary of the case law of the ECtHR on the scope of the "criminal limb" of Article 6 ECHR with regard to judicial review of administrative action is presented in ECtHR (ed.), Guide on Article 6 of the European Convention of Human Rights - Right to a fair trial (criminal limb) (version of August 2022), para. 15 ff.
A summary of the case law of the ECtHR on Article 13 ECHR with regard to judicial review of administrative action (outside the scope of Article 6 ECHR) is presented in ECtHR (ed.), Guide on Article 13 of the European Convention of Human Rights - Right to an effective remedy (version of August 2022)
b) No general 'rule-of-law'-justification of the ECtHR in the leading cases on the extension of the scope of application of Article 6 (1) ECHR to administrative disputes
It is notable that in the leading cases on the extension of the scope of application of Article 6 (1) ECHR to administrative disputes, no arguments beyond "striclty literal interpretation" are put forward to justify this extension:
ECtHR, judgement Ringeisen v. Austria (2614/65) 16 July 1971:
"c) As to the question whether the present complaint involves the determination of civil rights and obligations
94. For Article 6, paragraph (1) (art. 6-1), to be applicable to a case ("contestation") it is not necessary that both parties to the proceedings should be private persons, which is the view of the majority of the Commission and of the Government. The wording of Article 6, paragraph (1) (art. 6-1), is far wider; the French expression "contestations sur (des) droits et obligations de caractère civil" covers all proceedings the result of which is decisive for private rights and obligations. The English text "determination of ... civil rights and obligations", confirms this interpretation.The character of the legislation which governs how the matter is to be determined (civil, commercial, administrative law, etc.) and that of the authority which is invested with jurisdiction in the matter (ordinary court, administrative body, etc.) are therefore of little consequence.
In the present case, when Ringeisen purchased property from the Roth couple, he had a right to have the contract for sale which they had made with him approved if he fulfilled, as he claimed to do, the conditions laid down in the Act. Although it was applying rules of administrative law, the Regional Commission’s decision was to be decisive for the relations in civil law ("de caractère civil") between Ringeisen and the Roth couple. This is enough to make it necessary for the Court to decide whether or not the proceedings in this case complied with the requirements of Article 6, paragraph (1) (art. 6-1), of the Convention."
ECtHR (Plenary), judgement Engel and others v. the Netherlands (5100/71; 5101/71; 5102/71; 5354/72; 5370/72) 8 June 1976:
"80. All the Contracting States make a distinction of long standing, albeit in different forms and degrees, between disciplinary proceedings and criminal proceedings. For the individuals affected, the former usually offer substantial advantages in comparison with the latter, for example as concerns the sentences passed. Disciplinary sentences, in general less severe, do not appear in the person's criminal record and entail more limited consequences. It may nevertheless be otherwise; moreover, criminal proceedings are ordinarily accompanied by fuller guarantees.
It must thus be asked whether or not the solution adopted in this connection at the national level is decisive from the standpoint of the Convention. Does Article 6 (art. 6) cease to be applicable just because the competent organs of a Contracting State classify as disciplinary an act or omission and the proceedings it takes against the author, or does it, on the contrary, apply in certain cases notwithstanding this classification? This problem, the importance of which the Government acknowledge, was rightly raised by the Commission; it particularly occurs when an act or omission is treated by the domestic law of the respondent State as a mixed offence, that is both criminal and disciplinary, and where there thus exists a possibility of opting between, or even cumulating, criminal proceedings and disciplinary proceedings.
81. The Court has devoted attention to the respective submissions of the applicants, the Government and the Commission concerning what they termed the "autonomy" of the concept of a "criminal charge", but does not entirely subscribe to any of these submissions [...].
The question of the "autonomy" of the concept of "criminal" does not call for exactly the same reply.
The Convention without any doubt allows the States, in the performance of their function as guardians of the public interest, to maintain or establish a distinction between criminal law and disciplinary law, and to draw the dividing line, but only subject to certain conditions. The Convention leaves the States free to designate as a criminal offence an act or omission not constituting the normal exercise of one of the rights that it protects. This is made especially clear by Article 7 (art. 7). Such a choice, which has the effect of rendering applicable Articles 6 and 7 (art. 6, art. 7), in principle escapes supervision by the Court.
The converse choice, for its part, is subject to stricter rules. If the Contracting States were able at their discretion to classify an offence as disciplinary instead of criminal, or to prosecute the author of a "mixed" offence on the disciplinary rather than on the criminal plane, the operation of the fundamental clauses of Articles 6 and 7 (art. 6, art. 7) would be subordinated to their sovereign will. A latitude extending thus far might lead to results incompatible with the purpose and object of the Convention. The Court therefore has jurisdiction, under Article 6 (art. 6) and even without reference to Articles 17 and 18 (art. 17, art. 18), to satisfy itself that the disciplinary does not improperly encroach upon the criminal.
In short, the "autonomy" of the concept of "criminal" operates, as it were, one way only.
82. Hence, the Court must specify, limiting itself to the sphere of military service, how it will determine whether a given "charge" vested by the State in question - as in the present case - with a disciplinary character nonetheless counts as "criminal" within the meaning of Article 6 (art. 6).
In this connection, it is first necessary to know whether the provision(s) defining the offence charged belong, according to the legal system of the respondent State, to criminal law, disciplinary law or both concurrently. This however provides no more than a starting point. The indications so afforded have only a formal and relative value and must be examined in the light of the common denominator of the respective legislation of the various Contracting States.
The very nature of the offence is a factor of greater import. When a serviceman finds himself accused of an act or omission allegedly contravening a legal rule governing the operation of the armed forces, the State may in principle employ against him disciplinary law rather than criminal law. In this respect, the Court expresses its agreement with the Government.
However, supervision by the Court does not stop there. Such supervision would generally prove to be illusory if it did not also take into consideration the degree of severity of the penalty that the person concerned risks incurring. In a society subscribing to the rule of law, there belong to the "criminal" sphere deprivations of liberty liable to be imposed as a punishment, except those which by their nature, duration or manner of execution cannot be appreciably detrimental. The seriousness of what is at stake, the traditions of the Contracting States and the importance attached by the Convention to respect for the physical liberty of the person all require that this should be so [...].
83. It is on the basis of these criteria that the Court will ascertain whether some or all of the applicants were the subject of a "criminal charge" within the meaning of Article 6 para. 1 (art. 6-1). [...]."
ECtHR (Plenary), judgement König v. Germany (6232/73) 28 June 1978:
"87. The Court notes at the outset that, as is not contested, under the legislation of the State concerned the actions brought by the applicant before the German courts concern "rights". The difference of view between Commission and Government relates only to the question whether the present case involves disputes ("contestations") over civil rights within the meaning of Article 6 para. 1 (art. 6-1) of the Convention.
88. Both the Commission and the Government agree that the concept of "civil rights and obligations" cannot be interpreted solely by reference to the domestic law of the respondent State. [...].
89. Whilst the Court thus concludes that the concept of "civil rights and obligations" is autonomous, it nevertheless does not consider that, in this context, the legislation of the State concerned is without importance. Whether or not a right is to be regarded as civil within the meaning of this expression in the Convention must be determined by reference to the substantive content and effects of the right - and not its legal classification - under the domestic law of the State concerned. In the exercise of its supervisory functions, the Court must also take account of the object and purpose of the Convention and of the national legal systems of the other Contracting States (see, mutatis mutandis, the above-mentioned Engel and others judgment, p. 35, para. 82).
90. The Government submit that Article 6 para. 1 (art. 6-1) covers private-law disputes in the traditional sense, that is disputes between individuals or between an individual and the State to the extent that the latter had been acting as a private person, subject to private law; amongst other things, disputes between an individual and the State acting in its sovereign capacity would be excluded from the ambit of that Article (art. 6-1).
As regards the field of application of Article 6 para. 1 (art. 6-1), the Court held in its Ringeisen judgment of 16 July 1971 that "for Article 6 para. 1 (art. 6-1) to be applicable to a case ('contestation') it is not necessary that both parties to the proceedings should be private persons .... The wording of Article 6 para. 1 (art. 6-1) is far wider; the French expression 'contestations sur (des) droits et obligations de caractère civil' covers all proceedings the result of which is decisive for private rights and obligations. The English text, 'determination of ... civil rights and obligations', confirms this interpretation. The character of the legislation which governs how the matter is to be determined ... and that of the authority which is invested with jurisdiction in the matter ... are therefore of little consequence" (Series A no. 13, p. 39, para. 94).
If the case concerns a dispute between an individual and a public authority, whether the latter had acted as a private person or in its sovereign capacity is therefore not conclusive.
Accordingly, in ascertaining whether a case ("contestation") concerns the determination of a civil right, only the character of the right at issue is relevant.
91. [...]. Therefore, it remains to be ascertained whether Dr. König's right to continue to run a private clinic and his right to continue to exercise the medical profession are civil rights within the meaning of Article 6 para. 1 (art. 6-1)." [...].
94. In these conditions, it is of little consequence that here the cases concern administrative measures taken by the competent bodies in the exercise of public authority. Neither does it appear pertinent that, under the law of the State concerned, it is for administrative courts to give the decision on these cases and to do so in proceedings which leave to the court the responsibility for the investigation and for the conduct of the trial. All that is relevant under Article 6 para. 1 (art. 6-1) of the Convention is the fact that the object of the cases in question is the determination of rights of a private nature.
95. Since it thus considers the rights affected by the withdrawal decisions and forming the object of the cases before the administrative courts to be private rights, the Court concludes that Article 6 para. 1 (art. 6-1) is applicable, without it being necessary in the present case to decide whether the concept of "civil rights and obligations" within the meaning of that provision extends beyond those rights which have a private nature."
However, in a case were judicial review over administrative action was explictely excluded the ECtHR clearly considered judicial review over administrative action as an element of the rule of law: ECtHR [Plenary], judgement Klass and Others v. Germany (5029/71) 6 September 1978:
"54. The Government maintain that Article 8 para. 2 (art. 8-2) does not require judicial control of secret surveillance and that the system of review established under the G 10 does effectively protect the rights of the individual. The applicants, on the other hand, qualify this system as a "form of political control", inadequate in comparison with the principle of judicial control which ought to prevail.
It therefore has to be determined whether the procedures for supervising the ordering and implementation of the restrictive measures are such as to keep the "interference" resulting from the contested legislation to what is "necessary in a democratic society".
55. Review of surveillance may intervene at three stages: when the surveillance is first ordered, while it is being carried out, or after it has been terminated. As regards the first two stages, the very nature and logic of secret surveillance dictate that not only the surveillance itself but also the accompanying review should be effected without the individual’s knowledge. Consequently, since the individual will necessarily be prevented from seeking an effective remedy of his own accord or from taking a direct part in any review proceedings, it is essential that the procedures established should themselves provide adequate and equivalent guarantees safeguarding the individual’s rights. In addition, the values of a democratic society must be followed as faithfully as possible in the supervisory procedures if the bounds of necessity, within the meaning of Article 8 para. 2 (art. 8-2), are not to be exceeded. One of the fundamental principles of a democratic society is the rule of law, which is expressly referred to in the Preamble to the Convention [...]. The rule of law implies, inter alia, that an interference by the executive authorities with an individual’s rights should be subject to an effective control which should normally be assured by the judiciary, at least in the last resort, judicial control offering the best guarantees of independence, impartiality and a proper procedure.
56. Within the system of surveillance established by the G 10, judicial control was excluded, being replaced by an initial control effected by an official qualified for judicial office and by the control provided by the Parliamentary Board and the G 10 Commission.
The Court considers that, in a field where abuse is potentially so easy in individual cases and could have such harmful consequences for democratic society as a whole, it is in principle desirable to entrust supervisory control to a judge.
Nevertheless, having regard to the nature of the supervisory and other safeguards provided for by the G 10, the Court concludes that the exclusion of judicial control does not exceed the limits of what may be deemed necessary in a democratic society. The Parliamentary Board and the G 10 Commission are independent of the authorities carrying out the surveillance, and are vested with sufficient powers and competence to exercise an effective and continuous control. Furthermore, the democratic character is reflected in the balanced membership of the Parliamentary Board. The opposition is represented on this body and is therefore able to participate in the control of the measures ordered by the competent Minister who is responsible to the Bundestag. The two supervisory bodies may, in the circumstances of the case, be regarded as enjoying sufficient independence to give an objective ruling.
The Court notes in addition that an individual believing himself to be under surveillance has the opportunity of complaining to the G 10 Commission and of having recourse to the Constitutional Court [..].. However, as the Government conceded, these are remedies which can come into play only in exceptional circumstances.
57 - 58. [...].
59. [...]. The Court agrees with the Commission that some compromise between the requirements for defending democratic society and individual rights is inherent in the system of the Convention [...]. As the Preamble to the Convention states, "Fundamental Freedoms ... are best maintained on the one hand by an effective political democracy and on the other by a common understanding and observance of the Human Rights upon which (the Contracting States) depend". In the context of Article 8 (art. 8), this means that a balance must be sought between the exercise by the individual of the right guaranteed to him under paragraph 1 (art. 8-1) and the necessity under paragraph 2 (art. 8-2) to impose secret surveillance for the protection of the democratic society as a whole.
60. In the light of these considerations and of the detailed examination of the contested legislation, the Court concludes that the German legislature was justified to consider the interference resulting from that legislation with the exercise of the right guaranteed by Article 8 para. 1 (art. 8-1) as being necessary in a democratic society in the interests of national security and for the prevention of disorder or crime (Article 8 para. 2) (art. 8-2). Accordingly, the Court finds no breach of Article 8 (art. 8) of the Convention."
c) Judicial review of administrative decisions as an element of the proportionality test of an interference with a right guaranteed by the ECHR
ECtHR (GC), judgement M. A. v. Denmark (6697/18) 9 July 2018 (with regard to Article 8 ECHR):
"148. Where the legislature enjoys a margin of appreciation, the latter in principle extends both to its decision to intervene in a given subject area and, once having intervened, to the detailed rules it lays down in order to ensure that the legislation is Convention compliant and achieves a balance between any competing public and private interests. However, the Court has repeatedly held that the choices made by the legislature are not beyond its scrutiny and has assessed the quality of the parliamentary and judicial review of the necessity of a particular measure. It has considered it relevant to take into account the risk of abuse if a general measure were to be relaxed, that being a risk which is primarily for the State to assess. A general measure has also been found to be a more feasible means of achieving the legitimate aim than a provision allowing a case-by-case examination, when the latter would give rise to a risk of significant uncertainty, of litigation, expense and delay as well as of discrimination and arbitrariness. The application of the general measure to the facts of the case remains, however, illustrative of its impact in practice and is thus material to its proportionality (see Animal Defenders International v. the United Kingdom [GC], no. 48876/08, § 108, ECHR 2013, with further references). [...].
149. In this respect the Court also recalls that the domestic courts must put forward specific reasons in the light of the circumstances of the case, not least to enable the Court to carry out the European supervision entrusted to it. Where the reasoning of domestic decisions is insufficient, with any real balancing of the interests in issue being absent, this would be contrary to the requirements of Article 8 of the Convention (see, for instance, I.M. v. Switzerland, no. 23887/16, § 72, 9 April 2019). Where, on the other hand, the domestic courts have carefully examined the facts, applied the relevant human rights standards consistently with the Convention and its case-law, and adequately balanced the individual interests against the public interest in a case, the Court would require strong reasons to substitute its view for that of the domestic courts [...]."
ECtHR (GC), judgement Karácsony and Others v. Hungary (42461/13 and 44357/13) 17 May 2016 (with regard to Article 10 ECHR):
"(β) On procedural guarantees of freedom of expression
133. Apart from the above factors, the fairness of proceedings and the procedural guarantees afforded are factors which in some circumstances may have to be taken into account when assessing the proportionality of an interference with freedom of expression (see Association Ekin v. France, no. 39288/98, § 61, ECHR 2001‑VIII; Steel and Morris v. the United Kingdom, no. 68416/01, § 95, ECHR‑2005 II; Kyprianou v. Cyprus [GC], no. 73797/01, §§ 171 and 181, ECHR‑2005 XIII; Saygılı and Seyman v. Turkey, no. 51041/99, §§ 24-25, 27 June 2006; Kudeshkina v. Russia, no. 29492/05, § 83, 26 February 2009; Lombardi Vallauri v. Italy, no. 39128/05, § 46, 20 October 2009; Sanoma Uitgevers B.V. v. the Netherlands [GC], no. 38224/03, § 100, 14 September 2010; Cumhuriyet Vakfı and Others v. Turkey, no. 28255/07, § 59, 8 October 2013; and Morice v. France [GC], no. 29369/10, § 155, ECHR 2015).
134. In Association Ekin, which concerned an administrative ban on the distribution and sale of a book of "foreign origin", the Court held that a legal framework should ensure, inter alia, effective judicial review of such bans to prevent any abuse of power (cited above, § 58). The Court noted that the administrative courts carried out only a limited review of the reasons for such bans. In the applicant association’s case the Conseil d’Etat carried out a full review, but its practical effectiveness was undermined by the excessive length of the proceedings. The Court considered that such a deficient judicial review provided insufficient guarantees against abuse (ibid., § 61).
135. In Lombardi Vallauri, in which the applicant’s candidacy for a teaching post in a denominational university was refused on account of his alleged heterodox views, the Court noted that in the proceedings before the Faculty Board the applicant had not been provided with adequate procedural guarantees (cited above, §§ 46-48). In the judicial-review proceedings, the administrative courts had limited their examination of the impugned decision to the fact that the Faculty Board had noted the existence of the Congregation’s refusal to approve the applicant’s candidacy. The fact that the applicant had not been given the exact reasons for that refusal ruled out any possibility of adversarial debate. Accordingly, the Court found that the judicial review had not been adequate (ibid., §§ 51 and 54).
136. In Cumhuriyet Vakfı and Others, which concerned an injunction against a national newspaper issued in the course of civil proceedings for protection of personality rights, the Court found that the applicants had not been afforded sufficient safeguards (cited above, § 75). It had regard to (i) the exceptionally wide scope of the injunction, (ii) its excessive duration, (iii) the failure of the domestic court to give any reasoning for the interim injunction and (iv) the applicants’ inability to contest the measure before its being granted (ibid., §§ 62-74)."
ECtHR (GC), judgement G.I.E.M. S.R.L and Others v. Italy (42461/13 and 44357/13) 28 June 2018 (with regard to Article 1 of Protocol No. 1);
"301. The following factors may be taken into account in order to assess whether the confiscation was proportionate: the possibility of less restrictive alternative measures such as the demolition of structures that were incompatible with the relevant regulations or the annulment of the development plan; the unlimited nature of the sanction, as it affected both developed and undeveloped land, and even areas belonging to third parties; and the degree of culpability or negligence on the part of the applicants or, at the very least, the relationship between their conduct and the offence in question.
302. In addition, the importance of the procedural obligations under Article 1 of Protocol No. 1 must not be overlooked. Thus the Court has, on many occasions, noted that, although Article 1 of Protocol No. 1 contains no explicit procedural requirements, judicial proceedings concerning the right to the peaceful enjoyment of one’s possessions must also afford the individual a reasonable opportunity of putting his or her case to the competent authorities for the purpose of effectively challenging the measures interfering with the rights guaranteed by this provision (see Sovtransavto Holding v. Ukraine, no. 48553/99, § 96, ECHR 2002‑VII; Capital Bank AD v. Bulgaria, no. 49429/99, § 134, ECHR 2005‑XII; Anheuser-Busch Inc. v. Portugal [GC], no. 73049/01, § 83, ECHR 2007-I; J.A. Pye (Oxford) Ltd and J.A. Pye (Oxford) Land Ltd v. the United Kingdom [GC], no. 44302/02, § 57, ECHR 2007-III; Zafranas v. Greece, no. 4056/08, § 36, 4 October 2011; and Giavi v. Greece, no. 25816/09, § 44, 3 October 2013; see also, mutatis mutandis, Al‑Nashif v. Bulgaria, no. 50963/99, § 123, 20 June 2002, and Grande Stevens and Others, cited above, § 188). An interference with the rights provided for by Article 1 of Protocol No. 1 cannot therefore have any legitimacy in the absence of adversarial proceedings that comply with the principle of equality of arms, allowing discussion of aspects that are important for the outcome of the case. In order to ensure that this condition is satisfied, the applicable procedures should be considered from a general standpoint (see, among other authorities, AGOSI, cited above, § 55; Hentrich v. France, § 49, 22 September 1994, Series A no. 296‑A; Jokela v. Finland, no. 28856/95, § 45, ECHR 2002‑IV; Gáll v. Hungary, no. 49570/11, § 63, 25 June 2013; and Sociedad Anónima del Ucieza v. Spain, no. 38963/08, § 74, 4 November 2014)"
2. Recommendation Rec(2004)20 of the Committee of Ministers to member states on judicial review of administrative acts
Click here for information on the genesis of Recommendation Rec(2004)20
Preambule of Recommendation Rec(2004)20:
"The Committee of Ministers [...]
Recalling Article 6 of the Convention for the Protection of Human Rights and Fundamental Freedoms which provides that "everyone is entitled to a fair and public hearing within a reasonable time by an independent and impartial tribunal established by law" and the relevant case-law on administrative disputes of the European Court of Human Rights;
Considering that effective judicial review of administrative acts to protect the rights and interests of individuals is an essential element of the system of protection of human rights;
Having in mind that a balance should be struck between the legitimate interests of all parties with a view to providing for the procedure without delay and for efficient and effective public administration;
Taking into account the results of the monitoring of member states’ observance of their commitments on the subject of "functioning of the judicial system" and of the decision taken by the Ministers’ Deputies at their 693rd meeting on 12 January 2000 on the possibility and scope of judicial review of administrative decisions;
In the light of the conclusions of the First Conference of the Presidents of Supreme Administrative Courts in Europe, which had as its theme "The possibility and scope of the judicial control of administrative decisions in member states", which took place in Strasbourg on 7 and 8 October 2002;
Taking into account the legal instruments of the Council of Europe in the field of administrative law, and in particular Resolution (77) 31 on the protection of the individual in relation to the acts of administrative authorities;
Bearing in mind Recommendation No. R (94) 12 on the independence, efficiency and role of judges;
Recalling Recommendation Rec(2003)16 on execution of administrative and judicial decisions in the field of administrative law;
Seeking to strengthen the rule of law and human rights, which are fundamental values of the legal systems of Council of Europe member states;
Seeking to ensure effective access to judicial review of administrative acts;
Convinced that other methods of control of administrative acts, which may include internal appeal to the administrative authorities and control by the ombudsman institution as well as appeal to alternatives to litigation, set out in Recommendation Rec(2001)9 on alternatives to litigation between administrative authorities and private parties, are useful for improving the functioning of jurisdictions and for the effective protection of everyone’s rights,
Recommends that the governments of member states apply, in their national legal system and in practice, the principles set out below:"
Explanatory memorandum (drafted by the European Committee on Legal Co-operation (CDCJ) - CM(2004)214 of 19 November 2004):
"I. Introduction
1. The rule of law is inconceivable without access for all citizens to an independent, impartial tribunal established by law and capable of meeting the requirements of a fair trial. This is particularly important where the possibility of challenging administrative acts is concerned because such measures or decisions are taken in the exercise of public authority and often directly affect the rights and freedoms secured under the European Convention on Human Rights (hereafter ECHR). Given the specific nature of administrative acts, the member States of the Council of Europe should ensure that their judicial organisation and control procedures are in line with the requirements of the ECHR in order to guarantee the effectiveness of the control of administrative acts.
