CASE OF SIDABRAS AND DŽIAUTAS v. LITHUANIA

Application no. 55480/00 · Delivered 2004-07-27 · ECLI:CE:ECHR:2004:0727JUD005548000 · Languages: EN · EN · FR · LT

Application no.
55480/00
Delivered
2004-07-27
Respondent State
LTU
Conclusion
Violation of Art. 14+8;Not necessary to examine Art. 8;No violation of Art. 10 or 14+10;Pecuniary damage - financial award;Non-pecuniary damage - financial award;Costs and expenses partial award - Convention proceedings
Convention articles
8, 8-1, 10, 10-1, 14+8, 14, 14+10, 41
Importance
Key case
Original
HUDOC ↗
PresidentL. LoucaidesJudgeJ.-P. CostaJudgeC. BîrsanJudgeK. JungwiertJudgeV. ButkevychJudgeW. ThomassenJudgeA. MularoniRegistrarS. Dollé
Government AgentDanutė JočienėGovernment AgentG. Švedas
Summary
Preparing…

SECOND SECTION

CASE OF SIDABRAS AND DŽIAUTAS v. LITHUANIA

(Applications nos. 55480/00 and 59330/00)

JUDGMENT

STRASBOURG

27 July 2004

FINAL

27/10/2004

In the case of Sidabras and Džiautas v. Lithuania,

The European Court of Human Rights (Second Section), sitting as a Chamber composed of:

Mr L. Loucaides, President,

Mr J.-P. Costa,

Mr C. Bîrsan,

Mr K. Jungwiert,

Mr V. Butkevych,

Mrs W. Thomassen,

Mrs A. Mularoni, judges,

and Mrs S. Dollé, Section Registrar,

Having deliberated in private on 1 July 2003, 21 October 2003 and 6 July 2004,

Delivers the following judgment, which was adopted on the last-mentioned date:

PROCEDURE

There appeared before the Court:

(a) for the Government Mrs D. Jočienė, Agent;

(b) for the applicants Mr E. Morkūnas,

Mr V. Barkauskas, Counsel.

The Court heard addresses by them.

THE FACTS

I. THE CIRCUMSTANCES OF THE CASE

The facts of the case, as submitted by the parties, may be summarised as follows.

A. The first applicant

B. The second applicant

II. RELEVANT DOMESTIC LAW AND PRACTICE

Section 1

Recognition of the USSR State Security Committee as a criminal organisation

“The USSR State Security Committee (NKVD, NKGB, MGB, KGB – hereinafter ‘the SSC’) is recognised as a criminal organisation which was responsible for war crimes, genocide, repression, terror and political persecution in the territory of Lithuania when occupied by the USSR.”

Section 2

Restrictions on the present activities of permanent employees of the SSC

“For a period of ten years from the date of entry into force of this Act, former employees of the SSC may not work as public officials or civil servants in government, local or defence authorities, the State Security Department, the police, the prosecution, courts or diplomatic service, customs, State supervisory bodies and other authorities monitoring public institutions, as lawyers or notaries, as employees of banks and other credit institutions, on strategic economic projects, in security companies (structures), in other companies (structures) providing detective services, in communications systems, or in the educational system as teachers, educators or heads of institutions[;] nor may they perform a job requiring the carrying of a weapon.”

Section 3

Cases in which the restrictions shall not be applied

“(1) The restrictions provided for in section 2 shall not be applied to former permanent employees of the SSC who, while working at the SSC, investigated only criminal cases and who discontinued their work at the SSC not later than 11 March 1990.

(2) The Centre for Research into the Genocide and Resistance of the Lithuanian People and the State Security Department may [recommend by] a reasoned application that no restrictions under this law be applied to former permanent employees of the SSC who, within three months of the date of the entry into force of this Law, report to the State Security Department and disclose all information in their possession ... about their former work at the SSC and their current relations with former SSC employees and agents. A decision in this respect shall be taken by a commission of three persons set up by the President of the Republic. No employees of the Centre for Research into the Genocide and Resistance of the Lithuanian People or the State Security Department may be appointed to the commission. The commission’s rules shall be confirmed by the President of the Republic.” Section 4

Procedure for implementation of the Act

“The procedure for implementation of the Act shall be governed by [a special law].”

Section 5

Entry into force of the Act

“This Act shall come into force on 1 January 1999.”

III. PROVISIONS OF INTERNATIONAL LAW AND CERTAIN NATIONAL LEGAL SYSTEMS RELATING TO EMPLOYMENT RESTRICTIONS ON POLITICAL GROUNDS

“With a view to ensuring the effective exercise of the right to work, the Parties undertake:

...

