EVROPSKI SUD ZA LJUDSKA PRAVA
VELIKO VEĆE
Z. I OSTALI protiv UJEDINJENOG KRALJEVSTVA
(Predstavka br. 29392/95)
PRESUDA
Strazbur
10. maja 2001. godine
U predmetu Z. i ostali protiv Ujedinjenog Kraljevstva, Evropski sud za ljudska prava, zasedajući u Velikom veću u čijem su sastavu bile sledeće sudije:
g. L. VILDHABER (WILDHABER), predsednik
gđa E. PALM (PALM)
g. C. L. ROZAKIS (ROZAKIS)
g. J.-P. COSTA (KOSTA)
g. L. FERARI BRAVO (FERRARI BRAVO)
g. L. KAFLIŠ (CAFLISCH)
g. P. KURIS (KURIS)
g. J. KAZADEVAL (CASADEVALL)
g. B. ZUPANČIĆ
gđa N. VAJIĆ
g. J. HEDIGAN (HEDIGAN)
g. E. LEVIC (LEVITS)
gđa W. TOMASEN (THOMASSEN)
đa M. CACA-NIKOLOVSKA (TSATSA-NIKOLOVSKA)
g. E. LEVIC (LEVITS)
g. K. TRAJA (TRAJA)
g. A. KOVLER (KOVLER)
Lejdi ARDEN (ARDEN), ad hoc sudija
i P. J. MAHONI (MAHONEY), zamenik sekretara,
nakon većanja na zatvorenim sednicama,28 juna i 11. oktobra 2000.godine i 4. aprila 2001. godine, izriče sledeću presudu, donetu poslednjeg pomenutog datuma:
POSTUPAK
Pred Sudom su se pojavili:
(a) u ime Države
gđa S. MekGrori (McGrory), Ministarstvo spoljnih poslova,
g. D. Zastupnik Anderson Q. C.,[2] Ministarstvo spoljnih poslova,
gđa J. Stratford, Ministarstvo spoljnih poslova,
gđa S. Rajan (Ryan), Advokat Ministarstvo spoljnih poslova,
gđa J. Grej (Gray), Ministarstvo spoljnih poslova,
g. M. Mermejn (Murmane), Ministarstvo spoljnih poslova,
(b) u ime podnosilaca predstavke Savetnici
g. B. Emerson Q. C., Advokat
gđa P. Vud (Wood), Advokat
gđa M. Mouan (Maughan),
gđa E. Gambel (Gumbel) Q. C. Advokat
gđa N. Moul (Mole), iz AIRE Centra, Savetnici.
Sud je saslušao obraćanje gospodina Emersona i gospodina Andersona.
ČINJENICE
1. OKOLNOSTI PREDMETA
–Z, devojčica rođena 1982. godine;
–A, dečak rođen 1984. godine;
–B, dečak rođen 1986. godine;
–C, devojčica rođena 1988. godine
„...Moja polazna tačka je to što se svi zakoni o kojima je reč tiču ustanovljavanja sistem uprave koji je osmišljen kako bi unapređivao socijalnu dobrobit zajednice. Sektor socijalnog staranja o kojem je ovde reč po svojoj prirodi je posebno osetljiv i podrazumeva donošenje teških odluka o tome kako postići ravnotežu između toga da se dete zaštiti od neposrednog zla za koje se strahuje da mu može biti naneto i remećenja odnosa između deteta i njegovih roditelja. Po mom mišljenju u takvom jednom kontekstu bilo bi potrebno imati veoma jasan zakonski jezik kojim bi se pokazala parlamentarna namera da oni koji su zaduženi za obavljanje tih teških funkcija treba da plate odštetu ako bi se, pri kasnijoj istrazi koja ima tu prednost da je iskustvo prethodnih događaja pred njom, pokazalo da su došli do pogrešnog zaključka i da zbog toga nisu izvršili svoje zakonske obaveze...“
Kad se osvrnemo na same reči koje su korišćene u primarnom zakonodavstvu radi kreiranja obaveza na koje se pozivam u svom mišljenju, one nisu dosledne bilo kojoj nameri da se stvori razlog za pokretanje postupka u sklopu privatnog prava.“
„Ja se zato osvrćem da razmotrim da li je lokalni nadležni organ, u skladu s običnim načelima zacrtanim u Caparo [1990] 2 AC 605, ... imao direktnu dužnost brižljivog postupanja prema tužiocima. Lokalni nadležni organ priznaje da je mogao da predvidi štetu koju bi tužitelji pretrpeli ako bi on svoje zakonske obaveze nemarno izvršavao i to da je odnos između nadležnog organa i tužitelja dovoljno blizak. Treći zahtev koji je postavljen u Caparo jeste taj da nametanje dužnosti brižljivog postupanja prema običajnom pravumora biti pravedno i opravdano u svim okolnostima...
Predsednik Građanskog odeljenja Apelacionog suda je smatrao, sa čime se ja slažem, da ono što razlozi javne politike prvo zahtevaju od zakona jeste da greške treba ispraviti i da su potrebni veoma moćni protiv-razlozi koji bi nadjačali tu politiku (vidi [1994] 4 AER 602 do 619). Po mom mišljenju, međutim, u ovom slučaju takvi razlozi postoje.
Pre svega, po mom mišljenju dužnosti brižljivog postupanja prema običajnom pravubi mogla da se odnosi na čitav zakonski sistem utvrđen sa ciljem da zaštiti decu od rizika. Kao rezultat administrativnih uputstava sadržanih u „Radimo zajedno“, zaštita takve dece ne spada isključivo u nadležnost službe lokalnog nadležnog organa za socijalnu zaštitu. Sistem je po svojoj prirodi interdisciplinaran i obuhvata delovanje policije, tela koja se bave obrazovanjem, lekara i ostalih. Sastavni deo u funkcionisanju tog sistema predstavljaju diskusije, davanje zajedničkih preporuka i donošenje zajedničkih odluka, što se sve odvija u svim fazama tog sistema. Glavna organizacija jeste Konferencija za zaštitu dece, jedno multidisciplinarno telo koje odlučuje da li neko dete treba da bude stavljeno u Registar dece za zaštitu. Ova procedura se odvija uz zajedničko delovanje svih segmenata i to ne zato što to predstavlja primer dobre prakse, već zato što tako zahtevaju pravila rada koja su zakonski utemeljena i obavezujuća su za lokalne nadležne organe. Ova pravila rada su izuzetno detaljna i obimna: sadašnje izdanje „Radimo zajedno“ ima 126 strana. Uvesti u takav jedan sistem dužnosti brižljivog postupanja prema običajnom pravu, koja bi važila samo za jedno od tela koje učestvuje u ovom sistemu, bilo bi izrazito nepravedno. A držati odgovornim sva tela koja učestvuju u ovom sistemu bi dovelo do skoro nerešivih problema kako razlučiti odgovornost, bilo da je ona direktna ili indirektna, svakog od pojedinačnih tela zbog donošenja odluke za koju se ispostavilo da je nemarno doneta.
Drugo, zadatak lokalnog nadležnog organa i njenih službenika u radu s decom koja su pod rizikom, je izvandredno osetljiv. Zakon zahteva da lokalni nadležni organ uzme u obzir ne samo fizičku dobrobit deteta već i sve one prednosti koje neprekidanje porodičnog života može da ima. ... U jednom slučaju kada je došlo do zloupotrebe deteta, lokalni nadležni organ je okrivljen zbog toga što je ishitreno uzeo dete iz porodičnog okruženja; a u drugom slučaju zato što majci nije oduzeo decu. U Izveštaju o ispitivanju slučaja zloupotrebe dece u Klivlendu iz 1987. godine (Cmnd. 412) (‘Cleveland Report 1987’) na strani 244 se kaže:
‘Teško je i delikatno hodati po tankoj liniji između toga da li da se nešto preduzme isuviše brzo ili da se ne preduzme na vreme. Iako služba socijalne zaštite na prvo mesto stavlja potrebe deteta ona ipak mora da vodi računa i o pravima roditelja; oni isto tako moraju da sarađuju s roditeljima u korist dece. Čest je slučaj da je takvim roditeljima i samima potrebna pomoć. Pa je neizbežan izvestan sukob između tih ciljeva.’
Sledeće, ako bi se nametnula odgovornost isplate štete, moguće je da će lokalni nadležni organ biti oprezniji i da će zauzeti odbrambeniji pristup svojim dužnostima. Na primer, kao što se to jasno vidi u Klivlendskom izveštaju, u nekim slučajevima je odluka o izmeštanju dece od vitalnog značaja. Ako bi nadležni organ smatran odgovornim i dužnim da plati naknadu zbog nemarno donete odluke o izmeštanju deteta (a taj nemar bi se pre svega sastojao od toga da se prvo podrobno istraže navodi), zapalo bi se u veliko iskušenje da se odloži donošenje takve odluke dok se stvari dalje ne ispitaju u nadi da će se doći do konkretnijih činjenica. Ne samo da bi takvo odlaganje išlo na štetu deteta koje stvarno trpi zlostavljanje, nego bi i obim posla koji takvo ispitivanje okolnosti slučaja nosi sa sobom, smanjilo raspoloživo vreme za ostale slučajeve i ostalu decu.
Odnos između socijalnog radnika i roditelja deteta je često pun sukoba, jer roditelj želi da zadrži starateljstvo nad detetom a socijalni radnik mora da razmotri da li to dete da izmesti ili ne. Ovo predstavlja plodno tle za razvoj neprijateljstva i sudskih sporova, što često ničemu ne vodi, a proistekli troškovi i u pogledu novca i ljudskih resursa idu na uštrb rada službe za socijalnu zaštitu za čije funkcionisanje su ti resursi izdvojeni. Utvara mučnih i skupih sudskih procesa se često koristi kao razlog da se ne nameće zakonska obaveza. Ali okolnosti koje su vezane za slučajeve zlostavljanja deteta još više povećavaju rizik koji se ne može prenebregnuti.
Kada ne bi postojao neki drugi pravni lek za loše funkcionisanje zakonskog sistema za zaštitu dece, to bi bio opravdani argument za nametanje dužnosti brižljivog postupanja. Ali zakonski žalbeni postupak sadržan u članu 76 Zakona iz 1980. godine i mnogo potpuniji postupak koji sada postoji prema Zakonu iz 1989. godine omogućavaju da se pritužbe ispitaju mada ne pružaju mogućnost dobijanja kompenzacije. Uz to, predloženo je (i nije bilo protivljenja) u tom smislu da ombudsman lokalnih organa ima nadležnost da ispituje slučajeve kao što je ovaj.
Konačno, Vaša odluka u Caparo [1990] 2 AC 605, utvrđuje da bi prilikom odlučivanja o tome da li da stvori nove kategorije nesavesnog postupanja, sud trebalo da ide postupno analogijom s već utvrđenim kategorijama. Nismo pronašli ni jednu kategoriju slučaja u kojem se smatra da postoji dužnost brižljivog postupanja a koja je makar i na jedan jedini način analogna s ovim slučajem. Ovde tužitelji po prvi put pokušavaju da uspostave dužnosti brižljivog postupanja prema običajnom pravuu vezi s funkcionisanjem zakonskog sistema socijalne zaštite. Takav sistem je osmišljen kako bi se zaštitili slabiji članovi društva (deca) od zla koje im drugi nanose. Taj sistem obuhvata one koji donose odluke i imaju nadležnosti koje ne bi mogle da postoje u privatnom sektoru i koje ih u mnogim slučajevima dovode u sukob s onima koji su prema opštem zakonu, odgovorni za dobrobit deteta. Meni se čini da je najbliža analogija ona sa slučajevima kada se traži da se policiji izreknu dužnosti brižljivog postupanja prema običajnom pravu(u pokušaju da se zaštite osetljivi pripadnici društva od zla koje im drugi nanose) ili zakonski utvrđenim regulatorima finansijskog poslovanja koji pokušavaju da zaštite ulagače od nepoštenja. Ni u jednom od ova dva slučaja nije se smatralo primerenim da se na zakonski režim nametnu dužnosti brižljivog postupanja prema običajnom pravu i na taj način omogući utuženje za naknadu štete zbog neuspeha u zaštiti slabijeg od počinioca. Po mom mišljenju, sudovi bi trebalo oprezno da postupaju prilikom određivanja da li neko ko je od Parlamenta dobio u zadatak da društvo brani od počinioca zlodela, treba da bude zakonski odgovoran za nesavesno postupanje.“
„Član komisije koji je procenjivao ove slučajeve priznao je da su deca bila izložena strašnom zanemarivanju tokom dugog vremenskog perioda, ali je objasnio njihovim savetnicima da Komisija ne može da dodeli naknadu ako se na osnovu ukupnih dokaza ne uveri da je podnosilac predstavke pretrpeo povredu – fizičku ili psihološku – koja se direktno može pripisati krivičnom delu nasilja ...On je i pored toga bio uveren da su, izuzimajući ‘zanemarivanje’, deca zadobila neke fizičke i psihološke povrede što mu je omogućilo da svakom detetu dodeli naknadu...“
II. RELEVANTNO DOMAĆE PRAVO
A. Obaveze lokalnog nadležnog organa u pogledu brige o deci
„1. Dužnost je svakog organa lokalne vlasti da omogući savete, vođenje i pomoć koji mogu povoljno uticati na dobrobit dece tako što će umanjivati potrebu da oni budu primljeni ili zadržani u sistemu dečje zaštite.
2. (1) U onim slučajevima kada se lokalnom nadležnom organu učini da su deca koja se nalaze na njegovoj teritoriji i da su mlađa od sedamnaest godina –
(a) koja nemaju ni roditelja ni staratelja ili su ga roditelji ili staratelji u jednom trenutku ili trajno napustili ili ako je to dete izgubljeno;
(b) čiji su roditelji ili staratelji, trenutno ili trajno, sprečeni usled mentalne ili telesne bolesti ili nemoći ili su na neki drugi način onesposobljeni ili usled nekih drugih okolnosti nisu u stanju da tom detetu pruže odgovarajući smeštaj, izdržavanje i vaspitanje; i
(c) da je, u bilo kojem od ova dva slučaja, intervencija lokalnog nadležnog organa, u skladu s ovim članom, potrebna u interesu dobrobiti deteta, dužnost je lokalnog nadležnog organa da primi dete na brigu u skladu s ovim članom.
„17. Pružanje usluga deci koja su ugrožena, njihovim porodicama i ostalima
(1) Opšta dužnost svih lokalnih organa vlasti jeste (uz druge dužnosti koje im se ovim delom propisuju) –
(a) da čuvaju i unapređuju dobrobit ugrožene dece u okviru svog područja; i
(b) do one mere do koje je to u skladu s njihovim obavezama, da unapeđuju vaspitanje te dece od strane njihovih porodica, pružajući čitav niz i nivo usluga koje odgovaraju potrebama te dece.
(2) U cilju da im se olakšalo da obave svoje opšte dužnosti u skladu s ovim članom, svaki lokalni nadležni organ ima određene dužnosti i nadležnosti predviđene delom I Dodatka 2.
...
(10) Za potrebe ovog dela dete se ima smatrati da je ugroženo ako –
(a) je malo verovatno da će imati ili održati, ili imati mogućnost da ima ili održava razuman nivo opšteg zdravlja ili razvoja a da mu lokalni nadležni organ u tu svrhu ne pruža usluge predviđene ovim delom;
(b) će njegovo zdravlje ili razvoj verovatno biti značajno ometeni ili dalje ometani ako mu se u tu svrhu ne pruže takve vrste usluga; ili
(c) je invalid...
(11) ...; a u ovom delu ‘razvoj’ ima značenje fizičkog, intelektualnog, emotivnog, socijalnog ili bihevioralnog razvoja; i ‘zdravlje’ ima značenje fizičkog ili mentalnog zdravlja.“
„20 (1) Svaki lokalni nadležni organ pruža smeštaj svakom ugroženom detetu u svojoj oblasti za koje mu se čini da mu je smeštaj potreban usled –
(a) toga što ne postoji osoba koja prema tom detetu ima roditeljske obaveze;
(b) toga što se izgubio ili je napušten; ili
(c) toga što je lice koje se brinulo o njemu sprečeno (bilo privremeno ili trajno i iz bilo kojeg razloga) da mu pruži odgovarajući smeštaj ili negu.
...
(4) Lokalni nadležni organ može pružiti smeštaj svakom detetu na svom području (i u slučaju kada je lice koje ima roditeljsku dužnost prema njemu u stanju da mu pruži smeštaj) ako smatra da će to zaštititi ili unaprediti dobrobit deteta.“
„47 (1) U slučajevima kada lokalni nadležni organ –
...
(b) opravdano sumnja da je dete koje živi ili se nađe na njegovom području, izloženo ili postoji verovatnoća da će biti izloženo velikoj opasnosti, nadležni organ ispituje ili čini da se ispitaju okolnosti kako bi mogao da odluči da li treba nešto da preduzima kako bi zaštitio ili unapredio dobrobit deteta.
...
(8) U slučajevima, kada kao rezultat poštovanja ovog člana, lokalni nadležni organ zaključi da treba da preduzme aktivnosti u cilju zaštite ili unapređenja dobrobiti deteta, on preduzima aktivnosti (ako je to u okviru njegovog ovlašćenja i ako on to može u razumnim okvirima da obavi).“
B. Žalbeni postupak
„Razmatranje slučajeva i ispitivanje izjava
...
(3) Svaki lokalni nadležni organ uspostavlja proceduru za razmatranje svih izjava (uključujući i žalbe) koje su mu podneli –
(a) bilo koje dete ...o kojem se on ne brine ali koje je ugroženo;
(b) detetov roditelj;
...
(e) bilo koje drugo lice za koje nadležni organ smatra da je dovoljno zainteresovano za dobrobit deteta da bi njegove tvrdnje zasluživale da ih on razmotri, o vršenju bilo koje druge funkcije nadležnog organa u skladu s ovim delom vezano za dete.
(4) Postupak obezbeđuje da najmanje jedno lice koje nije pripadnik ili službenik nadležnog organa učestvuje u –
(a) razmatranju; i
(b) svim raspravama lokalnog nadležnog organa o aktivnostima (ako ih uopšte ima) koje treba preduzeti vezano za dete u svetlu ovog razmatranja.
...
(7) U slučajevima kada je izjava razmotrena u okviru postupka koji je ustanovio lokalni organ vlasti u skladu s ovim članom, nadležni organ vlasti ima da –
(a) uzme u obzir zaključke onih koji su razmatrali izjave; i
(b) preduzme one korake koji se razumno mogu preduzeti kako bi obavestila (u pisanom obliku) –
(i) lice koje podnosi izjavu;
(ii) dete (ako nadležni organ smatra da ima sposobnost da razume); i
(iii) drugo lice (ako postoji) za koji nadležni organ smatra da ga se to tiče, o odluci nadležnog organa po tom pitanju i o razlozima zbog kojih je takvu odluku doneo i o svemu što je preduzeo ili predložio da bude preduzeto.
(8) Svaki lokalni nadležni organ daje publicitet svom postupku razmatranja izjava u onoj meri koliko smatra da je to prikladno.“
„81. (1) Ministar može da zatraži istragu o bilo kojem pitanju koje je vezano za –
(a) funkciju komiteta službe socijalne zaštite lokalnog nadležnog organa koja se odnosi na decu;
...
84. Neizvršavanje zakonske obaveze od strane lokalnog nadležnog organa: automatsko ovlašćenje minista
(1) Ako se ministar uveri da neki lokalni nadležni organ nije ispunio, bez opravdanog razloga, bilo koju od obaveza koja mu je data prema ili u skladu s ovim zakonom, on može da izda nalog kojim potvrđuje da taj nadležni organ nije izvršio svoju obavezu.
...
(3) Svaki nalog u skladu sa stavom (1) može sadržati takva uputstva kako bi se obezbedilo izvršavanje obaveza, u okviru onog vremenskog roka koji se može odrediti u nalogu a koji se ministru učini da je potreban.
(4) Svako takvo uputstvo, po zahtevu ministra, je izvršivo izdavanjem službene naredbe za izvršenje dužnosti.
C. Tužba protiv lokalnog nadležnog organa za naknadu štete
–da je šteta po tužitelja bila predvidiva
–da je tužitelj bio u odgovarajućem odnosu bliskosti s tuženim; i
–da je pravično, pravedno i razumno tuženog smatrati odgovornim.
Ovi kriterijumi se odnose na tužbe protiv fizičkih lica kao i na tužbe protiv javnih službi. Glavni slučaj jeste Caparo Industries plc v. Dickman ([1990] 2 Appeal Cases 605).