2. Nevertheless, at a time when the expansion of the public sector in the member States and the effects of such expansion on people’s lives are highlighting the need for special new arrangements, the States remain free to define the framework and procedure for supervising administrative acts. However, given that the lack of a judicial remedy against administrative acts might be interpreted as a denial of justice, member States are required to guarantee the reality and efficacy of the control of such acts while not encroaching on the independence of the judge or of the competent court or tribunal.
3. For these reasons, and in the light of the results of the procedure for monitoring the honouring of commitments entered into by member States on the theme of "functioning of the judicial system", which showed that some member States had structural problems linked to the absence of judicial review of administrative acts, the Committee of Ministers, on a motion from the European Committee on Legal Co-operation (CDCJ), entrusted the Project Group on Administrative Law (CJ-DA) with the task of formulating an appropriate instrument on the judicial review of administrative acts.
4. On 7 and 8 October 2002, the Council of Europe organised a Conference of Presidents of Supreme Administrative Courts in Europe in order to secure a preliminary assessment of the problems arising out of the judicial control of the Administration. At the close of this Conference the participants adopted conclusions in which they proclaimed their support for the work assigned to the CJ-DA by the Committee of Ministers and came down in favour of continuing to study the issue of judicial review of administrative acts.
5. This Conference debated the optimum ways and means of ensuring effective control of administrative acts in the light of the case-law of the European Court of Human Rights (hereafter European Court). It recalled that the ECHR had not originally been intended to apply to administrative proceedings, but that the European Court’s case-law had partly remedied this situation. The CJ-DA took account of the proceedings of the conference during its discussions on the content of the present Recommendation, and the explanatory memorandum is largely based on them."
Principle 1 of Part B of Recommendation Rec(2004)20:
"The scope of judicial review:
a. All administrative acts should be subject to judicial review. Such review may be direct or by way of exception.
b. The tribunal should be able to review any violation of the law, including lack of competence, procedural impropriety and abuse of power."
Following the definitions set out in Part A of Recommendation Rec(2004)20:
- "administrative acts" means (a) legal acts – both individual and normative – and physical acts of the administration taken in the exercise of public authority which may affect the rights or interests of natural or legal persons, (b) situations of refusal to act or an omission to do so in cases where the administrative authority is under an obligation to implement a procedure following a request.
- "judicial review" means the examination and determination by a tribunal of the lawfulness of an administrative act and the adoption of appropriate measures, with the exception of review by a constitutional court.
Explanatory memorandum (drafted by the European Committee on Legal Co-operation (CDCJ) - CM(2004)214 of 19 November 2004):
"II. General Considerations
6. The Recommendation on the judicial review of administrative acts is aimed at establishing the principles governing judicial review of administrative acts in a State governed by the Rule of Law. It should be noted that in all States governed by the rule of law the Administration is subject to the law and supervision by the courts on the same basis as any individual and any citizen, in accordance with the principle of the pre-eminence of law. The Recommendation strives to present pointers for the desirable future development of administrative justice, while taking account of the disparities between administrative and judicial systems in the various member States. It attempts to avoid any traditional conception of judicial review of administrative acts, i.e. acts adopted by the authorities having consequences for the rights and interests of citizens. Its main aim is to ensure effective access to judicial review, thus helping to consolidate the rule of law and human rights in Europe.
7. The Recommendation draws on the principle that all administrative acts must be subject to judicial review. This requirement would in this way also be respected with regard to the acts and procedures which are not covered by the relevant provisions of the ECHR, in particular Article 6.1. As was emphasised by the Conference of Presidents of Supreme Administrative Courts in connection with the lawfulness of administrative acts, this obligation results from both their nature and their effects. By nature they are a prime means of action for the Administration on behalf of the public authorities, and members of the community are required to execute and implement them. On the other hand, the principles of democracy require the addressees of the acts to be able to enlist the services of a judge to verify their lawfulness, in formal and substantive terms. In terms of their effects, these acts may violate the rights and freedoms secured under national legislation and various international instruments. For instance, Article 13 of the ECHR states that "everyone whose rights and freedoms as set forth in this Convention are violated shall have an effective remedy before a national authority notwithstanding that the violation has been committed by persons acting in an official capacity [...]-
[...] Judicial Review
18. The concept of judicial review covers different ideas in different countries. As mentioned at the Conference of Presidents of Supreme Administrative Courts, experience shows that the rule of law and the subjection of the public authority to law and the courts are not self-evident, and that there is a constant temptation to exempt administrative acts from legal rules and control by the courts. It is therefore vital to ensure that administrative acts can be controlled and set aside - or rebutted by exceptional remedy - if they prove unlawful.
19. The Recommendation is aimed at guaranteeing the right of everyone, in accordance with the ECHR, to a fair hearing by an independent and impartial tribunal also in administrative cases. This principle of a fundamental right to a tribunal is inherent in the rule of law, and it is imperative for the States having ratified the ECHR to respect it. Both the Statute of the Council of Europe and the Preamble to the ECHR stress the rule of law and genuine democracy. These two principles therefore involve judicial review of administrative acts, if only in order to mitigate the inequality of arms between the administration and the citizen.
20. The concept of judicial review adopted in this recommendation is broader than that consisting in merely examining the lawfulness of an act; it also encompasses the tribunal's power to annul an act following its review or to award compensation. The administrative court's role is to protect individuals by means of the law.
21. Therefore, the tribunal must be empowered to instigate proceedings to verify the lawfulness of administrative acts, including administrative silence or failure to act, and to draw the requisite conclusions from its findings.
22. The concept of lawfulness of an administrative act is broadly construed: it concerns infringements of interests which, by law, are worthy of protection. Infringing a protected interest accordingly amounts to breaking the law.
23. Judicial review is an objective activity which can be initiated at the request of an individual or of another body, particularly a public body. One of the functions of judicial review is the protection of the individual vis-à-vis the administration. However, such control is also geared to safeguarding and clarifying the administration’s powers.
24. The subjects of judicial review comprise all the types of administrative act covered by the definition of such acts."
3. Article 22 Recommendation CM/Rec(2007)7 of the Committee of Ministers to member states on good administration
Article 22 - Appeals against administrative decisions: (1) Private persons shall be entitled to seek, directly or by way of exception, a judicial review of an administrative decision which directly affects their rights and interests.
(2) Administrative appeals, prior to a judicial review, shall, in principle, be possible. They may, in certain cases, be compulsory. They may concern an appeal on merits or an appeal on the legality of an administrative decision.
(3) Private persons shall not suffer any prejudice from public authorities for appealing against an administrative decision.
"Private persons" are defined in Article 1 (3) of Recommendation CM/Rec(2007)7 as "individuals and legal persons under private law who are the subject of activities by public authorities" - see on the discussion of Article 20 the meeting report on the 4th meeting (10-12 July 2006) of the Working Party of the Project Group on Administrative Law (CJ-DA-GT (2006) 3), para. 43 ff.; for the genesis of Recommendation CM/Rec(2007)7 in general click here
4. Judicial review of administrative action as an element of the CoE's definitions of the rule of law
1. ECtHR (GC), judgement Kress v. France (39594/98) 7 June 2001
"69. The Court accepts that, in comparison with the ordinary courts, the administrative courts in France display a number of special features, for historical reasons.
Admittedly, the very establishment and existence of administrative courts can be hailed as one of the most conspicuous achievements of a State based on the rule of law, in particular because the jurisdiction of those courts to adjudicate on acts of the administrative authorities was not accepted without a struggle. Even today, the way in which administrative judges are recruited, their special status, distinct from that of the ordinary judiciary, and the special features of the way in which the system of administrative justice works (see paragraphs 33-52 above) show how difficult it was for the executive to accept that its acts should be subject to review by the courts. [...]"
"A. The institutional framework and organisation of the state
[...].
38. The notion of separation of powers, notably between the political organs of the state (executive, legislature) and the judiciary has assumed a growing importance in the Court’s case-law. While the Court has refrained from elaborating a general theory on separation of powers or on checks and balances between the legislature, the executive and the judiciary, it is careful to protect the judicial process from interferences by the legislature or the executive [...].
39. [...].
42. The duty of the state, notably the executive, to respect and apply the law, including the duty to enforce final domestic judgments, will be further addressed under the principle of legality below. Here, reference should be made to the importance of administrative courts which the Court has highlighted as one of the most conspicuous achievements of a state based on the rule of law, in particular because the jurisdiction of those courts to adjudicate on acts of the administrative authorities was not accepted without a struggle (Kress, 7.1. 2001, § 69)."For the genesis of this report click here
3. Venice Commission, Report on the Rule of Law (CDL-AD(2011)003rev9) of 4 April 2011
"(4) Access to Justice before independent and impartial courts
53. Everyone should be able to challenge governmental actions and decisions adverse to their rights or interests. Prohibitions of such challenge violate the rule of law. Normally these challenges should be made to courts of law, but some countries allow alternative challenge to more informal tribunals, from which appeal may lie to a court."
4. Venice Commission, Rule of Law Checklist (CDL-AD(2016)007) of 18 March 2016
"A. Legality16
1. Supremacy of the Law
Is supremacy of the law recognised?
i. [...].
vi. Is effective judicial review of the conformity of the acts and decisions of the executive branch of government with the law available?
vii. Does such judicial review also apply to the acts and decisions of independent agencies and private actors performing public tasks?
viii. [...].44. State action must be in accordance with and authorised by the law. Whereas the necessity for judicial review of the acts and decisions of the executive and other bodies performing public tasks is universally recognised, national practice is very diverse on how to ensure conformity of legislation with the Constitution. While judicial review is an effective means to reach this goal, there may also be other means to guarantee the proper implementation of the Constitution to ensure respect for the Rule of Law, such as a priori review by a specialised committee.18"
Footnote 16: "The principle of legality is explicitly recognised as an aspect of the Rule of Law by the European Court of Justice, see ECJ, C-496/99 P, Commission v. CAS Succhi di Frutta, 29 pril 2004, § 63."
Footnote 18: "The Venice Commission is in principle favourable to full review of constitutionality, but a proper implementation of the Constitution is sufficient: cf. CDL-AD(2008)010, Opinion on the Constitution of Finland, § 115ff. See especially the section on Constitutional Justice (II.E.3).""E. Access to justice [...]
2. Fair Trial [...]
a. Access to courtsDo individuals have an effective access to courts?
i. Locus standi (right to bring an action): Does an individual have an easily accessible and effective opportunity to challenge a private or public act that interferes with his/her rights?107
ii. Is the right to defence guaranteed, including through effective legal assistance? 108 If yes, what is the legal source of this guarantee?
iii. Is legal aid accessible to parties who do not have sufficient means to pay for legal assistance, when the interests of justice so require? 109
iv. Are formal requirements,110 time-limits111 and court fees reasonable? 112
v. Is access to justice easy in practice? 113 What measures are taken to make it easy?
vi. Is suitable information on the functioning of the judiciary available to the public?"Footnote 107: "The degree of access afforded by the national legislation must also be sufficient to secure the individual’s "right to a court", having regard to the principle of the Rule of Law in a democratic society. For the right of access to be effective, an individual must have a clear, practical opportunity to challenge an act that is an interference with his rights", ECtHR Bellet v. France, 23805/94, 4 December 1995, § 36; cf. ECtHR M.D. and Others v. Malta, 64791/10, 17 July 2012, § 53."
5. The CoE handbook "The administration and you"
CoE (ed.), The administration and you (1st edition 1996/1997), pp. 37 f.:
"66. There are three types of control which may produce an effective remedy against administrative acts taken in violation of the substantive and procedural principles set out above in Chapters 2, 3 and 4. The first type, judicial review, is an essential element of a state governed by the rule of law and the respect of human rights.
[...].
69. Administrative acts, and failures to take such an act, are subject to judicial review at least as regards their legality :
(i) before an independent and impartial tribunal established by law ;
(ii) involving a fair procedure the length of which is reasonable ;
(iii) including a fair and public hearing ;
(iv) affording an effective remedy."
CoE (ed.), The administration and you (2nd edition 2018), pp. 50 f.:
"The right of access to justice and the right to a fair hearing are essential features of any democratic society. The rule of law seeks to ensure that any interference by public authorities with the rights of individuals should be subject to effective control, normally ensured by the courts. Judicial review offers the best guarantees of independence, impartiality and a proper procedure. [...]
The right to appeal applies to administrative decisions taken by any public authority, regardless of the subject matter. There are, however, some restrictions concerning the application of Article 6 of the European Convention on Human Rights, as it is limited to the determination of "civil rights and obligations". While the European Court of Human Rights has, since its judgment in Ringeisen v. Austria, progressively extended what is covered by this concept for the purposes of Article 6 in the context of disputes between individuals and public authorities, there are disputes that fall outside Article 6 of the Convention.
In broad terms, Article 6 of the Convention will apply to public law proceedings that are "decisive" when determining an individual’s rights and obligations, whether they are of a pecuniary or private nature (for example, use of land, building permits, licences to run a business, disciplinary proceedings), involve social rights (for example, contributory and non-contributory social security benefits) or concern individual rights of a personal nature (for example, right to life, to health or to a healthy environment; the fostering of children; schooling arrangements; restrictions on prisoners’ rights; membership or registration of an association; access to administrative documents).
Public officials in dispute with their employer will also enjoy the fair trial guarantees of Article 6 of the Convention, unless they are expressly excluded by national legislation from access to court and the public official either participates in the exercise of public power or there exists a "special bond of trust and loyalty" between the public official and the state as his or her employer (Vilho Eskelinen and Others v. Finland). Disputes relating to public authority prerogatives, such as taxation, immigration policy, civil service employment (if it falls within the test mentioned previously) and political and electoral rights will fall outside Article 6."
II. Notion of Judicial Review of Administrative Action
1. Functional Definition of "Administrative Courts"
2. Disputes in "administrative matters" as a subject of judicial review
1. Functional Definition of "Administrative Courts"
"Administrative courts" are all courts having to decide on administrative matters (with the exception of constitutional courts, cf. infra II 2), independently whether they are (specialized) administrative courts or part of the ordinary court system. Thus, even if specialized administrative courts exist in a given state, ordinary courts deciding on administrative matters (for whatever reason) are considered as "administrative courts" within the meaning of the pan-European general principles on judicial review of administrative action.
See 'Part B Principle 3 of Recommendation Rec(2004)20:
"An independent and impartial tribunal
a) Judicial review should be conducted by a tribunal established by law whose independence and impartiality are guaranteed [...].
b) The tribunal may be an administrative tribunal or part of the ordinary court system"
Explanatory memorandum (drafted by the European Committee on Legal Co-operation (CDCJ) - CM(2004)214 of 19 November 2004):
"55. [Principle 3.b. supplements principle 3.a; it specifies the characteristics of the body responsible for judicial review of administrative acts: it refers to both administrative tribunals and ordinary courts dealing with administrative proceedings, both categories of court having the same status. Each state will choose one or the other type of court to deal with administrative proceedings depending on its own system of organisation of the courts.
56. Both administrative tribunals and ordinary courts must satisfy the requirements of principle 3.a."
CoE (ed.), The administration and you (2nd edition 2018), p. 51 (similiary, 1st edition 1996/1997, para 69.6. (p. 38 f.)):
"The constitutional traditions and legal systems of different states offer various solutions as to the nature of tribunals which can review administrative decisions. Under the civil law tradition, these are essentially administrative courts, the jurisdiction of which is confined to matters of administrative law and which have no jurisdiction concerning private litigation. In common law countries, the control of administrative acts is arried out in the ordinary courts by judges whose jurisdiction covers both public and private law matters. However, both traditions admit specialised tribunals established by law which are not part of the general system of administrative courts or of the system of ordinary courts, and which have a jurisdiction specifically limited to particular subjects such as social welfare, licensing, patents and statutory compensation for administrative decisions (such as expropriation). If the composition or functioning of such tribunals does not fulfil the requirements set out in Article 6 of the European Convention on Human Rights, their decisions must be subject to appeal before courts which do offer such guarantees."
2. Disputes in "administrative matters" as a subject of judicial review
b) Judicial review of administrative action and private acts of the administration
c) Judicial review of administrative action, constitutional review and 'actes de gouvernement'
a) Approach of Recommendation Rec(2004)20 of the Committee of Ministers to member states on judicial review of administrative acts: Administration acts as public authority
Principle 1 a. of Part B of Recommendation Rec(2004)20:
"All administrative acts should be subject to judicial review. Such review may be direct or by way of exception."
Cf. the definition set out in Part A (2) of Recommendation Rec(2004)20:
"By 'administrative acts ' are meant (a) legal acts – both individual and normative – and physical acts of the administration taken in the exercise of public authority which may affect the rights or interests of natural or legal persons, (b) situations of refusal to act or an omission to do so in cases where the administrative authority is under an obligation to implement a procedure following a request."
Even if the wording of Recommendation Rec(2004)20 alludes to the 'classic' situation where a court is seized to quash an administrative act (which may become 'unappealable' if not challenged in court in time [click here]) the concept of 'judicial review of administrative acts' in this recommendation is sufficiently broad to cover all 'administrative law disputes' (at least those between private persons and the administration) including disputes in competitive award procedures, contractual disputes, public liability claims, etc.
Explanatory memorandum (drafted by the European Committee on Legal Co-operation (CDCJ) - CM(2004)214 of 19 November 2004):
"12. The administrative acts covered by the Recommendation are broadly defined in order to ensure judicial review of all administrative activities by the Administration. The definition of administrative acts does not include acts having a purely private law character and acts or proceedings of the Parliament in its legislative function. While the concept of administrative decision (acte administratif) has very specific connotations in some legal systems, the concept of administrative act (acte de l’administration) covers a wider area of activities conducted by administrations.
13. The Recommendation does not prevent States from defining very limited exceptions established by law, for example certain acts in the field of foreign affairs, international agreements, defence or national security.
14. The definition of administrative act adopted by the Recommendation embraces several possible actions by the public administration. It comprises individual administrative acts constituting decisions taken by the Administration in respect of specific individuals. It also covers prescriptive acts and statutory acts accompanied by general, non-personal regulations addressed to an unspecified number of persons. It further includes material actions which will have consequences in terms of the legal regulations governing natural or legal persons, on the understanding that changes to the legal situation entail creating both rights and obligations.
15. Lastly, the definition also covers situations of refusal or failure to act on the part of the public administration in cases where there is an obligation for the administrative authority to act. The Recommendation considers that the concept of administrative act also covers cases where the Administration fails to respond to a request or where it explicitly or implicitly refuses to adopt a given decision or act. The tribunal should be empowered to act in both these situations.
16. Under no circumstances may a citizen's interests be harmed by the administration's remaining silent. After a certain time prescribed by law, this silence should open access to a tribunal. In such cases the administrative authority will be required to explain to the tribunal, at the applicant’s request or at the request of the tribunal, its reasons for refusing the applicant's request. If the authority fails to give grounds, the tribunal shall hold its act to be unlawful.
17. The Recommendation applies only to such administrative acts as have been implemented by the Administration in the exercise of public authority. Such authority allows the Administration to impose obligations, issue acts and confer rights. These acts have the effect of changing the legal and factualsituation of the persons concerned, depending on the scope of the act. The Recommendation specifically targets administrative acts which infringe the rights or interests of natural or legal persons. Private acts lie outside the ambit of the text."
Click here for information on the genesis of Recommendation Rec(2004)20
Cf. CoE (ed.), The administration and you (1st edition 1996/1997), para 69.7. (p. 39):
"A full system of judicial remedies involves judicial power to annul administrative acts, to compel the taking of such acts, and to prohibit or restrain administrative action. It also comprises consequential relief including powers to compel the administrative authorities to grant compensation or otherwise make reparation [...]."
b) Judicial review of administrative action and private acts of the administration
Acts of the administration not taken in the exercise of public authority are considered as 'private acts' which lie outside the ambit of Recommendation Rec(2004)20 of the Committee of Ministers to member states on judicial review of administrative acts (cf. para. 17 of the Explanatory memorandum (drafted by the European Committee on Legal Co-operation (CDCJ) - CM(2004)214 of 19 November 2004) - cited above).
Nevertheless, it is indisputed that the "civil limb" of Article 6 (1) ECHR cover private-law disputes "between an individual and the State to the extent that the latter had been acting as a private person, subject to private law" (cf. the government's submission quoted in para 90 of ECtHR (Plenary), judgement König v. Germany (6232/73) 28 June 1978). Thus, in this regard the protection of Article 6 (1) ECHR is "complementary" to the principles enshrined in Recommendation Rec(2004)20.
Furthermore, with regard to the "obligation to respect human rights" deriving from Article 1 ECHR ("The High Contracting Parties shall secure to everyone within their jurisdiction the rights and freedoms defined in Section I of this Convention") it is also undisputed that this obligation is independent from the 'legal nature' of an act of public authority of a Party the convention meaning that the question whether this act is (under national law) governed by private law or by public law is irrelevant with regard to the obligation deriving from Article 1 ECHR.
Cf. the wording in ECtHR (GC), judgement N.D. and N.T. v. Spain (8675/15 8697/15 ) 13 Feburary 2020) para. 102 : "Under Article 1 of the Convention, the undertaking of the Contracting States is to "secure" ("reconnaître" in French) to everyone within their "jurisdiction" the rights and freedoms defined in the Convention ([...]. Article 1 makes no distinction as to the type of rule or measure concerned, and does not exclude any part of the member States’ "jurisdiction" from scrutiny under the Convention [...]."
c) Judicial review of administrative action, constitutional review and 'actes de gouvernement'
Cf. the definition set out in Part A (2) of Recommendation Rec(2004)20 of the Committee of Ministers to member states on judicial review of administrative acts:
"By "judicial review" is meant the examination and determination by a tribunal of the lawfulness of an administrative act and the adoption of appropriate measures, with the exception of review by a constitutional court."