This provision, retained word for word in the revised Charter of 1996 (which came into force with regard to Lithuania on 1 August 2001), has been consistently interpreted by the European Committee of Social Rights (ECSR) as establishing a right not to be discriminated against in employment. The non-discrimination guarantee is stipulated in Article E of the revised Charter in the following terms:

“The enjoyment of the rights set forth in this Charter shall be secured without discrimination on any ground such as race, colour, sex, language, religion, political or other opinion, national extraction or social origin, health, association with a national minority, birth or other status.”

The question of the dismissal of public servants on account of their activities under totalitarian regimes has been addressed in the light of these provisions, at least as regards Germany. In its most recent examination of Germany’s compliance with Article 1 § 2 of the Charter (published in November 2002), the ECSR took note of the provisions of the reunification treaty that allow for the dismissal of public servants on the basis of their activities on behalf of the security services of the German Democratic Republic. It concluded that Germany was not complying with its obligations. This was expanded upon in the following terms:

“The Committee observes that there is no precise definition of the functions from which individuals can be excluded, either in the form of a refusal to recruit or a dismissal, on the grounds of previous political activities or activities within the former GDR institutions competent in security matters.

The Committee has examined the conformity of these provisions in the light of Article 31 of the Charter. Under this provision, restriction of a right enshrined in the Charter is permitted if it is prescribed by law, is necessary in a democratic society and serves one of the purposes listed in the Article. Whilst recognising that the provisions were prescribed by law within the meaning of Article 31 and served one of the purposes listed therein, namely the protection of national security, the Committee considered that they were not necessary within the meaning of Article 31 in that they did not apply solely to services which had responsibilities in the fields of law and order and national security or to functions involving such responsibilities.”

The ECSR adopted its conclusions in regard to Lithuania’s implementation of the revised Charter on 28 May 2004. They will be made public at a later date.

“The Committee does not accept the argument that in cases in which persons had been accused of having carried out political activities in the former German Democratic Republic, the more the person had, by the assumption of certain functions, identified himself or herself with that unjust regime, the more incriminated he or she was, and the less reasonable it was that this person hold a position in the current administration.”

More recently, however, the CEACR has expressed satisfaction with the German courts’ observance of the principle of proportionality in cases where civil servants challenge their dismissal (see paragraph 3 of the Individual Observation to Germany under Convention no. 111 in 2000).

A 1996 survey identifies comparable provisions in the domestic law of a number of other European States.

In Bulgaria, section 9 of the Preceding and Concluding Provisions of the Banks and Credit Activity Act of 1992 excluded persons who had served the previous regime in certain capacities from employment in banks. The Bulgarian Constitutional Court ruled in 1992 that this provision was in violation of the Constitution and of ILO Convention no. 111.

In the former Czechoslovakia, the so-called Screening Act was passed in 1991, preventing persons who had served the previous regime in a number of capacities from taking up employment in the civil service or parts of the private sector. This legislation was declared unconstitutional by the Slovak Constitutional Court in 1996, which further found it to be incompatible with Convention no. 111. However, it remained in force in the Czech Republic, while the CEACR urged the Czech authorities to have due regard to the principle of proportionality in the application of the Act.

In Latvia, the State Civil Service Act of 2000 and the Police Act of 1999 prohibit the employment of persons who worked for or with the KGB. In 2003 the CEACR expressed its dissatisfaction with the above texts in the following terms:

“6. The Committee recalls that requirements of a political nature can be set for a particular job, but to ensure that they are not contrary to the Convention, they should be limited to the characteristics of a particular post and be in proportion to its labour requirements. The Committee notes that the above-established exclusions by the provisions under examination apply broadly to the entire civil service and police rather than to specific jobs, functions or tasks. The Committee is concerned that these provisions appear to go beyond justifiable exclusions in respect of a particular job based on its inherent requirements as provided for under Article 1 (2) of the Convention. The Committee recalls that for measures not to be deemed discriminatory under Article 4, they must be measures affecting an individual on account of activities he or she is justifiably suspected or proved to be engaged in which are prejudicial to the security of the State. Article 4 of the Convention does not exclude from the definition of discrimination measures taken by reason of membership of a particular group or community. The Committee also notes that in cases where persons are deemed to be justifiably suspected of or engaged in activities prejudicial to the security of the State, the individual concerned shall have the right to appeal to a competent body in accordance with national practice.

THE LAW

I. ALLEGED VIOLATION OF ARTICLE 8 OF THE CONVENTION, TAKEN ALONE AND IN CONJUNCTION WITH ARTICLE 14

Article 8 of the Convention reads as follows:

“1. Everyone has the right to respect for his private and family life, his home and his correspondence.

Article 14 states:

“The enjoyment of the rights and freedoms set forth in [the] Convention shall be secured without discrimination on any ground such as sex, race, colour, language, religion, political or other opinion, national or social origin, association with a national minority, property, birth or other status.”

