MATTHEWS v. THE UNITED KINGDOMDISSENTING OPINION OF MM A. WEITZEL, C.L. ROZAKIS, M.P. PELLONPÄÄ,
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Document date: October 29, 1997
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DISSENTING OPINION OF MM A. WEITZEL, C.L. ROZAKIS, M.P. PELLONPÄÄ,
B. CONFORTI AND N. BRATZA
We regret that we are unable to agree with the majority of the
Commission that Article 3 of Protocol No. 1 has no application to
supra-national legislative institutions such as the European Parliament
or that, by virtue of Article 63 para. 3 of the Convention, the
Parliament cannot be regarded as part of "the legislature" of Gibraltar
for the purposes of Article 3. In our view, not only is Article 3 of
Protocol No. 1 applicable, but the failure of the United Kingdom to
provide for elections to the European Parliament for citizens of the
European Union who live in Gibraltar is in violation of the applicant's
rights under that Article.
As is indicated in the Report the case gives rise to four
principal issues: (1) whether the European Parliament can be
considered a "legislature" within the ordinary meaning of that term;
(2) if so, whether it is properly to be regarded as "the legislature"
of Gibraltar for the purpose of Article 3 of Protocol No. 1; (3) if so,
whether State responsibility can, in the particular circumstances of
the case, be engaged in respect of the absence of elections to the
European Parliament in Gibraltar; and (4) if so, whether such absence
of elections constituted a violation of the obligation in Article 3 "to
hold free elections ... under conditions which will ensure the free
expression of the opinion of the people in the choice of the
legislature".
It is convenient to deal with each issue in turn.
(1) The earlier case-law of the Commission in which the status of the
European Parliament has been examined under Article 3 of the Protocol
is summarised in paragraphs 54 - 56 of the Commission's Report. As
appears from that summary, the Commission, while acknowledging that the
wording of Article 3 showed that the national legislature was meant by
the drafters of the Convention, nevertheless did not exclude the
possibility that developments in the structure of the European
Communities would require the High Contracting Parties to grant the
right protected under Article 3 to supra-national representative organs
"partly assuming the powers and functions of national legislatures".
The sole ground on which, in the cases of Lindsay, Alliance des Belges,
Tête and Fournier, the Commission found that the European Parliament
did not fall within the provisions of Article 3 was that the Parliament
did not enjoy legislative powers in the strict sense and thus did not
constitute a "legislature" within the ordinary meaning of the term.
As pointed out in the Report, since the Commission last
considered the question of the status of the European Parliament, the
Treaty on European Union has entered into force, conferring new powers
on the Parliament. The Treaty not only repealed the words "advisory
and supervisory" which previously qualified the reference to the powers
of the Parliament in Article 137 of the EC Treaty, but introduced the
new procedure in Article 189b of the Treaty, conferring on the
Parliament a genuine power of co-decision in addition to its pre-
existing powers under the basic or consultative procedure and co-
operation procedure.
The Government assert that the provisions of Article 189b
represent only a modest incremental development of the existing co-
operation procedure and, in effect, merely extend the Parliament's
powers of veto. It is additionally pointed out that the European
Parliament plays a very limited role in certain of the most important
areas of the Community Treaties, notably the common commercial policy
and the field of economic and monetary union.
In our view, the arguments of the Government, while not without
force, understate the impact and importance of the additional
legislative powers conferred on the Parliament by the Treaty on
European Union. As the applicant points out, the Article 189b
procedure is applicable in fourteen areas of EC legislation, including
internal market harmonisation, the right of establishment and the
freedom to provide services. Within the field of legislation covered
by Article 189b the European Parliament is not merely given an
effective and unilateral power of veto against which not even a
unanimous Council can prevail: the procedure envisages the full
participation of the Parliament in the elaboration of EC legislation
and in determining its content, both directly and through the new
Conciliation Committee on which the Parliament is equally represented
with the Council.
It is true, as emphasised by the Government, that the Parliament
has no unilateral power to adopt legislation, its powers being jointly
exercised with the Council. It is also true that the Parliament has
no independent power to initiate legislation. However, these
limitations are not in our view sufficient to say that the Parliament
exercises no legislative powers. As to the absence of a unilateral
power to decide, the joint sharing of legislative powers is a feature
which is to be found in certain national legislatures and is of itself
not inconsistent with the notion of a legislature. As to the absence
of the power to initiate legislation, we note that in many national
legislatures the effective power to initiate legislation lies not with
the legislature itself or with its members, but with the Executive.