„(1) Iako nema osnova za zahtev za isplatu odštete vezano za odluke donete od strane lokalnog nadležnog organa tokom donošenja zakonom predviđenih odluka, ako je odluka koja je predmet žalbe bila toliko neopravdana da je izlazila van granica poverene mu diskrecije, nije postojao a priori razlog da se isključi odgovornost prema običajnom pravu. U ovom slučaju, pružanje informacija roditeljima je predstavljalo bitan deo vršenja nadležnosti i obavljanja dužnosti od strane tuženog, i dozvoljava se da se može dokazati da su te odluke van opsega njihove diskrecije. Shodno tome, budući da je takođe priznato da je šteta naneta deci bila razumno perdvidiva i da je postojala dovoljna bliskost, pitanje s kojim se sud suočio jeste da li je bilo pravično i opravdano da se Savetu ili socijalnom radniku nametne dužnu pažnju. Imajući u vidu činjenicu da bi dužna pažnja prema običajnom pravu obuhvatala čitav zakonski ustrojen sistem za zaštitu ugrožene dece, da je zadatak lokalnog nadležnog organa i njegovih službenika koji rade s takvom decom izuzetno težak i osetljiv, da bi lokalni nadležni organ mogao da z auzme mnogo rezervisaniji pristup svojim obavezama ako bude obavezan da plati naknadu štete, da je odnos između roditelja i socijalnih radnika često konfliktan i da povreda naneta deci tužitelja podleže naknadi štete prema Programu isplate naknade štete licima koja su pretrpela povrede nastale usled nekog krivičnog dela, nije bilo pravično i razumno to učiniti. Iz toga proizilazi da prema roditeljima tužiteljima ne postoji dužna pažnja jer su oni i ovako i onako bili sekundarne žrtve u pogledu psihijatrijskih oboljenja na koje se pozivaju...
(2) (Sudija Stujart-Smit je imao izdvojeno mišljenje) Diskutabilno je zašto se razlozi politike koji se protive nametanju dužne pažnje lokalnom nadležnom organu u skladu s običajnim pravomu pogledu izvršavanja njihovih obaveza koje im nalažu da štite decu, nisu primenjivali u slučaju kada su deca čija je bezbednost bila razmatrana upravo ona deca u odnosu na koju lokalni nadležni organ nije izvršavao bilo kakvu zakonsku obavezu. U skladu s time, budući da u ovom slučaju, deca tužitelji nisu ona deca za koju je Savet obavljao bilo kakve direktne dužnosti staranja u okviru socijalnog sistema zaštite dece, već su živela kod svoje kuće sa svojim roditeljima, i pružena su izričita uveravanja da seksualni zlostavljač neće biti smešten u njihovu kuću, njihova tužba treba da bude razmotrena...“
„(1) Iako se reč ‘imunitet’ ponekad pogrešno koristi, stav da nije pravedno, pravično i opravdano odgovornim smatrati određenu grupu okrivljenih bilo u opštem smislu bilo vezano za određen tip aktivnosti, ne znači dati imunitet od odgovornosti kojoj ostatak sveta podleže. Da bi uopšte postojala odgovornost za nemarno postupanje, mora da postoji preduslov da je u pogledu politike pravedno, pravično i opravdano u tim uslovima nametati odgovornost zbog nemarnog postupanja. (2) U velikom broju slučajeva javna politika je dovela do donošenja odluke da nametanje odgovornosti ne bi bilo pravedno niti opravdano u datim okolnostima, na primer neke aktivnosti koje obavljaju osobe koje regulišu finansijsko poslovanje, građevinski inspektori, kontrolori brodova, socijalni radnici koji se bave slučajevima seksualnog zlostavljanja. U svim ovim slučajevima kao i u mnogim drugim zauzet je stav da će odgovarajuće vršenje primarnih funkcija tuženog u korist društva u celini biti sprečeno ako stalno moraju da se osvrću preko ramena kako bi izbegli odgovornost zbog nemarnog postupanja. U engleskom zakonu, odluka da li jeste ili nije pravedno, pravično i opravdano smatrati odgovornim za nemarno postupanje određene grupe potencijalnih optuženih zavisi od toga da li će se uzeti u obzir i odmeriti ukupna šteta koja može proisteći po javni interes u svim slučajevima ako se takva grupa smatra odgovornom za nemarno postupanje, u poređenju s ukupnim gubitkom svih potencijalnih tužitelja ako oni ne budu imali razloga da pokreću tužbu vezano za gubitak koji su oni pojedinačno pretrpeli. (3) U engleskom pravu, pitanje javne politike i pitanje da li je pravedno i razumno izreći odgovornost zbog nemarnog postupanja jesu pitanja o kojima se odlučuje kao o pitanju prava. Jednom kada se donese odluka da, na primer, revizori neke kompanije iako jesu odgovorni deoničarima za nemarno obavljenu reviziju, nisu odgovorni onima koji predlažu investiranje u tu kompaniju (vidi predmet Caparo Industries plc v. Dickman [1990] 1 All ER 568, [1990] 2 AC 605), ta odluka će se primenjivati na sve buduće slučajeve iste vrste. Odluka ne zavisi od odmeravanja i postizanja ravnoteže u svakom pojedinačnom slučaju između štete koju je tužitelj pretrpeo i štete po javnost.“
D. Postupak skidanja predstavke sa spiska predmeta
PRAVO
I. NAVODNA POVREDA ČLANA 3 KONVENCIJE
„Niko ne sme biti podvrgnut mučenju, ili nečovečnom ili ponižavajućem postupanju ili kažnjavanju.“
II. NAVODNA POVREDA ČLANA 8 KONVENCIJE
III. NAVODNA POVREDA ČLANA 6 KONVENCIJE
„Svako, tokom odlučivanja o njegovim građanskim pravima i obavezama ili o krivičnoj optužbi protiv njega, ima pravo na pravičnu i javnu raspravu u razumnom roku pred nezavisnim i nepristrasnim sudom, obrazovanim na osnovu zakona.“
A. Navodi strana u sporu
1. Podnosioci predstavke
2. Država
B. Ocena Suda
1. Primenljivost člana 6 Konvencije
2. Poštovanje člana 6 Konvencije
IV. NAVODNA POVREDA ČLANA 13 KONVENCIJE
„Svako kome su povređena prava i slobode predviđeni u ovoj Konvenciji ima pravo na delotvoran pravni lek pred nacionalnim vlastima, bez obzira jesu li povredu izvršila lica koja su postupala u službenom svojstvu.“
V. PRIMENA ČLANA 41 KONVENCIJE
„Kada Sud utvrdi prekršaj Konvencije ili protokola uz nju, a unutrašnje pravo Visoke strane ugovornice u pitanju omogućava samo delimičnu odštetu, Sud će, ako je to potrebno, pružiti pravično zadovoljenje oštećenoj stranci.“
A. Materijalna šteta
1. Podnosioci predstavke
(i) Z. je opisana kao osoba koja se oporavila od ozbiljne bolesti depresije od koje je patila u vreme kada je izmeštena na staranje. Mada više ne pati od nekog psihičkog oboljenja, ima emotivne, socijalne i praktične teškoće koje su mnogo ozbiljnije nego što je to uobičajeno za devojku njenih godina i statistički gledano pod rizikom je da u odraslom dobu razvije anksioznost a možda i bolest depresije. Njeni problemi su ocenjeni kao umereno ozbiljni problemi. Procenjuje se da će joj biti potrebna psihijatrijska terapija da bi mogla da se bori sa svojom osetljivošću naročito u vreme promena, koju ne pokriva Nacionalno zdravstveno osiguranje, a koja se procenjuje na između 60 i 100 seansi a cena po seansi iznosi između 70 i 90 funti sterling (GBP). Velika je verovatnoća da će na tržištu rada takođe biti ugrožena, iako se očekuje da će moći dalje da se obrazuje, održava svoje mentalno zdravlje i bude radno sposobna. U njeno ime, njeni predstavnici traže GBP 9,000 za troškove budućeg psihijatrijskog lečenja i GBP 40.000 da bi se nadomestio njen hendikep na tržištu rada, ukupno GBP 49,000.
(ii) A. se nije pojavio na razgovoru s dr Haris-Hendriks, koja je takođe primetila da nedostaju pojedinosti o vremenskim periodima koje je A. provodio na staranju. Ona je s njim, međutim, razgovarala maja 1993. godine u ime lokalnog nadležnog organa i poseduje neke podatke o njegovom prethodnom lečenju i problemima. Na osnovu toga ona je zaključila da on boluje od dugoročne psihijatrijske bolesti i da mu je prognoza za oporavak sumorna. Njegove šanse da se uklopi u normalan školski sistem su i dalje veoma loše. Bio je sklon agresivnosti i imao je teškoće sa svakodnevnim zadacima. Trenutno pati od poremećaja reaktivnog vezivanja koji je direktna posledica toga što su ga roditelji teško zapostavljali i zlostavljali. Prognoza za budućnost je izuzetno sumorna i sva je prilika da će mu biti potrebna povremena hospitalizacija. Što se tiče radne sposobnosti on je ozbiljno hendikepiran i najverovatnije nikada neće moći da zadrži neki posao. Pod pretpostavkom da bi on u suprotnom slučaju mogao da nađe neki nisko plaćeni manuelni posao i da zarađuje GBP 15.000 godišnje i da ima normalni radni vek do 65. godine života, i uzimajući u obzir neizvesnosti i rano poravnanje, on traži GBP 150.000 na ime izgubljene buduće zarade. Budući da on ima veliku i kontinuiranu potrebu za psihijatrijskim lečenje koje nije pokriveno Nacionalnim zdravstvenim osiguranjem, on traži GBP 50.000 kao minimalni iznos za lečenje u budućnosti. Ovo sve zajedno iznosti GBP 200.000.
(iii) B. i dalje pati od nelečenog posttraumatskog stresnog poremećaja i od hroničnog generalizovanog anksioznog poremećaja. On ima užasavajuće noćne more i ako se ne bude lečio, najverovatnije će i dalje ostati u istom poremećenom emocionalnom stanju. Njemu je potrebno kontinuirano psihijatrisko lečenje sve do odraslog doba koje nije pokrivena ograničenim uslugama koje pruža Nacionalno zdravstveno osiguranje. Ovi troškovi su procenjeni na minimalni iznos od oko GBP 50.000. Usled hroničnog psihijatrijskog poremećaja i ograničenih socijalnih veština, on ostaje ugrožen u pogledu daljeg školovanja i zapošljavanja. Njegovi izgledi da u budućnosti nađe zaposlenje nisu tako sumorni kao kod A, ali je verovatno da će tokom svog radnog veka imati duže prekide radnog odnosa. Na osnovu pretpostavke od šest pauza od po godinu dana, pri prosečnoj zaradi radnika od GBP 15.000 godišnje, on traži iznos od GBP 90.000. To sve zajedno iznosti 140.000.
(iv) C. je okarakterisana kao srećna u svom novom domu gde su je usvojili, iako nosi pozamašan teret svog porekla i tragove koji je na njega podsećaju. Povremeno oseća bes i anksioznost u odnosu na svoju biološku majku. Ima određene probleme u ponašanju koji su zaostali iz prošlosti a koji će se najverovatnije dobro kontrolisati uz pomoć dobrog roditeljskog staranja ljudi koji su je usvojili. Međutim, ona je više sklona anksioznosti nego ostala deca i postoji veliki rizik od depresije kasnije u životu. Trenutno joj nije potrebna psihijatriska pomoć iako bi joj trebalo obezbediti sredstva za psihijatrisko lečenje tokom adolescentnog doba i odraslog doba. Traži se suma od GBP 4.500 na ime psihijatriskog lečenja koje je obračunato na osnovu potrebnih 30–50 seansi tretmana po ceni od GBP 70–90. Traži se GBP 10.000 za ime izgubljene buduće zarade, što ukupno daje iznos od 14.500 GBP.
U svim izveštajima postoji komentar o tome da bi deca imala koristi da im je 1994. godine na ime odštete isplaćena naknada zato što bi im to omogućilo da dobiju dodatnu psihijatrijsku pomoć što bi poboljšalo prognozu za budućnost. U slučaju A, njegove teškoće su se još više pogoršale usled nedostatka lečenja, jer su odgovarajuća psihijatrijska i obrazovna pomoć kao i podrška okruženja mogli značajno da poprave njegove izglede za budućnost. U slučaju B. dodatna psihijatrijska pomoć je mogla da smanji stepen njegove trenutne osetljivosti kao i da učini da njegova prognoza za budućnost ne bude toliko sumorna. U izveštajima se takođe izražava žaljenje što se lokalni nadležni organ nije dalje bavio uputima za psihoterapiju za A. i B. iz 1993. godine (za njih oboje) i iz 1998. godine (za B.) i primećuje se da je jednom od socijalnih radnika rečeno da nema ni novca ni vremena da se taj posao obavi.
2. Država
Izveštaj o A. je po mišljenju Države bio posebno nezadovoljavajući budući da je sastavljen a da pri tom A. nije došao na razgovor i da je sačinjen bez svih podataka o njegovoj prošlosti. Iako nije bio upućen na specijalističku kliniku kao što je predloženo, on jeste išao na radnu terapiju u okviru svoje zajednice gde je živeo između 1996. i 1998. godine. Ima vrlo malo ili nikakvih osnova za tvrdnju da su se njegove teškoće pogoršale usled toga što u prošlosti nije uspeo da dobije naknadu štete.
Isto tako, izveštaj o B. je visoko spekulativne prirode i neobrazložen je u pogledu navodnog negativnog uticaja koji je nemogućnost dobijanja naknade štete izazvala. Komentari o njegovim obrazovnim teškoćama su nedosledni.
Izveštaj o C. ukazuje da ona nije psihički bolesna i da dobro napreduje, usled čega je teško razumeti kako to ona ima emotivnih i praktičnih teškoća koje su veće nego kod prosečne devojke njenih godina. Dokazi ne potvrđuju tvrdnju o budućim verovatnim potrebama i navodnom uticaju koji je nemogućnost dobijanja naknade štete izazvala.
3. Ocena Suda
B. Nematerijalna šteta
1. Podnosioci predstavke
Prema proceni dr Blek, Z, A. i B. su pretrpeli psihijatrijska oštećenja koja se svrstavaju u gornju granicu veoma ozbiljnih oštećenja. Oni ispoljavaju „izražene probleme“ u svojoj sposobnosti da se bore sa životom i u njihovom odnosu s porodicom, prijateljima i svima onima s kojima dolaze u dodir. Prognoza za A. i B. je naročito loša i postoji velika verovatnoća da će u budućnosti biti ranjivi. C. je pretrpela oštećenja koja se svrstavaju u grupu „umereno ozbiljnih“. Iako u gore pomenutim oblastima ispoljava probleme, njena prognoza za budućnost je povoljnija.
Imajući u vidu nivoe naknada u takvim slučajevima pred domaćim sudovima, podnosioci predstavke su smatrali da bi razumna suma iznosila: za Z. GBP 35.000, za A. GBP 45.000, za B. GBP 40.000 i za C. GBP 25.000.
2. Država
3. Ocena Suda
V. Sudski i ostali troškovi
G. Zatezna kamata
IZ GORE NAVEDENIH RAZLOGA, SUD
Odlučuje jednoglasno da je došlo do povrede člana 3 Konvencije.
Odlučuje jednoglasno da iz člana 8 Konvencije ne proizilaze odvojena pitanja.
Odlučuje s dvanaest glasova za i pet glasova protiv da nije došlo do povrede člana 6 Konvencije.
Odlučuje s petnaest glasova za i dva glasa protiv da je došlo do povrede člana 13 Konvencije.
Odlučuje jednoglasno
(a) da tužena Država ima da isplati podnosiocima predstavke u roku od tri meseca, sledeće iznose:
(i) GBP 8.000 (osam hiljada funti sterlinga) Z, GBP 100.000 (sto hiljada funti sterlinga) A, GBP 80.000 (osamdeset hiljada funti sterlinga) B. i GBP 4.000 (četiri hiljade funti sterlinga) C, na ime materijalne štete;
(ii) GBP 32.000 (trideset i dve hiljade funti sterlinga) svakom podnosiocu predstavke pojedinačno na ime nematerijalne štete;
(iii) GBP 39.000 (trideset i devet hiljada funti sterlinga) na ime sudskih i drugih troškova, uključujući i PDV;
(b) da treba da plati običnu kamatu po godišnjoj stopi od 7,5% po isteku gore pomenutog roka od tri meseca do isplate;
Sačinjeno na engleskom i francuskom jeziku, i izrečeno na javnoj raspravi u Sudu u Strazburu 10. maja 2001. godine.
Lucijus Vildhaber Pol Mahoni
Predsednik Zamenik sekretara
U skladu sa članom 45 stav 2 Konvencije i pravilom 74, stav 2 Poslovnika Suda, sledeća izdvojena mišljenja su priložena kao dodatak ovoj presudi:
(a) saglasno mišljenje sudije Lejdi Arden u vezi sa članom 6;
(b) saglasno mišljenje sudije Lejdi Arden u vezi sa članom 41, kojem se prudružio gospodin Kovler;
(v) delimično izdvojeno mišljenje gospodina Rozakisa kojem se pridružila gospođa Palm;
(g) delimično izdvojeno mišljenje gospođe Tomasen kojem su se pridružili gospodin Kazadeval i gospodin Kovler.
SAGLASNO MIŠLJENJE SUDIJE LEJDI ARDEN U VEZI SA ČLANOM 6
Slažem se s time da se član 6 Konvencije može primeniti u ovom slučaju i da nije došlo do kršenja iz onih razloga koje je navela većina. Naročit značaj pridajem tome što je većina potvrdila čvrsto ustanovljeno načelo sudske prakse vezane za Konvenciju da član 6 ne garantuje bilo kakav sadržaj za građanska prava i obaveze (vidi stavove 87, 98, 100 i 101 presude). U ovom slučaju podnosioci predstavke nisu uspeli da dobiju bilo kakvo pravno zadovoljenje u skladu s domaćim zakonom zato što su domaći sudovi smatrali da oni nisu imali razloga za pokretanje sudskog postupka prema engleskom pravu (X. v. Bedfordshire County Council [1995] 2 Appeal Cases 633).
Polazeći od pogrešne pretpostavke kao pitanja domaćeg zakonodavstva da su imali neko opšte pravo da podnesu tužbu zbog nemarnog postupanja onda kada im je neka radnja tuženog nanela štetu a postojao je i dovoljan stepen bliskosti, podnosioci predstavke su pokušavali da dokažu da je odluka engleskih sudova pružala preširoki ili blanco imunitet. Slažem se sa zaključkom, u stavu 98 presude, da činjenice ovog slučaja ne idu u prilog ovom argumentu. Po mom mišljenju, kada sudovi u Engleskoj, postupajući inkrementalno u skladu pravosudnog zakonodavstva sistema običajnog prava (common law), smatraju da do tada nerazmatrana kategorija povrede, po zakonu, ne potpada pod deliktnu odgovornost po osnovu nemara, ne može se reći da oni daju „imunitet“, bilo da je on opšte ili ograničene prirode (vidi govor lorda Braun-Vilkinsona u predmetu Barrett v. the London Borough of Enfield [1993] 3 Weekly Law Reports 79, st. 65 presude u ovom predmetu). Ono što je odluka Gornjeg doma u ovom slučaju uradila jeste da utvrdi pravno pitanje postavljajući granicu materijalnog sadržaja domaćeg „građanskog prava“. U svakom slučaju, o toj odluci se potpuno i pažljivo promislilo. Ona se ne bi mogla smatrati proizvoljnom i primenjivala se samo u usko definisanim okolnostima (vidi stavove 98–99 presude).
Stav 98 presude se poziva na predmet Fayed v. the United Kingdom (presuda od 21. septembra 1994. godine, Series A No. 294–B). U tom predmetu Sud je razmatrao mogućnost da je možda došlo do povrede prava na pristup sudu ako bi, na primer, država mogla da iz jurisdikcije sudova izuzme čitav spektar građanskih tužbi ili da pruži imunitet u pogledu odgovornosti u građanskim tužbama velikim grupama ili kategorijama lica (ibid., str. 49–50, st. 65). U isto vreme, međutim, Sud je takođe izjavio da tela zadužena za sprovođenje Konvencije ne bi mogla da stvore, putem tumačenja člana 6, materijalno građansko pravo koje nema pravnu osnovu u datoj državi. Pa ipak, to je upravo ono što podnosioci predstavke pozivaju Sud da učini u ovom slučaju. Kada se donese odluka o tome da pravo na koje podnosilac predstavke pokušava da se pozove, nema pravno utemeljenje u nacionalnom zakonodavstvu, više se ne postavlja pitanje da li je postojao takav ‘imunitet’ kojim bi se pozivali na načelo koje se pominje u predmetu Fayed.