A. Scope of the applicants’ complaints

B. Applicability of Article 14

“... it would be too restrictive to limit the notion to an ‘inner circle’ in which the individual may live his own personal life as he chooses and to exclude therefrom entirely the outside world not encompassed within that circle. Respect for private life must also comprise to a certain degree the right to establish and develop relationships with other human beings.

There appears, furthermore, to be no reason of principle why this understanding of the notion of ‘private life’ should be taken to exclude activities of a professional or business nature since it is, after all, in the course of their working lives that the majority of people have a significant, if not the greatest, opportunity of developing relationships with the outside world. This view is supported by the fact that ... it is not always possible to distinguish clearly which of an individual’s activities form part of his professional or business life and which do not. Thus, especially in the case of a person exercising a liberal profession, his work in that context may form part and parcel of his life to such a degree that it becomes impossible to know in what capacity he is acting at a given moment of time.”

C. Compliance with Article 14

D. The applicants’ complaint under Article 8 taken alone

II. ALLEGED VIOLATION OF ARTICLE 10 OF THE CONVENTION, TAKEN ALONE AND IN CONJUNCTION WITH ARTICLE 14

Article 10 provides:

“1. Everyone has the right to freedom of expression. This right shall include freedom to hold opinions and to receive and impart information and ideas without interference by public authority and regardless of frontiers. This Article shall not prevent States from requiring the licensing of broadcasting, television or cinema enterprises.

III. APPLICATION OF ARTICLE 41 OF THE CONVENTION

“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.”

A. Damage

B. Costs and expenses

C. Default interest

FOR THESE REASONS, THE COURT

(a) that the respondent State is to pay, within three months from the date on which the judgment becomes final according to Article 44 § 2 of the Convention:

(i) EUR 7,000 (seven thousand euros) to each of the applicants in respect of pecuniary and non-pecuniary damage;

(ii) EUR 2,681.37 (two thousand six hundred and eighty-one euros thirty-seven cents) to the first applicant in respect of costs and expenses;

(iii) EUR 2,774.05 (two thousand seven hundred and seventy-four euros five cents) to the second applicant in respect of costs and expenses; and

(iv) any tax that may be chargeable, these amounts to be converted into the currency of the respondent State at the rate applicable on the date of settlement;

(b) that from the expiry of the above-mentioned three months until settlement simple interest shall be payable on the above amounts at a rate equal to the marginal lending rate of the European Central Bank during the default period plus three percentage points;

Done in English, and notified in writing on 27 July 2004, pursuant to Rule 77 §§ 2 and 3 of the Rules of Court.

S. Dollé L. Loucaides

Registrar President

In accordance with Article 45 § 2 of the Convention and Rule 74 § 2 of the Rules of Court, the following separate opinions are annexed to this judgment:

(a) partly concurring opinion of Mrs Mularoni;

(b) partly dissenting opinion of Mr Loucaides;

(c) partly dissenting opinion of Mrs Thomassen. L.L.

S.D.

PARTLY CONCURRING OPINION OF JUDGE MULARONI

I would have preferred the Court to have examined the applicants’ complaints under Article 8 of the Convention taken alone and to have concluded that it was unnecessary for it to rule on their complaint under Article 14 of the Convention taken in conjunction with Article 8. However, I agreed to vote with the majority as I considered it important to rule that Article 8 has been violated in this case.

I fully share the considerations set out in paragraphs 52 to 61 of the judgment.

However, I disagree with those contained in paragraph 49.

I consider that the applicants’ argument, that because of the publicity caused by the enactment of the KGB Act on 16 July 1998 and its application to them they have suffered constant embarrassment as a result of their past activities, does not deserve the Court’s attention. The applicants worked for the KGB and they never contested that the KGB’s activities were contrary to the principles guaranteed by the Lithuanian Constitution or by the Convention (see paragraph 54 of the judgment). The Court accepted that the restriction on the applicants’ employment prospects under the impugned Act pursued the legitimate aims of the protection of national security, public safety, the economic well-being of the country and the rights and freedoms of others (see paragraph 55 of the judgment).

Everyone has to accept the consequences of his or her actions in life and the fact that the applicants continue to be burdened with the status of “former KGB officers” is, in my view, totally irrelevant to the question of the applicability (and the violation) of Article 8 of the Convention. The argument that they are stigmatised by society on account of their past association with an oppressive regime has, to my mind, nothing to do with the respondent State’s responsibility for the violation of Article 8 of the Convention.

I also consider that the argument that the applicants could not have envisaged the consequences their former KGB employment would entail for them is equally irrelevant to the issue of the applicability (and violation) of Article 8. If such an argument were accepted, any act, even the most reprehensible, committed by a dictator when in power could justify a finding of a violation of the Convention following the establishment of a democratic regime. It should not be overlooked in this connection that Article 17 of the Convention provides that “[n]othing in [the] Convention may be interpreted as implying for any State, group or person any right to engage in any activity or perform any act aimed at the destruction of any of the rights and freedoms set forth ... in the Convention”.