In addition, as is pointed out by the applicant, Article 138b of the
Treaty expressly confers powers on the Parliament to request the
Commission to submit any appropriate proposal on matters on which it
considers that a Community act is required for the purpose of
implementing the Treaty.
We further note that the European Parliament enjoys certain other
powers which are common attributes of national legislatures. In
particular, the Parliament has control over the adoption and
implementation of the budget, with power to amend and to reject the
draft budget. In addition, the Parliament is granted powers of control
over the appointment of the Commission (Article 158) as well as powers
to compel the Commission to resign as a body by means of a notice of
censure (Article 144). Indeed, compared to several national
Parliaments, the powers of the European Parliament are already
considerable and will become further strengthened when the Treaty of
Amsterdam enters into force.
In these circumstances the European Parliament is in our view
capable of being regarded as the representative organ of the Union,
which assumes at least in part the powers and functions of national
legislative bodies.
(2) The further question remains whether the European Parliament is
to be regarded as "the legislature" of Gibraltar for the purposes of
Article 3 of Protocol No. 1.
We recall that the aim and purpose of Article 3 of Protocol No. 1
is to contribute to the "effective political democracy" referred to in
the Preamble to the Convention. It is certainly not the function of
the Convention organs to prescribe the roles of the different
institutions of domestic constitutions, but rather they must look to
the existing constitutional structures to ascertain whether, in a given
situation, an organ is, or is not within the scope of the term "the
legislature" (see, e.g., Eur. Court HR, Mathieu-Mohin and
Clerfayt v. Belgium judgment of 2 March 1987, Series A No. 113, p. 23,
para. 53, where regional authorities shared competence powers with the
central authorities in such a way that Article 3 of Protocol No. 1
applied to elections to the regional authorities; and see also
No. 7008/75 v. Austria, Dec. 12.7.76, D.R. 6 p. 120. In No. 8873/80
v. the United Kingdom (Dec. 13.5.82, D.R. 28 p. 99) the Commission
accepted that the possibility for the United Kingdom Parliament to
legislate for Jersey was not sufficient for it to be part of "the
legislature" in the island, and in Booth-Clibborn and others v. the
United Kingdom (No. 11391/85), Dec. 5.7.85, D.R. 43 p. 236) the
Commission considered that metropolitan county councils in the United
Kingdom were not legislative bodies. For a further, recent example of
this approach to whether a body is part of "the legislature", see
Lindsay v. the United Kingdom, No. 31699/96, Dec. 17.1.97, concerning
elections under the Northern Ireland (Entry to Negotiations, etc.)
Act 1996.
The question whether the expression "the legislature" in
Article 3 is capable of extending beyond national legislative bodies,
so as to include supra-national institutions which exercise legislative
functions having a direct impact within the State concerned, is one of
some difficulty. It is correct, as pointed out by the Government, that
the question has never been addressed by the Court and that, while the
issue has been discussed by the Commission, it has not been finally
resolved. It is also correct that, as pointed out by the majority, the
Commission has previously accepted that the wording of Article 3 shows
that national legislative bodies were meant by the drafters of the
Convention when the Article was adopted. However, the Commission has
also clearly accepted in its earlier case-law that there is nothing in
principle to exclude the application of the Article 3 of the Protocol
to institutions - even those of a supra-national nature - which have
been created or developed after the coming into force of the Convention
and which exercise legislative functions directly affecting the State
or territory concerned. We see no reason to depart from this view.
It has constantly been emphasised by the Court and Commission that the
Convention is a living instrument which must be interpreted in the
light of present day conditions. This principle is in our view of
special relevance in the present case, concerned as it is with an
institution which did not even exist at the time when the Convention
was drafted. We can find nothing in the Travaux Préparatoires to
suggest that it would be contrary to the intention of the drafters to
exclude from the scope of Article 3 any new legislative body of a
supra-national character. Nor can we agree with the majority of the
Commission that to hold Article 3 to be applicable to such a
representative institution would be to extend the scope of the Article
beyond the object and purpose of the provision.