Explanatory memorandum (drafted by the European Committee on Legal Co-operation (CDCJ) - CM(2004)214 of 19 November 2004):
"13. The Recommendation does not prevent States from defining very limited exceptions established by law, for example certain acts in the field of foreign affairs, international agreements, defence or national security."
"25. The Recommendation does not apply in cases where, in accordance with national legislation, the constitutional court exercises the review. In a number of countries review of certain normative administrative acts is entrusted to the constitutional court. In such cases, a specific procedure is followed, different to that before an administrative tribunal or ordinary court. This is why review of administrative acts by a constitutional court does not fall within the scope of the Recommendation. This does not affect the requirement of compliance with Article 6 of the ECHR. [...]."
Cf., furthermore, CoE (ed.), Protection of the individual in relation to acts of administrative authorities - An analytical survey of the rights of the individual in the administrative procedure and its remedies against administrative acts (1975), pp. 28 f.:
"V. Remedies
A. Is there a remedy against all administrative decisions?
[...].
4. Acts of State
a) In the majority of states "acts of state" are not subject to remedies or most of the remedies (in any case judicial remedies) because they are ususally not considered as administrative acts. The list of these acts varies from one country to another.
[Examples are given from Spain, France, Luxembourg, Norway, Germany, United Kingdom, Sweden, Switzerland, Denmark, Turkey; no 'act of state doctrine' is reported from Finland, Austria, the Netherlands, Italy, Belgium]."
One may deduce from this that the pan-European general principles of judicial review of administrative action do not necessarily apply in cases in which an act of government or parliament is considered under national law as a 'constitutional act' which cannot be reviewed by administrative courts (but - if applicable - are submitted to judicial review by constitutional courts or at least to an effective review of a national authority in the sense of Article 13 ECHR if the infringement of a right and freedom as set forth in the ECHR is at stake).
ECtHR (GC), judgement H. F. and Others v. France (24384/19, 44234/20) 14 September 2022:
"281. The Court observes, secondly, that the situation it has just described could not be remedied by the proceedings brought by the applicants before the domestic courts. Those courts decided that they had no jurisdiction on the grounds that the matter before them concerned acts that could not be detached from the conduct by France of its international relations. This was the finding of the administrative courts, upon the urgent application for an order instructing the competent minister to organise the repatriation of L., M. and their children, or upon the application for the setting-aside of the tacit decision of refusal to take such a measure, and also the finding of the general courts, in response to the applicants’ complaint of an illegal administrative act. As regards the application in the present case of the acts of State doctrine, with its constitutional basis, it is not the task of the Court to interfere with the institutional balance between the executive and the courts of the respondent State, or to make a general assessment of the situations in which the domestic courts refuse to entertain jurisdiction. The question of sole importance is whether the individuals concerned had access to a form of independent review of the tacit decisions to refuse their repatriation requests by which it could be ascertained that those decisions were based on legitimate and reasonable grounds, devoid of arbitrariness, in the light of the positive obligations which stemmed in the present case, in the exceptional circumstances set out above, from the right to enter national territory under Article 3 § 2 of Protocol No. 4. That was not the case, however, in the proceedings before the Conseil d’État or before the Paris tribunal judiciaire."
Cf., e. g., on an exclusion of the possibility of an external review of disciplinary decisions taken by Parliament against Members of Parliament which infringed the freedom of expression (Article 10 ECHR) of Members of Parliament in Parliament: ECtHR (GC), judgement Karácsony and Others v. Hungary (42461/13 and 44357/13) 17 May 2016, para. 133 ff. and 165 ff.; ECtHR, judgement Szanyi v. Hungary (35493/13) 8 November 2016, para. 33 ff.
That an act of government or parliament is considered of 'constitutional nature' under national law and therefore not submitted by national law under judicial review of administrative courts, does, however, not exclude the "obligation to respect human rights" deriving from Article 1 ECHR ("The High Contracting Parties shall secure to everyone within their jurisdiction the rights and freedoms defined in Section I of this Convention") with regard to these 'constitutional acts'. See, e. g.,
3. Notion of "judicial review" - requirements for the independence and impartiality of courts and tribunals
See Part B Principle 3 of Recommendation Rec(2004)20 of the Committee of Ministers to member states on judicial review of administrative acts:
"An independent and impartial tribunal
a) Judicial review should be conducted by a tribunal established by law whose independence and impartiality are guaranteed in accordance with the terms of Recommendation No. R (94) 12.
b) [...]."
Recommendation Rec(2004)20, thus, refers to
- Recommendation No. R (94) 12 of the Committee of Ministers to member states on the independence, efficiency and role of judges the scope of which refers to "all persons exercising judicial functions, including those dealing with constitutional, criminal, civil, commercial and administrative law matters." (cf. on this recommendation the Explanatory memorandum (reproduced in CoE (ed.), The administration and you (1st edition 1996/1997), pp. 511 ff.).
- Recommendation No. R (94) 12 has, however, in the meantime been "updated" by Recommendation CM/Rec(2010)12 of the Committee of Ministers to member states on judges: independence, efficiency and responsibilities, the scope of which is defined (in Chapter 1 No. 1) as being "applicable to all persons exercising judicial functions, including those dealing with constitutional matters" (cf. on this recommendation the Explanatory memorandum (drafted by the CDCJ (CM(2010)147-add1) 21 October 2010)
Thus, as to the requirements for the independence and impartiality of courts conducting judicial review of administrative action no specifc 'CoE requirements' for independence and impartiality of administrative courts seem to be discernible. This is also corresponds to the approach of Part E No. 1 (para. 74 ff.) of Venice Commission, Rule of Law Checklist (CDL-AD(2016)007) of 18 March 2016.
Cf. also the recent case law of the ECtHR on judicial independence:
III. Access to Judicial Review of Administrative Action
2. Case law of the ECtHR with regard to the "civil limb" of Article 6 (1) ECHR
3. Facilitating access to justice
4. Venice Commission, Rule of Law Checklist (CDL-AD(2016)007) of 18 March 2016
1. Part B Principle 2 of Recommendation Rec(2004)20 of the Committee of Ministers to member states on judicial review of administrative actsPart B Principle 2 of Recommendation Rec(2004)20 of the Committee of Ministers to member states on judicial review of administrative acts:
"2. Access to judicial review
a. Judicial review should be available at least to natural and legal persons in respect of administrative acts that directly affect their rights or interests. Member states are encouraged to examine whether access to judicial review should not also be opened to associations or other persons and bodies empowered to protect collective or community interests.
b. Natural and legal persons may be required to exhaust remedies provided by national law before having recourse to judicial review. The length of the procedure for seeking such remedies should not be excessive.
Natural and legal persons should be allowed a reasonable period of time in which to commence judicial review proceedings.
d. The cost of access to judicial review should not be such as to discourage applications. Legal aid should be available to persons lacking the necessary financial resources where the interests of justice require it."
Click here for information on the genesis of Recommendation Rec(2004)20
Principle V of Resolution (77)31 on the protection of the individual in relation to the acts of administrative authorities:
"Indication of remedies
Where an administrative act which is given in written form adversely affects the rights, liberties or interests of the person concerned, it indicates the normal remedies against it, as well as the time-limits for their utilization."
For the duty to indicate remedies as a pan-European general principle of good administration click here; for the genesis of Resolution (77)31 in general click here
2. Case law of the ECtHR with regard to the "civil limb" of Article 6 (1) ECHRResolution No. (76)5 on legal aid in civil, commercial and administrative matters
Resolution No. (78) 8 an legal aid and advice
Cf. the Explanatory memorandum (reproduced in CoE (ed.), The administration and you (1st edition 1996/1997), pp. 346 ff.)..
Cf. the Explanatory memorandum (reproduced in CoE (ed.), The administration and you (1st edition 1996/1997), pp. 375 ff.).
Cf. the Explanatory memorandum (reproduced in CoE (ed.), The administration and you (1st edition 1996/1997), pp. 418 ff.).
4. Venice Commission, Rule of Law Checklist (CDL-AD(2016)007) of 18 March 2016
"E. Access to justice [...]
2. Fair Trial [...]
a. Access to courtsDo individuals have an effective access to courts?
i. [...]
ii. Is the right to defence guaranteed, including through effective legal assistance? 108 If yes, what is the legal source of this guarantee?
iii. Is legal aid accessible to parties who do not have sufficient means to pay for legal assistance, when the interests of justice so require? 109
iv. Are formal requirements,110 time-limits111 and court fees reasonable? 112
v. Is access to justice easy in practice? 113 What measures are taken to make it easy?
vi. Is suitable information on the functioning of the judiciary available to the public?"Footnote 108: "Article 6.3.b-c ECHR, Article 14.3 ICCPR; Article 8.2 ACHR; the right to defence is protected by Article 6.1 ECHR in civil proceedings, see e.g. ECtHR Oferta Plus SRL v. Moldova, 14385/04, 19 December 2006, § 145. It is recognised in general by Article 7.1.c ACHPR."
Footnote 109: "Article 6.3.c ECHR, Article 14.3.d ICCPR for criminal proceedings; the right to legal aid is provided up to a certain extent by Article 6.1 ECHR for civil proceedings: see e.g. ECtHR A. v. the United Kingdom, 35373/97, 17 December 2002, § 90ff; for constitutional courts in particular, see CDL-AD(2010)039rev, Study on individual access to constitutional justice, § 113."
Footnote 110: "For constitutional justice, see CDL-AD(2010)039rev, § 125."
Footnote 111: "For constitutional justice, see CDL-AD(2010)039rev, § 112; for time limits for taking the decision, see § 149."
Footnote 112: "On excessive court fees, see e.g. ECtHR Kreuz v. Poland (no. 1) ̧ 28249/95, 19 June 2001, § 60-67; Weissman and Others v. Romania, 63945/00, 24 May 2006, § 32ff; Scordino v. Italy, 36813/97, 29 March 2006, § 201; Sakhnovskiy v. Russia, 21272/03, 2 November 2010, § 69; on excessive security for costs, see e.g. ECtHR Aït-Mouhoub v. France, 22924/93, 28 October 1998, § 57-58; Garcia Manibardo v. Spain, 38695/97, 15 February 2000, § 38-45; for constitutional justice, see CDL-AD(2010)039rev, § 117."
Footnote 113: "On the need for an effective right of access to court, see e.g. Golder v. the United Kingdom, 4451/70, 21 January 1975, § 26ff; Yagtzilar and Others v. Greece, 41727/98, 6 December 2001, § 20ff."
IV. Fair Procedure and Judicial Review of Administrative Action
2. Case Law of the ECtHR with regard to the "civil limb" of Article 6 (1) ECHR
3. Venice Commission, Rule of Law Checklist (CDL-AD(2016)007) of 18 March 2016
5. The CoE handbook "The administration and you"
"4. The right to a fair hearing
a. The time within which the tribunal takes its decision should be reasonable in the light of the complexity of each case and of the procedural steps or postponements attributable to the parties, while respecting the adversary principle.
b. There should be equality of arms between the parties to the proceedings. Each party should be given an opportunity to present his or her case without being placed at a disadvantage.
c. Unless national law provides for exceptions in important cases, the administrative authority should make available to the tribunal the documents and information relevant to the case.
d. The proceedings should be adversarial in nature. All evidence admitted by the tribunal should in principle be made available to the parties with a view to adversarial argument.
e. The tribunal should be in a position to examine all of the legal and factual issues relevant to the case presented by the parties.
f. The proceedings should be public, other than in exceptional circumstances.
g. Judgment should be pronounced in public.
h. Reasons should be given for the judgment. Tribunals should indicate with sufficient clarity the grounds on which they base their decisions. Although it is not necessary for a tribunal to deal with every point raised in argument, a submission that would, if accepted, be decisive for the outcome of the case requires a specific and express response.
i. The decision of the tribunal that reviews an administrative act should, at least in important cases, be subject to appeal to a higher tribunal, unless the case is directly referred to a higher tribunal in accordance with the national legislation."
Explanatory memorandum (drafted by the European Committee on Legal Co-operation (CDCJ) - CM(2004)214 of 19 November 2004):
"57. This section further develops the provisions of Article 6 of the ECHR with practical measures to be applied to the examination of administrative cases. The Recommendation takes account of the problems arising in some countries in connection with safeguarding the principles set out in Article 6 on proceedings relating to formal administrative acts."
In the following the different sub-princples are explained.
2. Case Law of the ECtHR with regard to the "civil limb" of Article 6 (1) ECHRClick here for information on the genesis of Recommendation Rec(2004)20.
3. Venice Commission, Rule of Law Checklist (CDL-AD(2016)007) of 18 March 2016
"E. Access to justice [...]
2. Fair Trial [...]
c. Other aspects of the right to a fair trialAre additional fair trial standards enshrined in law and applied in practice?
i. Is equality of arms guaranteed by law? Is it ensured in practice?120
ii. Are there rules excluding unlawfully obtained evidence?121
iii. Are proceedings started and judicial decisions made without undue delay?122
Is there a remedy against undue lengths of proceedings?123
iv. Is the right to timely access to court documents and files ensured for litigants?124
v. Is the right to be heard guaranteed?125
vi. Are judgments well-reasoned?126
vii. Are hearings and judgments public except for the cases provided for in Article 6.1 ECHR or for in absentia trials?
viii. [...].
ix. Are court notifications delivered properly and promptly?105. The right to appeal against a judicial decision is expressly guaranteed by Article 2 Protocol 7 ECHR and Article 14.5 ICCPR in the criminal field, and by Article 8.2.h ACHR in general. This is a general principle of the Rule of Law often guaranteed at constitutional or legislative level by domestic legislation, in particular in the criminal field. Any court whose decisions cannot be appealed would run the risk of acting arbitrarily.
106. All aspects of the right to a fair trial developed above may be inferred from the right to a fair trial as defined in Article 6 ECHR, as elaborated in the case-law of the European Court of Human Rights. They ensure that legal subjects are properly involved in the whole judicial process."Footnote 120: "See e.g. Rowe and Davis v. the United Kingdom, 28901/95, 16 February 2000, § 60."
Footnote 121: "See e.g. Jalloh v. Germany, 54810/00, 17 July 2006, § 94ff, 104; Göçmen v. Turkey, 72000/01, 17 October 2006, § 75; O’Halloran and Francis v. the United Kingdom, 5809/02 and 25624/02, 29 June 2007, § 60."
Footnote 122: "Article 6.1 ECHR; Article 8.1 ACHR; Article 7.1.d ACHPR (« within reasonable time »)."
Footnote 123: "FCDL-AD(2010)039rev, § 94. See e.g. ECtHR Panju v. Belgium, 18393/09, 28 October 2014, § 53, 62 (the absence of an effective remedy in case of excessive length of proceedings goes against Article 13 combined with Article 6.1 ECHR)."
Footnote 124: "This right is inferred in criminal matters from Article 6.3.b ECHR (the right to have adequate time and facilities for the preparation of one’s defence): see e.g. Foucher v. France, 22209/93, 18 March 1993, § 36."
Footnote 125: "Cf. ECtHR Micallef v. Malta, 17056/06, 15 October 2009, § 78ff; Neziraj v. Germany, 30804/07, 8 November 2012, § 45ff.
Footnote 126: ""Article 6 § 1 (Article 6-1) obliges the courts to give reasons for their judgments": ECtHR Hiro Balani v. Spain, 18064/91, 9 September 1994, § 27; Jokela v. Finland, 28856/95, 21 May 2002, § 72; see also Taxquet v. Belgium, 926/05, 16 November 2010, § 83ff. Under the title "Right to good administration", Article 41.2.c of the Charter of Fundamental Rights of the European Union provides for "the obligation of the administration to give reasons for its decisions."
Footnote 127: "On appeals procedures, see ODIHR Legal Digest of International Fair Trial Rights, p. 227."
4. Recommendation CM/Rec(2012)11 of the Committee of Ministers to member States on the role of public prosecutors outside the criminal justice system
Explanatory memorandum (drafted by the CDCJ (CM(2012)118-addfinal) 21 September 2012))
The recommendation was prepared by a Report of A. Zs. Varga, Role of the Public Prosecution Service outside the field of Criminal Justice (document CCPE-Bu (2008)4 rev) 5 May 2008)
5. The CoE handbook "The administration and you"CoE (ed.), The administration and you, 1st edition (1996/1997), para. 69 ff. (pp. 37 ff.):
CoE (ed.), The administration and you, 2nd edition (2018), pp. 50 ff.
V. Scope of Judicial Review of Administrative Action
3. Review of "procedural impropriety"
"1. The scope of judicial review
a. [...].
b. The tribunal should be able to review any violation of the law, including lack of competence, procedural impropriety and abuse of power.
c. Unless national law provides for exceptions in important cases, the administrative authority should make available to the tribunal the documents and information relevant to the case.""4. The right to a fair hearing
[...]
d. The proceedings should be adversarial in nature. All evidence admitted by the tribunal should in principle be made available to the parties with a view to adversarial argument.
e. The tribunal should be in a position to examine all of the legal and factual issues relevant to the case presented by the parties.
[...]."
Explanatory memorandum (drafted by the European Committee on Legal Co-operation (CDCJ) - CM(2004)214 of 19 November 2004) on principle 1.b.:
"32. This principle contains, firstly, a general assertion that the courts should be able to review any violation of the law and, secondly, examples of grounds for invalidating an act.
33. The arguments on which the applicants can base their complaints embrace violation of the law, including lack of competence, procedural flaws and abuse of authority. Violation of the law may take the form of a lack of legal basis, a direct violation of a legal standard or a legal error, in which latter case the administration has misjudged the scope of a rule. Lack of competence may stem from spatiotemporal considerations or the subject of the decision. Procedural flaws include such irregularities as a failure to conduct compulsory consultation. Lastly, abuse of power refers mainly to cases where an authority uses a power vested in it by law, but for another purpose than that provided for by law. The Recommendation draws a distinction at this point between formal violations and those arising out of lack of competence, on the one hand, and those involving misapplication, misinterpretation or ignorance of the law, on the other.
34. The function of the tribunal adjudicating in administrative proceedings is fundamentally different from that of civil and criminal courts because of the subject of the review. The issues to be addressed by administrative tribunals have already been the subject of a lawful or unlawful decision on by an authority hypothetically so empowered by law. It is therefore unnecessary, in principle, for the judicial decision to deal directly with the questions that originated the dispute. The tribunal’s primary function is to review the lawfulness of the decision taken by the administration in the exercise of its attributions. However, the legal systems of some member States do empower the administrative tribunal to examine the substance of cases involving individual acts, and to pronounce both on the merits and the appropriateness of the administrative act and to replace the administration’s decision with a fresh ruling."
Explanatory memorandum (drafted by the European Committee on Legal Co-operation (CDCJ) - CM(2004)214 of 19 November 2004) on principle 4.e:
2. Review of the exercice of discretionary power"68. This principle confirms that a court must be in a position to examine all the arguments raised by the parties (Ortenberg judgment, 1994). The arguments relied on may concern points either of law or of fact.
69. Regarding questions of law, where the contested measure was taken under the administration's regulatory powers, the tribunal to which the case is referred must be empowered to examine whether the administrative authority remained within the limits of the law; in this connection, the tribunal must be able to review the challenged measure "in the light, inter alia, of principles of administrative law" (Oerlemans judgment, 1991).
70. Regarding the facts, the court must be competent to ascertain these (Fischer judgment, 1995) or at least to correct errors of fact (Albert and Le Compte judgment, 1983). One possibility is that the court should be able to ascertain the relevant facts itself by rehearing the case. However, Article 6.1 of the ECHR apparently does not preclude a system whereby the court must rely on the facts ascertained by the administrative authority. In that case it is nonetheless vital that the procedure before the administrative authority should offer guarantees concerning the decision-making process and also that the court should be able to ascertain, firstly, that the administration's findings of fact were based on sufficiently sound evidence and, secondly, that the administrative act did not result from a conclusion which no administrative authority, acting rightly, would have drawn from the facts (Potocka judgment, 2001).
71. A number of legal systems allow administrative tribunals to rule on the lawfulness of the contested act, even where the ground relied on in a finding of unlawfulness was not raised by a party, if it finds that the act is unlawful. This system strengthens judicial control of the administration by a tribunal and thus the judicial protection of applicants.
72. The administrative tribunal is entitled and obliged to offset any inequality between the parties. For instance, the tribunal may invite the parties to submit additional factual evidence (or to supplement the information available on the circumstances of the case). The tribunal should have the initiative in determining the progress of the administrative proceedings."Click here for information on the genesis of Recommendation Rec(2004)20.
1. Res iudicata as an element of legal certainty
5. Venice Commission, Rule of Law Checklist (CDL-AD(2016)007) of 18 March 2016
6. The CoE handbook "The administration and you"
"Principle of legal certainty
48. This principle is one of the basic elements of the rule of law (Beian, 6.12.2007, § 39). It can be linked to some of the principles and requirements set out above (such as lawfulness and foreseeability). The state has a duty to respect and apply, in a foreseeable and consistent manner, the laws it has enacted (Broniowski, 22.6.2004, § 184).
Legal certainty requires respect for the principle of res judicata. Final judgments by domestic courts should not be called into question; systems which allow for the quashing of final judgments for an indefinite period of time are incompatible with the principle of legal certainty (Brumarescu, 28.10.1999, § 61; Riabykh, 24.7.2003, §§ 54 and 57).
49. The rule of law, in particular the principles of legality and legal certainty, also requires that final court judgments be enforced. In private isputes, enforcement of final judgments may require the assistance of the police in order to avoid any risk of "private justice" contrary to the rule of law (Matheus, 31.3.2005, § 70). The administration of the state’s obligation to execute final domestic judgments is an essential feature of a state founded on the rule of law and the principle of legal certainty (Taskin and Others, 30.3.2005, § 136). Violations of this obligation are sanctioned under different ECHR provisions.
50. Likewise, authorities are obliged to respect final decisions ordering the release of a person from detention. A practice of detaining a person without the basis of a concrete legal provision or judicial decision is itself contrary to the principle of legal certainty (Baranowski, 28.3.2000, § 56; Svipsta, 9.3.2006, § 86).
51. The existence of conflicting decisions within a supreme court is contrary to the principle of legal certainty. It is therefore required that the courts, especially the highest courts, establish mechanisms to avoid conflicts and ensure the coherence of their case-law. The principle of legal certainty is essential to the public’s confidence in the judicial system and the rule of law (Beian, 6.12.2007, § 39)."For the genesis of this report click here.