In my opinion, it is conclusive that the ban on seeking employment affected to an extremely significant degree the applicants’ opportunity to pursue various professional activities and that there were consequential effects on the enjoyment of their right to respect for their private life within the meaning of Article 8. I agree with the majority that the fact that the applicants were prevented from seeking employment in various branches of the private sector on account of the statutory ban constituted a disproportionate measure, even having regard to the legitimacy of the aims pursued by that ban. That in itself should have been sufficient to have led the Court to a conclusion that Article 8 was violated in the applicants’ case.

PARTLY DISSENTING OPINION OF JUDGE LOUCAIDES

I do not agree with the majority that Article 14 is applicable in the present case, for the following reasons.

It is established case-law that Article 14 safeguards individuals placed in an “analogous” or “similar” or “relevantly similar” situation (see Marckx v. Belgium, judgment of 13 June 1979, Series A no. 31, pp. 15-16, § 32; Van der Mussele v. Belgium, judgment of 23 November 1983, Series A no. 70, pp. 22-23, § 46; Fredin v. Sweden (no. 1), judgment of 18 February 1991, Series A no. 192, p.19, § 60; and Stubbings and Others v. the United Kingdom, judgment of 22 October 1996, Reports of Judgments and Decisions 1996-IV, p. 1507, § 72). Therefore, as pointed out in the case-law: “For a claim of a violation of this Article to succeed, it has therefore to be established, inter alia, that the situation of the alleged victim can be considered similar to that of persons who have been better treated” (see Fredin and Stubbings and Others, loc. cit.).

In examining this question, account should be taken of the aim and effects of the law or measure in issue. The Act under consideration imposed restrictions on the professional activities of persons who had in the past worked for the KGB, the activities of which were contrary to the principles guaranteed by the Lithuanian Constitution and by the Convention. The KGB Act aimed to protect national security, public safety and the rights and freedoms of others, by avoiding a repetition of previous experience which could occur if former KGB employees were to engage in activities similar to those of that organisation. It is therefore evident that the impugned restrictions provided by the law in question were directly connected to the status of “former KGB officers” of persons such as the applicants.

The majority found that Article 14 was applicable in this case because the applicants were treated differently from other persons in Lithuania who had not worked for the KGB (see paragraph 41 of the judgment). However, in the light of the above, I do not see how the people who had not worked for the KGB were in an “analogous”, “similar” or “relevantly similar” situation to those who had.

Although I find that Article 14 is not applicable in the present case, I do find that the restrictions imposed on the professional activities of the applicants were, in the circumstances of the case as explained in the judgment, so onerous and disproportionate to the aim pursued that they amounted to an unjustified interference with the private lives of the applicants. Consequently, I find that there has been a breach of Article 8 of the Convention.

PARTLY DISSENTING OPINION OF JUDGE THOMASSEN

I voted against the finding of the majority that there has been a violation of Article 14 of the Convention taken in conjunction with Article 8.

I have some problems in examining the justification of the measures taken in respect of former employees of the KGB in terms of “discrimination”. The principle of non-discrimination, as it is recognised in European constitutions and in international treaties, refers above all to a denial of opportunities on grounds of personal choices in so far as these choices should be respected as elements of someone’s personality, such as religion, political opinion, sexual orientation and gender identity, or, on the contrary, on grounds of personal features in respect of which no choice at all can be made, such as sex, race, disability and age.

Working for the KGB in my opinion does not fall within either of these categories.

While it is true that former KGB employees were treated differently from “other persons in Lithuania who had not worked for the KGB” (see paragraph 41 of the judgment), this difference does not come within the scope of Article 14 in so far as it relates to access to particular professions, as the right to a free choice of profession is not guaranteed by the Convention (see, mutatis mutandis, Thlimmenos [GC], no. 34369/97, § 41, ECHR 2000-IV).

I do agree, however, that the application of the law, which in itself pursued a legitimate aim, was of such a general character that it affected the applicants’ ability to develop relationships with the outside world as protected by Article 8 (see Pretty v. the United Kingdom, no. 2346/02, § 61, ECHR 2002-III) to a significant extent and therefore interfered with their private lives. In view of the circumstances of the present applications, such as the fact that the law was applied many years after the applicants had left the KGB and many years after the date of Lithuania’s independence, without any account being taken of the special features of their individual cases, this interference cannot be considered proportionate. Consequently, Article 8 of the Convention has been violated.

Text from our archive (European Court of Human Rights, HUDOC). © Council of Europe / European Court of Human Rights. Reuse permitted with attribution; the Court's translations into languages other than English and French are not authoritative.