U predmetu Fayed Sud nije rešavao pitanje da li je tužba za klevetu koju omogućava englesko pravo javnom službeniku bila takva da povlači primenu prava pristupa sudu prema članu 6 stav 1 ili pak, materijalnog prava na poštovanje privatnog života prema članu 8. Umesto toga, Sud je odlučio da „odlučuje na osnovu toga da je član 6 stav 1 [bio] primenljiv na činjenice tog slučaja“ (ibid., str. 50–51, st. 67). Sud je objasnio da je to urađeno zbog olakšanja postupka jer bi ista glavna pitanja koja se odnose na legitimni cilj i srazmernost, proistekla iz člana 8, i zato što su argumenti obeju strana bili usmereni isključivo na član 6 stav 1. Rezultat je takav da taj predmet, stoga, ne predstavlja bilo kakav presedan u pogledu primene člana 6 stav 1 niti umanjuje načelo kojem, kao što sam već napomenula, pridajem poseban značaj, naime da član 6 ne garantuje bilo kakav određeni sadržaj za građanska prava i obaveze (vidi stavove 87, 98, 100 i 101 ove presude).
SAGLASNO MIŠLJENJE SUDIJE LEJDI ARDEN U VEZI SA ČLANOM 41, KOJEM SE PRIDRUŽIO SUDIJA KOVLER
Član 41 Konvencije omogućava Sudu da u odgovarajućim slučajevima „pruži pravično zadovoljenje oštećenoj strani“. Presudom Suda dodeljuju se dva iznosa svakom podnosiocu predstavke na ime pravičnog zadovoljenja: jedan iznos na ime materijalne štete i drugi iznos na ime nematerijalne štete. U pogledu materijalne štete, svakome od podnosilaca predstavke dodeljen je drugi iznos. Međutim, u pogledu nematerijalne štete, svakom od podnosilaca predstavke dodeljen je isti iznos. Stoga, što se tiče nematerijalne štete, slučajevi podnosilaca predstavke se nisu ocenjivali pojedinačno. Smatra se da su podnosioci predstavke svi pretrpeli istu patnju. Uz to, ne pravi se razlika između patnji bilo kojeg od podnosioca predstavke u poređenju s nekim drugim od podnosilaca predstavke, uprkos razlikama među slučajevima podnosilaca predstavke.
Slažem se s time da u pravično zadovoljenje koje Sud dodeljuje podnosiocima predstavke na ime povrede člana 13 treba da spada i iznos na ime nematerijalne štete uz iznose koji su dodeljeni na ime materijalne štete. Ne sumnjam da je takva naknada opravdana. Međutim, po mojem mišljenju, Sud ne bi trebalo da dodeljuje isti iznos svakom od podnosilaca predstavke već bi trebalo svakom podnosiocu predstavke pojedinačno da dodeli određeni iznos na ime odštete, koji bi odražavao stepen patnje koju je svaki podnosilac predstavke pretrpeo.
Kao što to stav 128 presude pokazuje, sami podnosioci predstavke su tražili različite iznose: GBP 35.000 za Z, GBP 45.000 za A, GBP 40.000 za B. i GBP 25.000 za C.
Svi podnosioci predstavke su bili izloženi patnji pre nego što su uzeti na staranje. Pošto su uzeti na staranje procenu njihovog stanja uradili su dečji psihijatri konsultanti: dr Blek 1993. godine i dr Haris-Hendriks 2000. godine. Dijagnoza A. ukazuje na to da je njegov slučaj najozbiljniji. On je 1993. godine dobio dijagnozu da pati od posttraumatskog stresnog poremećaja a 2000. godine dobio je dijagnozu da pati od poremećaja ličnosti za šta je prognoza veoma nepovoljna. I 1993. i 2000. godine postojalo je mišljenje da B. pati od posttraumatskog stresnog poremećaja, kao i da ima teškoće sa socijalizacijom a uz to 2000. godine je konstatovan opšti anksiozni poremećaj, ali njegova prognoza za budućnost je bila neizvesna ali ne i nepovoljna. S druge strane, 1993. godine inicijalna dijagnoza za Z. da pati od teške bolesti depresije nije se potvrdila, iako se smatra da će možda patiti od anksioznosti a možda i od bolesti depresije kasnije u životu. Teškoće koje je C. imala su 2000. godine opisane kao umerene; smatralo se da je sklona anksioznosti i da će joj najverovatnije biti potrebna psihijatrijska pomoć u budućnosti, ali ona ne pati od bilo kakvog psihičkog poremećaja.
U ovim uslovima, ono što bih ja učinila jeste da se obavi pojedinačna procena iznosa koji treba dodeliti na ime nematerijalne štete svakom od podnosilaca predstavke. Razmotriviši dokaze po pitanju člana 41, smatram da bi odgovarajući iznos bio GBP 25.000 za Z, GBP 40.000 za A, GBP 35.000 za B. i GBP 15.000 za C.
DELIMIČNO IZDVOJENO MIŠLJENJE SUDIJE ROZAKISA KOJEM SE PRIDRUŽILA SUDIJA PALM
Sa velikim žaljenjem konstatujem da se ne slažem s ocenom i zaključcima većine u Sudu da, u ovom slučaju, nije došlo do povrede člana 6 stav 1 Konvencije u pogledu dostupnosti suda podnosiocima predstavke. Razlozi koji su me naveli da se ne složim sa zaključcima većine su sledeći:
1. Većina se uverila da je postupak pred domaćim sudovima, koji je kulminirao odlukom Gornjeg doma, ispunio zahteve iz člana 6 stav 1 u pogledu prava podnosilaca predstavke na pristup sudu zarad utvrđivanja njihovih građanskih prava. Kao što je Sud primetio u stavu 101 presude, podnosioci predstavke ne mogu „da tvrde da im je uskraćeno bilo koje pravo na utvrđivanje osnovanosti njihove tužbe za zanemarivanje. Njihove tvrdnje su savesno i pravično ispitane u svetlu načela koje se primenjuje u domaćem zakonodavstvu u pogledu deliktne odgovornosti za nemar.“ Kao što se takođe navodi u stavu 95, „argumenti pred sudom su, dakle, bili usredsređeni na pravna pitanja, pre svega da li je lokalni nadležni organ imao dužnost brižljivog postupanja prema podnosiocima predstavke“. Teško je prihvatiti ovaj pristup. Tužbe podnosilaca predstavke pred nacionalnim sudovima nisu se, naravno, odnosile na ovo preliminarno pitanje. Njihova tužba se odnosila na to da je lokalni nadležni organ prilikom obavljanja svoje zakonske dužnosti brižljivog postupanja teško zanemario svoje obaveze i da im zbog štete koja im je naneta usled toga što nadležni organ nije na pravi način obavio svoju dužnost, pripada naknada štete. Oni su sudovima predstavili ovo svoje građansko pravo i s pravom su očekivali da će se sudovi njime baviti tako što će ispitati osnovanost tužbe putem akuzatorskog postupka koji bi im omogućio da dokažu istinitost svojih tvrdnji. Ako se može tvrditi da se, kao opšte pravilo, pitanje pristupa sudu utvrđuje na osnovu predmetne stvari zahteva pred nacionalnim sudovima, onda podnosioci predstavke nikada i nisu imali pristup sudu: u svim fazama ispitivanja njihovog predmeta pred domaćim sudovima, domaći sudovi su se bavili samo ispitivanjem problema sudske nadležnosti u pogledu toga da li oni mogu da razmatraju osnovanost predmeta koji je pred njima, ograničivši se tako na preliminarno pitanje da li postoji pravilo kojim se podnosioci predstavke isključuju, što ih je sprečilo da ispitaju opravdanost pritužbe. Pravilo kojim se podnosioci predstavke isključuju koje je na kraju ustanovljeno, i to ne na osnovu zakonskih uslova ili određenih presedana koji su ih obavezivali, već na osnovu njihovog posebnog tumačenja zahteva engleskog prava u svetlu okolnosti predmeta koji je bio pred njima.
2. Naravno, jedno je prihvatiti to da nije bilo pristupa sudu – što većina, na žalost, očigledno nije prihvatila – a sasvim druga reći da je u okolnostima datog predmeta, odsustvo pristupa sudu opravdano zato što služi određenoj svrsi koja je srazmerna šteti koja je naneta pojedincu koji nije imao zaštitu koja mu se inače omogućava članom 6 Konvencije.
Sklon sam da se priklonim ovom drugom pristupu, koji je i većina zauzela, a da, međutim, pri tom nije napravljeno jasno razgraničenje između odsustva pristupa sudu i okolnosti koje opravdavaju njegovo srazmerno uskraćivanje. Međutim, nisam spreman da prihvatim da nas činjenice ovog predmeta mogu navesti na zaključak da su podnosioci predstavke ispravno i srazmerno bili lišeni pripadajućeg im prava iz razloga javnog interesa koji su odneli prevagu nad njihovim legitiminim očekivanjima da se ispita opravdanost njihove pritužbe.
Pre svega, činjenice ovog predmeta jasno govore da je pravo na podnošenje tužbe zbog nemara u obavljanju dužnosti jedno građansko pravo koje je ustanovljeno u domaćem zakonodavstvu, da su javni organi vlasti zaduženi za pružanje usluga brige i staranja priznali da su bili nemarni u svom ponašanju, i da je postojao neposredan odnos u skladu s kriterijumima utvrđenim domaćim zakonodavstvom. Uz to, način na koji su se pravosudni organi bavili ovim pitanjem pokazuje da ovaj predmet postavlja ozbiljna pitanja koja zahtevaju ozbiljno razmatranje: kao što su podnosioci predstavke istakli, sudija koji je izdao sudski nalog za starateljstvo nad decom je specijalno javnom pravobraniocu dao na uvid dokumentaciju vezanu za predmet kako bi on mogao da ispita i ako treba, podnese tužbu za nemarno postupanje; javni pravobranilac je smatrao da postoje dokazive tvrdnje za nemarno postupanje; Komisija za pravnu pomoć je dodelila pravnu pomoć kako bi se tužba dalje podnosila sve do Gorenjeg doma; i Apelacioni sud, koji je većinom odbacio tužbu, dao je mogućnost žalbe Gornjem domu, a uslov za to jeste da je tužba dokaziva u domaćem zakonodavstvu; predsednik Građanskog odeljenja Apelacionog suda je ustanovio da postoji dužnost brižljivog postupanja rekavši da bi sve suprotno tome bila „uvreda za zdrav razum“; i u prethodnim slučajevima, lokalni nadležni organi su rešavali tužbe zbog nemarnog postupanja na osnovu toga što su potencijalno odgovorni.
Tako da jedini razlog koji je doveo do toga da ovaj predmet bude skinut sa spiska predmeta jeste tumačenje koje su dali domaći sudovi a naročito Gornji dom, oslanjajući se na argument ekspeditivnosti i pitanja politike. Zapravo, primenivši treći uslov engleskog prava deliktne odgovornosti za nemar – a to je da li je pravično, pravedno i razumno učiniti javne organe vlasti zadužene za pružanje usluga brige i staranja, odgovornim u okolnostima ovog predmeta, Gornji dom je zaključio da bi deliktna odgovornost javnih organa vlasti za činjenje ili nečinjenje u vršenju svojih dužnosti bila pogubna po izvršavanje njihovih obaveza. Stav koji je Gornji dom zauzeo po ovom pitanju je bio nov i jednak odbijanju da se nametne deliktna odgovornost za povrede u građanskim stvarima koja proističe iz dužnosti brižljivog postupanja lokalnih nadležnih organa za staranje o deci.
Nije zadatak Suda da se bavi ispitivanjem pitanja socijalne politike koje je navelo domaće sudove da treći uslov ispitaju na način na koji su to učinili. Ali jeste zadatak Suda da razmotri okolnosti u kojima su određene odluke donete i da proceni njihov značaj prilikom primene svog sopstvenog testa srazmernosti; i teško mi je da prihvatim, imajući u vidu značaj koji različiti pravosudni i drugi organi pridaju činjenicama slučaja kao i novina koju odluka Gornjeg doma predstavlja, da je stvaranje novog primera u sudskoj praksi koji zabranjuje ispitivanje opravdanosti predmeta, bilo srazmerno potrebi za odgovarajućom zaštitom pojedinca (i društva uopšte) od nebrige javnih organa vlasti prilikom obavljanja dužnosti.
Zatim nešto što je još važnije jeste to da je Sud utvrdio povredu člana 3 Konvencije na osnovu zaključka da je „zanemarivanje i zlostavljanje koje su četvoro podnosilaca predstavke pretrpeli dostiglo granicu nečovečnog i ponižavajućeg postupanja“ (vidi stav 74 presude). Ponavljam, teško mi je da prihvatim da ozbiljna pitanja od javnog značaja – kao što su ostalom sva pitanja koja se odnose na povredu člana 3 – nisu pod zaštitom nezavisnih i nepristrasnih sudova koji su uspostavljeni zakonom pruživši sve garancije potrebne prema članu 6 Konvencije. Većina, međutim, smatra drugačije budući da prihvata, čak i u okolnostima kada je došlo do povrede suštine člana 3, da države ugovornice „imaju određena diskreciona prava u pogledu načina na koji poštuju svoje obaveze prema Konvenciji...“ pod uslovom da postoji neko delotvorno pravno sredstvo za rešavanje pojedinačnih tužbi koje se tiču nečovečnog i ponižavajućeg postupanja. Stoga, oni su zaključili da je u ovoj situaciji, došlo do povrede člana 13 a ne člana 6.
Čini mi se da se ovaj predmet može smatrati locus classicus granica koje se Konvencijom daju državama ugovornicama da bi utvrdile modalitete pristupa domaćim sudovima. Naša sudska praksa stalno podvlači činjenicu da pravo na sud nije neograničeno – i s pravom je tako. Pa ipak Sud može slobodno da utvrdi u kojim slučajevima država ugovornica prekoračuje svoju slobodu izbora i postaje odgovorna prema članu 6; a jedan kriterijum koji Sudu može odmah da pomogne u razlučivanju između slučajeva kada država ugovornica zadržava svoje diskreciono pravo i slučajeva kada je država ugovornica obavezna da pruži pravosudne garancije onima koji potpadaju pod njenu jurisdikciju, jeste ozbiljnost tužbe podnete nacionalnim organima vlasti. Ako u pritužbu spada povreda osnovnih prava garantovanih Konvencijom – kao što su članovi 2 i 3 – smatram da je Sud dužan da zaključi da su države ugovornice obavezne da obezbede ne samo delotvoran pravni lek (kao što to nalaže član 13), već i pravosudni lek koji pokriva sve uslove iznete u članu 6.
3. Predmet Osman v. the United Kingdom (presuda od 28. oktobra 1998. godine, Reports of Judgments and Decisions 1998–VIII) je poslužio kao inspiracija za najveći deo ideja iznetih u prethodnom tekstu koje većina nije sledila prilikom donošenja ove presude. Osnovni razlog koji je većinu naveo da odstupi od ustanovljene sudske prakse objašnjen je u stavu 100 ove presude:
„...Sud smatra da je mišljenje u slučaju Osman zasnovano na razumevanju pravnih odredbi koje se tiču nemarnog izvršavanja obaveza... koje se mora razmotriti u svetlu razjašnjenja koja su kasnije dali domaći sudovi a posebno Gornji dom. Sud se uverio da pravne odredbe o nemarnom izvršavanju obaveza onako kako se dalje razvijao posle odluke u (gore navedenom) predmetu Caparo Industries plc... i kako je nedavno analiziran u predmetu Barrett... uključuje pravičan, pravedan i opravdan kriterijum kao suštinski elemenat dužnosti brižljivog postupanja i da pravne odredbe u pogledu tog elementa u ovom slučaju ne predstavlja delovanje imuniteta. U datom slučaju, Sud zaključuje da nemogućnost podnosilaca predstavke da podnesu tužbu protiv lokalnog nadležnog organa nije proistekla iz imuniteta već iz primenljivih načela koja upravljaju materijalnim pravom na pokretanja postupka u domaćem zakonodavstvu...“
Smatram da u slučaju Osman Sud nije mnogo vodio računa o ovom suptilnom pitanju koje je proisteklo iz ove presude u gore pomenutom stavu. U predmetu Osman Sud ni u jednom trenutku nije rekao da je sudska zabrana imunitet koji treba razgraničiti od primenljivih načela koji upravljaju materijalnim pravom na pokretanje postupka u domaćem zakonodavstvu. On je naprosto smatrao da „primena pravila o [isključivanju] na ovaj način bez daljeg ispitivanja postojanja suprotstavljenih razloga od javnog interesa samo služi da pruži blanco imunitet policiji za njihova dela i propuste tokom istrage i suzbijanja kriminala i postaje jedno neopravdano ograničenje prava podnosioca predstavke na utvrđivanje opravdanosti njegove ili njene tužbe protiv policije u opravdanim predmetima“ (vidi gore navedeni predmet Osman, str. 3170, st. 151 – dodat kurziv). Dalje je izrazio mišljenje da, u slučajevima kada je povreda koje je tužitelj pretrpeo najozbiljnije moguće prirode, ne može se automatski isključiti ispitivanje osnovanosti tužbe primenom pravila koje „se svodi na davanje imuniteta policiji“. Konačno, Sud je u predmetu Osman bio uglavnom zaokupljen činjenicom da podnosioci predstavke u jednom veoma ozbiljnom slučaju moguće ozbiljne povrede ljudskih prava nisu imali mogućnost da iznesu svoju pritužbu pred sudom; Sud se nije bavio time da li je razlog, usled kojeg je bilo nemoguće ispitati osnovanost slučaja, bio rezultat imuniteta koji je dat domaćim zakonom koji je delovao kao proceduralna zabrana koja ima to dejstvo. Sud je naprosto utvrdio da je ta nemogućnost dovela do davanja imuniteta. Pod ovim okolnostima kako možemo napraviti razgraničenje između predmeta Osman i ovog slučaja?
Zbog svih gore navedenih razloga smatram da je došlo do povrede člana 6 (pristup sudu) i da stoga smatram da član 13 ne predstavlja poseban razlog za povredu, budući da je član 6 u ovom slučaju lex specialis.
DELIMIČNO IZDVOJENO MIŠLJENJE SUDIJE TOMASEN KOJEM SU SE PRIDRUŽILI I SUDIJE KAZADEVAL I KOVLER
Ne mogu da se složim s većinom da u ovom slučaju nije došlo do povrede člana 6 Konvencije.
Sud je jednoglasan u stavu da organi vlasti nisu zaštitili podnosioce predstavke, malu decu, od nečovečnog i ponižavajućeg postupanja i većina primećuje da je podnosiocima predstavke uskraćeno „utvrđivanje njihovih tvrdnji da ih lokalni nadležni organ nije zaštitio od nečovečnog i ponižavajućeg postupanja i uskraćena im je mogućnost da dođu do izvršive nadokande štete koju su zbog toga pretrpeli“ (vidi stav 111 presude).
Uprkos teškoj nebrizi od strane nadležnih organa, što je omogućilo da zlostavljanje kojem su podnosioci predstavke bili izloženi, traje dugi niz godina i podnosiocima predstavke nanese fizičke i psihičke povrede koje predstavljaju povredu člana 3, podnosioci predstavke nisu mogli da pozovu na odgovornost te nadležne organe u postupku pred domaćim sudovima. Pozivajući se na faktore politike (na primer, teškoće u pripisivanju odgovornosti različitim [državnim] agencijama, osetljivost odluka, opasnost od toga da lokalni nadležni organ ne usvoji jedan oprezan i odbrambeni pristup u izvršavanju svojih obaveza, rizik od skupog i mučnog parničenja) domaći sudovi su odlučili da se lokalni nadležni organ ne može smatrati odgovornim zbog nemara u izvršavanju svojih zakonskih ovlašćenja zaštite dece. De facto, proglašen je imunitet za lokalni nadležni organ u pogledu tužbi zato što je postupao prilikom vršenja svojih zakonskih nadležnosti zaštite dece.
Po mojem mišljenju prava podnosioca predstavke prema članu 6 su na taj način prekršena budući da nisu imali pristup sudu kako bi se odlučivalo po njihovoj tužbi, koje je bila dokaziva u nacionalnom zakonodavstvu. Činjenice u ovom slučaju i način na koji je domaći zakon delovao veoma su slični onome i predmetu Osman v. the United Kingdom (presuda od 28. oktobra 1998. godine, Reports of Judgments and Decisions 1998–VIII) u kojem je tužba podnosioca predstavke protiv policije zbog nemare skinuta sa spiska predmeta iz razloga politike koji se odnose na to da postoji interes da se spreči da efikasnost rada policije bude podrivena parničenjem. U predmetu Osman Sud je smatrao da primena pravila kojim se izuzimaju koje sprečava da se policija pozove na odgovornost zbog nemara prilikom izvršavanja svojih funkcija istrage i sprečavanja kriminala, predstavlja nesrazmerno ograničavanje pristupa sudu podnosiocima predstavke. Razlozi zbog kojih se većina nije pridržavala odluke donete u predmetu Osman (vidi stav 100 predmeta) po mojem mišljenju, nisu uverljivi. Čini se da nije došlo do velikih ili značajnih promena pravnih odredbi o nemarnom postupanju budući da su strane Sudu predočile taj slučaj kao i sve relevantne stvari koje se odnose na sadržaj domaćeg zakonodavstva u predmetu Osman. Smatram da zaključak u skladu sa članom 6 u ovom slučaju mora biti isti.