Whether in any particular case the institution concerned is to
be considered as forming part of "the legislature" of a State or
territory will depend on an examination of the constitutional and
legislative structures existing within the State or territory in
question.
As noted in the Report, Gibraltar is not part of the United
Kingdom but is a Crown colony, the Governor of which retains direct
responsibility for all matters primarily concerned with external
affairs, defence and internal security. The Gibraltar House of
Assembly has the right to make laws for the peace, order and good
government of Gibraltar, although it may not except with the consent
of the Governor proceed upon any Bill which is not a defined domestic
matter". While the scope of the House of Assembly's powers to
legislate is thus limited, we consider that the House of Assembly, to
which elections are held every five years, may be regarded as the
domestic "legislature" of Gibraltar for the purposes of Article 3 of
the Protocol.
In Gibraltar, as in the other parts of the European territory
subject to European Community law, the impact of that law has steadily
increased over the years. Applicable EC legislation is generally given
force in Gibraltar under the 1972 European Communities Ordinance, under
which primary or secondary legislation is enacted in Gibraltar to give
effect to EC legislation there, the exceptions being EC Regulations
which are directly applicable in Gibraltar as in all other parts of the
European Union.
In terms of numbers alone, approximately one-third of all
legislation currently adopted in Gibraltar is as a direct consequence
of Gibraltar's membership of the European Union. Admittedly, in purely
numerical terms the number of legislative acts adopted under
Article 189b and applied in Gibraltar in 1994, 1995 and the first half
of 1996 is small. However, even assuming that it is appropriate to
confine attention to acts adopted under this procedure, we note that
the acts in question relate to such areas as data protection,
insurance, deposit guarantee schemes and environmental matters, with
an increasingly important impact on a small territory such as
Gibraltar.
We consider that, notwithstanding the exclusion of Gibraltar from
significant parts of the EC Treaty, the impact of Community legislation
in Gibraltar, including that emanating from the European Parliament
under the co-decision procedures in Article 189b, is such that the
Parliament can be regarded as sharing at least in part the powers and
functions of the national legislature and as forming part of "the
legislature" of Gibraltar for the purposes of Article 3 of
Protocol No. 1.
We note in this regard that in two of the concurring opinions
reliance is placed on the provisions of Article 63 para. 3 of the
Convention, it being argued that the local requirements of a colonial
territory such as Gibraltar, and, in particular, its special
constitutional structure, are such that the European Parliament cannot
be regarded as "the legislature" of the territory for the purposes of
Article 3 of the Convention.
We are not persuaded by this view. While we accept that the
constitutional structure of Gibraltar has special features, the fact
remains that the impact of legislation emanating from the institutions
of the European Union, including the Parliament, on citizens of the
Union living within Gibraltar is considerable. Even assuming that the
term "local requirements" in Article 63 para. 3 of the Convention is
to be interpreted as including the constitutional structure within a
territory (which we doubt), we can see no reason why those "local
requirements" should be interpreted as requiring the exclusion of the
European Parliament from the term "the legislature" in Article 3. We
are reinforced in this view by the fact that, in the extensive
submissions filed on their behalf, the Government have at no stage
invoked Article 63 para. 3 or suggested that the provision had any
relevance to the issues raised.
(3) The further issue remains whether the absence of elections to the
European Parliament in Gibraltar is capable of engaging the
responsibility of the United Kingdom and, if so, whether there has been
a violation of that Article.
We observe at the outset that the 1976 Act, which by Annex II
confined the application of its provisions to the United Kingdom, is
not as such a Community act, the signatories to the Act being the
Governments of the Member States and the Act having the status of a
Community treaty. It is true that the Act was itself annexed to a
Council Decision but, as pointed out by the applicant, the Decision is
itself not a typical Community act, being signed not merely by the
President of the Council but by the Ministers of each of the Member
State in their capacity as Members of the Council. Further, in
contrast to an ordinary Council decision, the 1976 Decision did not
oblige the Member States to do anything. Consistently with the
provisions of Article 138 (3) under which it was made, the Decision
laid down provisions which it "recommends to the Member States for
adoption in accordance with their respective constitutional
requirements": the Decision did not require the exclusion of Gibraltar
from the right of direct franchise.