Venice Commission, Report on the Rule of Law (CDL-AD(2011)003rev9) of 4 April 2011:
"(4) Access to Justice before independent and impartial courts
53. [...].
58. Finally, judicial decisions must be effectively implemented, and there should be no possibility (save in very exceptional cases) to revise a final judicial decision (respect of res judicata)"
Venice Commission, Rule of Law Checklist (CDL-AD(2016)007) of 18 March 2016:
B. Legal Certainty
[...].
8. Res judicata48
i. Is respect of res judicata ensured?
i. Is respect for the ne bis in idem principle (prohibition against double jeopardy) ensured?.
ii. May final judicial decisions be revised?.
iii. If so, under which conditions?63. Res judicata implies that when an appeal has been finally adjudicated, further appeals are not possible. Final judgments must be respected, unless there are cogent reasons for revising them.49"
Footnote 48: "Article 4 Protocol 7 ECHR, Article 14.7 ICCPR, Article 8.4 ACHR (in the penal field); on the respect of the principle of res judicata, see e.g. ECtHR Brumărescu v. Romania, 28342/95, 28 October 1999, § 62; Kulkov and Others v. Russia, 25114/03, 11512/03, 9794/05, 37403/05, 13110/06, 19469/06, 42608/06, 44928/06, 44972/06 and 45022/06, 8 January 2009, § 27; Duca v. Moldova, 75/07, 3 March 2009, § 32. The Court considers respect of res judicata as an aspect of legal certainty. Cf. Marckx v. Belgium, 6833/74, 13 June 1979, § 58.
Footnote 49: "Cf. The Council of Europe and the Rule of Law - An overview, CM(2008)170, 21 November 2008, § 48."
"5. The effectiveness of judicial review
a. If a tribunal finds that an administrative act is unlawful, it should have the powers necessary to redress the situation so that it is in accordance with the law. In particular, it should be competent at least to quash the administrative decision and if necessary to refer the case back to the administrative authority to take a new decision that complies with the judgment. It should also be competent to require of the administrative authority, where appropriate, the performance of a duty.
b. The tribunal should also have jurisdiction to award costs of the proceedings and compensation in appropriate cases
c. The necessary powers to ensure effective execution of the tribunal’s judgment should be available in accordance with Recommendation Rec(2003)16.
d. [...]."
Explanatory memorandum (drafted by the European Committee on Legal Co-operation (CDCJ) - CM(2004)214 of 19 November 2004):
"86. The Recommendation recognises that judicial review of administrative acts must be effective so that citizens' rights and interests are afforded genuine protection and to ensure the credibility vis-à-vis society and the efficiency of the administration itself." In the following the different sub-principles are explained.
Click here for information on the genesis of Recommendation Rec(2004)20.
3. Part II of Recommendation Rec(2003)16 of the Committee of Ministers to member states on the execution of administrative and judicial decisions in the field of administrative law
"II. Execution of judicial decisions regarding administrative authorities
1. General provisions
a. Member states should ensure that administrative authorities implement judicial decisions within a reasonable period of time. In order to give full effect to these decisions, they should take all necessary measures in accordance with the law.
b. In cases of non‑implementation by an administrative authority of a judicial decision, an appropriate procedure should be provided to seek execution of that decision, in particular through an injunction or a coercive fine.
c. Member states should ensure that administrative authorities will be held liable where they refuse or neglect to implement judicial decisions. Public officials in charge of the implementation of judicial decisions may also be held individually liable in disciplinary, civil or criminal proceedings if they fail to implement them.2. Execution of judicial decisions entailing an obligation to pay a sum of money
a. Member states should ensure that where administrative authorities are obliged to pay a sum of money, they comply with this obligation within a reasonable period of time.
b. Interest payable by an administrative authority, due to non-implementation of judicial decisions entailing an obligation to pay a sum of money, should be no less than interest payable by a private person to an administrative authority in a similar situation.
c. It should be ensured that the administrative authority has appropriate provision to avoid a situation whereby a lack of funds would prevent it meeting its obligation to pay a sum of money.
d. In the case of non‑implementation by administrative authorities of judicial decisions entailing an obligation to pay a sum of money, member states should also consider opening up the possibility to seize the property of the administrative authorities within the limits prescribed by law."
See also the Explanatory memorandum (drafted by the European Committee on Legal Co-operation (CDCJ) - CM(2003)98-Add 3 of 13 August 2003)
Click here for further information on the genesis of Recommendation Rec(2003)16.
ECtHR, judgement Maria Mihalache v Romania (68851/16) 30 June 2020:
"67. The Court must take into account the fact that the judgment of 29 June 2016 [...] was the result of contentious proceedings between the applicant and the tax authority, before two levels of jurisdiction. Both courts essentially accepted the applicant’s claims challenging the enforcement started against her, on the basis of the consideration that in the absence of any criminal liability, no tax liability could be established in respect of her either. These findings were binding on the parties, as they were res judicata, pursuant to domestic law, in so far as they were directly determinative of the disputed right [...].
68. Moreover, the appellate court also referred to Article 148 of the TPC [...] to conclude that direct enforcement ended when the tax debt could be considered as extinguished, as it was in the applicant’s case [...]. The Court reiterates that the principle of legal certainty dictates that, where a dispute has been examined on the merits by competent courts, it should be decided once and for all (see in the context of Article 6 of the Convention, Kehaya, cited above, § 68) and its findings should become operative, including by being fully enforced to the benefit of the successful party.
69. However, in the present case, as already mentioned above [...] that outstanding judgment had, at the date of the latest information available to the Court, remained unenforced. Moreover, the Court notes that the domestic court’s decisive findings concerning the lack of any obligation of the applicant to cover the impugned damage caused by an alleged tax evasion remained completely inoperative to her detriment; in fact, the outstanding judgment as a whole was rendered devoid of any legal effect on account on the tax authority’s consistent position as to the existence of a debt to be paid by the applicant, in spite of the findings of the prosecutor and of the court which had absolved her of any such liability in that regard [...].
70. The Court reiterates that particular importance must be attached to the principle of good governance, requiring that public authorities act in an good time, in appropriate manner and with the utmost consistency, when an issue in the general interest is at stake (see Beyeler v. Italy [GC], no. 33202/96, § 120, ECHR 2000-I, and Megadat.com S.r.l. v. Moldova, no. 21151/04, § 72, 8 April 2008). However, the Court observes that in the present case the domestic authorities have not complied with their above‑mentioned obligations, since they failed to give full effect to the findings of the domestic courts and to thus remedy an error that was attributable to the Customs, as implied by the domestic courts in their reasoning [...].
71. Moreover, the Court cannot see any reasonable justification for the authorities’ continuous calling into question of the rulings of 29 June 2016 by the Suceava County Court.
72. It cannot be maintained, therefore, that the control of the use of the property at issue was lawful, in the sense of the Convention. The present case concerns a failure to recognise the res judicata effect of a final judgment delivered in contentious proceedings. It cannot be considered that a public interest overriding the fundamental principle of legal certainty and the applicant’s rights justified the constant calling into question of the court’s findings that she was no longer a tax debtor, as well as the resulting constant interference with the applicant’s right to peacefully enjoy her property.
73. The above is, in principle, sufficient for the Court to conclude that the interference with the applicants’ "possessions" fell foul of the requirements of Article 1 of Protocol No. 1 (see, mutatis mutandis, Chengelyan and Others v. Bulgaria, no. 47405/07, § 50, 21 April 2016).
"65. The Court emphasises the fact that the applicant, in spite of his recognised incapacity for farm work, remained for a period of twenty-one months without any financial support from the State, and was refused redress. Accordingly, the Court concludes that the fact that the applicant was deprived of the right to obtain a disability pension without any tangible compensation possibility amounts an interference with his rights under Article 1 of Protocol No. 1 to the Convention.
66. As to the question of whether that interference was lawful and pursued a legitimate aim, the Court readily accepts that the principle of legal certainty, construed as the principle of res iudicata, may, as a general rule, constitute a legitimate aim – that is to say it may be "in the public interest", within the meaning of Article 1 of Protocol No. 1 to the Convention. However, even though the Government did not submit any specific observations in this regard, the Court does not deem it necessary to examine these issues in detail in the light of the circumstances of the present case, since the interference in the applicant’s property rights was clearly disproportionate (see paragraphs 67-71 below).
67. Firstly, the Court considers that an excessive burden was imposed on the applicant owing to the fact that, as a result of an incorrect assessment of his state of health by the Fund’s medical experts, he was faced with a total loss of his disability pension, in spite of his being completely unfit for farm work.
Thus, regardless of any aim pursued in the general interest, it can hardly be acceptable that the authorities shifted the consequences of a mistake attributable to them onto the applicant.
68. Secondly, as stated above (see paragraph 61 above), within the context of property rights, particular importance must be attached to the principle of good governance. It is required that public authorities act with the utmost consistency, in particular when dealing with matters of crucial importance to individuals, such as social and welfare benefits and other property rights. In the present case, the Court observes that the domestic authorities, including the domestic courts during the compensation proceedings, failed in their duty to act in good time and in an appropriate manner and with the utmost consistency since they failed to remedy an error that was clearly attributable to the Fund.
69. In this connection it should be observed that the notion of legal certainty, albeit undeniably important in any legal system, is not absolute. The Court considers that in the instant case there were relevant and sufficient reasons to depart from that principle in order to secure respect for social justice and fairness.
70. The Court does not insist that departing from the principle of res iudicata in order to afford redress to the applicant was the only means of the domestic authorities relieving him from the disproportionate burden that had been placed on him. It considers, however, that the domestic authorities should have provided him with a legal solution that involved him being paid compensation by the Fund; this is because it was the Fund that should have borne the consequences of the mistake made by its experts.
71. The foregoing considerations are sufficient to enable the Court to conclude that the interference in the applicant’s property rights was disproportionate."
5. Venice Commission, Rule of Law Checklist (CDL-AD(2016)007) of 18 March 2016
"E. Access to justice [...]
2. Fair Trial [...]
d. Effectiveness of judicial decisionsAre judicial decisions effective?
i. Are judgments effectively and promptly executed?128
ii. Are complaints for non-execution of judgments before national courts and/or the European Court of Human Rights frequent?
iii. What is the perception of the effectiveness of judicial decisions by the public?
107. Judicial decisions are essential to the implementation of the Constitution and of legislation. The right to a fair trial and the Rule of Law in general would be devoid of any substance if judicial decisions were not executedFootnote 128: "See e.g. See e.g. Hirschhorn v. Romania, 29294/02, 26 July 2007, § 49; Hornsby v. Greece, 18357/91, 19 March 1997, § 40; Burdov v. Russia, 59498/00, 7 May 2002, § 34ff ; Gerasimov and Others v. Russia, 29920/05, 3553/06, 18876/10, 61186/10, 21176/11, 36112/11, 36426/11, 40841/11, 45381/11, 55929/11, 60822/11, 1 July 2014, § 167ff."
6. The CoE handbook "The administration and you"
CoE (ed.), The administration and you (1st edition 1996/1997), p. 39:
"69. 7 [...]. A full system of judicial remedies involves judicial power to annul administrative acts, to compel the taking of such acts, and to prohibit or restrain administrative action. It also comprises consequential relief including powers to compel the administrative authorities to grant compensation or otherwise make reparation, as well as jurisdiction to grant provisional protection."
CoE (ed.), The administration and you (2nd edition 2018), p. 55
"Principle 21 – Execution of court decisions
A legal framework shall be in place to ensure that public authorities implement court orders, including orders for the payment of compensation, within a reasonable time.
[...]
Commentary
Where a public authority has not implemented a court order following a successful appeal by an individual, an appropriate procedure shall be put in place to ensure its proper execution (Agrokompleks v. Ukraine). Orders for compensation shall be executed within a reasonable time (see above, Principle 16). Provision should also be made in national law to make public officials in charge of the implementation of judicial decisions in respect of administrative decisions individually liable in disciplinary, civil or criminal proceedings should they fail to implement them."
VII. Provisional Court Protection in Administrative Matters
3. The CoE handbook "The administration and you"
"5. The effectiveness of judicial review
a. [...].
d. The tribunal should be competent to grant provisional measures of protection pending the outcome of the proceedings."
Explanatory memorandum (drafted by the European Committee on Legal Co-operation (CDCJ) - CM(2004)214 of 19 November 2004) on principle 5.d:
"93. This principle is aimed at ensuring that implementation of the contested measure can be suspended in cases where its enforcement would place the person concerned in an irreversible situation (Jabari judgment, 2000, and Čonka judgment, 2002).
94. The Recommendation recognises that the tribunal should have authority to grant provisional measures of protection pending the outcome of judicial proceedings. Such measures can include the full or partial suspension of the execution of the disputed administrative act, thus enabling the tribunal to re-establish the de facto and de jure situation which would prevail in the absence of the administrative act or to impose appropriate obligations on the administrative authorities.
95. In this respect this principle is consistent with Recommendation R(89)8 of the Committee of Ministers to member states on provisional court protection in administrative matters, which provides that an applicant may request the court or another competent body to take measures of provisional protection against the administrative act."
Click here for information on the genesis of Recommendation Rec(2004)20.
2. Recommendation R(89)8 of the Committee of Ministers to member states on provisional court protection in administrative matters
"I.
When a court is seized of a challenge to an administrative act, and the court has not yet pronounced its decision, the applicant may request the same court or another competent court to take measures of provisional protection against the administrative act.
The person concerned shall have the same right to request a competent court to take measures of provisional protection, prior to his challenging the act, in case of urgency or when an administrative complaint, the making of which does not have in itself any suspensive effect, has been lodged against the administrative act and has not yet been decided.
II.
In deciding whether the applicant should be granted provisional protection, the court shall take account of all relevant factors and interests. Measures of provisional protection may in particular be granted if the execution of the administrative act is liable to cause severe damage which could only be made good with difficulty and if there is a prima-facie case against the validity of the act.
III.
Measures of provisional protection ordered by the competent court may take the form of suspending the execution of the administrative act, wholly or partially, ordering wholly or partially the restoration of the situation which existed at the time when the administrative act was taken or at any subsequent time, and imposing on the administration any appropriate obligation in accordance with the powers of the court.
Measures of provisional protection shall be granted for such period as the court thinks fit. They may be subject to certain conditions. They may be revised.
Measures of provisional protection in no way prejudge the decision to be taken by the court seized of the challenge to the administrative act.
IV.
Proceedings before the court shall be speedy.
Save in cases of urgency, the procedure shall be adversarial and shall allow access by interested third persons.
When, in cases of urgency, interested persons could not be heard before the court granted provisional protection, the matter shall be liable to a new examination within a short time, under a procedure conforming to the preceding sub-paragraph."
Cf. the Explanatory memorandum (drafted by the CDCJ (pp. 72 ff. of the meeting report of the 51st meeting of the CDCJ (CM (89)128) 7 July 1989)
3. The CoE handbook "The administration and you"
CoE (ed.), The administration and you (1st edition 1996/1997), pp. 41 ff.:
"B. – Provisional protection
73. When an administrative act is challenged, the complainant has the right to request a court to grant him or her provisional protection. The court may grant such protection where the interests of the private person in obtaining such protection outweigh the public interest and the interests of other persons concerned. This may happen where the administrative act challenged will cause (or is likely to cause) the private person severe damage which is irreparable or difficult to repair in case of a successful challenge.
73.1. Comment: Provisional protection is one of the most important means by which, in favour of the private person, the effectiveness of remedies against administrative action can be assured. In some jurisdictions, a degree of provisional protection is automatically assured upon the bringing of an appeal to an administrative court because of the existence of a rule that such an appeal has suspensory effect in relation to the administrative act under challenge. In other cases, such suspensory effect has to be sought by means of a separate order from the appellate tribunal. Even under the most efficient of judicial systems, the complexity of many cases is liable to result in some delay before a hearing can take place and a judgment on the merits can be delivered. Therefore no system of effective remedies would be complete without the possibility for the applicant to seek provisional protection by way of suspension of the administrative act or an injunction restraining its enforcement pending the substantive hearing and determination of his claim. Provisional protection is not merely a desirable adjunct of the system of remedies against administrative acts ;
it is an essential element of such a system.
[...]."
CoE (ed.), The administration and you (2nd edition 2018), pp. 53 f.:
"Principle 20 – Interim or provisional protection
Courts and administrative tribunals shall have the power to grant interim or provisional protection pending the determination of an appeal against an administrative decision.
[...]
Commentary
Interim or provisional protection is one of the most important means by which an individual can be guaranteed an effective remedy against a public authority because it maintains (or restores) the status quo in his or her favour pending the outcome of the appeal. This is important because, even under the most efficient of judicial systems, the complexity of many cases is liable to result in considerable delay before the appeal can be determined. Suspension of the administrative decision or an injunction restraining its enforcement pending the outcome of the appeal is therefore essential for a system of effective remedies.
Such protection may take the form of suspending execution of the administrative decision (wholly or partially), ordering restoration of the situation prior to the administrative decision (wholly or partially), or any other order appropriate to the circumstances of the case and within the powers of the court or administrative tribunal.
The principle of interim or provisional protection applies particularly in circumstances where an individual will suffer severe damage or loss which the public authority will have difficulty in compensating should the appeal be successful.
Interim or provisional protection arises in those cases where an administrative decision is immediately enforceable, or has already been enforced. Any request to have its enforcement postponed, limited or modified vis-à-vis the individual who is challenging it must, therefore, be examined rapidly. This means that standard procedural time limits and time frames may have to be shortened considerably and that full hearings may be limited. The proceedings must, however, remain adversarial, the aim being to arbitrate, albeit provisionally, between the different competing interests. The proceedings should involve the applicant and a representative of the public authority, as well as any other party directly affected by the disputed administrative decision. Other persons not directly affected may be allowed to present their views but may not necessarily be summoned. When urgency requires that the application is to be heard ex parte (i.e. with only the appellant present or represented) and the court decides to make an order for provisional protection, it should only be a temporary order pending a hearing with all the parties involved to be organised as soon as possible thereafter.
In deciding whether or not to order provisional protection the court must weigh the interests of the individual in maintaining the pre-existing situation against the public interest and the interests of third parties in enforcing the administrative decision. Relevant factors will include the degree of damage or loss suffered, the possibility of compensation for any damage or loss suffered and the prospects of the appeal being successful (for example, by requiring the individual to establish a prima facie or well-founded case without prejudging the outcome of the appeal). The court may impose conditions in the order granting provisional protection and it may subsequently modify the order."
ECtHR, judgement M. K. and Others v. Poland (40503/17, 42902/17 and 43643/17) 23 July 2020:
"(a) General Principles
142. The Court has indicated numerous times that the rule of exhaustion of domestic remedies is based on the assumption – reflected in Article 13 of the Convention, with which it has close affinity – that there is an effective remedy available in respect of the alleged violation (see A.E.A. v. Greece, no. 39034/12, § 47, 15 March 2018). Article 13 of the Convention guarantees the availability at national level of a remedy to enforce the substance of the Convention rights and freedoms in whatever form they may happen to be secured. The effect of that provision is thus to require the provision of a domestic remedy to deal with the substance of an "arguable complaint" under the Convention and to grant appropriate relief. The scope of the Contracting States’ obligations under Article 13 varies, depending on the nature of the applicant’s complaint. However, the remedy required by Article 13 must be "effective" in practice as well as in law. The "effectiveness" of a "remedy" within the meaning of the Convention does not depend on the certainty of a favourable outcome for the applicant. Nor does the "authority" referred to in that provision necessarily have to be a judicial authority; however, if it is not, its powers and the guarantees that it affords are relevant in determining whether the remedy before it is effective (see, among many other authorities, Kudła v. Poland [GC], no. 30210/96, § 157, ECHR 2000‑XI, and Gebremedhin [Gaberamadhien], cited above, § 53).
143. In view of the importance that the Court attaches to Article 3 of the Convention and the irreversible nature of the damage that may result if a risk of torture or ill-treatment materialises, it has already held that the effectiveness of a remedy available to an applicant who alleges that his or her removal to a third State would expose him or her to treatment prohibited under Article 3 of the Convention imperatively requires close scrutiny by a national authority (see Shamayev and Others v. Georgia and Russia, no. 36378/02, § 448, ECHR 2005‑III), independent and rigorous scrutiny of any claim that there exist substantial grounds for fearing a real risk of treatment breaching Article 3 (see Jabari v. Turkey, no. 40035/98, § 50, ECHR 2000‑VIII), and a particularly prompt response (see Batı and Others v. Turkey, nos. 33097/96 and 57834/00, § 136, ECHR 2004‑IV (extracts)); it also requires that the person concerned should have access to a remedy with automatic suspensive effect (see Čonka v. Belgium, no. 51564/99, §§ 81-83, ECHR 2002‑I; Gebremedhin [Gaberamadhien], cited above, § 66; M.S.S. v. Belgium and Greece [GC], no. 30696/09, § 293, ECHR 2011; and A.E.A. v. Greece, cited above, § 69).
144. The Court has reached a similar conclusion in relation to complaints made under Article 4 of Protocol No. 4 to the Convention, stating that a remedy against an alleged violation of this provision does not meet the requirements of effectiveness if it does not have suspensive effect. The notion of an effective remedy under the Convention requires that the remedy be capable of preventing the execution of measures that are contrary to the Convention and whose effects are potentially irreversible (see Čonka, § 79, and Hirsi Jamaa and Others, § 199, both cited above).
(b) Application of the above principles to the present case
145. The Court observes that all the complaints raised by the applicants in the present cases (whether made under Article 3 of the Convention, Article 4 of Protocol No. 4 to the Convention, Article 13 of the Convention in conjunction with Article 3 of the Convention and Article 4 of Protocol No. 4 or under Article 34 of the Convention) relate to the same circumstances, namely the fact that the applicants were returned from the Polish border and sent back to Belarus without an asylum procedure being instigated. Therefore, the effectiveness of the remedy available to them has to be examined with regard to the execution of this measure, jointly for all of the complaints.
146. The Court notes that the applicants had the possibility of lodging an appeal against each of the decisions concerning refusal of entry within fourteen days of being informed of those decisions. However, there is no dispute that under Polish law such appeals would not have had suspensive effect on the return process [...]. It follows that the applicants did not have access to a procedure by which their personal circumstances could be independently and rigorously assessed by any domestic authority before they were returned to Belarus (see M.A. and Others v. Lithuania, cited above, § 84).