Tačno je da, kao što je to primetila većina u stavu 95 presude, podnosioci predstavke nisu bili sprečeni ni na koji praktičan način da svoju tužbu iznesu pred domaće sudove. Predmet je stigao sve do Gornjeg doma a podnosiocima predstavke je dodeljena i pravna pomoć u tu svrhu. Nije došlo ni do pozivanja na neka proceduralna ograničenja. Međutim, pojam „pristupa sudu“ prema članu 6 ne garantuje podnosiocima predstavke samo da će oni moći svoju tužbu da podnesu sudu, već podrazumeva i pravo da se te tvrdnje ispitaju pred sudom na osnovu činjenica.
Slažem se s onim što je većina rekla u stavu 98 da član 6 sam po sebi ne garantuje bilo kakav određeni sadržaj u pogledu građanskih prava i obaveze u domaćem zakonodavstvu. Ali tamo gde postoji dokaziva tvrdnja prema domaćem obligacionom pravu koje se odnosi na delikte, kao što je ovde slučaj (vidi stav 98 presude), koja zahteva od podnosilaca predstavke da dobiju odluku od strane suda o deliktnoj odgovornosti onih koji su dopustili da zlostavljanje kojem su bili izloženi traje godinama, za to se, po mom mišljenju, ne može reći da određuje sadržaj domaćeg prava.
Primetio bih da se nadgledanje aktivnosti nacionalnih sudova od strane Suda prilikom definisanja pojmova „pristup“ i „odgovornost“ odigrava na širim osnovama. U predmetu Fayed v. the United Kingdom (presuda od 21. septembra 1994. godine, Series A No. 294–B, str. 49–59, st. 65), Sud je rekao:
„Zasigurno organi zaduženi za sprovođenje Konvencije ne mogu tumačenjem člana 6 stav 1 stvoriti materijalno građansko pravo koje nema osnov u datoj državi ugovornici. Međutim, ne bi bilo dosledno načelu vladavine prava u demokratskom društvu niti osnovnim načelima na kojima počiva član 6 stav 1 – a to je da građanske tužbe mogu podneti sudiji na odlučivanje – ako bi, na primer, država ugovornica mogla, bez kontrole ili ograničenja od strane organa koji su zaduženi za sprovođenje Konvencije, da iz nadležnosti sudova izmesti čitav spektar građanskih tužbi ili da pruži imunitet od građanske odgovornosti velikim grupama ili kategorijama lica...“
Da bi došli do svog zaključka da odluka Gornjeg doma ne predstavlja davanje imuniteta, većina u Sudu primećuje, u stavu 99, da su domaći sudovi smatrali da dužnost brižljivog postupanja može proisteći u slučajevima koji se odnose na deliktnu odgovornost lokalnih nadležnih organa u pogledu brige o deci koji su podneti posle tužbe podnosilaca predstavke. To međutim ne menja činjenicu da je imunitet dat nadležnim organima u slučaju podnosilaca predstavke. Očigledno je da se smatralo da imunitet koji je primenjen u slučaju podnosilaca predstavke nije više odgovarajući u kasnijim slučajevima jer su nacionalni sudovi između ostalih faktora, uzeli u obzir stav Suda u gore navedenom slučaju Osman.
Iako je Država tvrdila da ako bi se utvrdila povreda u ovom predmetu to bi podrilo postupak skidanja slučaja sa spiska predmeta koji se koristi da bi se izbeglo besmisleno procesuiranje neosnovanih tužbi, smatram da ovaj argument nije potkrepljen materijalom koji je iznet pred Sud. Domaći sudovi su nastavili da skidaju slučajeve sa spiska predmeta i pošto je Sud doneo presudu u slučaju Osman. Zaključak o postojanju povrede u ovom slučaju bi značio samo to da tužba ovih podnosilaca predstavke, koja se odnosi na slučaj teškog zlostavljanja koje se kosi s osnovnim ljudskim pravom, nije trebalo da bude skinuta sa spiska predmeta na osnovu argumenata opšte politike. Ovaj Sud nije utvrdio bilo kakvo uskraćivanje pristupa sudu onda kada su sudije skinule predmet sa spiska predmeta u slučajevima kada nije bilo bliskosti niti predvidivosti (vidi, na primer, predmet Powell v. the United Kingdom (odl.), br. 45305/99, ECHR 2000–V i predmet Bromiley v. United Kingdom (odl.), br. 33747/96, od 23. novembra 1999. godine, neobjavljena).
Većina u Sudu smatra da podnosiocima predstavke nije pružen delotvoran pravni lek u pogledu kršenja člana 3 i zaključili su da je došlo do povrede člana 13 a ne člana 6.
Moj zaključak bi bio da je „pravni lek“ na koji su podnosioci predstavke imali pravo trebalo da bude pristup sudu kako bi mogli da dobiju obeštećenje. Ograničenja pristupa sudu kako bi se zaštitili interesi lokalnih nadležnih organa prilikom vršenja svojih nadležnosti zaštite dece može biti potrebno i opravdano u skladu sa članom 6. Međutim, rekao bih da se u ovom slučaju, u kojem postoji saglasnost da su deca podnosioci predstavke bila žrtve sistema koji ih nije zaštitio od ozbiljnog, dugoročnog zapostavljanja i zlostavljanja, davanje imuniteta lokalnom nadležnom organu iz razloga politike, ne može se smatrati prikladnim.
Zato smatram da je došlo do povrede člana 6.
Ja sam glasao za povredu člana 13 zato što se slažem s većinom da podnosioci predstavke, čija su prava prema članu 3 Konvencije bila povređena, nisu imali delotvorno pravno sredstvo pred nacionalnim organima vlasti.
*****
[1] Napomena Sekretarijata: Izveštaj se može dobiti u Sekretarijatu.
[2] Q. C. (Queen’s Council) – savetnik Krune je počasna titula koja se u UK dodeljuje istaknutim predstavnicima advokatske profesije (prim. prev.).
[3] Ibid.
[4] Solicitor – advokat bez prava zastupanja pred sudovima u UK (prim. prev.).
[5] Ibid.
[6] Vidi napomenu 2.
_________________
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CASE OF Z AND OTHERS v. THE UNITED KINGDOM
(Application no. 29392/95)
JUDGMENT
STRASBOURG
10 May 2001
In the case of Z and Others v. the United Kingdom, The European Court of Human Rights, sitting as a Grand Chamber composed of the following judges:
MrL. Wildhaber, President,
MrsE. Palm,
MrC.L. Rozakis,
MrJ.-P. Costa,
MrL. Ferrari Bravo,
MrL. Caflisch,
MrP. Kūris,
MrJ. Casadevall,
MrB. Zupančič,
MrsN. Vajić,
MrJ. Hedigan,
MrsW. Thomassen,
MrsM. Tsatsa-Nikolovska,
MrE. Levits,
MrK. Traja,
MrA. Kovler,
Lady Justice Arden, ad hoc judge,
and also of Mr P.J. Mahoney, Deputy Registrar,
Having deliberated in private on 28 June and 11 October 2000 and on 4 April 2001,
Delivers the following judgment, which was adopted on the last‑mentioned date:
PROCEDURE
1. The case was referred to the Court, in accordance with the provisions applicable prior to the entry into force of Protocol No. 11 to the Convention for the Protection of Human Rights and Fundamental Freedoms (“the Convention”), by the European Commission of Human Rights (“the Commission”) on 25 October 1999 (Article 5 § 4 of Protocol No. 11 and former Articles 47 and 48 of the Convention).
2. The case originated in an application (no. 29392/95) against the United Kingdom of Great Britain and Northern Ireland lodged with the Commission under former Article 25 of the Convention by the applicants, Z, A, B, C and D, five British nationals, on 9 October 1995.
3. The applicants alleged that the local authority had failed to take adequate protective measures in respect of the severe neglect and abuse which they were known to be suffering due to their ill-treatment by their parents and that they had no access to a court or effective remedy in respect of this. They relied on Articles 3, 6, 8 and 13 of the Convention.
4. The Commission declared the application admissible on 26 May 1998. On 6 September 1999, pursuant to the express wishes of D's adoptive parents, the Commission decided that D should no longer be an applicant. In its report of 10 September 1999 (former Article 31 of the Convention) [Note by the Registry. The report is obtainable from the Registry], it expressed the unanimous opinion that there had been a violation of Article 3 of the Convention, that no separate issue arose under Article 8, that there had been a violation of Article 6 and that no separate issue arose under Article 13.
5. Before the Court the applicants had been granted legal aid. The President of the Court acceded to their request not to have their names disclosed (Rule 47 § 3 of the Rules of Court).
6. On 6 December 1999 a panel of the Grand Chamber determined that the case should be decided by the Grand Chamber (Rule 100 § 1). The composition of the Grand Chamber was determined according to the provisions of Article 27 §§ 2 and 3 of the Convention and Rule 24. The President of the Court decided that in the interests of the proper administration of justice, the case should be assigned to the Grand Chamber that had been constituted to hear the case of T.P. and K.M. v. the United Kingdom ([GC], no. 28945/95, ECHR 2001-V) (Rules 24, 43 § 2, and 71). Sir Nicolas Bratza, the judge elected in respect of the United Kingdom, who had taken part in the Commission's examination of the case, withdrew from sitting in the Grand Chamber (Rule 28). The United Kingdom Government (“the Government”) accordingly appointed Lady Justice Arden to sit as an ad hoc judge (Article 27 § 2 of the Convention and Rule 29 § 1).
7. The applicants and the Government each filed a memorial. Third-party comments were also received from Professor G. Van Bueren, Director of the Programme on International Rights of the Child, University of London, who had been given leave by the President to intervene in the written procedure (Article 36 § 2 of the Convention and Rule 61 § 3).
8. A hearing took place in public in the Human Rights Building, Strasbourg, on 28 June 2000 (Rule 59 § 2).
There appeared before the Court:
(a) for the Government
MsS. McGrory, Foreign and Commonwealth Office,Agent,
MrD. Anderson QC, Foreign and Commonwealth Office,
MsJ. Stratford, Foreign and Commonwealth Office,Counsel,
MsS. Ryan, Foreign and Commonwealth Office,
MsJ. Gray, Foreign and Commonwealth Office,
MrM. Murmane, Foreign and Commonwealth Office,Advisers;
(b) for the applicants
MrB. Emmerson QC,Counsel,
MsP. Wood, Solicitor,
MrsM. Maughan, Solicitor,
MsE. Gumbel QC,
MsN. Mole, of the AIRE Centre,Advisers.
The Court heard addresses by Mr Emmerson and Mr Anderson.
THE FACTS
I. THE CIRCUMSTANCES OF THE CASE
9. The applicants are four full siblings:
– Z, a girl born in 1982;
– A, a boy born in 1984;
– B, a boy born in 1986;
– C, a girl born in 1988.
10. The applicants' parents were married in November 1981.
11. The family was first referred to social services in October 1987 by their health visitor due to concerns about the children and marital problems. Z was reported to be stealing food at night. Following the referral, a professionals' meeting, involving the relevant agencies, was held on 24 November 1987, at which it was decided that a social worker and health visitor should visit. The family were reviewed at a further meeting in March 1988 and as it appeared that concerns had diminished, the file was closed.
12. In September 1988 a neighbour reported that the children were locked outside the house for most of the day.
13. In April 1989 the police reported that the children's bedrooms were filthy. The family's general practitioner also reported that the children's bedrooms were filthy and that their doors were locked. The children's head-teacher, Mrs Armstrong, expressed concern in May 1989 and requested a case conference. In June 1989 the NSPCC (National Society for the Prevention of Cruelty to Children) and the emergency team made a referral after complaints by neighbours that the house was filthy and that the children spent most of the day in their bedrooms, rarely being allowed out to play, and crying frequently. In August 1989 the maternal grandmother complained to the social services about the mother's care and discipline of the children.
14. At a professionals' meeting on 4 October 1989, at which the social services, the applicants' head-teacher, the applicants' general practitioner and health visitor attended, it was decided that no social worker would be allocated to the family. The school was to monitor the older children's weight and the health visitor was to continue to visit the family regularly. It was agreed that the problem was one of limited and neglectful parenting rather than a risk of physical abuse, and that the parents should be assisted to manage their responsibilities better.
15. In October 1989, whilst the applicants were on holiday, their house was burgled. On entering, the police found it in a filthy state. Used sanitary towels and dirty nappies were discarded in a cupboard and the children's mattresses were sodden with urine. At a professionals' meeting on
13 December 1989, the health visitor requested that the four older children be placed on the Child Protection Register as she felt that their mother could not offer consistent care. This suggestion was rejected. However, a social-work assistant, Ms M., was assigned to the family. It was not considered appropriate to convene a case conference at this stage. Prior to the meeting, Z and A had mentioned to the head-teacher that A had been hit with a poker. It was decided that this statement would be investigated.
16. At a professionals' meeting on 23 March 1990, an improvement was noted in respect of the cleanliness of the house, the children's bedding being clean save on two occasions. However, it was reported that Z and A were taking food from bins at the school. There was still considered to be cause for concern, especially since the birth of another child was expected.
17. At a professionals' meeting on 11 July 1990, the applicants' headmistress reported a deterioration in the children's well-being; Z and A were still taking food from bins and A was soiling himself. Ms M. was visiting weekly at this stage and said that she was checking the children's bedrooms. She had noted that the children ate at 4 or 4.30 p.m. and then did not eat again until the morning. The children were also sent to bed at 6 p.m. It was planned to give the applicant's mother further assistance through a voluntary agency.
18. In or about September 1990, A and B were both reported to have bruising on their faces. The police investigated after neighbours had reported screaming at the applicants' home but apparently found no signs of bruising. They reported to the social services that “the conditions of the house were appalling and not fit for [the] children to live in”.
19. At a further professionals' meeting on 3 October 1990, the assistant social worker, Ms M., stated that she was concerned about the applicants' soiling and their mother's lack of interest. Apparently, the children were defecating in their bedroom and smearing excrement on their windows. The head-teacher expressed concern, particularly concerning the boys A and B, and stated that the children had described blocks of wood being placed against their bedroom doors. It was decided to continue monitoring the children.
20. At a professionals' meeting on 5 December 1990, a decision was made to arrange a case conference for January 1991 as a result of concern regarding the applicants' care and the state of their bedroom. Ms M. considered that standards in the boys' bedroom had dramatically dropped. She found the room to be damp and smelly. A's bed was broken and had a metal bar protruding from it. The bedding was damp and grubby with soil marks.
21. In a report dated 24 January 1991, the headmistress stated that A was shabby, ill-kempt and often dirty and that he had been raiding the playground bins for apple cores. Z was pathetic, lacking in vitality and frequently and inexplicably tearful, becoming increasingly isolated from the other girls in her peer group with unfortunate incidents in which detrimental remarks were made about her appearance. B presented as withdrawn, pathetic and bedraggled. He regularly arrived cold, was frequently tearful and craved physical contact from adult helpers. He also appeared to crave for food. She concluded that they were still concerned that the children's needs were not being adequately met and that home conditions and family dynamics were giving reasons for concern.
22. At the case conference held on 28 January 1991, Ms M. stated that the boys' bedroom had no light, carpet or toys and that their bedding was wet, smelly and soil-stained. Their mother did not change the beds. Their head-teacher stated that Z was tearful and withdrawn, A had been raiding school bins and was often dirty, and B was very withdrawn, craved attention and was ravenously hungry. The chairman of the conference concluded that, despite the many concerns about the parenting of the applicants and the conditions in the home, there was little evidence to support going to court. It was felt that the parents were not wilfully neglecting their children and, bearing in mind their own poor upbringing, it was considered that the applicants' parents were doing what they could and that continued support was required to try and improve the situation. It was decided not to place the children on the Child Protection Register.
23. On 5 March 1991 B was found to have “unusual” bruises on his back.
24. At a later social services meeting in April 1991, no change to the children's living conditions was noted. The head-teacher stated that Z and A were still taking food from bins and that A was becoming more withdrawn. Ms M. reported that the mother had stated that the children were taking food from the park bins on the way to school.
25. In July 1991 the applicants' mother informed social services that the children would be better off living in care. On 12 August 1991 the social services received a phone call from a neighbour who stated that the children were frequently locked outside in a filthy back garden, that they constantly screamed and that they were kept for long periods in their bedrooms where they smeared faeces on their windows. The maternal grandparents later told the guardian ad litem that Z, who was treated by her mother as a little servant, was expected to clean the excrement from the windows.
26. From 19 to 28 August 1991, the three older children spent some time with foster carers in respite care. The foster carers reported that A did not know how to wash, bathe or clean his teeth on arrival. He wet his bed every night and stole food from his brother. B was described as being “very frightened. He could not understand how he could play in the garden and the door was left open for him to come back in, he expected to be locked out”. He also had to be taught to use the toilet properly and to clean himself.
27. At a professionals' meeting on 18 September 1991, Ms M. stated that the conditions in which the boys were sleeping were deteriorating. The mattresses in the boys' bedroom were ripped and the springs were coming through. The boys were stealing food, and C had also been seen to do this. Their mother stated that she could not control them. It was decided not to arrange a child-protection meeting but to carry out a monthly weight check on the three older children at school, and for the health visitor to check the weight of the two younger children. It was also decided to arrange respite care for Z, A and B in the holidays as well as on one weekend in four.
28. In November-December 1991 C was found to have developed a squint. His mother failed to keep appointments at the eye-clinic over the following months.
29. At a professionals' meeting on 21 November 1991, it was reported that the applicants' mother had said that she could not control the applicants' behaviour which consisted of refusing to go to bed when asked and stealing food. It was considered that the home was in an acceptable condition, though the boys' room still needed attention. The children's weights were recorded. It was noted that Z had put on 2 lb in the previous two months whereas she had only put on 2.5 lb in the preceding two years. A had only put on 3 lb in a year. B had put on 0.5 lb in a year and was on the 50th centile for height. C was on the 25th centile for weight. There was a discussion about the three elder children being accommodated by the local authority to allow the mother “to get back on her feet”. The social services considered a six-week period whilst the general practitioner envisaged a period of eighteen to twenty-four months.
30. In December 1991 a social worker was introduced to the applicants' mother with a view to assisting her with shopping, budgeting and cooking.
31. Z, A and B were accommodated by volunteers between January and March 1992, and showed to have gained weight. In March and again in April, their mother asked if the boys, A and B, could be placed for adoption.
32. On 14 January 1992 C started to attend a nursery group at a family centre. She was noted to be unsocialised, lacking in confidence, unable to share, and with poor speech.
33. At a further professionals' meeting on 9 March 1992, it was decided that further respite care would be considered. The children's weights were noted, increases being seen for Z, A and B.
34. The children's parents divorced in April 1992.
35. At another professionals' meeting on 30 April 1992 it was decided that the applicants' mother's request that A and B be placed for adoption be followed up. The headmistress voiced concern over the fundamental pattern of the mother's care of the children, in particular in relation to Z's role in the home and the mothering role which she played. Ms M. reported that conditions were deteriorating for A and B.
36. On 10 June 1992 the applicants' mother demanded that the children be placed in care as she could not cope. She stated that if they were not removed from her care she would batter them. The applicants were placed in emergency foster care. The applicants were entered onto the Child Protection Register under the categories of neglect and emotional abuse after a child-protection meeting on 22 June 1992.
37. The applicants were all fostered separately. Initially, Z was noted to have dirty, ill-fitting clothes. She stated that she did not like living with her siblings as she did not like having to look after them all the time. A wet the bed every night, shunned physical contact and suffered from nightmares. B did not know how to use the toilet or toilet paper. C bonded very quickly with her foster parents.
38. On 8 October 1992 the local authority decided to seek care orders in respect of the children. Interim care orders were made on 7 December 1992.
39. A guardian ad litem, who was appointed on 18 January 1993, recommended that all the applicants should be the subject of care orders in order to protect them from further harm. She stated that there was “an abundance of evidence that the children have been subjected to physical and mental ill-treatment”. She noted that their health had also been neglected by their parents who frequently missed appointments with opticians and doctors.
40. All the applicants were seen by Dr Dora Black, a consultant child psychiatrist, in January 1993. Dr Black stated that the three older children were all showing signs of psychological disturbance. Z was exhibiting signs of serious depressive illness and had assumed responsibility for her family and for its breakdown. Her mother's behaviour towards her was described as cruel and emotionally abusive. A and B, who suffered from nightmares, were both identified as showing signs of post-traumatic stress disorder and A was also chronically under-attached. Dr Black noted that all children had been deprived of affection and physical care. She described their experiences as “to put it bluntly, horrific”, and added that the case was the worst case of neglect and emotional abuse that she had seen in her professional career. In her opinion, social services had “leaned over backwards to avoid putting these children on the Child Protection Register and had delayed too long, leaving at least three of the children with serious psychological disturbance as a result”.