The Government rely on the case-law of the Commission in support
of their contention that the absence of elections does not engage the
responsibility of the United Kingdom, in particular the decisions of
the Commission in CFDT v. the European Communities and their Member
States (No. 8030/77, Dec. 10.7.1978, D.R. 13, p. 231), Dufay v. the
European Communities and their Member States (No. 13539/89, Dec.
19.1.1989) and M. and Co. v. Germany (No. 13258/87, Dec 9.2.1990,
D.R. 64, p. 138).
We note that in the first two decisions relied on, the complaints
were lodged against, inter alia, the European Communities themselves
and concerned what were indisputably Community acts. However, the case
of M. and Co. v. Germany presents more difficulty. In that case the
Commission was concerned with a writ of execution issued against the
applicant company to give effect to a judgment of the Court of Justice
of the European Communities (hereinafter referred to as "the European
Court of Justice") fining the company for breaching the anti-trust
provisions of the Treaty. The applicant company complained that the
proceedings before the European Court of Justice were unfair and that,
by giving effect to the judgment by issuing a writ of execution, the
Federal Republic had violated Article 6 of the Convention. The
Commission, having recalled that it was not competent to review
decisions of organs of the Community, stressed that this did not mean
that, by granting executory power to a judgment of the European Court
of Justice, the German authorities acted as a Community organ or that
they were to that extent beyond the scope of control exercised by the
Convention organs. In the Commission's view the issue raised by the
application was whether by giving effect to a judgment that allegedly
violated Article 6 the Federal Republic incurred responsibility under
the Convention on account of the fact that the proceedings against the
applicants were only possible because the Federal Republic had
transferred its powers in the anti-trust sphere to the European
Communities. The Commission observed that the Convention did not
prohibit a Member State from transferring powers to international
organisations. Nevertheless, the Commission held that if a State
contracted treaty obligations and subsequently concluded another
international agreement which disabled it from performing its
obligations under the first treaty, it would be answerable for any
resulting breach of its obligations under the earlier treaty:
"The Commission considers that a transfer of powers does not
necessarily exclude a State's responsibility under the Convention
with regard to the exercise of the transferred powers. Otherwise
the guarantees of the Convention could wantonly be limited or
excluded and thus be deprived of their peremptory character. The
object and purpose of the Convention as an instrument for the
protection of individual human beings requires that its
provisions be interpreted and applied so as to make its
safeguards practical and effective (cf. Eur. Court HR, Soering
v. the United Kingdom judgment of 7 July 1989, Series A no. 161,
p. 34, para. 87). Therefore the transfer of powers to an
international organisation is not incompatible with the
Convention provided that within that organisation fundamental
rights will receive an equivalent protection" (D.R. 64, p. 145).
In rejecting the application as inadmissible, the Commission
found that the legal system of the European Communities not only
secured fundamental rights but also provided for a control of their
observance. In particular, the European Court of Justice had developed
case-law according to which it was called on to control Community acts
on the basis of fundamental rights, including those enshrined in the
Convention.
We agree with the applicant that the decision of M. and Co. is
not directly applicable to the present case, since the Act on Direct
Elections did not involve the transfer of powers to the institutions
of the Community and since, in any event, the rights guaranteed by
Article 3 of the Protocol did not receive an equivalent protection, the
European Court of Justice having no power to examine the legality of
the Act or of the exclusion of Gibraltar from its ambit.
Nevertheless, the question remains whether, having excluded
residents in Gibraltar from the right of direct elections to the
European Parliament (or Assembly) in 1976, at a time when the
Parliament was unquestionably not a "legislature" for the purposes of
Article 3 of Protocol No. 1, the United Kingdom may be held in
violation of the Article when, as a result of structural developments
occurring within the Union, the European Parliament is endowed with
sufficient powers to be regarded as a legislature.
As a general principle, a State, which creates new legislative
bodies for the first time after the entry into force of the Convention
or which confers on an existing body sufficient powers to be regarded
as forming part of "the legislature" of the State concerned, must grant
the right of direct election to such body and any failure to do so will
engage the responsibility of the State concerned under Article 3 of
Protocol No. 1.
We have considered whether the position may be different where,
as here, the Commission is concerned with a supra-national body to
which, at the time the territory in question was by international
treaty excluded from the right of election, the Protocol was
inapplicable and to which the State responsible cannot by amendment of
the Treaty unilaterally extend the right of election once the body has
acquired sufficient powers to be regarded as a "legislature".