147. In the instant case the applicants’ complaints concerned allegations that their return to Belarus would expose them to a real risk of suffering treatment contrary to Article 3 of the Convention. Therefore, the Court considers that the sole fact that an appeal against the decision on refusal of entry would not have had suspensive effect (and, in consequence, could not have prevented the applicants from being turned away to Belarus) is sufficient to establish that such an appeal – and any further appeals to the administrative court that could have been brought subsequently to it – did not constitute an effective remedy within the meaning of the Convention (see paragraph 143 above). Consequently, the Court does not deem it necessary to consider the remainder of the applicants’ arguments concerning the lack of adequate information and legal assistance in the appeal procedure, the lack of independence of the head of the National Border Guard, the potential length of the proceedings before the administrative courts, or the obstacles resulting from the need to lodge such an appeal from abroad.
148. Accordingly, the Court dismisses the Government’s objection concerning the non-exhaustion of domestic remedies."
The Pan-European General Principles on Freedom of Information and Transparency
(compiled by Ulrich Stelkens)
I. Scope of the Pan-European General Principles on freedom of Information and Transparency
III. Limits to Freedom of Information and Transparency
IV. Access to One’s Own Data and 'Egoistic' Use on freedom of Information Rights
V. From Freedom of Information to Open Government Data and Open Government?
I. Scope of the Pan-European General Principles on freedom of Information and Transparency
The scope of application of the pan-European general principles on freedom of information and transparency should be delimited from the scope of application of other pan-European general principles as follows:
-
The right to access to information and data of parties of administrative procedures is a specific issue related to individual rights in administrative procedures (cf. Principle II of Resolution (77)31 on the protection of the individual in relation to the acts of administrative authorities - for the pan-European general principles in this regard click here). Thus, it should in general not be considered as an element of the pan-European general principles on freedom of information and transparency.
-
The right to access to information and data of parties of administrative court procedures is a specific issue related to the right to be heard in administrative court procedures (cf. Principle No. 4 of Recommendation Rec(2004)20 of the Committee of Ministers to member states on judicial review of administrative acts - for the pan-European general principles in this regard click here). Thus, these issues should in general not be considered as an element of the pan-European general principles on freedom of information and transparency.
-
The pan-European general principles of data protection in the public sector deal with the protection of the indivduals with regard to the processing of their personal data by public authorities (for these principles click here). However, the protection of personal data with regard to the disclosure of personal data by public authorities to the public, other individuals or private bodies, either upon request or as the result of an active dissemination policy (open government) is a matter of the pan-European general principles on freedom of information and transparency (cf. infra IV 4). Moreover, the right to access to 'one's own data' held by public authorities (cf. Article 8 b of 'Convention 108') can be used not only as an instrument of the ‘data subject’ to check compliance with the obligations arising from 'Convention 108'. This right can also be used by the ‘data subject’ to gain access to information held about him or her for any other reason. In this respect it can be considered as an element of transparency and as a right stemming from Article 8 ECHR in the case law of the ECtHR (cf. infra IV 3).
-
The pan-European general principles on freedom of information and transparency have only a factual link with the pan-European general principles on digitalisation of public administration and e-Government (for these principles click here): Internet and electronic communication facilitate dissemination of (official) documents and the access to data and can therefore be used to create transparency through an active communication policy and an open government strategy. Digitalisation can, thus, be a tool to promote transparency, but creating transparency is only one 'public service' that can be provided by the means of electronic government.
II. Freedom of Information and Transparency as a Pan-European General Principle: Foundation, Notion and Functions
1. Current sources of the pan-European general principles on freedom of information and transparency
2. Case law of the ECtHR on freedom of information
3. Functions of the pan-European general principles on freedom of information and transparency
1. Current sources of the pan-European general principles on freedom of information and transparency
d) Council of Europe Convention on Access to Official Documents (CETS No. 205)
a) Article 10 of Recommendation CM/Rec(2007)7 of the Committee of Ministers to member states on good administration
"Article 10 - Principle of Transparency
(1) Public authorities shall act in accordance with the principle of transparency.
(2) They shall ensure that private persons are informed, by appropriate means, of their actions and decisions which may include the publication of official documents.
(3) They shall respect the rights of access to official documents according to the rules relating to personal data protection.
(4) The principle of transparency does not prejudice secrets protected by law."
See the discussion of this article in Meeting report on the 3rd meeting (5-7 April 2006) of the Working Party oft the Project Group on Administrative Law (CJ-DA-GT (2006) 1), para. 134 ff.; for the genesis of Recommendation CM/Rec(2007)7 in general click here
The meaning of Article 10 of Recommendation CM/Rec(2007)7 is outlined in CoE (ed.), The administration and you (2nd edition 2018), pp. 19 f.
"Principle 6 – Transparency
Public authorities shall allow everyone access to official documents held by them. Access shall be granted without discrimination. Public authorities also have a duty to provide information about their work and decisions, and this duty extends to the publication of official documents.
[...]
Commentary
The principle of transparency ensures that the work of public authorities and their officials is conducted openly. This strengthens public trust and the protection of rights of individuals. Moreover, transparency encourages participation. It is generally recognised that democracies can function more effectively when the public is fully informed about issues relevant to public life. An informed public is better placed to participate in decisions and policies of public authorities, and to accept and adhere to them [...]. Public authorities too will benefit from feedback received from the public. So it is desirable that public authorities allow open access to records, they hold, subject to unavoidable exceptions and limitations.
There is no positive obligation in international law on public authorities to disseminate information to the public. As indicated above, they should be encouraged to provide as much information on their decisions as they can.
Rules on access to official documents must respect the rights to privacy and the protection of personal data, particularly data held in digital or electronic files [...].
Information should be supplied by a public authority within a reasonable period of time. Obviously, very numerous requests for information from the public can entail a considerable workload for public officials. The processing of requests can result in delays incompatible with good and efficient administration. The principle factors for assessing what is a reasonable period of time include the nature and volume of information to be retrieved and provided. The means by which information is provided may be either oral or written. The inspection of documents and files should also be allowed. The fact that public authorities charge a fee to recover the costs of providing the information requested (copying, printing, mailing, etc.) is compatible with the principle of transparency and that of access developed in Principle 8 below.
Refusal of access to official documents may be justified by a public authority in relation to certain kinds of internal documents, such as personal documents exchanged within the authority or documents prepared as internal working papers. Every working environment, including that of public authorities, has a "private sphere" in which work is done in a rather informal way and which has to be protected.
Higher standards on public access to official documents can be found in the Council of Europe Convention on Access to Official Documents (CETS No. 205). This convention has yet to enter into force."
b) Principle 6 of Recommendation CM/Rec(2023)5 of the Committee of Ministers to member States on the principles of good democratic governance
Appendix to Recommendation CM/Rec(2023)5 Principles of good democratic governance
"2. Principles
The observance of the highest standards of public ethics and integrity in the exercise of power and public responsibilities
[...]
Principle 6 – Openness and transparency
Openness and transparency should be ensured, by making the decision-making processes of government, public institutions and public officials publicly available and accessible – subject to the limitations set down in law, necessary in a democratic society and proportionate to the aims such limitations seek to protect – including by utilising, as appropriate, modern digital tools."
Explanatory Memorandum (drafted by the CDDG (CM(2023)96-addfinal) of 6 September 2023)
"Principle 6 – Openness and transparency
Openness and transparency should be ensured, by making the decision-making processes of government, public institutions and public officials publicly available and accessible – subject to the limitations set down in law, necessary in a democratic society and proportionate to the aims such limitations seek to protect – including by utilising, as appropriate, modern digital tools.
37. The principle makes it clear that the work of government, public institutions and processes concerning policy and decision-making is taking place in an open manner, on the basis of rules regulating the statute of information held by public institutions. Webpages, Internet-platforms, social media, e-mail correspondence and newsletters, public broadcasting of elected council deliberations via Internet channels are just some examples of how technologies can be used to ensure a culture of openness and active communication, both for the delivery of public information and services, and to support a culture of democratic participation. As pointed out in the CDDG’s Study on the impact of digital transformation on democracy and good governance (July 2021), "individuals are willing to engage in the public sphere. Digital technologies provide additional opportunities to express this engagement: citizens participate in online conversations, consultations and deliberations; contribute online to causes they support, including financially; and share their input through digital platforms that help hold public institutions to account."
38. Access to information held by public institutions would need to be regulated by adequate and consistent laws and regulations dealing with the management of information and requests for information, criteria for which access to information and documents held by public authorities can be denied, classification and declassification procedures etc. The Council of Europe Convention on Access to Official Documents (CETS No. 205) is a major reference instrument in this context.Principle 6
Compliance with this principle would mean that:
- Government and public institutions actively communicate information in an inclusive and effective manner, providing for: clarity of what information is available and how and where it can be located; designing information and services according to users’ needs; ensuring that information is correct, authentic, and up to date; and that such services are secure.
- Freedom of information legislation is in place, providing for clear and effective procedures to enable the public to solicit information and documents held by public institutions, including a limited number of circumstances where access can be denied.
- Information on decisions, implementation of policies and results are made available to the public in such a way as to enable people to effectively follow and contribute to the work of government and public institutions, either directly or through representative bodies.
- E-governance services are made available via a range of Information and Communication Technologies (ICTs) channels, where practicable and cost-effective, provided that they ensure ease of use, as well as better quality, availability and accessibility of information and services and consider potential risks related, in particular, to the abuse of personal data, and inadequate e-literacy skills."
c) Recommendation Rec(2002)2 on of the Committee of Ministers to member states access to official documents
"The Committee of Ministers [...]
Bearing in mind, in particular, Article 19 of the Universal Declaration of Human Rights, Articles 6, 8 and 10 of the European Convention on Human Rights and Fundamental Freedoms, the United Nations Convention on Access to Information, Public Participation in Decision-making and Access to Justice in Environmental Matters (adopted in Aarhus, Denmark, on 25 June 1998) and the Convention for the Protection of Individuals with regard to Automatic Processing of Personal Data of 28 January 1981 (ETS No. 108); the Declaration on the freedom of expression and information adopted on 29 April 1982; as well as Recommendation No. R (81) 19 on the access to information held by public authorities, Recommendation No. R (91) 10 on the communication to third parties of personal data held by public bodies; Recommendation No. R (97) 18 concerning the protection of personal data collected and processed for statistical purposes and Recommendation No. R (2000) 13 on a European policy on access to archives;
Considering the importance in a pluralistic, democratic society of transparency of public administration and of the ready availability of information on issues of public interest;
Considering that wide access to official documents, on a basis of equality and in accordance with clear rules:
- allows the public to have an adequate view of, and to form a critical opinion on, the state of the society in which they live and on the authorities that govern them, whilst encouraging informed participation by the public in matters of common interest;
- fosters the efficiency and effectiveness of administrations and helps maintain their integrity by avoiding the risk of corruption;
- contributes to affirming the legitimacy of administrations as public services and to strengthening the public’s confidence in public authorities;
Considering therefore that the utmost endeavour should be made by member states to ensure availability to the public of information contained in official documents, subject to the protection of other rights and legitimate interests;
Stressing that the principles set out hereafter constitute a minimum standard, and that they should be understood without prejudice to those domestic laws and regulations which already recognise a wider right of access to official documents;
Considering that, whereas this instrument concentrates on requests by individuals for access to official documents, public authorities should commit themselves to conducting an active communication policy, with the aim of making available to the public any information which is deemed useful in a transparent democratic society,
Recommends the governments of member states to be guided in their law and practice by the principles set out in this recommendation.
I. Definitions
For the purposes of this recommendation:
"public authorities" shall mean:
i. government and administration at national, regional or local level;
ii. natural or legal persons insofar as they perform public functions or exercise administrative authority and as provided for by national law.
"official documents" shall mean all information recorded in any form, drawn up or received and held by public authorities and linked to any public or administrative function, with the exception of documents under preparation.
II. Scope
1. This recommendation concerns only official documents held by public authorities. However, member states should examine, in the light of their domestic law and practice, to what extent the principles of this recommendation could be applied to information held by legislative bodies and judicial authorities.
2. This recommendation does not affect the right of access or the limitations to access provided for in the Convention for the Protection of Individuals with regard to Automatic Processing of Personal Data.
III. General principle on access to official documents
Member states should guarantee the right of everyone to have access, on request, to official documents held by public authorities. This principle should apply without discrimination on any ground, including that of national origin.
IV. Possible limitations to access to official documents
[...]
V. Requests for access to official documents
1. An applicant for an official document should not be obliged to give reasons for having access to the official document.
2. Formalities for requests should be kept to a minimum.
VI. Processing of requests for access to official documents
1. A request for access to an official document should be dealt with by any public authority holding the document.
2. Requests for access to official documents should be dealt with on an equal basis.
3. A request for access to an official document should be dealt with promptly. The decision should be reached, communicated and executed within any time limit which may have been specified beforehand.
4. If the public authority does not hold the requested official document it should, wherever possible, refer the applicant to the competent public authority.
5. The public authority should help the applicant, as far as possible, to identify the requested official document, but the public authority is not under a duty to comply with the request if it is a document which cannot be identified.
6. A request for access to an official document may be refused if the request is manifestly unreasonable.
7. A public authority refusing access to an official document wholly or in part should give the reasons for the refusal.
VII. Forms of access to official documents
1. When access to an official document is granted, the public authority should allow inspection of the original or provide a copy of it, taking into account, as far as possible, the preference expressed by the applicant.
2. If a limitation applies to some of the information in an official document, the public authority should nevertheless grant access to the remainder of the information it contains. Any omissions should be clearly indicated. However, if the partial version of the document is misleading or meaningless, such access may be refused.
3. The public authority may give access to an official document by referring the applicant to easily accessible alternative sources.
VIII. Charges for access to official documents
1. Consultation of original official documents on the premises should, in principle, be free of charge.
2. A fee may be charged to the applicant for a copy of the official document, which should be reasonable and not exceed the actual costs incurred by the public authority.
IX. Review procedure
1. An applicant whose request for an official document has been refused, whether in part or in full, or dismissed, or has not been dealt with within the time limit mentioned in Principle VI.3 should have access to a review procedure before a court of law or another independent and impartial body established by law.
2. An applicant should always have access to an expeditious and inexpensive review procedure, involving either reconsideration by a public authority or review in accordance with paragraph 1 above.
X. Complementary measures
1. Member states should take the necessary measures to:
i. inform the public about its rights of access to official documents and how that right may be exercised;
ii. ensure that public officials are trained in their duties and obligations with respect to the implementation of this right;
iii. ensure that applicants can exercise their right.
2. To this end, public authorities should in particular:
i. manage their documents efficiently so that they are easily accessible;
ii. apply clear and established rules for the preservation and destruction of their documents;
iii. as far as possible, make available information on the matters or activities for which they are responsible, for example by drawing up lists or registers of the documents they hold.
XI. Information made public at the initiative of the public authorities
A public authority should, at its own initiative and where appropriate, take the necessary measures to make public information which it holds when the provision of such information is in the interest of promoting the transparency of public administration and efficiency within administrations or will encourage informed participation by the public in matters of public interest."
Recommendation Rec(2002)2 is much more detailed than the (thereby 'replaced') Recommendation No. R (81)19 and seems to have the function of a 'model code' formulating minimal standards. See also the Explanatory memorandum (drafted by the Steering Committee for Human Rights (CDDH) - Appendix I to CM Documents (CM(2002)8) 22 January 2002):
"1. Within the Council of Europe, the principle of public access to official documents began to be developed in Recommendation N° R (81) 19 on access to information held by public authorities. A recent example of European co-operation in this field is the Convention on Access to Information, Public Participation in Decision-Making and Access to Justice in Environmental Matters, adopted in Aarhus, Denmark, on 25 June 1998. Another recent example from the EU is the adoption of the Regulation (EC) N° 1049/2001 of the European Parliament and of the Council of 30 May 2001 regarding public access to European Parliament, Council and Commission documents. In the course of the last years, there has been growing interest among the member states in making provision in domestic law for measures to ensure open government and public access to official information. Work was accordingly started in the Council of Europe in order to further elaborate basic principles on the right of access to official information held by public authorities."
The Explanatory memorandum gives a sort of commentary 'article by article' on the principles spelled out in Recommendation Rec(2002)2. Recommendation Rec(2002)2 is, furthermore, accompanied by a 'guide': Directorate General of Human Rights of the CoE (ed.), Access to official documents guide (2004):
"Introduction: The aim of this guide is to bring to the attention of the general public and civil servants the principles set out in Recommendation Rec(2002)2 on access to official documents [...], adopted by the Committee of Ministers of the Council of Europe on 21 February 2002 and addressed to the Council's 45 member states. [...]
The Recommendation sets principles which the European states are invited to use as a guide in their law and practice in the field of access to official documents, it being understood that they are free to go beyond these, by adopting provisions granting a broader right of access.
The present guide concerns only official documents held by public authorities, but the Recommendation invites member states to consider, in the light of their national law and internal practices, to what degree the principles which it contains might be applied to information held by legislative bodies and judicial authorities.
This guide first of all sets out the basic principle to be followed in this regard (I). It then highlights a series of practical questions (II) and points to the action that public authorities may take in order to facilitate access (III)."
d) Council of Europe Convention on Access to Official Documents (CETS No. 205)
Summary of the CoE's Treaty office:
"This Convention is the first binding international legal instrument to recognise a general right of access to official documents held by public authorities. Transparency of public authorities is a key feature of good governance and an indicator of whether or not a society is genuinely democratic and pluralist. The right of access to official documents is also essential to the self-development of people and to the exercise of fundamental human rights. It also strengthens public authorities’ legitimacy in the eyes of the public, and its confidence in them.
This Convention lays down a right of access to official documents. Limitations on this right are only permitted in order to protect certain interests like national security, defence or privacy.
The Convention sets forth the minimum standards to be applied in the processing of requests for access to official documents (forms of and charges for access to official documents), review procedure and complementary measures and it has the flexibility required to allow national laws to build on this foundation and provide even greater access to official documents.
A Group of Specialists on Access to Official Documents will monitor the implementation of this Convention by the Parties."
The Convention has been until now signed and ratified by 14 Member States and has furthermore been (only) signed by 6 Member States.
On the functions of the Convention cf. the Introduction of the Explanatory Report:
"(i) The present Council of Europe Convention is the first binding international legal instrument to recognise a general right of access to official documents held by public authorities. For many years, international cooperation had been pursued within the Organisation in order that a right of access to official documents, which finds its origins in the 1950 European Convention on Human Rights, become a reality throughout Europe.
(ii) The first political and legal expression of this was in Recommendation No. R (81) 19 of the Committee of Ministers to member States on access to information held by public authorities,
followed one year later by the Declaration of the Committee of Ministers on freedom of expression and information. Other legal instruments had been elaborated [...] until, in 2002, the
Committee of Ministers adopted its Recommendation Rec(2002)2 on access to public documents, which was the principal source of inspiration for the present Convention.
(iii). The Steering Committee for Human Rights (CDDH), instructed by the Committee of Ministers of the Council of Europe to draft the present Convention, was guided by the concern to identify, amongst the various national legal systems, a core of basic obligatory provisions reflecting what was already accepted in the legislation of a number of countries and that, at the same time, could be accepted by States that did not have such legislation. The Parties to the present Convention undertake to implement rigorously this minimum core of basic provisions, and in order to assist them in achieving this goal an international monitoring mechanism is envisaged in the Convention. The spirit behind this is, of course, to encourage the Parties to equip themselves with, maintain and reinforce domestic provisions that allow a more extensive right of access, provided that the minimum core is nonetheless implemented."
e) Articles 4, 5 and Article 9 (1) of the UNECE Convention on Access to Information, Public Participation in Decision-making and Access to Justice in Environmental Matters (Aarhus Convention)
The UNECE Convention on Access to Information, Public Participation in Decision-making and Access to Justice in Environmental Matters (Aarhus Convention) has been signed and ratified by the EU and all CoE Member States with the exception of Andorra, San Marino and Turkey. The Aarhus Convention is thus a legally binding instrument in almost the entire "European administrative space" and can thereby concretise the pan-European general principles of good administration. Cf. the website of UNECE for further information on the Aarhus Convention and its implementation.
"Article 4 - Access to Environmental Information
1. Each Party shall ensure that, subject to the following paragraphs of this article, public authorities, in response to a request for environmental information, make such information available to the public, within the framework of national legislation, including, where requested and subject to subparagraph (b) below, copies of the actual documentation containing or comprising such information:
(a) Without an interest having to be stated;
(b) In the form requested unless:
(i) It is reasonable for the public authority to make it available in another form, in which case reasons shall be given for making it available in that form; or
(ii) The information is already publicly available in another form.
2. The environmental information referred to in paragraph 1 above shall be made available as soon as possible and at the latest within one month after the request has been submitted, unless the volume and the complexity of the information justify an extension of this period up to two months after the request. The applicant shall be informed of any extension and of the reasons justifying it.
3. and 4. [Limits to access to environmental information]
5. Where a public authority does not hold the environmental information requested, this public authority shall, as promptly as possible, inform the applicant of the public authority to which it believes it is possible to apply for the information requested or transfer the request to that authority and inform the applicant accordingly.
6. Each Party shall ensure that, if information exempted from disclosure under paragraphs 3 (c) and 4 above can be separated out without prejudice to the confidentiality of the information exempted, public authorities make available the remainder of the environmental information that has been requested.
7. A refusal of a request shall be in writing if the request was in writing or the applicant so requests. A refusal shall state the reasons for the refusal and give information on access to the review procedure provided for in accordance with article 9. The refusal shall be made as soon as possible and at the latest within one month, unless the complexity of the information justifies an extension of this period up to two months after the request. The applicant shall be informed of any extension and of the reasons justifying it.
8. Each Party may allow its public authorities to make a charge for supplying information, but such charge shall not exceed a reasonable amount. Public authorities intending to make such a charge for supplying information shall make available to applicants a schedule of charges which may be levied, indicating the circumstances in which they may be levied or waived and when the supply of information is conditional on the advance payment of such a charge."
Article 5 - Collection and Dissemination of Environmental Information
1. Each Party shall ensure that:
(a) Public authorities possess and update environmental information which is relevant to their functions;
(b) Mandatory systems are established so that there is an adequate flow of information to public authorities about proposed and existing activities which may significantly affect the environment;
(c) In the event of any imminent threat to human health or the environment, whether caused by human activities or due to natural causes, all information which could enable the public to take measures to prevent or mitigate harm arising from the threat and is held by a public authority is disseminated immediately and without delay to members of the public who may be affected.
2. Each Party shall ensure that, within the framework of national legislation, the way in which public authorities make environmental information available to the public is transparent and that environmental information is effectively accessible, inter alia, by:
(a) Providing sufficient information to the public about the type and scope of environmental information held by the relevant public authorities, the basic terms and conditions under which such information is made available and accessible, and the process by which it can be obtained;
(b) Establishing and maintaining practical arrangements, such as:
(i) Publicly accessible lists, registers or files;
(ii) Requiring officials to support the public in seeking
access to information under this Convention; and
(iii) The identification of points of contact; and
(c) Providing access to the environmental information contained in lists, registers or files as referred to in subparagraph (b) (i) above free of charge.