41. Full care orders were made in respect of the applicants on 14 April 1993 by Judge Tyrer sitting at Milton Keynes County Court.
42. In June 1993 the Official Solicitor, acting as the applicants' next friend, commenced proceedings against the local authority claiming damages for negligence and/or breach of statutory duty arguing that the authority had failed to have regard to their welfare as was required by statute and should have acted more quickly and more effectively when apprised of their condition. It was argued that the local authority's failure to act had resulted in psychological damage. The application was struck out as revealing no cause of action, by Mr Justice Turner on 12 November 1993.
43. The applicants appealed to the Court of Appeal, which, on
28 February 1994, upheld the decision of Mr Justice Turner to strike out the application.
44. The applicants appealed to the House of Lords. On 29 June 1995 the House of Lords rejected their appeal, finding that no action lay against the local authority in negligence or breach of statutory duty concerning the discharge of their duties relating to the welfare of children under the Children Act 1989 in respect of child care. The case is reported as X and Others v. Bedfordshire County Council [1995] 3 All England Law Reports 353.
45. Lord Browne-Wilkinson gave the leading judgment. In respect of claims for breach of statutory duty, he stated, inter alia:
“... My starting point is that the Acts in question are all concerned to establish an administrative system designed to promote the social welfare of the community. The welfare sector involved is one of peculiar sensitivity, involving very difficult decisions how to strike the balance between protecting the child from immediate feared harm and disrupting the relationship between the child and its parents. In my judgment in such a context it would require exceptionally clear statutory language to show a parliamentary intention that those responsible for carrying out these difficult functions should be liable in damages if, on subsequent investigation with the benefit of hindsight, it was shown that they had reached an erroneous conclusion and therefore failed to discharge their statutory duties. ...
When one turns to the actual words used in the primary legislation to create the duties relied upon in my judgment they are inconsistent with any intention to create a private law cause of action.”
46. As regards the claims that the local authority owed a duty of care to the applicants pursuant to the tort of negligence, Lord Browne-Wilkinson stated, inter alia:
“I turn then to consider whether, in accordance with the ordinary principles laid down in Caparo [1990] 2 AC 605, the local authority ... owed a direct duty of care to the plaintiffs. The local authority accepts that they could foresee damage to the plaintiffs if they carried out their statutory duties negligently and that the relationship between the authority and the plaintiffs is sufficiently proximate. The third requirement laid down in Caparo is that it must be just and reasonable to impose a common law duty of care in all the circumstances ...
The Master of the Rolls took the view, with which I agree, that the public policy consideration that has first claim on the loyalty of the law is that wrongs should be remedied and that very potent counter considerations are required to override that policy (see [1994] 4 AER 602 at 619). However, in my judgment there are such considerations in this case.
First, in my judgment a common law duty of care would cut across the whole statutory system set up for the protection of children at risk. As a result of the ministerial directions contained in 'Working Together' the protection of such children is not the exclusive territory of the local authority's social services. The system is inter-disciplinary, involving the participation of the police, educational bodies, doctors and others. At all stages the system involves joint discussions, joint recommendations and joint decisions. The key organisation is the Child Protection Conference, a multi-disciplinary body which decides whether to place the child on the Child Protection Register. This procedure by way of joint action takes place, not merely because it is good practice, but because it is required by guidance having statutory force binding on the local authority. The guidance is extremely detailed and extensive: the current edition of 'Working Together' runs to 126 pages. To introduce into such a system a common law duty of care enforceable against only one of the participant bodies would be manifestly unfair. To impose such liability on all the participant bodies would lead to almost impossible problems of disentangling as between the respective bodies the liability, both primary and by way of contribution, of each for reaching a decision found to be negligent.
Second, the task of the local authority and its servants in dealing with children at risk is extraordinarily delicate. Legislation requires the local authority to have regard not only to the physical well-being of the child but also to the advantages of not disrupting the child's family environment. ... In one of the child abuse cases, the local authority is blamed for removing the child precipitately; in the other for failing to remove the children from their mother. As the Report of the Inquiry into Child Abuse in Cleveland 1987 (Cmnd. 412) ('Cleveland Report 1987') said, at p. 244:
'... It is a delicate and difficult line to tread between taking action too soon and not taking it soon enough. Social services whilst putting the needs of the child first must respect the rights of the parents; they also must work if possible with the parents for the benefit of the children. These parents themselves are often in need of help. Inevitably a degree of conflict develops between those objectives.'
Next, if liability in damages were to be imposed, it might well be that local authorities would adopt a more cautious and defensive approach to their duties. For example, as the Cleveland Report makes clear, on occasions the speedy decision to remove the child is sometimes vital. If the authority is to be made liable in damages for a negligent decision to remove a child (such negligence lying in the failure properly first to investigate the allegations) there would be a substantial temptation to postpone making such a decision until further inquiries have been made in the hope of getting more concrete facts. Not only would the child in fact being abused be prejudiced by such delay, the increased workload inherent in making such investigations would reduce the time available to deal with other cases and other children.
The relationship between the social worker and the child's parents is frequently one of conflict, the parent wishing to retain care of the child, the social worker having to consider whether to remove it. This is fertile ground in which to breed ill-feeling and litigation, often hopeless, the cost of which both in terms of money and human resources will be diverted from the performance of the social service for which they were provided. The spectre of vexatious and costly litigation is often urged as a reason for not imposing a legal duty. But the circumstances surrounding cases of child abuse make the risk a very high one which cannot be ignored.
If there were no other remedy for maladministration of the statutory system for the protection of children, it would provide substantial argument for imposing a duty of care. But the statutory complaints procedures contained in section 76 of the 1980 Act and the much fuller procedures now available under the 1989 Act provide a means to have grievances investigated though not to recover compensation. Further, it was submitted (and not controverted) that the local authorities Ombudsman would have power to investigate cases such as these.
Finally, your Lordships' decision in Caparo [1990] 2 AC 605 lays down that in deciding whether to develop novel categories of negligence the court should proceed incrementally and by analogy with decided categories. We were not referred to any category of case in which a duty of care has been held to exist which is in any way analogous to the present cases. Here, for the first time, the plaintiffs are seeking to erect a common law duty of care in relation to the administration of a statutory social welfare scheme. Such a scheme is designed to protect weaker members of society (children) from harm done to them by others. The scheme involves the administrators in exercising discretion and powers which could not exist in the private sector and which in many cases bring them into conflict with those who, under the general law, are responsible for the child's welfare. To my mind, the nearest analogies are the cases where a common law duty of care has been sought to be imposed upon the police (in seeking to protect vulnerable members of society from wrongs done to them by others) or statutory regulators of financial dealing who are seeking to protect investors from dishonesty. In neither of these cases has it been thought appropriate to superimpose on a statutory regime a common law duty of care giving rise to a claim in damages for failure to protect the weak against the wrongdoer. ... In my judgment, the courts should proceed with great care before holding liable in negligence those who have been charged by Parliament with the task of protecting society from the wrong doings of others.”
47. Z and C, the two girls, were meanwhile adopted. The boys, A and B, were initially in foster care. Following the breakdown of B's adoptive placement, he was placed in a therapeutic residential placement in July 1995. After two years, he was again placed with foster parents where he remained, attending school in a special-needs group. In January 1996, A was placed in a therapeutic community, where he stayed for two years. He apparently had a number of foster placements which broke down. Records indicated that he had been in twelve different placements in eight years. He is currently in a children's home.
48. In March 1996, applications were made to the Criminal Injuries Compensation Board (CICB) on behalf of all the children by the adoption society to whom the local authority had delegated certain responsibilities. It was claimed on behalf of Z that she had suffered severe neglect and chronic deprivation which rendered it likely that specialist care would be necessary during her adolescence, a time where emotional repercussions of the abuse might become apparent; on behalf of A that he had suffered physical deprivation, emotional abuse, physical abuse and possible sexual abuse – he had suffered permanent physical scarring and was still receiving treatment from a child psychiatrist; on behalf of B that he had suffered extreme physical and emotional deprivation and shown signs of sexual abuse – he also had suffered permanent physical scarring and was receiving therapy; and on behalf of C that she had suffered extreme physical and emotional deprivation, and in addition that her need for eye treatment was not being met by her parents.
49. In February 1997, the CICB awarded 1,000 pounds sterling (GBP) to Z, GBP 3,000 to A and GBP 3,000 to B for injuries suffered between 1987 and 1992; it awarded GBP 2,000 to C for injuries suffered between 1988 and 1992. In a letter dated 20 May 1998 from the CICB to the Official Solicitor, it was stated:
“The Board Member who assessed these cases recognised that the children were exposed to appalling neglect over an extended period but explained to their advisers that the Board could not make an award unless it was satisfied on the whole available evidence that an applicant had suffered an injury – physical or psychological – directly attributable to a crime of violence ... He was nevertheless satisfied, that setting aside 'neglect' the children had some physical and psychological injury inflicted upon them as enabled him to make an award to each child ...”
II. RELEVANT DOMESTIC LAW
A. Local authority's duties in respect of child care
50. Prior to the coming into force of the current legislation, the Children Act 1989, on 14 October 1991, the local authority's duty in respect of child care was governed by the Child Care Act 1980.
Sections 1 and 2 of the Child Care Act 1980 provided that:
“1. It shall be the duty of every local authority to make available such advice, guidance and assistance as may promote the welfare of children by diminishing the need to receive or keep them in care.
2. (1) Where it appears to a local authority with respect to a child in their area appearing to them to be under the age of seventeen -
(a) that he has neither parent nor guardian or has been and remains abandoned by his parents or guardian or is lost;
(b) that his parents or guardian are, for the time being or permanently, prevented by reason of mental or bodily disease or infirmity or other incapacity or any other circumstances from providing for his proper accommodation, maintenance and upbringing; and
(c) in either case, that the intervention of the local authority under this section is necessary in the interests of the welfare of the child, it shall be the duty of the local authority to receive the child into their care under this section.”
51. Section 17 of the Children Act 1989 has since provided, inter alia:
“17. Provision of services for children in need, their families and others
(1) It shall be the general duty of every local authority (in addition to the other duties imposed on them by this Part) -
(a) to safeguard and promote the welfare of children within their area who are in need; and
(b) so far as is consistent with that duty, to promote the upbringing of such children by their families,
by providing a range and level of services appropriate to those children's needs.
(2) For the purpose principally of facilitating the discharge of their general duty under this section, every local authority shall have the specific duties and powers set out in Part I of Schedule 2.
...
(10) For the purposes of this Part a child shall be taken to be in need if -
(a) he is unlikely to achieve or maintain, or to have the opportunity of achieving or maintaining a reasonable standard of health or development without the provision for him of services by a local authority under this Part;
(b) his health or development is likely to be significantly impaired or further impaired, without the provision for him of such services; or
(c) he is disabled ...
(11) ...; and in this Part
'development' means physical, intellectual, emotional, social or behavioural development; and
'health' means physical or mental health.”
52. Part III of the Children Act 1989 deals with local authority support for children and families. The policy of the Act is made clear by paragraph 7 of Part I of Schedule 2, which requires local authorities to take reasonable steps designed to reduce the need to bring proceedings relating to children.
53. Section 20 provides that
“20(1) Every local authority shall provide accommodation for any child in need within their area who appears to them to require accommodation as a result of -
(a) there being no person who has parental responsibility for him;
(b) his being lost or having been abandoned; or
(c) the person who has been caring for him being prevented (whether or not permanently, and for whatever reason) from providing him with suitable accommodation or care.
...
(4) A local authority may provide accommodation for any child within their area (even though a person who has parental responsibility for him is able to provide him with accommodation) if they consider that to do so would safeguard or promote the child's welfare.”
54. Part V of the Children Act 1989 deals with the protection of children. Section 47 provides as follows:
“47(1) Where a local authority -
...
(b) have reasonable cause to suspect that a child who lives or is found, in their area is suffering, or is likely to suffer, significant harm,
the authority shall make, or cause to be made, such enquiries as they consider necessary to enable them to decide whether they should take any action to safeguard or promote the child's welfare.
...
(8) Where, as a result of complying with this section, a local authority conclude that they should take action to safeguard or promote the child's welfare they shall take action (so far as it is within their power and reasonably practicable for them to do so).”
B. Complaints procedure
55. The complaints procedure is provided by section 26 of the Children Act 1989:
“Review of cases and inquiries into representations
...
(3) Every local authority shall establish a procedure for considering any representations (including any complaint) made to them by -
(a) any child ... who is not being looked after by them but is in need;
(b) a parent of his;
...
(e) such other person as the authority consider has a sufficient interest in the child's welfare to warrant his representations being considered by them,
about the discharge by the authority of any of their functions under this Part in relation to the child.
(4) The procedure shall ensure that at least one person who is not a member or officer of the authority takes part in -
(a) the consideration; and
(b) any discussions which are held by the local authority about the action (if any) to be taken in relation to the child in the light of this consideration.
...
(7) Where any representation has been considered under the procedure established by the local authority under this section, the authority shall -
(a) have due regard to the findings of those considering the representation; and
(b) take such steps as are reasonably practicable to notify (in writing) -
(i) the person making the representation;
(ii) the child (if the authority consider that he has sufficient understanding); and
(iii) such other persons (if any) as appear to the authority to be likely to be affected,
of the authority's decision in the matter and their reasons for taking that decision and of any action which they have taken, or propose to take.
(8) Every local authority shall give such publicity to their procedure for considering representations under this section as they consider appropriate.”
56. The powers of the Secretary of State to investigate the actions of the local authority are set out in sections 81 and 84 of the Children Act 1989.
“81. (1) The Secretary of State may cause an inquiry to be held into any matter connected with -
(a) the function of the social services committee of a local authority, in so far as those functions relate to children;
...
84. Local authority failure to comply with statutory duty: default power of Secretary of State
(1) If the Secretary of State is satisfied that any local authority has failed, without reasonable excuse, to comply with any of the duties imposed on them by or under this Act he may make an order declaring that authority to be in default with respect to that duty.
...
(3) Any order under subsection (1) may contain such directions for the purpose of ensuring that the duty is complied with, within such period as may be specified in the order, as appears to the Secretary of State to be necessary.
(4) Any such directions shall, on the application of the Secretary of State, be enforceable by mandamus.”
C. Actions for damages against the local authority
57. In England and Wales there is no single tort which imposes liability to pay compensation for civil wrongs. Instead there is a series of separate torts, for example, trespass, conversion, conspiracy, negligence and defamation.
58. Negligence arises in specific categories of situations. These categories are capable of being extended. There are three elements to the tort of negligence: a duty of care, breach of the duty of care, and damage. The duty of care may be described as the concept which defines the categories of relationships in which the law may impose liability on a defendant in damages if he or she is shown to have acted carelessly. To show a duty of care, the claimant must show that the situation comes within an existing established category of cases where a duty of care has been held to exist. In novel situations, in order to show a duty of care, the claimant must satisfy a threefold test, establishing:
– that damage to the claimant was foreseeable;
– that the claimant was in an appropriate relationship of proximity to the defendant; and,
– that it is fair, just and reasonable to impose liability on the defendant.
These criteria apply to claims against private persons as well as claims against public bodies. The leading case is Caparo Industries plc v. Dickman ([1990] 2 Appeal Cases 605).
59. If the courts decide that as a matter of law there is no duty of care owed in a particular situation, that decision will (subject to the doctrine of precedent) apply in future cases where the parties are in the same relationship.
60. The decision in X and Others v. Bedfordshire County Council ([1995] 3 All England Law Reports 353) is the leading authority in the United Kingdom in this area. It held that local authorities could not be sued for negligence or for breach of statutory duty in respect of the discharge of their functions concerning the welfare of children. The leading judgment is reported at length in the facts above (see paragraphs 45-46 above).
61. Since X and Others v. Bedfordshire County Council, there have been two further significant judgments regarding the extent of liability of local authorities in child care matters.
62. The Court of Appeal gave judgment in W. and Others v. Essex County Council ([1998] 3 All England Law Reports 111). This case concerned the claims by a mother and father (first and second plaintiffs), who had agreed to act as foster parents, that the defendant local authority placed G., a 15-year-old boy, in their home although they knew that he was a suspect or known sexual abuser. During G.'s stay in their home, the plaintiffs' three children (fourth to sixth plaintiffs) were all sexually abused and suffered psychiatric illness. The plaintiffs brought an action against the local authority and the social worker involved, claiming damages for negligence and for negligent misstatement. On the defendants' application to strike out the statement of claim as disclosing no reasonable cause of action, the judges struck out the parents' claims but refused to strike out the claims of the children. The Court of Appeal upheld his decision. The headnote for the judgment summarised the Court of Appeal's findings as follows:
“(1) Although no claim in damages lay in respect of decisions by a local authority in the exercise of a statutory discretion, if the decision complained of was so unreasonable that it fell outside the ambit of the discretion conferred, there was no a priori reason for excluding common law liability. In the instant case, the giving of information to the parents was part and parcel of the defendants' performance of their statutory powers and duties, and it had been conceded that it was arguable that those decisions fell outside the ambit of their discretion. Accordingly, since it had also been conceded that the damage to the children was reasonably foreseeable and that there was sufficient proximity, the question for the court was whether it was just and reasonable to impose a duty of care on the council or the social worker. Having regard to the fact that common law duty of care would cut across the whole statutory set up for the protection of children at risk, that the task of the local authority and its servants in dealing with such children was extraordinarily difficult and delicate, that local authorities might adopt a more defensive approach to their duties if liability in damages were imposed, that the relationship between parents and social workers was frequently one of conflict and that the plaintiff children's injuries were compensatable under the Criminal Injuries Compensation Scheme, it was not just and reasonable to do so. It followed that no duty of care was owed to the plaintiff parents who in any event were secondary victims in respect of their claim for psychiatric illness ...
(2) (Stuart-Smith LJ dissenting) It was arguable that the policy considerations against imposing a common law duty of care on a local authority in relation to the performance of its statutory duties to protect children did not apply when the children whose safety was under consideration were those in respect of whom it was not performing any statutory duty. Accordingly, since in the instant case, the plaintiff children were not children for whom the council had carried out any immediate caring responsibilities under the child welfare system but were living at home with their parents, and express assurances had been given that a sexual abuser would not be placed in their home, their claim should proceed ...”
63. On further appeal by the parents, the House of Lords on 16 March 2000 held that it was impossible to say that the psychiatric injury allegedly suffered by the parents, flowing from a feeling that they had brought the abuser and their children together or from a feeling of responsibility for not having detected the abuse earlier, was outside the range of psychiatric injury recognised by the law, nor was it unarguable that the local authority had owed a duty of care to the parents. The parents' claim could not be said to be so certainly or clearly bad that they should be barred from pursuing it to trial and their appeal was allowed.
64. The House of Lords gave judgment on 17 June 1999 in Barrett v. London Borough of Enfield ([1999] 3 Weekly Law Reports 79). That case concerned the claims of the plaintiff, who had been in care from the age of ten months to 17 years, that the local authority had negligently failed to safeguard his welfare causing him deep-seated psychiatric problems. The local authority had applied to strike out the case as disclosing no cause of action. The House of Lords, upholding the plaintiff's appeal, unanimously held that the judgment in X and Others v. Bedfordshire County Council did not in the circumstances of this case prevent a claim of negligence being brought against a local authority by a child formerly in its care.
65. Lord Browne-Wilkinson, in his judgment in that case, commented as follows on the operation of the duty of care:
“(1) Although the word 'immunity' is sometimes incorrectly used, a holding that it is not fair, just and reasonable to hold liable a particular class of defendants whether generally or in relation to a particular type of activity is not to give immunity from a liability to which the rest of the world is subject. It is a prerequisite to there being any liability in negligence at all that as a matter of policy it is fair, just and reasonable in those circumstances to impose liability in negligence. (2) In a wide range of cases public policy has led to the decision that the imposition of liability would not be fair and reasonable in the circumstances, e.g. some activities of financial regulators, building inspectors, ship surveyors, social workers dealing with sex abuse cases. In all these cases and many others the view has been taken that the proper performance of the defendant's primary functions for the benefit of society as a whole will be inhibited if they are required to look over their shoulder to avoid liability in negligence. In English law the decision as to whether it is fair, just and reasonable to impose a liability in negligence on a particular class of would-be defendants depends on weighing in the balance the total detriment to the public interest in all cases from holding such class liable in negligence as against the total loss to all would-be plaintiffs if they are not to have a cause of action in respect of the loss they have individually suffered. (3) In English law, questions of public policy and the question whether it is fair and reasonable to impose liability in negligence are decided as questions of law. Once the decision is taken that, say, company auditors though liable to shareholders for negligent auditing are not liable to those proposing to invest in the company (see Caparo Industries plc v. Dickman [1990] 1 All ER 568, [1990] 2 AC 605), that decision will apply to all future cases of the same kind. The decision does not depend on weighing the balance between the extent of the damage to the plaintiff and the damage to the public in each particular case.”