However, we do not find it necessary to decide this question,
since we consider that the United Kingdom could in any event
unilaterally and consistently with its treaty obligations extend the
right of franchise to Gibraltarians. The United Kingdom clearly could
not unilaterally amend the provisions of Annex II to the Act on Direct
Elections; nor are we able to accept the applicant's argument that the
application of the Act on Direct Elections could be extended to
Gibraltar by the United Kingdom without the need for any amendment to
Annex II. However, we consider that the United Kingdom could,
unilaterally and consistently with its international treaty
obligations, extend the right of franchise to Gibraltar by integrating
the Gibraltarian vote in the vote of a European Parliamentary
constituency in the United Kingdom.
The Government do not dispute that it would be possible to extend
the right of franchise to Gibraltarians in this way but contend that
such a course would not be consistent with the proper operation of the
simple majority system applied in the United Kingdom for elections to
the European Parliament.
While we accept that there may exist practical objections to
extending the right of franchise to Gibraltarians, we cannot accept
that such objections could suffice to relieve the United Kingdom of
State responsibility under Article 3 of Protocol No. 1 in respect of
the absence of elections.
(4) Assuming that State responsibility is engaged, did the failure
to grant the right to Gibraltarians the right of election to the
European Parliament violate the rights of the applicant guaranteed
under that Article?
In submitting that there was no violation, the Government refer
to the margin of appreciation permitted to States in the performance
of their Convention obligations, to the difficulties in creating a new
constituency for Gibraltar in the European Parliament and to the
traditional separation of the Gibraltarian and the United Kingdom.
It is well established that the rights implicit in Article 3 of
Protocol No. 1 are not absolute, but may be subject to implied
limitations. States have a wide margin of appreciation, but it is
nevertheless for the Convention organs to determine in the last resort
whether the requirements of the provisions have been complied with.
As the Court has pointed out, the conditions must not curtail the
rights to such an extent as to impair their very essence and deprive
them of their effectiveness. Any conditions imposed must pursue a
legitimate aim and the means employed must not be disproportionate to
that aim. In particular, such conditions must not thwart "the free
expression of the opinion of the people in the choice of the
legislature" (see the above-mentioned Mathieu-Mohin and Clerfayt
judgment, p. 23, para. 52).
The Convention organs have, on several occasions, found that
various exclusions from the right to vote are compatible with Article 3
of Protocol No. 1 (No. 8987/80, Dec. 6.5.81, D.R. 23 p. 192 with
further reference). The present case is, however different from a case
involving residence conditions. Residence conditions on voting are
acceptable because states are permitted to regulate the manner in which
elections take place, and one of the regulations is, commonly, a
condition that a person vote from within the country. In Gibraltar,
however, no Gibraltarians are entitled to vote in elections to the
European Parliament in Gibraltar at all.
The Government claim that it would be difficult, if not
impossible, to arrange for Gibraltarians to vote in elections to the
European Parliament because of the electoral system in the United
Kingdom which, by using a simple majority system with a single member
for each constituency creates strong links between the electors and the
elected. Gibraltar has very different needs and interests from the
United Kingdom, and could not be readily included in a mainland
constituency. It is pointed out, in particular, that were
Gibraltarians to be included in a mainland constituency, their vote may
have a decisive and unjustifiable effect on the result of the election.
We do not underestimate the value in the United Kingdom electoral
system of the close links which exist between Members of Parliament and
the constituency which they represent, and which can strengthen
effective political democracy in very real ways. Nor do we disregard
the Government's argument as to the risk of Gibraltarian voters having
a decisive impact on the result of the election in a particular
mainland constituency, although we note in this regard that the total
population of Gibraltar is small by comparison with the size of the
average European Parliament constituency in the United Kingdom.
However, given the impact of European Community legislation in the
Gibraltar, and the complete absence of any democratic accountability
for the people of Gibraltar in respect of that legislation, we consider
that the total exclusion of the applicant from elections to the
European Parliament is not compatible with Article 3 of Protocol No. 1
to the Convention.
We have, accordingly, concluded that in the present case there
has been a violation of Article 3 of Protocol No. 1 to the Convention.
In view of this finding we have not found it necessary to examine
the applicant's further complaints under Article 14 of the Convention.
(Or. English)
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