3. Each Party shall ensure that environmental information progressively becomes available in electronic databases which are easily accessible to the public through public telecommunications networks. Information accessible in this form should include:
(a) Reports on the state of the environment, as referred to in paragraph 4 below;
(b) Texts of legislation on or relating to the environment;
(c) As appropriate, policies, plans and programmes on or relating to the environment, and environmental agreements; and
(d) Other information, to the extent that the availability of such information in this form would facilitate the application of national law implementing this Convention,
provided that such information is already available in electronic form.
4. Each Party shall, at regular intervals not exceeding three or four years, publish and disseminate a national report on the state of the environment, including information on the quality of the environment and information on pressures on the environment.
5. Each Party shall take measures within the framework of its legislation for the purpose of disseminating, inter alia:
(a) Legislation and policy documents such as documents on strategies, policies, programmes and action plans relating to the environment, and progress reports on their implementation, prepared at various levels of government;
(b) International treaties, conventions and agreements on environmental issues; and
(c) Other significant international documents on environmental issues, as appropriate.
6. Each Party shall encourage operators whose activities have a significant impact on the environment to inform the public regularly of the environmental impact of their activities and products, where appropriate within the framework of voluntary eco-labelling or eco-auditing schemes or by other means.
7. Each Party shall:
(a) Publish the facts and analyses of facts which it considers relevant and important in framing major environmental policy proposals;
(b) Publish, or otherwise make accessible, available explanatory material on its dealings with the public in matters falling within the scope of this Convention; and
(c) Provide in an appropriate form information on the performance of public functions or the provision of public services relating to the environment by government at all levels.
8. Each Party shall develop mechanisms with a view to ensuring that sufficient product information is made available to the public in a manner which enables consumers to make informed environmental choices.
9. Each Party shall take steps to establish progressively, taking into account international processes where appropriate, a coherent, nationwide system of pollution inventories or registers on a structured, computerized and publicly accessible database compiled through standardized reporting. Such a system may include inputs, releases and transfers of a specified range of substances and products, including water, energy and resource use, from a specified range of activities to environmental media and to on-site and off-site treatment and disposal sites.
10. Nothing in this article may prejudice the right of Parties to refuse to disclose certain environmental information in accordance with article 4, paragraphs 3 and 4.
"Article 9 - Access to Justice
1. Each Party shall, within the framework of its national legislation, ensure that any person who considers that his or her request for information under article 4 has been ignored, wrongfully refused, whether in part or in full, inadequately answered, or otherwise not dealt with in accordance with the provisions of that article, has access to a review procedure before a court of law or another independent and impartial body established by law.
In the circumstances where a Party provides for such a review by a court of law, it shall ensure that such a person also has access to an expeditious procedure established by law that is free of charge or inexpensive for reconsideration by a public authority or review by an independent and impartial body other than a court of law.
Final decisions under this paragraph 1 shall be binding on the public authority holding the information. Reasons shall be stated in writing, at least where access to information is refused under this paragraph.
2. [...].
3.[...].
4. In addition and without prejudice to paragraph 1 above, the procedures referred to in paragraphs 1 , 2 and 3 above shall provide adequate and effective remedies, including injunctive relief as appropriate, and be fair, equitable, timely and not prohibitively expensive. Decisions under this article shall be given or recorded in writing. Decisions of courts, and whenever possible of other bodies, shall be publicly accessible.
5. In order to further the effectiveness of the provisions of this article, each Party shall ensure that information is provided to the public on access to administrative and judicial review procedures and shall consider the establishment of appropriate assistance mechanisms to remove or reduce financial and other barriers to access to justice."
See for the definition of "environmental information":
Article 2 - Definitions
For the purpose of this Convention
1. [...].
3. "Environmental information" means any information in written, visual, aural, electronic or any other material form on:
(a) The state of elements of the environment, such as air and atmosphere, water, soil, land, landscape and natural sites, biological diversity and its components, including genetically modified organisms, and the interaction among these elements;
(b) Factors, such as substances, energy, noise and radiation, and activities or measures, including administrative measures, environmental agreements, policies, legislation, plans and programmes, affecting or likely to affect the elements of the environment within the scope of subparagraph (a) above, and cost-benefit and other economic analyses and assumptions used in environmental decision-making;
(c) The state of human health and safety, conditions of human life, cultural sites and built structures, inasmuch as they are or may be affected by the state of the elements of the environment or, through these elements, by the factors, activities or measures referred to in subparagraph (b) above;"
2. Case Law of the ECtHR on Freedom of Information
See for a compilation of the relevant cases ECtHR (ed.), Guide on Article 10 of the European Convention of Human Rights - Freedom of Expression (version of February 2024), para. 441 ff.
a) ECtHR [GC], judgment Magyar Helsinki Bizottság v. Hungary (18030/11) 8 November 2016
b) ECtHR, judgment Centre For Democracy and the Rule of Law v Ukraine (10090/16) 26 July 2020
c) ECtHR, judgment Studio Monitori and Others v. Georgia (44920/09 and 8942/10) 30 January 2020
d) ECtHR, judgement Association BURESTOP 55 and Others v France (56176/18 and 5 others) 1 July 2021
e) ECtHR, decision Saure v Germany (6106/16) 19 October 2021
f) ECtHR, Šeks v. Croatia (39325/20) 3 February 2022
g) Further case law on freedom of information and transparency
a) ECtHR [GC], judgment Magyar Helsinki Bizottság v. Hungary (18030/11) 8 November 2016
"145. The right of access to public documents has moreover been recognised by the Committee of Ministers of the Council of Europe in Recommendation Rec (2002) 2 on access to official documents, which declares that member States should, with some exceptions, guarantee the right of everyone to have access, on request, to official documents held by public authorities [...]. Furthermore, the adoption of the Council of Europe Convention on Access to Official Documents, even though it has to date been ratified by only seven member States, denotes a continuous evolution towards the recognition of the State’s obligation to provide access to public information [...]. Thus, even if the present case does not raise an issue of a fully-fledged right of access to information, the above Convention, in the Court’s view, indicates a definite trend towards a European standard, which must be seen as a relevant consideration. [...].
156. In short, the time has come to clarify the classic principles. The Court continues to consider that 'the right to freedom to receive information basically prohibits a Government from restricting a person from receiving information that others wish or may be willing to impart to him.' Moreover, 'the right to receive information cannot be construed as imposing on a State positive obligations to collect and disseminate information of its own motion'. The Court further considers that Article 10 does not confer on the individual a right of access to information held by a public authority nor oblige the Government to impart such information to the individual. However, as is seen from the above analysis, such a right or obligation may arise, firstly, where disclosure of the information has been imposed by a judicial order which has gained legal force (which is not an issue in the present case) and, secondly, in circumstances where access to the information is instrumental for the individual’s exercise of his or her right to freedom of expression, in particular 'the freedom to receive and impart information" and where its denial constitutes an interference with that right. [...]
168. Thus, the Court considers that an important consideration is whether the person seeking access to the information in question does so with a view to informing the public in the capacity of a public ‘watchdog’. This does not mean, however, that a right of access to information ought to apply exclusively to NGOs and the press. It reiterates that a high level of protection also extends to academic researchers […] and authors of literature on matters of public concern […]. The Court would also note that given the important role played by the Internet in enhancing the public’s access to news and facilitating the dissemination of information […], the function of bloggers and popular users of the social media may be also assimilated to that of ‘public watchdogs’ in so far as the protection afforded by Article 10 is concerned."
b) ECtHR, judgment Centre For Democracy and the Rule of Law v Ukraine (10090/16) 26 July 2020
"81 The Court has clarified and summarised the principles to be applied in assessing whether the denial of access to information constitutes an interference with freedom of expression in the case of Magyar Helsinki Bizottság [...]..
82. In accordance with that judgment, whether and to what extent the denial of access to information constitutes an interference with an applicant’s freedom-of-expression rights must be assessed in each individual case and in the light of its particular circumstances.
Four criteria are relevant in this assessment: (i) the purpose of the information request; (ii) the nature of the information sought; (iii) the particular role of the seeker of the information in "receiving and imparting" it to the public; and (iv) whether the information sought is ready and available.
84. The information, data or documents to which access is sought must generally meet a public‑interest test in order to prompt a need for disclosure under the Convention. Such a need may exist where, inter alia, disclosure provides transparency on the manner of conduct of public affairs and on matters of interest for society as a whole and thereby allows participation in public governance by the public at large [...].
85. The Court has emphasised that the definition of what might constitute a subject of public interest will depend on the circumstances of each case. The public interest relates to matters which affect the public to such an extent that it may legitimately take an interest in them, which attract its attention or which concern it to a significant degree, especially in that they affect the well-being of citizens or the life of the community. This is also the case with regard to matters which are capable of giving rise to considerable controversy, which concern an important social issue, or which involve a problem that the public would have an interest in being informed about. The public interest cannot be reduced to the public’s thirst for information about the private life of others, or to an audience’s wish for sensationalism or even voyeurism. In order to ascertain whether a document relates to a subject of general importance, it is necessary to assess the document as a whole, having regard to the context in which it appears [...]
87. An important consideration is whether the person seeking access to the information in question does so with a view to informing the public in the capacity of a public "watchdog". This does not mean, however, that a right of access to information ought to apply exclusively to NGOs and the press. A high level of protection also extends to academic researchers and authors of literature on matters of public concern. Given the important role played by the Internet in enhancing the public’s access to news and facilitating the dissemination of information, the function of bloggers and popular users of the social media may be also assimilated to that of "public watchdogs" in so far as the protection afforded by Article 10 is concerned [...].
88. The fact that the information requested is ready and available constitutes an important criterion in the overall assessment of whether a refusal to provide the information can be regarded as an 'interference' with the freedom to 'receive and impart information' as protected by that provision [...].
c) ECtHR, judgment Studio Monitori and Others v. Georgia (44920/09 and 8942/10) 30 January 2020
"40. Turning to the circumstances of application no. 44920/09, the Court notes that, whilst the journalistic role of the first and second applicants was undeniably compatible with the scope of the right to solicit access to State‑held information [...], the purpose of their information request cannot be said to have satisfied the relevant criterion under Article 10 of the Convention [...]. This is because they failed to specify, in the relevant domestic proceedings, the purpose of their request for permission to consult the criminal case file. They never explained to the relevant court registry why the documents were necessary for the exercise of their freedom to receive and impart information to others [...]. Noting that omission, the domestic authority explicitly invited the applicants to address that gap by clarifying the purpose of their request. What is more, the authority expressed its readiness to reconsider its initial refusal upon receipt of the requisite information from the applicants. The latter, however, ignored that opportunity and instead decided to sue the authority for breaching their alleged right to have unrestricted access to State-held information of public interest [...]. However, it should be restated in this connection that Article 10 of the Convention does not confer on individuals an absolute right to access State‑held information [...]."
42 As regards application no. 8942/10, it should be noted that the third applicant, like the first and second applicants, did not take the trouble to explain to the relevant court registry the purpose of his request to obtain a full copy of the relevant court decisions [...], which makes it impossible for the Court to accept that the information sought was instrumental for the exercise of his freedom-of-expression rights [...]. Most importantly, it is unclear how the third applicant’s role in society was supposed to satisfy the relevant criterion under Article 10 of the Convention. Thus, the Court observes that the third applicant was neither a journalist nor a representative of a 'public watchdog' [...]. He did not clarify in the proceedings before the Court how he could enhance, by receiving a copy of detention orders in six criminal cases totally unrelated to him, the public’s access to news or facilitate the dissemination of information in the interest of public governance [...]. Nor is the Court persuaded that the information solicited from the domestic judicial authority by the third applicant met the relevant public‑interest test under Article 10 of the Convention [...]. While acknowledging the significance of the principle that court decisions are to be pronounced publicly and should be, in some form, made accessible to the public in the interest of the good administration of justice and transparency [...], the Court restates that the requirement that the information sought meet a public-interest test in order to prompt a need for disclosure under Article 10 of the Convention is different, as it refers to the specific subject‑matter of the document, in this case of the judicial orders [...] . In that connection, that is as regards the question of whether or not the specific subject-matter of the solicited documents involved public-interest considerations, the applicant limited his arguments to mentioning that the solicited judicial decisions concerned high-profile criminal cases instituted against former high-ranking State officials for corruption offences [...]. However, the Court considers that the fact that the accused in those cases were well‑known public figures was not in itself sufficient to justify, under Article 10, disclosure of a full copy of the relevant judicial orders concerning the ongoing criminal proceedings, including the parts which did not constitute public information according to the domestic law applicable at the material time (see paragraphs 17 and 19 above), to a third party acting in a purely private capacity [...]. Indeed, the public interest is hardly the same as an audience’s curiosity [...]."
d) ECtHR, judgement Association BURESTOP 55 and Others v France (56176/18 and 5 others) 1 July 2021
"79. L’article 10 de la Convention n’ouvre donc pas un droit général d’accès aux informations détenues par l’État mais garantit seulement, dans une certaine mesure et sous certaines conditions, un droit d’accéder à de telles informations et une obligation pour les autorités publiques de les communiquer.
80. Cela étant rappelé, la Cour réfute la thèse du Gouvernement selon laquelle les principes énoncés dans l’arrêt Magyar Helsinki Bizottság ne vaudraient que dans l’hypothèse où l’administration a opposé un refus à une demande d’information, de sorte qu’ils ne seraient pas pertinents en l’espèce.
81. Certes, dès lors que le droit de recevoir des informations que garantit l’article 10 n’impose pas aux États des obligations positives de collecte et de diffusion, motu proprio, d’informations, c’est principalement dans l’hypothèse où une demande d’accès à une information est rejetée par les autorités d’un État qu’un problème est susceptible de surgir au regard de cette disposition. Un État peut toutefois se prescrire une obligation de collecter ou de diffuser des informations motu proprio.
82. Or, en l’espèce, le droit interne impose à l’ANDRA, un établissement public, l’obligation de mettre à la disposition du public des informations relatives à la gestion des déchets radioactifs. Ainsi qu’il ressort des motifs de l’arrêt de la cour d’appel de Versailles du 23 mars 2017, cette obligation impliquait celle d’informer motu proprio le public de l’évolution du projet Cigéo, en particulier au regard du potentiel géothermique du site de Bure. L’ANDRA ne l’a pas contesté devant les juridictions internes et le Gouvernement n’en disconvient pas devant la Cour.
83. Ceci étant, la Cour estime que les circonstances de l’espèce relèvent de la seconde branche de l’alternative exposée dans l’arrêt Magyar Helsinki Bizottság rappelée ci-dessus, selon laquelle un droit d’accès à des informations détenues par une autorité publique et une obligation pour l’État de les communiquer peuvent naître, au regard de l’article 10, lorsque l’accès à l’information est déterminant pour l’exercice par l’individu de son droit à la liberté d’expression, en particulier la liberté de recevoir et de communiquer des informations, et que refuser cet accès constitue une ingérence dans l’exercice de ce droit.
84. La Cour a jugé dans cet arrêt (§§ 157-170) que la question de savoir si et dans quelle mesure le refus de donner accès à des informations a constitué une ingérence dans l’exercice par un requérant du droit à la liberté d’expression doit s’apprécier au cas par cas à la lumière des circonstances particulières de la cause, et en fonction des critères suivants : 1. le but de la demande d’information ; 2. la nature de l’information recherchée ; 3. le rôle de la requérante ; 4. le fait que les informations sont déjà disponibles.
85. La Cour considère qu’il doit en aller de même lorsque l’ingérence alléguée ne résulte pas d’un refus de donner accès à une information mais, comme en l’espèce, dans le caractère prétendument insincère, inexact ou insuffisant d’une information fournie par une autorité publique en vertu d’une obligation d’informer prescrite par le droit interne. Selon elle, fournir, dans pareille hypothèse, une information insincère, inexacte ou insuffisante s’apparente à un refus d’informer.
86. S’agissant du premier des quatre critères susmentionnés, il faut déterminer si les informations en cause étaient réellement nécessaires à l’exercice de la liberté d’expression [...]. Or, en l’espèce, en accord avec leur objet social, les associations requérantes se sont notamment données pour mission d’informer le public des risques environnementaux et sanitaires que présente le projet Cigéo. Les informations litigieuses, relatives précisément à ces risques, s’inscrivaient donc directement dans l’exercice de leur liberté de communiquer des informations.
87. Quant au deuxième critère, relatif à la nature de l’information, il conduit à vérifier si les informations, les données ou les documents concernés répondent à un critère d’intérêt public [...]. En l’espèce, l’information litigieuse s’inscrivait directement dans le débat relatif aux risques environnementaux et sanitaires que présente le projet Cigéo, lequel concerne l’acheminement, la manutention et l’enfouissement sur le site de Bure de quantités importantes de déchets radioactifs de haute activité et à vie longue, particulièrement dangereux pour la santé et l’environnement. Or il ne fait aucun doute qu’un sujet de cette nature relève de l’intérêt public.
88. S’agissant du troisième critère, la Cour a souligné que le fait que la requérante joue un rôle de « chien de garde » revêt un poids particulier. Il en va notamment ainsi des organisations non gouvernementales, qui sont dans un tel rôle non seulement lorsqu’elles attirent l’attention de l’opinion sur des sujets d’intérêt publics [...], mais aussi lorsqu’elles agissent auprès des autorités en faveur de la mise à la disposition du public d’informations relatives à de tels sujets. Tel est le cas en l’espèce des associations requérantes d’autant plus qu’elles bénéficient, en droit interne, d’un agrément au titre de leur activité dans le domaine de la protection de l’environnement.
89. Quant au quatrième critère, relatif à la disponibilité des informations litigeuses, il est par définition rempli en l’espèce.
[...]
108. Selon la Cour, le droit d’accès à l’information se trouverait vidé de sa substance si l’information fournie par les autorités compétentes était insincère, inexacte ou même insuffisante. En effet, le respect du droit d’accès à l’information implique nécessairement que l’information fournie soit fiable, en particulier lorsque ce droit résulte d’une obligation légale mise à la charge de l’État. L’effectivité de ce droit commande dès lors qu’en cas de contestation à cet égard, les intéressés disposent d’un recours permettant le contrôle du contenu et de la qualité de l’information fournie, dans le cadre d’une procédure contradictoire. La Cour réitère sur ce point que l’objet et le but de la Convention, instrument de protection des droits de l’homme, appellent à comprendre et appliquer ses dispositions d’une manière qui en rende les exigences concrètes et effectives, et non théoriques et illusoires [...]."
e) ECtHR, decision Saure v Germany (6106/16) 19 October 2021
"37. The Court [...] considers that such situation, in which a journalist seeks the disclosure of information which would first have to be created through comprehensive research and analysis, and in which not even the entire raw data from which such information were to be generated existed within the authority due to a lack of recording [...] is distinct from one where the requested information exists within the authority and would merely need to be compiled in order to respond to the request [...]. Reiterating that Article 10 of the Convention does not impose an obligation to collect information on the applicant’s request, particularly when a considerable amount of work is involved [...], the Court considers that this applies a fortiori where the requested information does not even exist within the authority as in the present case.
38. The Court therefore cannot conclude that the authorities’ refusal to provide the applicant with the requested information amounted to de facto censorship, nor that it prevented him from exercising his role as a "public watchdog". In this connection, the Court also observes that, in so far as the personnel files have been analysed and respective information been made available to the public through archives [...], the applicant could access a part of the information he sought to obtain [...]. Against this background, the Court does not need to determine whether the applicant had sufficiently substantiated the purpose of his information request before the domestic courts [...]."
f) ECtHR, Šeks v. Croatia (39325/20) 3 February 2022
"36. The Court reiterates that Article 10 does not confer on the individual a right of access to information held by a public authority or oblige the Government to impart such information to the individual. However, such a right or obligation may arise where access to the information is instrumental for the individual’s exercise of his or her right to freedom of expression, in particular, "the freedom to receive and impart information", and where its denial constitutes an interference with that right [...]."
37. In determining this question the Court will be guided by the principles laid down in Magyar Helsinki Bizottság [...] and will assess the case in the light of its particular circumstances and having regard to the following criteria: (a) the purpose of the information request; (b) the nature of the information sought; (c) the role of the applicant; and (d) whether the information was ready and available.
38. The Court firstly notes that the applicant sought access to the classified documents in order to use the information obtained for the purposes of writing a book about the creation of the Croatian State. Under domestic law, he was not under the obligation to state the reasons for which he was requesting access to the documents in question (see section 18(4) of the Act on the Right of Access to Information cited at paragraph 21 above). In the Court’s view, it is not strictly relevant whether the documents were indeed crucial for his book; what is sufficient is that the applicant sought access to them in order to provide his readers with a full and detailed chronology of the events that took place during the period referred to.
39. Turning to the nature of the information sought, the Court reiterates that information to which access is sought must meet a public-interest test, which, according to its general definition, exists where disclosure provides transparency on the manner of the conduct of public affairs and on matters of interest for society as a whole and thereby allows participation in public governance by the general public. What might constitute a subject of public interest will, moreover, depend on the circumstances of each case [...].
40. In the present case, the Court notes that the Constitutional Court concluded that a scientific monograph about the creation of the Republic of Croatia was a matter of public interest [...]. It sees no reason to hold otherwise.
[...].
63. Unlike a number of previous cases examined by the Court which involved access to personal information relating to the applicant or other persons, and the balancing of the right to freedom of expression against the rights of others [...], the present case concerns classified information relating to a sensitive part of Croatia’s rather recent history which, as the applicant maintained himself, still formed part of considerable public debate [...]. National security being an evolving and context-dependent concept, the States must be afforded a wide margin of appreciation in assessing what poses a national security risk in their countries at a particular time [...]. At the same time, the Court points out that the concepts of "national security" and "public safety" should be applied with restraint, interpreted restrictively and brought into play only where it has been shown to be necessary to suppress the release of the information for the purposes of protecting national security and public safety [...].
64. The Court has recognised that it was not well-equipped to challenge the national authorities’ judgment concerning the existence of national security considerations [...]. However, even when national security is at stake, the concepts of lawfulness and the rule of law in a democratic society require that measures affecting fundamental human rights must be subject to some form of adversarial proceedings before an independent body competent to review the reasons for the decision [...]. If there was no possibility of challenging effectively the executive’s assertion that national security was at stake, the State authorities would be able to encroach arbitrarily on rights protected by the Convention [...].