D. Striking-out procedure
66. At the relevant time, Order 18, Rule 19 of the Rules of the Supreme Court provided that a claim could be struck out if it disclosed no reasonable cause of action. This jurisdiction has been described as being reserved for “plain and obvious cases”, in which a claim was “obviously unsustainable”.
67. In applications to strike out, the courts proceeded on the basis that all the allegations set out in the claimant's pleadings were true. The question for the courts was whether, assuming that the claimant could substantiate all factual allegations at trial, the claim disclosed a reasonable cause of action.
68. The striking out procedure, now contained in Part 3.4(2) of the Civil Procedure Rules in force since 1999, is regarded as an important feature of English civil procedure, performing the function of securing speedy and effective justice, inter alia, by allowing a court to decide promptly which issues need full investigation and trial, and disposing summarily of the others. By means of this procedure, it can be determined at an early stage, with minimal cost to the parties, whether the facts as pleaded reveal a claim existing in law.
THE LAW
I. ALLEGED VIOLATION OF ARTICLE 3 OF THE CONVENTION
69. The applicants alleged that the local authority had failed to protect them from inhuman and degrading treatment contrary to Article 3 of the Convention, which provides:
“No one shall be subjected to torture or to inhuman or degrading treatment or punishment.”
70. In its report the Commission expressed the unanimous opinion that there had been a violation of Article 3 of the Convention. It considered that there was a positive obligation on the Government to protect children from treatment contrary to this provision. The authorities had been aware of the serious ill-treatment and neglect suffered by the four children over a period of years at the hands of their parents and failed, despite the means reasonably available to them, to take any effective steps to bring it to an end.
71. The applicants requested the Court to confirm this finding of a violation.
72. The Government did not contest the Commission's finding that the treatment suffered by the four applicants reached the level of severity prohibited by Article 3 and that the State failed in its positive obligation, under Article 3 of the Convention, to provide the applicants with adequate protection against inhuman and degrading treatment.
73. The Court reiterates that Article 3 enshrines one of the most fundamental values of democratic society. It prohibits in absolute terms torture or inhuman or degrading treatment or punishment. The obligation on High Contracting Parties under Article 1 of the Convention to secure to everyone within their jurisdiction the rights and freedoms defined in the Convention, taken in conjunction with Article 3, requires States to take measures designed to ensure that individuals within their jurisdiction are not subjected to torture or inhuman or degrading treatment, including such ill-treatment administered by private individuals (see A. v. the United Kingdom, judgment of 23 September 1998, Reports of Judgments and Decisions 1998‑VI, p. 2699, § 22). These measures should provide effective protection, in particular, of children and other vulnerable persons and include reasonable steps to prevent ill-treatment of which the authorities had or ought to have had knowledge (see, mutatis mutandis, Osman v. the United Kingdom, judgment of 28 October 1998, Reports 1998-VIII,
pp. 3159-60, § 116).
74. There is no dispute in the present case that the neglect and abuse suffered by the four applicant children reached the threshold of inhuman and degrading treatment (as recounted in paragraphs 11-36 above). This treatment was brought to the local authority's attention, at the earliest in October 1987. It was under a statutory duty to protect the children and had a range of powers available to them, including the removal of the children from their home. These were, however, only taken into emergency care, at the insistence of the mother, on 30 April 1992. Over the intervening period of four and a half years, they had been subjected in their home to what the consultant child psychiatrist who examined them referred as horrific experiences (see paragraph 40 above). The Criminal Injuries Compensation Board had also found that the children had been subject to appalling neglect over an extended period and suffered physical and psychological injury directly attributable to a crime of violence (see paragraph 49 above). The Court acknowledges the difficult and sensitive decisions facing social services and the important countervailing principle of respecting and preserving family life. The present case, however, leaves no doubt as to the failure of the system to protect these applicant children from serious, long-term neglect and abuse.
75. Accordingly, there has been a violation of Article 3 of the Convention.
II. ALLEGED VIOLATION OF ARTICLE 8 OF THE CONVENTION
76. The applicants alleged, in the alternative to their complaints under Article 3 of the Convention, that the circumstances in which they suffered ill-treatment, causing them physical and psychological injury, disclosed a breach of Article 8 of the Convention, which under the principle of respect for private life, protected physical and moral integrity.
77. Having regard to its finding of a violation of Article 3, the Court considers that no separate issue arises under Article 8 of the Convention.
III. ALLEGED VIOLATION OF ARTICLE 6 OF THE CONVENTION
78. The applicants complained that they had been denied access to a court to determine their claims against the local authority in negligence. They relied on Article 6 of the Convention.
79. Article 6 § 1 provides in its first sentence:
“In the determination of his civil rights and obligations or of any criminal charge against him, everyone is entitled to a fair and public hearing within a reasonable time by an independent and impartial tribunal established by law.”
80. The Government denied that there was any civil right in issue in the case or any restriction on access, while the Commission found unanimously that there had been a breach of Article 6, in that the House of Lords had applied an exclusionary rule concerning the liability of local authorities in child care matters which constituted in the circumstances a disproportionate restriction on the applicants' access to a court.
A. Submissions of the parties
1. The applicants
81. The applicants submitted that their negligence claim was plainly arguable as a matter of domestic law, relying, inter alia, on Osman, cited above. The right to sue in negligence, a cause of action framed in general terms, was an established civil right in domestic law. The local authority had conceded that they could have foreseen damage to the applicants if they carried out their duties negligently and that there was a proximate relationship, thereby satisfying the first two limbs of the test for the duty of care. There was a strong argument that public policy considerations required a duty of care to be imposed and there was no prior decision excluding liability. The applicants also pointed to the fact that the judge who made the care orders specifically released the case papers to the Official Solicitor so that he could investigate and, if appropriate, pursue negligence claims; that the Official Solicitor considered that there were arguable claims in negligence; that the Legal Aid Board granted legal aid to pursue the claims to the House of Lords; and that the Court of Appeal which rejected the claims by a majority granted leave to appeal to the House of Lords, the precondition for such leave being that the claim was arguable in domestic law; that the Master of the Rolls, in the Court of Appeal, found that there was duty of care, stating the contrary to be “an affront to common sense”; and that in previous cases, local authorities had paid settlements in negligence cases, on the basis that they were potentially liable. There was a serious dispute in domestic law, therefore, as to the existence of any exclusionary principle, which has continued since, and Article 6 was applicable.
82. The exclusionary rule applied by the House of Lords permitted the applicants' claims to be struck out without determining the facts and without a trial. This applied regardless of the merits or the seriousness of the harm suffered. Designed to protect local authorities from wasting resources on having to defend an action at all, this amounted in practical effect to an immunity and acted as a restriction on access to a court.
83. The application of a blanket rule which excluded the determination of the applicants' claims irrespective of the seriousness of the harm suffered, the nature and extent of negligence involved, or the fundamental rights which were at stake, constituted a disproportionate restriction on their right of access to a court. They emphasised the severity of the damage suffered by them due to prolonged exposure to abuse and neglect against which the public policy arguments against imposition of liability had little weight, namely, the alleged risk of frivolous litigation, the increased caution of social services in fulfilling their functions or the difficulty or sensitivity of the issues. Indeed, the requirement to investigate effectively cases of treatment contrary to Article 3 pointed strongly to the recognition of a right of access to a court where the State's responsibility had been engaged for inhuman or degrading treatment of vulnerable children. They referred to the Court's finding in Osman (cited above, p. 3170, § 151) that the domestic courts should be able to distinguish between degrees of negligence or harm and give consideration to the justice of a particular case. An exclusionary rule on that basis should be capable of yielding to competing human rights considerations on the facts of a particular case.
2. The Government
84. The Government submitted that Article 6 guaranteed a fair trial in the determination only of such civil rights and obligations as are (at least arguably) recognised in national law. It does not bear on the substantive question of whether a right to compensation exists in any given situation. The proceedings brought by the applicants established that no right existed. The decision to strike out their claim touched on the scope of the domestic law. By ruling that a right of action did not exist in a particular set of circumstances, the courts were applying substantive limits to tort liability, as the legislature might do in statute (see, for example, Powell and Rayner v. the United Kingdom, judgment of 21 February 1990, Series A no. 172, pp. 16-17, § 36). There was no established cause of action which was restricted. Accordingly, they claimed that Article 6 § 1 was not applicable.
85. The Government argued in the alternative that there was no immunity applied which could be regarded as a restriction on access to a court. Even assuming that there was an arguable issue, there could in their view be no doubt that the dispute was subject to a fair and public hearing in compliance with the guarantees of Article 6. The striking-out procedure was an important way of securing the speedy and cost-effective determination of cases that were hopeless in law. It achieved those aims without inhibiting claimants' rights to present any arguments in their favour to a court. Thus, as factual matters were assumed to be those pleaded, the claimants were not prejudiced by the lack of hearing of evidence, while they could put forward any arguments in their favour to persuade the court that their claim was sustainable as a matter of law.
86. Assuming that their arguments on the above failed, the Government argued that any restriction on access to a court nonetheless pursued a legitimate aim and was proportionate. It aimed to preserve the efficiency of a vital sector of public service. The exclusion of liability was strictly limited in scope to the category of cases to which it applied, actions for misfeasance, vicarious liability for employees remaining unaffected. The domestic courts had themselves weighed up the public policy issues for and against liability in light of the principles of English tort law and the social and political philosophy underlying those principles. A very substantial margin of appreciation would therefore be appropriate in any international adjudication.
B. The Court's assessment
1. Applicability of Article 6 of the Convention
87. The Court recalls its constant case-law to the effect that “Article 6 § 1 extends only to 'contestations' (disputes) over (civil) 'rights and obligations' which can be said, at least on arguable grounds, to be recognised under domestic law; it does not itself guarantee any particular content for (civil) 'rights and obligations' in the substantive law of the Contracting States” (see James and Others v. the United Kingdom, judgment of 21 February 1986, Series A no. 98, pp. 46-47, § 81; Lithgow and Others v. the United Kingdom, judgment of 8 July 1986, Series A no. 102, p. 70, § 192; and The Holy Monasteries v. Greece, judgment of
9 December 1994, Series A no. 301-A, pp. 36-37, § 80). It will however apply to disputes of a “genuine and serious nature” concerning the actual existence of the right as well as to the scope or manner in which it is exercised (see Benthem v. the Netherlands, judgment of 23 October 1985, Series A no. 97, pp. 14-15, § 32).
88. In the present case, the applicants were claiming damages on the basis of alleged negligence, a tort in English law which is largely developed through the case-law of the domestic courts. It is agreed by the parties that there was no previous court decision which indicated that liability existed in respect of damage caused negligently by a local authority in carrying out its child protection duties. It was in the applicants' case that the domestic courts were called on to rule whether this situation fell within one of the existing categories of negligence liability, or whether any of the categories should be extended to this situation (see paragraphs 57-65 above).
89. The Court is satisfied that at the outset of the proceedings there was a serious and genuine dispute about the existence of the right asserted by the applicants under the domestic law of negligence as shown, inter alia, by the grant of legal aid to the applicants and the decision of the Court of Appeal that their claims merited leave to appeal to the House of Lords. The Government's submission that there was no arguable (civil) “right” for the purposes of Article 6 once the House of Lords had ruled that no duty of care arose has relevance rather to any claims which were lodged or pursued subsequently by other plaintiffs. The House of Lords' decision did not remove, retrospectively, the arguability of the applicants' claims (see Le Calvez v. France, judgment of 29 July 1998, Reports 1998-V, pp. 1899-900, § 56). In such circumstances, the Court finds that the applicants had, on at least arguable grounds, a claim under domestic law.
90. Article 6 was, therefore, applicable to the proceedings brought by these applicants alleging negligence by the local authority. The Court must, therefore, examine whether the requirements of Article 6 were complied with in those proceedings.
2. Compliance with Article 6 of the Convention
91. The Court, in Golder v. the United Kingdom (judgment of 21 February 1975, Series A no. 18, pp. 13-18, §§ 28-36), held that the procedural guarantees laid down in Article 6 concerning fairness, publicity and expeditiousness would be meaningless if there were no protection of the pre-condition for the enjoyment of those guarantees, namely, access to a court. It established this as an inherent aspect of the safeguards enshrined in Article 6, referring to the principles of the rule of law and the avoidance of arbitrary power which underlie much of the Convention.
92. Article 6 § 1 “may ... be relied on by anyone who considers that an interference with the exercise of one of his (civil) rights is unlawful and complains that he has not had the possibility of submitting that claim to a tribunal meeting the requirements of Article 6 § 1” (see Le Compte, Van Leuven and De Meyere v. Belgium, judgment of 23 June 1981, Series A
no. 43, p. 20, § 44). Where there is a serious and genuine dispute as to the lawfulness of such an interference, going either to the very existence or the scope of the asserted civil right, Article 6 § 1 entitles the individual “to have this question of domestic law determined by a tribunal” (see Sporrong and Lönnroth v. Sweden, judgment of 23 September 1982, Series A no. 52, p. 30, § 81; see also Tre Traktörer AB v. Sweden, judgment of 7 July 1989, Series A no. 159, p. 18, § 40).
93. The right is not absolute, however. It may be subject to legitimate restrictions such as statutory limitation periods, security for costs orders, regulations concerning minors and persons of unsound mind (see Stubbings and Others v. the United Kingdom, judgment of 22 October 1996, Reports 1996-IV, pp. 1502-03, §§ 51-52; Tolstoy Miloslavsky v. the United Kingdom, judgment of 13 July 1995, Series A no. 316-B, pp. 80-81,
§§ 62-67; and Golder, cited above, p. 19, § 39). Where the individual's access is limited either by operation of law or in fact, the Court will examine whether the limitation imposed impaired the essence of the right and, in particular, whether it pursued a legitimate aim and there was a reasonable relationship of proportionality between the means employed and the aim sought to be achieved (see Ashingdane v. the United Kingdom, judgment of 28 May 1985, Series A no. 93, pp. 24-25, § 57). If the restriction is compatible with these principles, no violation of Article 6 will arise.
94. It is contended by the applicants in this case that the decision of the House of Lords, finding that the local authority owed no duty of care, deprived them of access to a court as it was effectively an exclusionary rule, or an immunity from liability, which prevented their claims from being decided on the facts.
95. The Court observes, firstly, that the applicants were not prevented in any practical manner from bringing their claims before the domestic courts. Indeed, the case was litigated with vigour up to the House of Lords, the applicants being provided with legal aid for that purpose. Nor is it that any procedural rules or limitation periods had been relied on. The domestic courts were concerned with the application brought by the defendants to have the case struck out as disclosing no reasonable cause of action. This involved the pre-trial determination of whether, assuming the facts of the applicants' case as pleaded were true, there was a sustainable claim in law. The arguments before the courts were, therefore, concentrated on the legal issues, primarily whether a duty of care in negligence was owed to the applicants by the local authority.
96. Moreover, the Court is not persuaded that the House of Lords' decision that, as a matter of law, there was no duty of care in the applicants' case may be characterised as either an exclusionary rule or an immunity which deprived them of access to a court. As Lord Browne-Wilkinson explained in his leading speech, the House of Lords was concerned with the issue whether a novel category of negligence, that is a category of cases in which a duty of care had not previously been held to exist, should be developed by the courts in their law-making role under the common law (see paragraph 46 above). The House of Lords, after weighing in the balance the competing considerations of public policy, decided not to extend liability in negligence into a new area. In so doing, it circumscribed the range of liability under tort law.
97. That decision did end the case, without the factual matters being determined on the evidence. However, if as a matter of law, there was no basis for the claim, the hearing of evidence would have been an expensive and time-consuming process which would not have provided the applicants with any remedy at its conclusion. There is no reason to consider the striking-out procedure which rules on the existence of sustainable causes of action as per se offending the principle of access to a court. In such a procedure, the plaintiff is generally able to submit to the court the arguments supporting his or her claims on the law and the court will rule on those issues at the conclusion of an adversarial procedure (see paragraphs 66-68 above).
98. Nor is the Court persuaded by the suggestion that, irrespective of the position in domestic law, the decision disclosed an immunity in fact or practical effect due to its allegedly sweeping or blanket nature. That decision concerned only one aspect of the exercise of local authorities' powers and duties and cannot be regarded as an arbitrary removal of the courts' jurisdiction to determine a whole range of civil claims (see Fayed v. the United Kingdom, judgment of 21 September 1994, Series A no. 294-B, pp. 49-50, § 65). As it has recalled above in paragraph 87, it is a principle of Convention case-law that Article 6 does not in itself guarantee any particular content for civil rights and obligations in national law, although other Articles such as those protecting the right to respect for family life (Article 8) and the right to property (Article 1 of Protocol No. 1) may do so. It is not enough to bring Article 6 § 1 into play that the non-existence of a cause of action under domestic law may be described as having the same effect as an immunity, in the sense of not enabling the applicant to sue for a given category of harm.
99. Furthermore, it cannot be said that the House of Lords came to its conclusion without carefully balancing the policy reasons for and against the imposition of liability on the local authority in the circumstances of the applicants' case. Lord Browne-Wilkinson, in his leading judgment in the House of Lords, acknowledged that the public policy principle that wrongs should be remedied required very potent counter-considerations to be overridden (see paragraph 46 above). He weighed that principle against the other public policy concerns in reaching the conclusion that it was not fair, just or reasonable to impose a duty of care on the local authority in the applicants' case. It may be noted that in subsequent cases the domestic courts have further defined this area of law concerning the liability of local authorities in child-care matters, holding that a duty of care may arise in other factual situations, where, for example, a child has suffered harm once in local authority care, or a foster family has suffered harm as a result of the placement in their home by the local authority of an adolescent with a history of abusing younger children (see W. and Others v. Essex County Council and Barrett, both cited above, paragraphs 62-65 above).
100. The applicants, and the Commission in its report, relied on Osman (cited above) as indicating that the exclusion of liability in negligence, in that case concerning the acts or omissions of the police in the investigation and prevention of crime, acted as a restriction on access to a court. The Court considers that its reasoning in Osman was based on an understanding of the law of negligence (see, in particular, Osman, cited above, pp. 3166-67, §§ 138-39) which has to be reviewed in the light of the clarifications subsequently made by the domestic courts and notably by the House of Lords. The Court is satisfied that the law of negligence as developed in the domestic courts since the case of Caparo Industries plc (cited above) and as recently analysed in the case of Barrett (cited above, loc. cit.) includes the fair, just and reasonable criterion as an intrinsic element of the duty of care and that the ruling of law concerning that element in this case does not disclose the operation of an immunity. In the present case, the Court is led to the conclusion that the inability of the applicants to sue the local authority flowed not from an immunity but from the applicable principles governing the substantive right of action in domestic law. There was no restriction on access to a court of the kind contemplated in Ashingdane (cited above, loc. cit.).
101. The applicants may not, therefore, claim that they were deprived of any right to a determination on the merits of their negligence claims. Their claims were properly and fairly examined in light of the applicable domestic legal principles concerning the tort of negligence. Once the House of Lords had ruled on the arguable legal issues that brought into play the applicability of Article 6 § 1 of the Convention (see paragraphs 87-89 above), the applicants could no longer claim any entitlement under Article 6 § 1 to obtain any hearing concerning the facts. As pointed out above, such a hearing would have served no purpose, unless a duty of care in negligence had been held to exist in their case. It is not for this Court to find that this should have been the outcome of the striking-out proceedings since this would effectively involve substituting its own views as to the proper interpretation and content of domestic law.
102. It is nonetheless the case that the interpretation of domestic law by the House of Lords resulted in the applicants' case being struck out. The tort of negligence was held not to impose a duty of care on the local authority in the exercise of its statutory powers. Their experiences were described as “horrific” by a psychiatrist (see paragraph 40 above) and the Court has found that they were victims of a violation of Article 3 (see paragraph 74 above). Yet the outcome of the domestic proceedings they brought is that they, and any children with complaints such as theirs, cannot sue the local authority in negligence for compensation, however foreseeable – and severe – the harm suffered and however unreasonable the conduct of the local authority in failing to take steps to prevent that harm. The applicants are correct in their assertions that the gap they have identified in domestic law is one that gives rise to an issue under the Convention, but in the Court's view it is an issue under Article 13, not Article 6 § 1.
103. The Court emphasises that the object and purpose underlying the Convention, as set out in Article 1, is that the rights and freedoms should be secured by the Contracting State within its jurisdiction. It is fundamental to the machinery of protection established by the Convention that the national systems themselves provide redress for breaches of its provisions, the Court exerting its supervisory role subject to the principle of subsidiarity. In that context, Article 13, which requires an effective remedy in respect of violations of the Convention, takes on a crucial function. The applicants' complaints are essentially that that they have not been afforded a remedy in the courts for the failure to ensure them the level of protection against abuse to which they were entitled under Article 3 of the Convention. The domestic courts referred to “the public-policy consideration that has first claim on the loyalty of the law” as being that “wrongs should be remedied” (see paragraph 46 above). As far as Convention wrongs are concerned, that principle is embodied in Article 13 (see, inter alia, Kudła v. Poland [GC], no. 30210/96, § 152, ECHR 2000‑XI). It is under Article 13 that the applicants' right to a remedy should be examined and, if appropriate, vindicated.
104. Accordingly, the Court finds that there has been no violation of Article 6 of the Convention.
IV. ALLEGED VIOLATION OF ARTICLE 13 OF THE CONVENTION
105. The applicants submitted that they had not been afforded any remedy for the damage which they had suffered as a result of the failure of the local authority to protect them, relying on Article 13 of the Convention, which provides:
“Everyone whose rights and freedoms as set forth in [the] 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.”
106. The applicants argued that the exclusionary rule established by the House of Lords in their case deprived them of any effective remedy within the national legal system for the violation of Article 3 which they suffered. While the remedy required by Article 13 need not always be judicial in character, in their case a judicial determination was required. This was because the tort of negligence was the only remedy in national law capable of determining the substance of their complaint and which (but for the alleged immunity) would closely match the requirements of the Convention. Also the accountability of public officials, central to both Articles 3 and 13, required a right of access to a court whereby the individual could hold the responsible officials to account in adversarial proceedings and obtain an enforceable order for compensation if the claim was substantiated. The wording of Article 13 also prohibited the creation of immunities for public officials and any such immunity must be regarded as contrary to the object and purpose of the Convention.
107. The Government pointed out that there were a number of remedies available to the applicants which went some way towards providing effective redress. This included the payment of compensation from the Criminal Injuries Compensation Board (CICB), the possibility of complaining to the Local Government Ombudsman, and the complaints procedure under the Children Act 1989. However, the Government accepted that in the particular circumstances of this case, the remedies were insufficient, alone or cumulatively, to satisfy the requirements of Article 13. They conceded that there had been a serious violation of one of the most important Convention rights, that the CICB could only award compensation for criminal acts, not for the consequences of neglect, and that any recommendation by the Ombudsman would not have been legally enforceable. They had been under the obligation, in this case, to ensure that some form of compensation was made available for damage caused by the breach of Article 3, whether by a broader statutory compensation scheme, an enforceable Ombudsman's award, or through the courts. They pointed out that from October 2000, when the Human Rights Act 1998 came into force, a victim would be able to bring proceedings in the courts against a public authority for a breach of a substantive right, and the courts would be empowered to award damages.
108. As the Court has stated on many occasions, Article 13 of the Convention guarantees the availability at the national level of a remedy to enforce the substance of the Convention rights and freedoms in whatever form they might happen to be secured in the domestic legal order. Article 13 thus requires the provision of a domestic remedy to deal with the substance of an “arguable complaint” under the Convention and to grant appropriate relief, although the Contracting States are afforded some discretion as to the manner in which they conform to their Convention obligations under this provision. The scope of the obligation under Article 13 also varies depending on the nature of the applicant's complaint under the Convention. Nevertheless, the remedy required by Article 13 must be “effective” in practice as well as in law (see, among other authorities, Aydın v. Turkey, judgment of 25 September 1997, Reports 1997-VI, pp. 1895-96, § 103).
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.
110. The applicants have argued that in their case an effective remedy could only be provided by adversarial court proceedings against the public body responsible for the breach. The Court notes that the Government have conceded that the range of remedies at the disposal of the applicants was insufficiently effective. They have pointed out that in the future, under the Human Rights Act 1998, victims of human rights breaches will be able to bring proceedings in courts empowered to award damages. The Court does not consider it appropriate in this case to make any findings as to whether only court proceedings could have furnished effective redress, though judicial remedies indeed furnish strong guarantees of independence, access for the victim and family, and enforceability of awards in compliance with the requirements of Article 13 (see, mutatis mutandis, Klass and Others
v. Germany, judgment of 6 September 1978, Series A no. 28, p. 30, § 67).
111. The Court finds that in this case the applicants did not have available to them an appropriate means of obtaining a determination of their allegations that the local authority failed to protect them from inhuman and degrading treatment and the possibility of obtaining an enforceable award of compensation for the damage suffered thereby. Consequently, they were not afforded an effective remedy in respect of the breach of Article 3 and there has, accordingly, been a violation of Article 13 of the Convention.
V. APPLICATION OF ARTICLE 41 OF THE CONVENTION
112. Article 41 of the Convention provides:
“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. Pecuniary damage
1. The applicants
113. The applicants submitted that they should be compensated for loss of future earnings and the costs of future medical expenses. Their experiences have, in different ways and to differing extents, blighted their lives. A substantial award should be made to enable them to enter life with a modicum of financial security, the potential to build an independent existence and the means to pay for therapeutic treatment and support.
114. The applicants provided updated medical reports dated 16 May 2000 by Dr Jean Harris-Hendriks concerning their progress and prognosis for the future.
(i) Z was described as having made a recovery from the serious depressive illness suffered at the time of her removal into care. While she was no longer suffering from any psychiatric illness, she had emotional, social and practical difficulties far beyond those normally affecting a girl of her age and was statistically vulnerable to anxiety and perhaps depressive illness in adult life. Her problems were classified as being of moderate severity. It was estimated that she would need psychotherapeutic treatment, outside the National Health Service, estimated at 60 to 100 sessions costing 70 to 90 pounds sterling (GBP) per session, to cope with her vulnerability, particularly at periods of transition. She was likely to remain vulnerable on the labour market, though it was anticipated that she would be able to take on further education, sustain her own mental health and enter the workforce. On her behalf, her representatives claimed GBP 9,000 for the cost of future psychiatric treatment, and GBP 40,000 to offset her handicap on the labour market, a total of GBP 49,000.
(ii) A had failed to appear for an interview with Dr Harris-Hendriks, who also commented on the lack of detailed information concerning periods spent by A in care. She had, however, interviewed him on behalf of the local authority in May 1993 and had some records concerning his past treatment and problems. On that basis, she concluded that he was suffering from long-term psychiatric illness and had a poor prognosis for recovery. His chances of fitting into the normal school system remained very poor. He was prone to aggressiveness and had difficulty with everyday tasks. He was currently suffering from a reactive attachment disorder, resulting directly from severe parental neglect and abuse. The prognosis for the future was extremely bleak and he was likely to require intermittent hospitalisation. He was seriously handicapped on the labour market and was unlikely ever to be able to hold down a job. Assuming that he might otherwise have been able to obtain low-paid manual employment earning GBP 15,000 per year, and a normal working life to age 65, and taking into account uncertainties and early settlement, he claimed GBP 150,000 in loss of future earnings. As he had a substantial and continuing need for psychiatric treatment outside the National Health Service (NHS), he claimed GBP 50,000 as a minimum estimate for future treatment. This made a total of GBP 200,000.
(iii) B was still suffering from untreated post-traumatic stress disorder and a chronic, generalised anxiety disorder. He had horrific nightmares and, if left untreated, was likely to continue in the same disturbed emotional state. He required open-ended psychiatric treatment into adult life, outside the limited provision of the NHS. This was estimated at a cost of
GBP 50,000 minimum. He is vulnerable in terms of both schooling and employment opportunities because of a chronic psychiatric disorder and limited social skills. His prospects of future employment were not as bleak as those of A, but he was likely to have substantial interruptions in his employment. On the assumption of six gaps of one year, on an average labourer's wage of GBP 15,000 per year, he claimed GBP 90,000. This made a total of GBP 140,000.
(iv) C was described as happy in her adoptive home, though carrying a substantial burden about her origins and reminders of them. She was recurrently angry and anxious about her natural mother. She had some remaining behavioural problems which were likely to be containable with good substitute parenting. She was, however, more liable than other children to anxiety and there was a statistical risk of depression in adult life. She did not currently require psychiatric treatment although provision should be made for treatment in adolescence and adulthood. At a recommended 30 to 50 sessions at GBP 70 to 90, a claim was made for GBP 4,500 for future psychiatric treatment. GBP 10,000 was claimed for loss of future earnings, making a total of GBP 14,500.
The reports commented that all the children would have benefited from compensation for their claims in 1994 as this would have allowed additional psychotherapeutic help, improving their prognosis. In A's case, his difficulties had been exacerbated by this lack of help while appropriate psychiatric, educational and environmental help might have substantially improved his prognosis. In B's case, more psychotherapeutic help could have reduced his current vulnerability and given a less gloomy prognosis. The reports also deplored that the psychotherapeutic referrals recommended for A and B in 1993 (for both) and 1998 (for B) had not been pursued by the local authority on their behalf, and noted that one of the social workers had been told that there was no time or money for this work to be done.
2. The Government
115. The Government submitted that it was wrong to rely on domestic case-law and scales of assessment in just-satisfaction claims under
Article 41 as the Court made its own assessment in accordance with principles in its own case-law. They emphasised that it must also be taken into account that the ill-treatment and neglect suffered by the applicants was not inflicted by the local authority but by their parents. It was also relevant that the breach of Article 3 arose only after there had been a failure to take effective steps when the situation in the home failed to show significant improvement – there was no ground for assuming that the children should have been removed from their home immediately. Nor should any award be made in respect of any alleged violation of Article 13 as that damage would be compensated by the award made under Article 3. In assessing what compensation would be equitable, it should also be taken into account that a number of compensatory remedies were available to the applicant, in particular, they received awards from the CICB.
116. As regards the recent medical reports, the Government considered that these were framed in largely identical terms with no attempt to distinguish the children's condition by reference to their age at the time of the violation, their sex and the duration of the treatment. No consideration was given either to what part was played by the temperament of the applicants, and by environmental factors including the care which they had received since 1992. Nor was any regard given to any harm which they might have suffered since being taken into care.
117. Turning to the specific claims made, the Government noted that Z had recovered from her depressive illness and had been doing remarkably well during her schooling, with no significant problems. There was nothing to substantiate the asserted claim for 60 to 100 sessions of psychotherapeutic treatment. Given her positive progress, the claim of statistical vulnerability to future anxiety and depressive illness was not substantiated either.
The report on A was in their view particularly unsatisfactory as it was issued without A having appeared for interview and without full information about his history. While he was not referred to a special clinic as suggested, he did receive therapeutic work in the community where he lived between 1996 and 1998. There was no or little basis for the assumption that his difficulties were exacerbated by the failure of his earlier compensation claim.
The report on B was similarly highly speculative and unsubstantiated, with regard to the alleged adverse impact of the lack of compensation. Its comments on his educational difficulties were inconsistent.
The report on C indicated that she was not psychiatrically ill and was coping well, rendering the conclusion that she had emotional and practical difficulties beyond the average girl of her age difficult to understand. The statements concerning likely future need and alleged impact of the failure of the compensation claim were unsupported by the evidence.
118. The Government submitted that in light of these considerations a reasonable sum of GBP 20,000 for Z, GBP 40,000 for A, GBP 30,000 for B, and GBP 10,000 for C would afford the applicants just satisfaction for both pecuniary and non-pecuniary damage.
3. The Court's assessment
119. As regards the applicants' claims for pecuniary loss, the Court's case-law establishes that there must be a clear causal connection between the damage claimed by the applicant and the violation of the Convention and that this may, in the appropriate case, include compensation in respect of loss of earnings (see, among other authorities, Barberà, Messegué and Jabardo v. Spain (Article 50), judgment of 13 June 1994, Series A
no. 285-C, pp. 57-58, §§ 16-20, and Çakıcı v. Turkey [GC], no. 23657/94, § 127, ECHR 1999-IV).
120. A precise calculation of the sums necessary to make complete reparation (restitutio in integrum) in respect of the pecuniary losses suffered by the applicants may be prevented by the inherently uncertain character of the damage flowing from the violation (see Young, James and Webster
v. the United Kingdom (Article 50), judgment of 18 October 1982, Series A no. 55, pp. 6-7, § 11). An award may still be made notwithstanding the large number of imponderables involved in the assessment of future losses, though the greater the lapse of time involved, the more uncertain the link becomes between the breach and the damage. The question to be decided in such cases is the level of just satisfaction, in respect of both past and future pecuniary losses, which it is necessary to award each applicant, the matter to be determined by the Court at its discretion, having regard to what is equitable (see The Sunday Times v. the United Kingdom (no. 1) (Article 50), judgment of 6 November 1980, Series A no. 38, p. 9, § 15, and Smith and Grady v. the United Kingdom (just satisfaction), nos. 33985/96 and 33986/96, §§ 18-19, ECHR 2000-IX). In that determination, the awards made in comparable domestic cases is a relevant but not decisive consideration.
121. Turning to the present case, the Court recalls that all four children suffered psychological and physical damage resulting from the abuse and neglect of their parents over a period of more than four years (see paragraphs 11-40 above). The breach of Article 3 concerned the failure of the local authority to take reasonable steps available to them to protect them from that damage. There is a direct causal link, therefore, between the breach and the damage suffered by the children. While it is correct, as asserted by the Government, that there is no finding that the children should have immediately been taken into care and that they might have suffered damage even if effective steps had been taken at an earlier stage, the Court notes that the severity of the damage suffered by the children is inextricably linked to the long period of time over which the abuse persisted, which factor is also at the heart of the violation of Article 3 in this case.
122. The Court has taken into consideration the points made by the Government concerning the medical reports provided by the applicants, in particular, the lack of any attempt to compare the children's prospects in education and employment prior to their being taken into care. It cannot be excluded, for example, that A and B, who were identified as having educational difficulties, would have experienced some problems in any event. However, such assessments would inevitably be imprecise and based on some degree of speculation, as were the views expressed by Dr Harris-Hendriks concerning the future prognosis and effect on the educational and employment prospects. It may also be noted that the medical reports have not been tested in adversarial proceedings.
123. It is nonetheless possible, on the basis of the information available to the Court, to conclude that the four children will, in all probability, suffer from the effects of their experiences for the rest of their lives. Their capacity to cope with this past trauma will depend on their own personal abilities and the support to which they may have access.
124. It is clear that Z has made an excellent recovery from her depressive illness and, receiving support from her new family, is expected to do well at school and in the future in general. C, who, due to her young age, was less damaged by events, has also successfully integrated into a new family and is attending school without problem. In their case, the Court finds that it is not possible with any degree of certainty to draw conclusions as to future difficulties in the employment sphere. Notwithstanding their current positive prognosis, it may be considered as reasonably possible that in the future they will have some need of professional help in coping with problems which may arise as they grow older and in coming to terms with their childhood experience. An award to cover future psychotherapeutic care will assist in providing them with the support necessary to that process.
125. A was the most severely damaged of the children and suffers an ongoing psychiatric illness. Therapeutic care would help him now and will be necessary in the future. The Court is satisfied that the medical report may be relied on in this respect, Dr Harris-Hendriks having previously examined A and having access to sufficient information to support her opinion. Having integrated neither into a family nor into the education system, the prognosis for A may reasonably be described as bleak. In his case, it may be claimed that the damage suffered from the abuse will in all probability affect his prospects of gaining employment in the future. An award is appropriate to reflect this loss.
126. B is suffering from post-traumatic stress and anxiety disorders, which are likely to continue to affect him for some time to come. He requires both current and future psychiatric treatment. He is attending school, in a special-needs group. It is also probable, though to a lesser extent than A, that he will have problems in obtaining and sustaining employment in later life. An award is appropriate to reflect this.
127. Bearing in mind the uncertainties of the applicants' situations, and making an assessment on an equitable basis, the Court awards Z the sum of GBP 8,000 for future medical costs; A the sum of GBP 50,000 for future medical costs and GBP 50,000 for loss of employment opportunities; B the sum of GBP 50,000 for future medical costs and GBP 30,000 for loss of employment opportunities; and C the sum of GBP 4,000 for future medical costs.
B. Non-pecuniary damage
1. The applicants
128. The applicants claimed non-pecuniary damage in respect of the physical and psychiatric damage sustained. Z had suffered a serious depressive illness and severe malnutrition, and it was predicted that she would need long-term psychiatric care, probably into adulthood. A had suffered from post-traumatic stress disorder and was chronically under-attached. There was evidence to suggest that his father had hit him with a poker and that he had been sexually abused. He had suffered permanent scarring and was expected to require long-term psychiatric care. B had also suffered post-traumatic stress disorder, with some evidence of being beaten by a poker and being sexually abused. He suffered very bad nightmares and would wake up screaming. He was expected to require long-term psychiatric care. C had been less seriously damaged but was also expected to require some psychiatric treatment. Her health had been neglected by her mother and she had a squint as a result.
According to the assessment of Dr Black, Z, A and B had suffered psychiatric damage falling at the upper end of the severe bracket. They exhibited “marked problems” in their ability to cope with life and in their relationships with family, friends and those with whom they came into contact. A and B in particular had a poor prognosis and there was a likelihood of future vulnerability. C had suffered damage in the “moderately severe” bracket. Although she presented significant problems in the areas above, she had a more favourable prognosis.
Having regard to the levels of awards in such cases in the domestic courts, the applicants considered that a reasonable sum would be GBP 35,000 for Z, GBP 45,000 for A, GBP 40,000 for B, and GBP 25,000 for C.
2. The Government
129. As stated above, the Government considered that sums of GBP 20,000 for Z, GBP 40,000 for A, GBP 30,000 for B, and GBP 10,000 for C would afford the applicants just satisfaction for both pecuniary and non-pecuniary damage.
3. The Court's assessment
130. The children in this case suffered very serious abuse and neglect over a period of more than four years. Z, A and B suffered, and in the case of the two boys, still suffer psychiatric illness as a result. A and B also suffered physical injury and C suffered neglect in respect of an eye condition. The description of the conditions which they endured and the traumatic effects which this had on the children leave the Court with no doubt that a substantial award to reflect their pain and suffering is appropriate.
131. In making this assessment, the Court recalls that the rates applied in domestic cases, though relevant, are not decisive. It does not consider it appropriate or desirable to attempt to distinguish between the children in this context. Making an assessment on an equitable basis, the Court awards each child the sum of GBP 32,000.
C. Costs and expenses
132. The applicants claimed GBP 52,781.28 inclusive of value-added tax (VAT) by way of legal costs and expenses, which included fees for attendance at hearings before the Commission and the Court, fees for
Dr Harris-Hendriks and submissions on Article 41 of the Convention.
133. The Government did not dispute the hourly rate or number of hours claimed by the applicants' principal legal advisers. They did query the involvement of a leading counsel as an expert on negligence law in addition to the leading counsel with human rights expertise. They also queried the involvement of the AIRE Centre in addition to an experienced counsel and solicitor, and noted that the AIRE Centre's fees for attending the hearing had also been billed in full in the second case, T.P. and K.M. v. the United Kingdom [GC], no. 28945/95, ECHR 2001-V, heard before the Court on the same day. They proposed that GBP 43,000 was a reasonable sum, taking these deductions into account. However, if no violation of Articles 6 and 8 of the Convention was found, they disputed the necessity for any of the fees incurred after April 2000 when the Government conceded a breach of Articles 3 and 13 of the Convention. In those circumstances, a reasonable sum would be GBP 36,000.
134. The Court recalls that only legal costs and expenses found to have been actually and necessarily incurred and which are reasonable as to quantum are recoverable under Article 41 of the Convention (see, among other authorities, Nikolova v. Bulgaria [GC], no. 31195/96, § 79, ECHR 1999-II). It observes that the case involved important and complex issues, both concerning the facts which were established by the Commission, and the legal aspects. It does not consider that the costs incurred after April 2000 should be disallowed as such, as there were outstanding issues to be determined, including the claims of pecuniary and non-pecuniary damage arising out of the breaches conceded by the Government. As, however, the complaint made under Article 6, which was a significant part of the application, was unsuccessful, the costs and expenses allowed should be reduced. The Court has had regard to the fact that the Article 6 complaint was to some extent interconnected with the complaint about the inadequacy of remedies under Article 13.
135. In light of these matters, the Court awards the global sum of GBP 39,000 for legal costs and expenses, inclusive of VAT.
D. Default interest
136. According to the information available to the Court, the statutory rate of interest applicable in the United Kingdom at the date of adoption of the present judgment is 7.5% per annum.
FOR THESE REASONS, THE COURT
1. Holds unanimously that there has been a violation of Article 3 of the Convention.
2. Holds unanimously that no separate issue arises under Article 8 of the Convention.
3. Holds by twelve votes to five that there has been no violation of Article 6 of the Convention.
4. Holds by fifteen votes to two that there has been a violation of Article 13 of the Convention.
5. Holds unanimously
(a) that the respondent State is to pay the applicants, within three months, the following amounts:
(i) GBP 8,000 (eight thousand pounds sterling) to Z, GBP 100,000 (one hundred thousand pounds sterling) to A, GBP 80,000 (eighty thousand pounds sterling) to B, and GBP 4,000 (four thousand pounds sterling) to C in respect of pecuniary damage;
(ii) GBP 32,000 (thirty-two thousand pounds sterling) to each applicant for non-pecuniary damage;
(iii) GBP 39,000 (thirty-nine thousand pounds sterling) in respect of costs and expenses, inclusive of VAT;
(b) that simple interest at an annual rate of 7.5% shall be payable from the expiry of the above-mentioned three months until settlement;
6. Dismisses unanimously the remainder of the applicants' claims for just satisfaction.
Done in English and in French, and delivered at a public hearing in the Human Rights Building, Strasbourg, on 10 May 2001.