65. The Court has further stressed that the fairness of proceedings and the procedural guarantees afforded to the applicant are factors to be taken into account when assessing the proportionality of an interference with the freedom of expression guaranteed by Article 10 [...]. In cases such as the present one, involving national security concerns resulting in decisions restricting human rights, the Court will therefore scrutinise the national decision-making procedure to ensure that it incorporated adequate safeguards to protect the interests of the person concerned [...]."
g) Further case law on freedom of information and transparency
3. Functions of the pan-European general principles on freedom of information and transparency
The functions of the pan-European general principles on freedom of information and transparency are very are very clearly set out in the older CoE sources on the subject and in some newer non-CoE sources.
a) Recommendation 854 (179) of the Parliamentary Assembly on access by the public to government records and freedom of information
"The Assembly
1. Reaffirming its faith in parliamentary democracy;
2. Convinced that parliamentary democracy can function adequately only if the people in general and their elected representatives are fully informed;
3. Considering that in today's society public life has become so complicated and technical that government departments and agencies frequently generate and possess information which cannot be obtained from other sources;
4. Considering therefore that it is desirable that, subject to certain inevitable exceptions, the public should have access to government records;
5. Considering that such freedom of information also constitutes an adequate check on corruption and waste of public funds;
6. Bearing in mind that the taxpayers, i.e. the public in general, are the contributors of public funds, and that they should therefore be able to find out how those public funds are used, or misused, in government agencies and departments;
7. Believing that the individual should have access to his personal records and have the right to have erroneous information about himself corrected, it being understood that such personal information should not be divulged or distributed to others as this would constitute an unwarranted invasion of privacy;
8. Considering that such a right of access to one's own records has already been recognised by the Council of Europe in Resolutions (73) 22 and (74) 29 of the Committee of Ministers, relating to electronic records;
9. Considering that the time has come to recognise this principle with regard to any records, whether electronic or manual;
[…]
13. Recommends that the Committee of Ministers:
a) invite member states which have not yet done so to introduce a system of freedom of information, i.e. access to government files, comprising the right to seek and receive information from government agencies and departments, the right to inspect and correct personal files, the right to privacy, and the right to rapid action before the courts in these matters;
b) instruct the Committee of Experts on Public Authorities and Access to Information, or any other expert committee to make a full study on the question of access to government files;
c) implement its decision taken in 1976 to insert a provision on the right to seek information in the European Convention on Human Rights;
d) - f) [...]"
b) Recommendation No. R (81)19 of the Committee of Ministers to member states on the access to information held by public authorities
"The Committee of Ministers [...]
Having regard to Assembly Recommendation 854 on access by the public to government records and freedom of information;
Considering the importance for the public in a democratic society of adequate information on public issues;
Considering that access to information by the public is likely to strengthen confidence of the public in the administration;
Considering therefore that the utmost endeavour should be made to ensure the fullest possible availability to the public of information held by public authorities,
Recommends the governments of member states to be guided in their law and practice by the principles appended to this recommendation.
Appendix to Recommendation No. R (81) 19
The following principles apply to natural and legal persons. In the implementation of these principles regard shall duly be had to the requirements of good and efficient administration. Where such requirements make it necessary to modify or exclude one or more of these principles, either in particular cases or in specific areas of public administration, every endeavour should nevertheless be made to achieve the highest possible degree of access to information.
I.
Everyone within the jurisdiction of a member state shall have the right to obtain, on request, information held by the public authorities other than legislative bodies and judicial authorities.
II.
Effective and appropriate means shall be provided to ensure access to information.
III.
Access to information shall not be refused on the ground that the requesting person has not a specific interest in the matter.
IV.
Access to information shall be provided on the basis of equality.
V.
The foregoing principles shall apply subject only to such limitations and restrictions as are necessary in a democratic society for the protection of legitimate public interests (such as national security, public safety, public order, the economic well-being of the country, the prevention of crime, or for preventing the disclosure of informationreceived in confidence), and for the protection of privacy and otherlegitimate private interests, having, however, due regard to the specific interest of an individual in information held by the public authorities which concerns him personally.
VI.
Any request for information shall be decided upon within a reasonable time.
VII.
A public authority refusing access to information shall give the reasons on which the refusal is based, according to law or practice.
VIII.
Any refusal of information shall be subject to review on request."
Explanatory report (reproduced in CoE (ed.), The administration and you (1st edition 1996/1997), pp. 396 ff.):
"1. It is generally recognised that a democratic system can best function effectively when the public is fully informed. Moreover, because of social and technological developments, modern life has become so complex that public authorities often possess large quantities of records and information of general interest and importance. To ensure adequate participation of all in public life, it is necessary that the public should, subject to unavoidable exceptions and limitations, have access to information held by public authorities at all levels.
2. The everyday life of the individual is profoundly affected by the activities of public authorities. In order to protect the rights of the individual it is most important that he should be aware of the information held by public authorities – in particular information concerning himself or his interests – and that access to information should be on the basis of equality.
3. It should be mentioned that access to information by the public is also in the interest of the public authorities themselves, because it can help to establish a closer relationship between the administration and the individual, and is thus likely to strengthen the confidence of the public in the administration."
Recommendation No. R (81)19 was preceded by a "Colloquy on European Law" in Graz (21–23 September 1976) organized by the CoE. Its proceedings are published in CoE (ed.), Proceedings of the Colloquy of the Council of Europe on Freedom of Information and the Duty for the Public Authorities to Make Available Information organised by the Committee of Experts on Human Rights in Collaboration with the Faculty of Law of the Univeritsy of Graz (1977).
CoE (ed.), The administration and you (1st edition 1996/1997), pp. 18 ff.
"VII – Openness
A – Concept
30. Without having to show any specific interest, everyone is entitled upon request :
(i) to be given information which is in the possession of an administrative authority
(ii) within a reasonable time
(iii) in the same way as anyone else
(iv) by effective and appropriate means.
30.1 Comment : It is generally recognised that a democratic system can function more effectively when the public is fully informed about the issues of public life, because to be informed is a prerequisite of acceptance, participation and adherence. It is, thus, necessary that the public have, subject to unavoidable exceptions and limitations, access to the large quantities of records and information of general interest and importance which administrative authorities hold at all levels.
30.2.Comment : Moreover, in order to protect the rights of the private person, it is most important that the person concerned be aware of the information held by the administrative authorities concerning himself or his interests. Such openness is also likely to strengthen the confidence of the public in the administration. The administrative authorities on their part will often benefit from the feedback received from the private persons.
30.3. Comment: "Without having to show any specific interest" means mainly that one does not have to be a party in any administrative procedure as a prerequisite for the right to request information from administrative authorities.
30.4. Comment re (ii): The administrative authorities should supply information as soon as possible. Obviously, very numerous requests for information coming from the public can entail a considerable workload for administrative authorities and, at some point, be considered as incompatible with good and efficient administration and be handled with delay. The principle factors for assessing what is "reasonable time" are the nature and complexity of the information and the time needed for the administrative authorities to supply it.
30.5. Comment re (iv): These means may consist in oral or written information, in allowing inspection of documents and files, etc. The fact that the administrative authorities charge a fee on the occasion of such a request or recover the costs for providing the information requested (copying, printing, mailing or other) is compatible with this principle.
c) Transparency and the Fight Against Corruption in the Light of Article 10 of the United Nations Convention against Corruption
The United Nations Convention against Corruption has been signed and ratified by all CoE Member States and the EU. This Convention therefore does not "only" reflect global standards in the fight against corruption, but is a legally binding instrument in the entire "European administrative area" (and can therefore also concretise the pan-European general principles of good administration).
As part of Chapter II on 'Preventive measures" Article 10 of the United Nations Convention against Corruption stipulates:
Article 10. Reporting - Taking into account the need to combat corruption, each State Party shall, in accordance with the fundamental principles of its domestic law, take such measures as may be necessary to enhance transparency in its public administration, including with regard to its organization, functioning and decision-making processes, where appropriate. Such measures may include, inter alia:
(a) Adopting procedures or regulations allowing members of the general public to obtain, where appropriate, information on the organization, functioning and decision-making processes of its public administration and, with due regard for the protection of privacy and personal data, on decisions and legal acts that concern members of the public;
(b) Simplifying administrative procedures, where appropriate, in order to facilitate public access to the competent decision-making authorities; and
(c) Publishing information, which may include periodic reports on the risks of corruption in its public administration.
See on Article 10 of the United Nations Convention against Corruption para. 58 ff. of the Legislative Guide for the Implementation of the United Nations Convention against Corruption and pp. 117 ff. of the Travaux Préparatoires; cf. furthermore S. Williams-Eelegbe, 'Article 10: Public Reporting' in C. Rose, M. Kubiciel and O. Landwehr (eds.), The United Nations Convention Against Corruption - A Commentary (2019), pp. 106 - 113.
III. Limits to Freedom of Information and Transparency
1. The CoE handbook 'The administration and you'
4. Article 4 of Council of Europe Convention on Access to Official Documents (CETS No. 205)
1. The CoE handbook 'The administration and you'
CoE (ed.), The administration and you (2nd edition 2018), pp. 19 f.
"Principle 6 – Transparency
[...]
Commentary
[...]
Refusal of access to official documents may be justified by a public authority in relation to certain kinds of internal documents, such as personal documents exchanged within the authority or documents prepared as internal working papers. Every working environment, including that of public authorities, has a "private sphere" in which work is done in a rather informal way and which has to be protected."
CoE (ed.), The administration and you (1st edition 1996/1997), pp. 18 ff.
"VII – Openness
A – Concept
[...].
B – Limitations
31. Access to information may be subject only to such limitations as are necessary in a democratic society for the protection of :
(i) legitimate public interests ;
(ii) privacy and other legitimate private interests.
31.1. Comment: To ensure the protection of legitimate public and private interests, access to information has to be subject to certain limitations. Refusal of access may be justified as regards certain kinds of internal documents, such as documents exchanged within an administrative authority on a personal basis, or prepared as internal working papers. For there is, within any working environment including public administrations, a "private sphere" in which work is being done in a rather informal way and which has to be protected.
31.2. Comment re (i): "Legitimate public interests in a democratic society" are, for instance, national security, public safety, public order, the economic wellbeing of the country (protection of the currency and the credit, etc.), the prevention of crime, preventing the disclosure of information received in confidence, etc.
31.3. Comment re (ii): The protection of confidential personal data as well as the protection of the reputation and the rights of private persons other than those who request access to the information, can justify refusal of access to information. For the conditions under which personal data held by public authorities in electronic files may or may not be communicated to third parties, see below: "Protection of personal data", Chapter 4, III.
2. Recommendation No.R (91) 10 of the Committee of Ministers to member states on the communication to third parties of personal data held by public bodies
The aim of Recommendation No.R (91) 10 was, inter alia, to "complement" Recommendation No. R (81)19 by defining limits to freedom of information but also to 'open government policies', cf. the Explanatory memorandum:
"4. Freedom of information policy and privacy policy may compete for priority. The application of each of these fundamental values must be premised on respect for its counterpart. Reconciliation is sometimes necessary. This is why, for example, the implementation of freedom of information policy contained in Recommendation No. R (81) 19 is made subject to the need to respect, inter alia, the private life of the individual. From the privacy point of view, the implementation of data protection policy must, as is declared in the preamble to the Data Protection Convention, take account of the need "... to reconcile the fundamental values of respect for privacy and the free flow of information between peoples". For the intergovernmental Committee of Experts on Data Protection, the drafters of this legal instrument, freedom of information policy and data protection are not necessarily conflicting values. Data protection is to be seen as consistent with the broader aspects of information policy within society. It does not seek to place a priori restrictions on the circulation of personal information within society. Rather, the principles of data protection seek to determine the conditions under which personal data may be collected, processed and communicated to third parties, and used by them.
5. It should be stressed at the outset that the aim of this recommendation is not to promote transparency within public administration or open government or to encourage freedom of information. The desirability of making public bodies accountable by means of freedom of information principles is already catered for in Recommendation No. R (81) 19 of the Committee of Ministers. [...].
6. Furthermore, a complete approach to personal data or personal data file communication by public bodies to third parties may not be limited solely to situations foreseen in provisions governing access to public sector information. The recommendation is also concerned with those many situations in which public bodies collect and store various categories of personal data with a view to their being made accessible to third parties in accordance with the whole range of legal provisions governing accessibility. In particular, the recommendation addresses those categories of so-called "public files" which contain personal data which are published in accordance with the law. Such files - examples are provided in paragraph 24 of this commentary - are available for public consultation and the data contained in them may be communicated to third parties."
The appendix of Recommendation No.R (91) 10 names detailed principles which the member states should take into account "whenever personal data or personal data files collected and stored by public bodies may be made accessible to third parties", in particular:
"2. Respect for privacy and data protection principles
2.1. The communication, in particular by electronic means, of personal data or personal data files by public bodies to third parties should be accompanied by safeguards and guarantees designed to ensure that the privacy of the data subject is not unduly prejudiced.
In particular, the communication of personal data or personal data files to third parties should not take place unless:
a. a specific law so provides; or
b. the public has access thereto under legal provisions governing access to public-sector information; or
c. the communication is in conformity with domestic legislation on data protection; or
d. the data subject has given his free and informed consent.
2.2. Unless domestic law provides appropriate safeguards and guarantees for the data subject, personal data or personal data files may not be communicated to third parties for purposes incompatible with those for which the data were collected.
2.3. Domestic legislation on data protection should apply to the processing by a third party of personal data communicated to him by public bodies."
Moreover Recommendation No.R (91) 10 provides for specific principles with regard to 'sensitive data', 'general accessible data', 'access to and communication of personal data by electronic means', processing by third parties of personal data originating in files accessible to third parties, file interconnection/matching' and 'transborder data flows'.
Recommendation No.R (91) 10 was preceded by the "Seventeenth Colloquy on European Law" in Zaragoza (21–23 October 1987) organized by the CoE. Its proceedings are published in CoE (ed.), Secrecy and openness: individuals, enterprises and public administrations (1988).
3. Recommendation Rec(2002)2 on of the Committee of Ministers to member states access to official documents
"IV. Possible limitations to access to official documents
1. Member states may limit the right of access to official documents. Limitations should be set down precisely in law, be necessary in a democratic society and be proportionate to the aim of protecting:
i. national security, defence and international relations;
ii. public safety;
iii. the prevention, investigation and prosecution of criminal activities;
iv. privacy and other legitimate private interests;
v. commercial and other economic interests, be they private or public;
vi. the equality of parties concerning court proceedings;
vii. nature;
viii. inspection, control and supervision by public authorities;
ix. the economic, monetary and exchange rate policies of the state;
x. the confidentiality of deliberations within or between public authorities during the internal preparation of a matter.
2. Access to a document may be refused if the disclosure of the information contained in the official document would or would be likely to harm any of the interests mentioned in paragraph 1, unless there is an overriding public interest in disclosure.
3. Member states should consider setting time limits beyond which the limitations mentioned in paragraph 1 would no longer apply.
Explanatory memorandum (drafted by the Steering Committee for Human Rights (CDDH) - Appendix I to CM Documents (CM(2002)8) 22 January 2002):
"19. Access to documents should be the rule and confidentiality the exception, in cases where other legitimate interests take precedence. Limitations should be set down precisely in law, be necessary in a democratic society and be proportionate to the aim of protecting the other legitimate interest(s).
20. It follows from the general right in Principle III above that individuals will need to be told whether the public authority holds a particular document. Where the protection of other legitimate interests takes precedence over disclosure, in limited circumstances it may be necessary to keep secret the fact that information exists. This would apply in circumstances where to admit or deny that the information existed in itself would amount to disclosure of the information.
21. Limitations to the right of access to official documents should be possible only for the reasons listed exhaustively in Principle IV, paragraph 1. A specific limitation foreseen by national law may fall under several limitations contained in this Principle. The criteria for the application of limitations have been drawn up keeping in mind Articles 6, 8 and 10 of the European Convention on Human Rights, as well as the relevant provisions which appear in the instruments relating to data protection, in particular in the aforementioned Convention for the protection of individuals with regard to automatic processing of personal data of 28 January 1981 (ETS No. 108), and in Recommendation N° R (81) 19 on access to information held by public authorities.
22. Paragraph 1.i foresees that member states could limit access to official documents in order to protect national security, defence and international relations. In some member states, limitations related to these fields have a constitutional dimension. For example, some states having regions with a large degree of autonomy, may also have interest in protecting correspondence between such regional authorities, or in federal states, between the federal government and regional authorities. Some member states also limit access to documents concerning the Head of state; this is the case in particular in some constitutional monarchies.
23. Paragraph 1. iv. foresees that member states could limit access to protect privacy and other legitimate private interests. Information relating to such interests may be covered by the aforementioned Convention N° 108, but the limitation foreseen by paragraph 1. iv. may also be applied to information not covered by that Convention.
24. The concept of "commercial and other economic interests", as used in paragraph 1.v, may cover for example business matters which need to be kept secret for competition reasons, such as the confidential nature of business negotiations. This paragraph may also be extended to those documents which public authorities use to prepare collective bargaining, in which they take part.
25. In order to develop good statistical data, most states have confidentiality clauses protecting information gathered from private persons or entities for statistical purposes. Such data will usually either be personal data or data concerning economic or commercial interests. The access to documents containing such information, may therefore be limited in accordance with paragraph 1, items iv. and v. Similar considerations may apply to data collected in the course of taxation of private persons and entities.
26. Some states protect information given in confidence. This recommendation does not preclude this as long as the protected information is covered by one of the limitations in Principle IV, for example paragraph 1, items iv. or v.
27. The limitation concerning the protection of "equality of parties concerning court proceedings", as set out in paragraph 1.vi, derives from Article 6 of the European Convention on Human Rights on the right to a fair trial. It aims, inter alia, at allowing a public authority to refuse access to its own documents with the view not to weakening its position during proceedings to which it is a party.
28. Limitations for the protection of "nature", which are mentioned at paragraph 1.vii, are designed for example to prevent disclosure of the whereabouts of endangered fauna or flora in order to protect them. This limitation is in line with article 4, paragraph 4 (h) of the Convention on access to information, public participation in decision-making and access to justice in environmental matters[6].
29. Paragraph 1. viii may, for example, protect the ability of a public authority to effectively regulate, investigate and audit, possibly through formal proceedings, other organisations or individuals, as well as their own internal rules and procedures. A possible example is an on‑going tax investigation or audit.
30. Paragraph 1. x. indicates the possibility to limit access in order to protect deliberations within or between public authorities for an authority’s internal preparation of a matter. This limitation would e.g. allow for documents from deliberations in the Cabinet to be exempted. The term "matter" is broad enough to cover all types of cases which are handled by the public authority, i.e. both individual cases and policy-making procedures.
31. Paragraph 2 expresses two important principles, the "harm-test" principle and the principle of balancing the interest of public access to documents against the interest protected by the limitation. If public access to an official document does not cause any harm to one of the interests listed in paragraph 1, there should be no limitations on access to that document. If public access to a document might cause harm to one of these interests, the document should still be released if the public interest in having access to the document overrides the protected interest.
32. The "harm test" and the "balancing of interests" may be carried out for each individual case, or by the legislator through the way in which the limitations are formulated. Legislation could for example set down varying requirements for carrying out harm tests. These requirements could take the form of a presumption for or against secrecy or unconditional secrecy for extremely sensitive information. When such requirements are set down in legislation, the public authority should make sure whether the requirements in the secrecy clause are fulfilled when they receive a request for access to such an official document. The level of sensitivity may vary with time and it should be avoided that the classification of a document would automatically prevent access to the same document in the future.
33. In some member states, documents will be released unless the protected interest overrides the public interest attached to disclosure. This approach is not incompatible with this recommendation.
34. Paragraph 3 evokes that member states should lay down maximum time limits for limitations on access. Accordingly, the documents should be made accessible after a certain period of time. In addition, time limits should be proportionate to what it is hoped to achieve, i.e. the protection of other rights and legitimate interests.
35. As regards documents classified as confidential, secret or top secret, the authorities should ensure that they are made accessible as soon as circumstances permit, or, if the law sets a time limit on confidentiality, as soon as that limit is reached. In some countries, the law provides for regular review of the confidential nature of an item of information. In others, review is carried out as necessary when a request is made for access.
4. Article 3 of Council of Europe Convention on Access to Official Documents (CETS No. 205)
Article 3 – Possible limitations to access to official documents
(1) Each Party may limit the right of access to official documents. Limitations shall be set down precisely in law, be necessary in a democratic society and be proportionate to the aim of protecting:
a) national security, defence and international relations;
b) public safety;
c) the prevention, investigation and prosecution of criminal activities;
d) disciplinary investigations;
e) inspection, control and supervision by public authorities;
f) privacy and other legitimate private interests;
g) commercial and other economic interests;
h) the economic, monetary and exchange rate policies of the State;
i) the equality of parties in court proceedings and the effective administration of justice;
j) environment; or
k the deliberations within or between public authorities concerning the examination of a matter.
Concerned States may, at the time of signature or when depositing their instrument of ratification, acceptance, approval or accession, by a declaration addressed to the Secretary General of the Council of Europe, declare that communication with the reigning Family and its Household or the Head of State shall also be included among the possible limitations.
(2) Access to information contained in an official document may be refused if its disclosure would or would be likely to harm any of the interests mentioned in paragraph 1, unless there is an overriding public interest in disclosure.
(3) The Parties shall consider setting time limits beyond which the limitations mentioned in paragraph 1 would no longer apply.
5. Article 4 (3) and (4) of the UNECE Convention on Access to Information, Public Participation in Decision-making and Access to Justice in Environmental Matters (Aarhus Convention)
The UNECE Convention on Access to Information, Public Participation in Decision-making and Access to Justice in Environmental Matters (Aarhus Convention) has been signed and ratified by the EU and all CoE Member States with the exception of Andorra, San Marino and Turkey. The Aarhus Convention is thus a legally binding instrument in almost the entire "European administrative space" and can thereby concretise the pan-European general principles of good administration. Cf. the website of UNECE for further information on the Aarhus Convention and its implementation.
"Article 4 - Access to Environmental Information
1. and 2. [...].
3. A request for environmental information may be refused if:
(a) The public authority to which the request is addressed does not hold the environmental information requested;
(b) The request is manifestly unreasonable or formulated in toogeneral a manner; or
(c) The request concerns material in the course of completion or concerns internal communications of public authorities where such an exemption is provided for in national law or customary practice, taking into account the public interest served by disclosure.