Luzius Wildhaber
President
Paul Mahoney
Deputy Registrar
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) concurring opinion of Lady Justice Arden as to Article 6;
(b) concurring opinion of Lady Justice Arden as to Article 41, joined by Mr Kovler;
(c) partly dissenting opinion of Mr Rozakis joined by Mrs Palm;
(d) partly dissenting opinion of Mrs Thomassen joined by Mr Casadevall and Mr Kovler.
L.W.
P.J.M.
CONCURRING OPINION OF LADY JUSTICE ARDEN
AS TO ARTICLE 6
I agree that Article 6 of the Convention is applicable in this case and that it is not violated for the reasons given by the majority. I attach particular importance to the majority's affirmation of the well-established principle of Convention case-law that Article 6 does not guarantee any particular content for civil rights and obligations (see paragraphs 87, 98, 100 and 101 of the judgment). In the present case the applicants failed to obtain any remedy under the domestic law because the domestic courts held that they had no cause of action in English law (X v. Bedfordshire County Council [1995] 2 Appeal Cases 633).
Founding themselves upon the erroneous proposition as a matter of domestic law that they had some general right to sue in negligence where the defendant's act had caused damage and there was sufficient proximity, the applicants sought to argue that the decision of the English courts amounted to a sweeping or blanket immunity. I agree with the conclusion, in paragraph 98 of the judgment, that the facts of this case do not support that argument. In my view, when the courts in England, proceeding incrementally under the common law system of judicial law-making, hold that a hitherto unconsidered category of harm does not, as a matter of law, fall within the scope of the tort of negligence, they cannot properly be described as creating an “immunity”, whether blanket or limited (see the speech of Lord Browne-Wilkinson in Barrett v. the London Borough of Enfield [1999] 3 Weekly Law Reports 79, paragraph 65 of the judgment in the present case). What the decision of the House of Lords in the present case did was to determine a legal issue fixing the limits on the substantive content of a domestic “civil right”. In any event the decision was fully and carefully reasoned. It could not be regarded as the product of arbitrariness and it applied only to closely defined circumstances (see paragraphs 98-99 of the judgment).
Paragraph 98 of the judgment refers to Fayed v. the United Kingdom
(judgment of 21 September 1994, Series A no. 294-B). In that case the Court contemplated the possibility that there might be a violation of the right of access to a court if, for example, a State could remove from the jurisdiction of the courts a whole range of civil claims, or confer immunities from civil liability on large groups or categories of persons (ibid., pp. 49-50, § 65). At the same time, however, the Court also stated that the Convention enforcement bodies could not create, by way of interpretation of Article 6, a substantive civil right which had no legal basis in the State concerned. Yet that is what the applicants are inviting the Court to do in the present case. Once the conclusion is reached that the right on which the applicants seek to rely has no legal basis in national law, the question of whether there was an “immunity” such as to rely on the principle referred to in Fayed strictly does not arise.
In Fayed the Court did not settle the question whether the operation of a defence to a claim in defamation conferred by English law on a public officer was such as to attract the application of the right of access to a court under Article 6 § 1 or, rather, the substantive right to respect for one's private life under Article 8. Instead, it chose to “proceed on the basis that Article 6 § 1 [was] applicable to the facts of the case” (ibid., pp. 50-51,
§ 67). It explained that it did so as a matter of procedural convenience because the same central issues of legitimate aim and proportionality would have been raised under Article 8, and because the parties' arguments had been directed solely to Article 6 § 1. The result in that case does not, therefore, set any precedent for the applicability of Article 6 § 1 or detract from the principle to which, as stated, I attach particular importance, namely that Article 6 does not guarantee any particular content for civil rights and obligations (see paragraphs 87, 98, 100 and 101 of the present judgment).
CONCURRING OPINION OF LADY JUSTICE ARDEN
AS TO ARTICLE 41, JOINED BY JUDGE KOVLER
Article 41 of the Convention enables the Court in appropriate cases to “afford just satisfaction to the injured party”. The judgment of the Court awards two sums to each applicant by way of just satisfaction: one sum in respect of pecuniary damage and the other sum in respect of non-pecuniary damage. In the case of pecuniary damage, each applicant is awarded a different sum. However, in respect of non-pecuniary damage, each applicant is awarded an identical amount. Thus, with regard to non-pecuniary damage, the applicants' cases are not assessed individually. The applicants are treated as having suffered equal distress. In addition, no distinction is drawn between the suffering of any one applicant as against that of any other applicant, despite the differences between the cases of the applicants.
I agree that the just satisfaction which the Court awards to the applicants for the violation of Article 13 should include a sum on account of non-pecuniary damage in addition to the sums awarded in respect of pecuniary damage. I have no doubt that such an award is justified. However, in my opinion, the Court should not award the same sum to each applicant but rather should make a separate award to each applicant, reflecting the suffering of that applicant.
As paragraph 128 of the judgment shows, the applicants themselves have sought different amounts: GBP 35,000 for Z, GBP 45,000 for A, GBP 40,000 for B, and GBP 25,000 for C.
All the applicants endured suffering before they were taken into care. After they were taken into care they were assessed by consultant child psychiatrists: in 1993 by Dr Black, and in 2000 by Dr Harris-Hendriks. The diagnosis of A indicates that his case is the most serious. In 1993 he was diagnosed as suffering from post-traumatic stress disorder, and in 2000 he was diagnosed as suffering from a personality disorder for which the prognosis was unfavourable. B was considered to have a post-traumatic stress disorder in both 1993 and 2000, as well as social difficulties, and in addition in 2000 a generalised anxiety disorder, but the prognosis for him was uncertain rather than unfavourable. On the other hand, the initial diagnosis in 1993 of Z as suffering from a severe depressive illness has not been borne out, though it is considered that she may suffer anxiety and perhaps depressive illness in later life. In 2000 C's difficulties were described as moderate; she was regarded as vulnerable to anxiety and likely to need psychotherapeutic help in the future, but she had not suffered any psychiatric disorder.
In the circumstances my preferred course would have been to have performed a separate assessment of the amount to be awarded for non-pecuniary damage to each applicant. Having considered the evidence on the Article 41 issue, I consider that an appropriate amount would have been GBP 25,000 for Z, GBP 40,000 for A, GBP 35,000 for B, and GBP 15,000 for C.
PARTLY DISSENTING OPINION OF JUDGE ROZAKIS JOINED BY JUDGE PALM
With great regret I am unable to follow the assessment and the conclusions of the majority of the Court that, in the instant case, there has been no violation of Article 6 § 1 of the Convention in so far as access of the applicants to a court of law is concerned. The reasons which have led me to depart from the majority's findings are as follows:
1. The majority is satisfied that the proceedings before the national courts, which culminated in a decision of the House of Lords, met the requirements of Article 6 § 1 as regards the applicants' right to have access to a court for the determination of their civil rights. As the Court observes in paragraph 101 of the judgment, the applicants may not “claim that they were deprived of any right to a determination on their merits of their negligence claims. Their claims were properly and fairly examined in the light of the applicable domestic principle concerning the tort of negligence”. And, as it is also stated in paragraph 95, “[t]he arguments before the courts were, therefore, concentrated on the legal issues, primarily whether a duty of care in negligence was owed to the applicants by the local authority”. It is difficult for one to accept this approach. The applicants' claims before the national courts did not, of course, refer to this preliminary issue. Their complaint was that the local authorities acted with gross negligence in a case involving a statutory duty of care and that, because of the damage inflicted on them by the failure of the authorities to properly discharge their responsibilities, compensation was due. They submitted this civil right to the courts and nurtured the legitimate expectation that it would be dealt with by the courts through an examination on the merits following an adversarial procedure that would enable them to prove the veracity of their claims. If it may be asserted that, as a general rule the question of access to a court is determined by the subject matter of the claims before the national courts, then the applicants never enjoyed access: at all stages of the domestic examination of their case, the national courts solely examined the jurisdictional problem of whether they could entertain the merits of the case before them, thus confining themselves to the preliminary question of whether an exclusionary rule exists, preventing them from examining the merits. An exclusionary rule which was eventually established by them, not on the basis of statutory requirements or specific precedents that were binding on them, but on the basis of a particular interpretation by them of the requirements of English law in the light of the circumstances of the case before them.
2. It is one matter, of course, to accept that there was no access to a court – which, unfortunately, the majority did not clearly accept – and another to say that, in the circumstances of a particular case, the absence of access is justified because it serves a particular purpose which is proportionate to the damage done to an individual not enjoying the protection otherwise afforded to him by Article 6 of the Convention.
I am prepared to subscribe to this alternative approach, on which the majority has also embarked – without, however, making a clear distinction between the absence of access and the circumstances justifying a proportional denial of it. However, I am not prepared to accept that the facts of the case may lead us to the conclusion that the applicants were correctly and proportionately deprived of their right because the public-interest considerations prevailed over their legitimate expectation to have their claims examined on the merits.
First of all, it transpires clearly from the facts of the case that the right to sue in negligence was an established civil right in domestic law, that the public-care authorities accepted that they had been negligent in their behaviour, and that there was a proximate relationship in accordance with the criteria determined by national law. Further, the way that the judicial authorities dealt with the matter shows that the case presented serious issues that warranted serious examination: as the applicants pointed out, the judge who made the care orders specifically released the case papers to the Official Solicitor so that he could investigate and, if appropriate, pursue negligence claims; the Official Solicitor considered that there were arguable claims in negligence; the Legal Aid Board granted legal aid to pursue the claims to the House of Lords; and the Court of Appeal, which rejected the claims by a majority, granted leave to appeal to the House of Lords, the precondition for such leave being that the claim was arguable in domestic law; the Master of the Rolls in the Court of Appeal found that there was a duty of care, stating the contrary to be “an affront to common sense”; and, in previous cases, local authorities had settled negligence claims on the basis that they were potentially liable.
So, the only reason which eventually led to this case being struck out was an interpretation by the national courts, and particularly the House of Lords, based on an argument of expediency and as a matter of policy. Indeed, by applying the third test of the English law of torts on negligence – namely, whether it was fair, just and reasonable to impose liability on the public-care authorities in the circumstances of the case, the House of Lords found that it would be detrimental to the exercise of the duties of the public body in question to impose upon them the excessive burden of tortious liability for acts or omissions in the discharge of their duties. The position taken by the House of Lords in this matter was novel and tantamount to a refusal to extend tortious liability for civil wrongs arising out of a duty of care by local authorities for child care.
It is not the Court's task to enter into an examination of the social-policy considerations which led the national courts to interpret the third test in the way they did. Yet, it is its task to look at the circumstances surrounding the particular decisions taken and to assess their significance when applying its own test of proportionality; and it seems difficult for me to accept that in view of the importance attached to the facts of the case by the various judicial and other bodies, and the novel character of the House of Lords' ruling, the creation of new case-law barring the examination of the case on its merits was proportionate to the need for adequate protection of individuals (and society generally) against negligence by public authorities.
Secondly, and more importantly, this Court has found a violation of Article 3 of the Convention on the basis of a finding that “the neglect and abuse suffered by the four applicant children reached the threshold of inhuman and degrading treatment” (see paragraph 74 of the judgment). Again it is difficult for me to accept that serious matters of public concern – as are all matters involving a violation of Article 3 – may be left outside the protection of independent and impartial tribunals established by law, and providing all the guarantees required by Article 6 of the Convention. The majority, however, holds a different view since it accepts that, even in circumstances where there has been a violation of the substance of Article 3, the Contracting States “are afforded some discretion as to the manner in which they conform to their Convention obligations ...” provided that some effective remedy exists to deal with individual complaints concerning inhuman and degrading treatment. Hence, they conclude that, in the present situation, Article 13, but not Article 6, has been violated.
It seems to me that the present case may be considered as the locus classicus of the limits afforded to States by the Convention to determine the modalities of access to domestic courts. Our case-law has repeatedly underlined the fact that the right to a tribunal is not unlimited – and rightly so. Yet, the Court is free to determine in which instances a Contracting State oversteps its freedom of choice and becomes liable under Article 6; and one criterion which can readily assist the Court in drawing the line between instances where a State retains its discretion, and instances where a State is bound to offer judicial guarantees to those falling under its jurisdiction, is the severity of the complaint before the national authorities. If the complaint may involve a violation of core Convention rights – such as Articles 2 and 3 – the Court is bound, to my mind, to find that the States are obliged not simply to offer an effective remedy (as required by Article 13), but a judicial remedy covering all the requirements of Article 6.
3. Most of the ideas put forward in the previous lines have as their source of inspiration Osman v. the United Kingdom (judgment of 28 October 1998, Reports of Judgments and Decisions 1998-VIII) which the majority has not followed in the present judgment. The main reason which has led the majority to depart from the established case-law is explained in paragraph 100 of the present judgment:
“... The Court considers that its reasoning in Osman was based on an understanding of the law of negligence ... which has to be reviewed in the light of the clarifications subsequently made by the domestic courts and by notably the House of Lords. The Court is satisfied that the law of negligence as developed in the domestic courts since the case of Caparo Industries plc ... and as recently analysed in the case of Barrett ... includes the fair, just and reasonable criterion as an intrinsic element of the duty of care and that the ruling of law concerning that element in this case does not disclose the operation of an immunity. In the present case, the Court is led to the conclusion that the inability of the applicants to sue the local authority flowed not from an immunity but from the applicable principles governing the substantive right of action in domestic law. ...”
I do not think that in Osman the Court was very much concerned with this subtle issue raised by this judgment in the above-mentioned paragraph. The Court in Osman never said that the jurisdictional bar was an immunity to be distinguished from the applicable principles governing the substantive right of action in domestic law. It simply considered that “the application of the [exclusionary] rule in this manner without further enquiry into the existence of competing public interest considerations only serves to confer a blanket immunity on the police for their acts and omissions during the investigation and suppression of crime and amounts to an unjustifiable restriction on an applicant's right to have a determination on the merits of his or her claim against the police in deserving cases” (see Osman, cited above, p. 3170, § 151 – emphasis added). It went on to express the opinion that, in cases where the harm sustained by a complainant was of the most serious nature, examination of the merits could not be automatically excluded by the application of a rule which “amounts to the grant of an immunity to the police”. In conclusion, the Court in Osman was mainly concerned with the fact that the applicants in a very serious case of possible substantive human-rights violations did not have the opportunity to air their grievances before a court of law; it was not concerned with whether the reason behind it being impossible to examine the case on the merits was or was not the result of an immunity provided for by national law acting as a procedural bar having such an effect. It simply found that the impossibility amounted to a grant of an immunity. Under these circumstances how can we distinguish between Osman and the present case?
For all the above reasons I believe that Article 6 (access to a court) has been violated and, hence, I consider that Article 13 does not raise a separate ground for violation, Article 6 being the lex specialis in this case.
PARTLY DISSENTING OPINION OF JUDGE THOMASSEN JOINED BY JUDGES CASADEVALL AND KOVLER
I am unable to agree with the majority that there has been no violation of Article 6 of the Convention in this case.
The Court is unanimous that the authorities failed to protect the applicants, young children, from inhuman and degrading treatment and its majority observes that the applicants were denied “a determination of their allegations that the local authority failed to protect them from inhuman and degrading treatment and the possibility of obtaining an enforceable award of compensation for the damage suffered thereby” (see paragraph 111 of the judgment).
Despite the severe negligence by the authorities, which allowed the ill-treatment of the applicants to continue for so many years and caused the applicants physical and psychiatric injuries amounting to a violation of Article 3, the applicants could not hold the authorities accountable in domestic court proceedings. By reference to policy factors (for example, difficulties of attributing responsibility between different agencies, sensitivity of decisions, risk of inculcating in local authorities a cautious and defensive approach to exercise of their duties, risk of costly and vexatious litigation) the domestic courts decided that the local authority could not be held liable in negligence in the exercise of their statutory powers to protect children. De facto, the local authority was thus declared to be immune for claims because they had acted in the exercise of their statutory powers to protect children.
In my view the applicants' rights under Article 6 were thereby violated as they had no access to a court in order to have a decision on their claims, which were arguable under national law. The facts of this case and the way in which domestic law operated are very similar to those in Osman v. the United Kingdom (judgment of 28 October 1998, Reports of Judgments and Decisions 1998-VIII) where the applicants' claims for negligence against the police were struck out for policy reasons relating to the perceived interests in preventing the efficiency of the police service being undermined by litigation. In Osman the Court found that the application of an exclusionary rule barring liability of the police for negligence in the exercise of their functions of investigating and preventing crime constituted a disproportionate restriction on access to a court for the applicants. The majority's reasons for not following the decisions in Osman (see paragraph 100 of the judgment) are not, to my mind, convincing. There seem to have been no striking or significant changes in the law of negligence since that case and all relevant matters concerning the content of domestic law had been brought to the attention of the Court by the parties in Osman. I am of the opinion that the conclusion under Article 6 in this case must be the same.
It is true that, as the majority observes in paragraph 95 of the judgment, the applicants were not prevented in any practical manner from bringing their claims before the domestic courts. The case was litigated up to the House of Lords, the applicants being provided with legal aid for that purpose. Nor is it the case that any procedural rules of limitation had been relied on. However, the notion of “access to a court” under Article 6 guarantees not only that the applicants have their claims brought before the courts, but implies also the right to have those claims examined on the basis of the facts before the courts and to have them decided on.
I agree with the majority saying in paragraph 98 that Article 6 does not in itself guarantee any particular content for civil rights and obligations in national law. But where there is an arguable claim under domestic tort law as in this case (see paragraph 89 of the judgment), requiring that the applicants obtain a decision by a court on the liability of those responsible for allowing their ill-treatment to continue for many years, cannot, in my opinion, be said to determine the content of domestic law.
I would observe that the Court's supervision of the activities of national courts in defining “access” or “liability” seems to take place on a wider basis. In Fayed v. the United Kingdom (judgment of 21 September 1994, Series A no. 294-B, pp. 49-50, § 65), the Court said:
“Certainly the Convention enforcement bodies may not create by way of interpretation of Article 6 § 1 a substantive civil right which has no legal basis in the State concerned. However, it would not be consistent with the rule of law in a democratic society or with the basic principle underlying Article 6 § 1 – namely that civil claims must be capable of being submitted to a judge for adjudication – if, for example, a State could, without restraint or control by the Convention enforcement bodies, remove from the jurisdiction of the courts a whole range of civil claims or confer immunities from civil liability on large groups or categories of persons ...”
To reach its conclusion that the decision by the House of Lords did not amount to the granting of an immunity, the Court's majority observes, in paragraph 99, that in cases concerning the liability of local authorities in child-care matters brought after the applicants' case, the domestic courts have held that a duty of care may arise. But this does not change the fact that an immunity was conferred on the authorities in the applicants' case. Apparently the immunity applied in the applicants' case was found no longer appropriate in subsequent cases, the national courts taking into account, amongst other factors, the Court's approach in Osman, cited above.
While it has been alleged by the Government that a finding of a violation in this case would undermine the striking-out procedure used to avoid pointless litigation of baseless claims, I consider that this argument has not been substantiated by the material placed before the Court. The domestic courts have continued to strike cases out after the Court's judgment in Osman. A finding of a violation in this case would mean only that these applicants' claims, which involved serious ill-treatment contrary to a fundamental human right, should not have been struck out on the basis of general policy arguments. This Court has found no denial of access to a court where judges have struck out cases where there has been no proximity or foreseeability (see, for example, Powell v. the United Kingdom (dec.), no. 45305/99, ECHR 2000-V, and Bromiley v. the United Kingdom (dec.), no. 33747/96, 23 November 1999, unreported).
The majority of the Court finds that the applicants were not afforded an effective remedy in respect of the breach of Article 3 and they conclude that Article 13, not Article 6, was violated.
My conclusion would be that the “remedy” to which the applicants were entitled should have been access to a court in order to have their damages settled. Restrictions to access to a court in order to protect the interests of the local authority exercising their powers to protect children may be necessary and justified under Article 6. However, I would say that in this case, where it is agreed that the child applicants were victims of the failure of the system to protect them from serious, long-term neglect and abuse, the immunity conferred on the local authority because of policy reasons cannot be seen as proportionate.
Therefore, I believe that Article 6 was violated.
I voted for a violation of Article 13 because I agree with the majority that the applicants, whose rights under Article 3 of the Convention were violated, had no effective remedy before the national authorities.