4. A request for environmental information may be refused if the disclosure would adversely affect:
(a) The confidentiality of the proceedings of public authorities, where such confidentiality is provided for under national law;
(b) International relations, national defence or public security;
(c) The course of justice, the ability of a person to receive a fair trial or the ability of a public authority to conduct an enquiry of a criminal or disciplinary nature;
(d) The confidentiality of commercial and industrial information, where such confidentiality is protected by law in order to protect a legitimate economic interest. Within this framework, information on emissions which is relevant for the protection of the environment shall be disclosed;
(e) Intellectual property rights;
(f) The confidentiality of personal data and/or files relating to a natural person where that person has not consented to the disclosure of the information to the public, where such confidentiality is provided for in national law;
(g) The interests of a third party which has supplied the information requested without that party being under or capable of being put under a legal obligation to do so, and where that party does not consent to the release of the material; or
(h) The environment to which the information relates, such as the breeding sites of rare species.
The aforementioned grounds for refusal shall be interpreted in a restrictive way, taking into account the public interest served by disclosure and taking into account whether the information requested relates to emissions into the environment.
5. to 8. [...].
IV. Access to One’s Own Data and 'Egoistic' Use of Freedom of Information Rights
1. Case law of the ECtHR on the right to access to one's own data
2. Use of freedom of information rights in personal interest
1. Case law of the ECtHR on the right to access to one's own data
See for the case law of the ECtHR on the right to access to one's own data:
2. Use of freedom of information rights in personal interest
The following quote clearly shows that a right to access to administrative files without having in interest to be stated, does neither exclude nor forbid that this right is used (only) in one's own interest. Thus, the right to freedom of information can strengthen the rights to access one's own data or facilitate their practical enforcement.
CoE (ed.), Protection of the individual in relation to acts of administrative authorities (1975), p. 14
"Does the individual have the right of access to files concerning other similar cases? [...]. Access of parties to other administrative files is provided for only in four countries, which have admitted the general principle of access of all citizens to all administrative files: Sweden, Finland, Denmark and Norway.
It should be observed that the principle of publicity of administrative files in these states is not meant in the first place to be an aid in view of administrative procedures. It is an additional safeguard for democratic control over the functioning of the administration. However, as a by-effect it may also benefit citizens in administrative proceedings".
CoE (ed.), Protection of the individual in relation to acts of administrative authorities (1975) preceded Resolution (77)31 on the protection of the individual in relation to the acts of administrative authorities as 'pilot study'; for the genesis of Resolution (77)31 in general click here
Furthermore, Recommendation 854 (1979) of the Parliamentary Assembly on access by the public to government records and freedom of information clearly understood "a right of access to one's own records" as an element of the right to freedom of information:
"The Assembly
1. - 6 [...];
7. Believing that the individual should have access to his personal records and have the right to have erroneous information about himself corrected, it being understood that such personal information should not be divulged or distributed to others as this would constitute an unwarranted invasion of privacy;
8. Considering that such a right of access to one's own records has already been recognised by the Council of Europe in Resolutions (73) 22 and (74) 29 of the Committee of Ministers, relating to electronic records;
9. Considering that the time has come to recognise this principle with regard to any records, whether electronic or manual;
[…]
13. Recommends that the Committee of Ministers:
a) invite member states which have not yet done so to introduce a system of freedom of information, i.e. access to government files, comprising the right to seek and receive information from government agencies and departments, the right to inspect and correct personal files, the right to privacy, and the right to rapid action before the courts in these matters;
b) instruct the Committee of Experts on Public Authorities and Access to Information, or any other expert committee to make a full study on the question of access to government files;
c) implement its decision taken in 1976 to insert a provision on the right to seek information in the European Convention on Human Rights;
d) - f) [...]"
3. Use of rights of the 'data subject' to access to data relating to them at reasonable intervals and without excessive delay or expense
Art. 8 (1) of Convention for the Protection of Individuals with regard to Automatic Processing of Personal Data (ETS No. 108 - "Convention 108")
"Article 8 Additional safeguards for the data subject
Any person shall be enabled:
a. [...]
b. to obtain at reasonable intervals and without excessive delay or expense confirmation of whether personal data relating to him are stored in the automated data file as well as communication to him of such data in an intelligible form;
c. and d. [...].
Art. 9 (1) of 'Convention 108' as it will be amended by Protocol CETS No. 223:
"Article 9 – Rights of the data subject
Every individual shall have a right:
(a) [...].
(b) to obtain, on request, at reasonable intervals and without excessive delay or expense, confirmation of the processing of personal data relating to him or her, the communication in an intelligible form of the data processed, all available information on their origin, on the preservation period as well as any other information that the controller is required to provide in order to ensure the transparency of processing in accordance with Article 8, paragraph 1
(c) - (g) [...]
Paragraph 1.a shall not apply if the decision is authorised by a law to which the controller is subject and which also lays down suitable measures to safeguard the data subject's rights, freedoms and legitimate interest."
Article 8 lit. b of 'Convention 108') and Article 9 (1) lit. b of 'Convention 108' as it will be amended by Protocol CETS No. 223) are concieved as as an instrument of the 'data subject' to check compliance with the obligations arising from data protection law (click here and click here for these additional safeguards of the 'data subject'). However, this right may also be used by the 'data subject' to gain access to information held about him - and to make use of it in completely different contexts.
That this use is covered by Article 8 lit. b of 'Convention 108') and Article 9 (1) lit. b of 'Convention 108' as it will be amended by Protocol CETS No. 223) is clear from the case law on Article 15 (3) of the Regulation (EU) 2016/679 on the protection of natural persons with regard to the processing of personal data and on the free movement of such data(General Data Protection Regulation) which corresponds to these articles of 'Convention 108' and ' 'Convention 108+'. Article 15 (3) Regulation (EU) 2016/679 reads:
"The controller shall provide a copy of the personal data undergoing processing. For any further copies requested by the data subject, the controller may charge a reasonable fee based on administrative costs. Where the data subject makes the request by electronic means, and unless otherwise requested by the data subject, the information shall be provided in a commonly used electronic form".
ECJ, judgement FT (Copies of medical records) (C-307/22) 26 October 2023:
"38. It must be pointed out that neither the wording of Article 12(5) of the GDPR nor that of Article 15(1) and (3) thereof make the provision, free of charge, of a first copy of personal data conditional upon data subjects putting forward reasons to justify their requests. Therefore, those provisions do not give the controller the possibility of demanding that reasons be given for the request for access submitted by the data subject.
43. Given that, as can be seen from paragraph 38 of the present judgment, the data subject is not required to state the reasons for the request for access to data, the first sentence of recital 63 of the GDPR cannot be interpreted as meaning that that request must be rejected if it concerns an objective other than that of becoming aware of the processing of data and verifying the lawfulness of that processing. That recital cannot restrict the scope of Article 15(3) of that regulation as recalled in paragraph 35 of the present judgment."
V. From Freedom of Information to Open Government Data and Open Government?
1. The CoE and Open Government Data
2. The CoE and Open Government
1. The CoE and Open Government Data
See Principle 6 of Recommendation CM/Rec(2023)5 of the Committee of Ministers to member States on the principles of good democratic governance (supra II 1 b).
See furthermore:
CLRAE Resolution 417 (2017) of 30 March 2017 'Open data for better public services':
"1. The rapid and ongoing rise in the quality and quantity of digital data and information managed and generated by local authorities is providing valuable new opportunities for them to improve the quality of local life by sharing the data and releasing them into the public domain. An increasing
number of cities are demonstrating that there is huge and untapped potential in this data for non-governmental organisations (NGOs) and interest groups when they are released into the public domain in a reusable format.
2. In many sectors, including transport, public health, use of cultural facilities, environment quality and energy use, public authority datasets are beginning to be used by civil society groups, often working in partnership with the local authority, to develop new tools and applications for promoting good governance in towns and cities. The benefits can be improved governance, improved quality of life and cities that are ecological and smart.
3. Open data offer greater transparency and not only provide citizens with the information to understand what their local governments do, but also empower them to contribute to the decision-making process of their local governments. They can lead to more participation in policy making, thereby
achieving more intelligent, tailored and responsive policies, and allow for greater political accountability.
4. The reuse of public sector information can also stimulate social and economic growth by enabling third parties to create innovative products and services. According to recent estimates, open data could increase the global gross domestic product (GDP) by more than 1%.
5. In the light of the above, the Congress of Local and Regional Authorities of the Council of Europe:
[...].
6. Calls upon local authorities in the Council of Europe member States to:
a. Develop strategies to make the information datasets of local authorities available in machine-readable formats, with a view to their reuse by citizens on computers and mobile devices;
b. Take measures to ensure that the entire population of a city has access to open data and benefits from open data initiatives, dialogues between government and citizens and public facilities delivered by means of open data, and actively participates in these activities;
c. Encourage citizens to make use of open data by publishing information and organising public meetings and programmes to stimulate the use of open data in order to provide added societal value;
d. Create partnerships with civil society groups and other organisations that can help to provide training and capacity building in the reuse of open data and the organisation of open data activities;
e. By means of public events, workshops and consultations, consult citizens and civil society for input on how best to make the data more responsive to their interests and concerns in order to understand which data should be generated and provided;
f. Ensure that data protection and privacy laws and policies are strictly adhered to when data are made available to the public.
[...].
CLRAE Recommendation 398 (2017) of 30 March 2017 'Open data for better public services':
"1. The Council of Europe Internet Governance Strategy 2016-2019 underlines the importance of public access to information and data for strengthening democracy and improving governance at all levels.
2. An increasing number of European cities are demonstrating that the release of local authority datasets into the public domain can empower citizens to develop new tools and applications for improving governance and the quality of life in towns and cities and can stimulate a variety of social, cultural, democratic and environmental initiatives.
3. Local authority data also have economic potential. The release of local authority datasets can be useful for local businesses and can serve to stimulate economic innovation and growth.
4. Democracy at local level can be enhanced by open data, which serve to increase transparency in the decision-making process and contribute to better accountability of local governments. They also act as a preventive tool in the fight against corruption by providing data on government
expenditure and performance.
5. The Congress of Local and Regional Authorities of the Council of Europe therefore,
a. Convinced that open data have the power to make Europe’s cities more open, democratic, transparent;
b. Aware that a "digital divide" remains between those who have access to (and are able to use) such data and those for whom this is not the case;
[...];
d. Calls on the Committee of Ministers to:
i. recognise the importance of open data for improving local democracy by increasing transparency, accountability and citizen participation;
ii. provide guidelines to the member States on adopting open data standards and strategies and introducing forms of data licensing such as the Creative Commons licences;
iii. address the risk of a "digital divide" in open data participation caused by a gap between those who have access to and benefit from open data initiatives and those who do not;
e. Recommends that the Committee of Ministers call upon the governments of its member States to:
i. create more awareness of the use of open data and highlight the advantages of sharing open data with citizens, civil society and other organisations, by organising public events, conferences and workshops on the use of open data;
ii. support local open data initiatives through the provision of the necessary information and public data, and by ensuring that open data initiatives by local authorities are supported through legislative or regulatory frameworks;
iii. provide guidelines and formulate policies for the reuse of public sector information and introduce national standards for licensing datasets;
iv. sign and ratify the Council of Europe Convention on Access to Official Documents and the Additional Protocol to the European Charter of Local Self-Government on the right to participate in the affairs of a local authority, if they have not yet done so
See, the Explanatory memorandum to the aforementioned CLRAE recommendations (Report CG32(2017)15final of 28 February 2017 - rapporteur M. Bora)
"1. The Committee of Ministers has carefully examined Recommendation 398 (2017) of the Congress of Local and Regional Authorities of the Council of Europe entitled "Open data for better public services" [...]. It welcomes the consideration given by the Congress to the relevant and topical issue of open data.
2. The Committee of Ministers affirms that freedom of expression – and the right to seek and receive information as an inseparable element of this right – are fundamental for the functioning of a genuine democracy.
3. In this respect, and in response to para d.i. of the recommendation, the Committee of Ministers concurs that open data can be an important tool for enhancing transparency and accountability of governments, including at the local level and a valuable source of information for the public. It allows public authorities at national, regional and local level to make more comprehensive and up-to-date information available in an easily accessible, transparent, and non-discriminatory manner. The provision of open data and information, both online and offline, and without restrictions on the analysis and re-use of such information, can thus strengthen democratic security through increased trust in and credibility and legitimacy of democratic institutions at all levels.
4. The Committee of Ministers recalls that building democracy online is one of the strategic objectives of the Council of Europe’s Internet Governance Strategy 2016-2019. This includes enabling online participation in public life, also at the local level. It values the engagement of the Congress in this work.
5. Whilst recognising the potential beneficial effects of open access to public data, the Committee of Ministers recalls that open data policies can also have a bearing on the protection of privacy and personal data. It underlines the importance of a careful balancing of the right to information and the right to privacy, in line with the Council of Europe’s established standards and the case law of the European Court of Human Rights.
6. The Committee of Ministers recalls the relevance in this area of the Convention for the Protection of Individuals with Regard to Automatic Processing of Personal Data (ETS No. 108) and the "Guidelines on the protection of individuals with regard to the processing of personal data in a world of Big Data" adopted earlier this year by the Consultative Committee of Convention 108. According to point 8 of the Guidelines §… public and private entities should carefully consider their open data policies concerning personal data since open data might be used to extract inferences about individuals and groups. When Data Controllers adopt open data policies, the assessment process … should take into account the effects of merging and mining different data belonging to different open data sets also in light of the provisions on anonymisation."
7. With regard to the European Court of Human Rights, the Committee of Ministers notes that although in recent years the Court has moved towards a broader interpretation of the notion of "freedom to receive information", strengthening a right of access to information [reference in a footnote 2 to ECtHR, judgement Társaság a Szabadságjogokért v. Hungary (37374/05) 14 April 2009, para. 35 and ECtHR, judgement Österreichische Vereinigung zur Erhaltung, Stärkung und Schaffung v. Austria (39534/07) 28 November 2013 para. 41] this right is not absolute and may be subject to restrictions under the conditions listed in Article 10 paragraph 2 of the European Convention on Human Rights. This is the case, in particular, when a fair balance must be struck between the right to receive information and the right to privacy [reference in footnote 3 to ECtHR, decision Grupo Interpres SA v. Spain (32849/96) 7 April 1997])
8. Finally, the Committee of Ministers recalls that its Recommendations CM/Rec(2016)5 on internet freedom and CM/Rec(2014)6 on a Guide to human rights for internet users invite member States to regularly evaluate their performance in respecting, protecting and promoting human rights and fundamental freedoms on the Internet and encourage them to guarantee the transparency of the results of such evaluation. TheCommittee of Ministers sees potential for the engagement of the local authorities in this process and is convinced that it would be most beneficial for building democracy online.
9. With regard to paragraph d.ii of the recommendation, the Committee of Ministers will bear in mind during the preparation of the next Programme and Budget, the proposal to prepare possible guidelines, on all or some aspects of open data, having particular regard to the relevant standards and values of the Council of Europe, including those mentioned above, with a view to assisting member States in implementing initiatives in this area, including those recommended by the Congress.
10. In response to paragraph d.iii. of the recommendation, the Committee of Ministers agrees with the Congress on the need to "address the risk of a digital gap in open data participation." It underlines in this respect, the importance for all information and open data and public sector information to be presented in clear and easily understandable language and in an accessible, both "machine readable" and "human readable" format and that this is accessible to all, including the most vulnerable or those with special needs.
11. Finally, the Committee of Ministers calls on the governments of member States to carefully consider the further recommendations of the Congress set out in paragraph e. of its recommendation and in this context, in particular, consider to sign and ratify the Council of Europe Convention on Access to Official Documents (CETS No. 205) and the Additional Protocol to the European Charter of Local Self-Government on the rights to participate in the affairs of a local authority (CETS No. 207)."
See, furthermore, the module 'Transparency' of CLRAE's online-tool, 'bE-Open: Open Local Government | A tool for action':
"Transparency
The principle of transparency is applied to ensure that those affected by administrative decisions have comprehensive information about the results and implications of policies and about the process of decision-making. The public availability of information about government policies, programmes and activities enables citizens and local communities to gain a clear understanding of government actions, make informed choices, and participate in local decision-making processes. It also enables elected officials, those in government and those in opposition, to take informed decisions and to exercise effective scrutiny and hold the executive to account for their actions. In addition, access to information is essential for journalists and civil society representatives to effectively perform their watchdog functions and hold the government accountable.
Local government should make data available to the public in an accessible format and do so in a timely manner. This enables citizens and stakeholders to participate in decision-making processes from an informed perspective, and to monitor and evaluate government implementation of policies and decisions in order to hold public officials accountable for their actions. Transparency is achieved through a range of mechanisms, building on the right of citizens to access information. These include the disclosure of the financial assets and interests of senior public officials and elected office-holders, and the publication of information in accessible, intersearchable open-data formats.
According to the definition of the Open Knowledge Foundation, "open data is data that can be freely used, re-used and redistributed by anyone – subject only, at most, to the requirement to attribute and share alike." Therefore, the concept of open data goes beyond the availability of public information and focuses on its use, out of which additional economic, social and political benefits are generated. To make it happen, the data published should be complete, permanent, non-exclusive, non-discriminatory, and non-proprietary, as well as provided by primary sources, in a timely manner and in machine-readable formats (more information here and here).
Limited access to public information negatively affects public trust towards public institutions, increases potential corruption risks, and restricts opportunities for various stakeholders to monitor government performance. It also inhibits citizens and stakeholders’ efforts to participate in policymaking and to design evidence-based policy recommendations for positive changes. The practice shows that access to information legislation and proper enforcement measures are an essential part of the enabling environment for citizens’ access to information."
2. The CoE and Open Government
CLRAE Resolution 435 (2018) of 7 November 2018 'Transparency and open government':
"1. Transparency and open government is one of the priority areas that the Congress of Local and Regional Authorities of the Council of Europe identified in its roadmap of activities on the prevention of corruption and the promotion of public ethics at local and regional levels that was adopted at its 31st Session, October 2016.
2. The concept of "open government" encompasses a wide range of practices, which can lead to new ways of governing, both from the governments’ and citizens’ perspective. It can promote good governance and encourage better decision making. By helping to reduce corruption or to promote more effective services, open government is a powerful tool to tackle some of the problems local democracy may face.
3. Transparency, participation and accountability, the key principles of open government, require innovation on the part of local and regional authorities in their interaction with citizens and how they manage their administrations. Transparency requires authorities to make it easier for citizens to access information, notably through open data and records management. It should go in hand with greater participation of civil society in the public decision-making process, including protection for whistleblowers. This increase in participation should also be fuelled by greater accountability of authorities, through the use of audits, codes of ethics and public scrutiny.
4. An "open government" strategy can be applied to a wide range of government activities, including not just budgeting, law making and policy making, but also areas such as contracting and service delivery, where local and regional authorities often work with partners and stakeholders.
[...].
CLRAE Recommendation 424 (2018) of 7 November 2018 'Transparency and open government'
"7. In the light of the above, the Congress
[...]
8. Recommends that the the Committee of Ministers call upon the governments of its member States to:
a. adopt common open government standards, in particular by:
i. drawing from the six principles of the International Open Data Charter;
ii. supporting the adoption of common open government standards, such as the Open Contracting Data Standard
(2015);
iii. supporting the implementation of the four principles identified in the Code of Good Practice for Civil Participation in the Decision-Making Process, namely participation, trust,
accountability and independence, as necessary to ensure good co-operation between civil society and governments;
b. encourage territorial authorities to publish key documents and information, and in particular:
i. encourage the publication of budget documents; ii. provide information concerning the levels of public service that people are entitled to;
iii. facilitate access to data that is understandable, for use by the public and the private sector;
iv. promote the publication of key documents in multiple languages;
c. support public consultation processes;
d. support effective monitoring and implementation of transparency measures at local and regional level, notably by:
i. ensuring that ombudsperson’s offices play an active role in the implementation of open government;
ii. ensuring regular internal and/or external audits of local authorities;
iii. facilitating the carrying out of social audits by NGOs at the local level;
e. involve all stakeholders in promoting transparency and open government at local and regional levels, and in particular:
i. encourage greater budget literacy of parliamentarians, government officials, elected representatives, journalists and civil society representatives;
ii. raise public awareness of the importance of civil society, NGOs and whistleblowers in tackling problems of corruption and waste in local and regional government;
f. ensure that their legislation is compatible with the principles set out in this recommendation and its explanatory memorandum
See also the Explanatory memorandum to both CLRAE recommendations (Report CG35(2018)14final of 7 November - rapporteur A. Glaser)
1. The Committee of Ministers has carefully examined Recommendation 424 (2018) of the Congress of Local and Regional Authorities of the Council of Europe on "Transparency and open government" which it transmitted to its competent intergovernmental committee, the European Committee on Democracy and Governance (CDDG), for information and comments.
2. The Committee stresses its commitment to the concept of "open government", based on the principles of transparency, participation and public accountability. It points out that these are core principles of a number of Council of Europe instruments and that these instruments thereby contribute directly to strengthening and promoting the concept of "open government".
3. In addition to the Council of Europe’s 12 principles of good democratic governance and the Guidelines for civil participation in political decision making, adopted on 27 September 2017, the Committee of Ministers would draw particular attention to Recommendation CM/Rec(2018)11 on the need to strengthen the protection and promotion of the civil society space in Europe, which it adopted on 28 November 2018. The recommendation states, in particular, that member States should "ensure that everyone, including human rights defenders, can effectively participate in decision making, notably by giving them full access to information, taking into account the Council of Europe Convention on Access to Official Documents (CETS No. 205)".
4. The Committee points out that the Convention on Access to Official Documents (Tromsø Convention) is the first binding international legal instrument to recognise a general right of access to official documents held by public authorities. Transparency of public authorities is a key feature of good governance and an indicator of whether or not a society is genuinely democratic and pluralist. The Committee believes that this convention, which still has to be ratified by one State to enter into force, can contribute to strengthening good governance at all levels, including local and regional level. It is one of the six conventions that will be available for member States to sign and ratify at the special Treaty Event to be organised on 16 May 2019 in Helsinki in the context of the celebration of the Council of Europe’s 70th anniversary and the next Session of the Committee of Ministers.
5. It also stresses that the right to seek and receive information is fundamental in a genuinely democratic society and forms an integral part of the right to freedom of expression enshrined in Article 10 of the European Convention on Human Rights.
6. The Committee has noted with interest the measures proposed by the Congress in paragraph 8 of its recommendation and calls on member States to give them particular consideration in view of the positive impact their implementation can have on the efficiency and quality of governance. It believes that the measures proposed are likely to contribute to increasing trust, credibility and legitimacy of democratic institutions at local level, thus enhancing democratic security.