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You are here: BAILII >> Databases >> European Court of Human Rights >> FEY v. AUSTRIA - 14396/88 [1993] ECHR 4 (24 February 1993)
URL: http://www.bailii.org/eu/cases/ECHR/1993/4.html
Cite as: (1993) 16 EHRR 387, 16 EHRR 387, [1993] ECHR 4
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In the case of Fey v. Austria*,
The European Court of Human Rights, sitting, in accordance with
Article 43 (art. 43) of the Convention for the Protection of Human
Rights and Fundamental Freedoms ("the Convention")** and the relevant
provisions of the Rules of Court, as a Chamber composed of the
following judges:
Mr R. Bernhardt, President,
Mr F. Gölcüklü,
Mr F. Matscher,
Mr R. Macdonald,
Mr A. Spielmann,
Mr S.K. Martens,
Mr A.N. Loizou,
Sir John Freeland,
Mr A.B. Baka,
and also of Mr M.-A. Eissen, Registrar, and Mr H. Petzold, Deputy
Registrar,
Having deliberated in private on 24 September and
28 October 1992, and 28 January 1993,
Delivers the following judgment, which was adopted on the
last-mentioned date:
_______________
Notes by the Registrar
* The case is numbered 93/1991/345/418. The first number is the case's
position on the list of cases referred to the Court in the relevant
year (second number). The last two numbers indicate the case's
position on the list of cases referred to the Court since its creation
and on the list of the corresponding originating applications to the
Commission.
** As amended by Article 11 of Protocol No. 8 (P8-11), which came into
force on 1 January 1990.
_______________
PROCEDURE
1. The case was referred to the Court on 13 December 1991 by the
European Commission of Human Rights ("the Commission") and on
7 February 1992 by the Government of the Republic of Austria ("the
Government"), within the three-month period laid down in
Article 32 para. 1 and Article 47 (art. 32-1, art. 47) of the
Convention. It originated in an application (no. 14396/88) against
Austria lodged with the Commission under Article 25 (art. 25) by
Mr Hans Jürgen Fey, a German citizen, on 10 November 1988.
The Commission's request referred to Articles 44 and 48
(art. 44, art. 48) and the declaration whereby Austria recognised the
compulsory jurisdiction of the Court (Article 46) (art. 46) and the
Government's application referred to Article 48 (art. 48). The object
of the request and of the application was to obtain a decision as to
whether or not the facts of the case disclosed a breach by the
respondent State of its obligations under Article 6 para. 1 (art. 6-1).
2. In response to the enquiry made in accordance with
Rule 33 para. 3 (d) of the Rules of Court, the applicant stated that
he wished to take part in the proceedings and designated the lawyer who
would represent him (Rule 30). The German Government, having been
informed by the Registrar of its right to intervene in the proceedings
(Article 48, sub-paragraph (b), of the Convention and
Rule 33 para. 3 (b)) (art. 48-b), replied that they did not wish to do
so.
3. The Chamber to be constituted included ex officio,
Mr F. Matscher, the elected judge of Austrian nationality (Article 43
of the Convention) (art. 43), and Mr R. Ryssdal, the President of the
Court (Rule 21 para. 3 (b)). On 24 January 1992 the President drew by
lot, in the presence of the Registrar, the names of the seven other
members, namely Mr F. Gölcüklü, Mr R. Macdonald, Mr A. Spielmann,
Mr S.K. Martens, Mr A.N. Loizou, Sir John Freeland and Mr A.B. Baka
(Article 43 in fine of the Convention and Rule 21 para. 4) (art. 43).
4. Mr Ryssdal assumed the office of President of the Chamber
(Rule 21 para. 5) and, through the Registrar, consulted the Agent of
the Government, the Delegate of the Commission and the representative
of the applicant on the organisation of the procedure (Rules 37 para. 1
and 38). In accordance with the order made in consequence, the
registry received, on 15 July 1992 the Government's memorial and, on
20 July the applicant's. By letter of 29 July 1992 the Secretary to
the Commission informed the Registrar that the Delegate would submit
his observations at the hearing.
On 24 August 1992 further particulars were submitted by the
applicant on his claim under Article 50 (art. 50). On 4 September the
Commission filed a number of documents which the Registrar had sought
from it on the President's instructions.
5. As directed by the President, the hearing took place in public
in the Human Rights Building, Strasbourg, on 22 September 1992. The
Court had held a preparatory meeting beforehand. Mr R. Bernhardt,
Vice-President of the Court, replaced Mr Ryssdal who was unable to take
part in the further consideration of the case (Rule 21 para. 5, second
sub-paragraph).
There appeared before the Court:
(a) for the Government
Mr H. Türk, Ambassador, Legal Adviser,
Ministry of Foreign Affairs, Agent,
Mrs S. Bernegger, Federal Chancellery,
Mrs I. Gartner, Federal Ministry of Justice, Advisers;
(b) for the Commission
Mr A. Weitzel, Delegate;
(c) for the applicant
Mr M. Orgler, Rechtsanwalt, Counsel.
The Court heard addresses by them.
AS TO THE FACTS
I. The particular circumstances of the case
6. The applicant, a German national residing at Geeste in Germany,
is a pensioner.
7. From 17 to 27 January 1988 he rented a room in Mayrhofen in
Austria from a Mrs Rosa Kröll. During this period he told her that his
wife was very ill and was undergoing treatment in an Innsbruck
hospital. He also claimed that he was expecting to receive payments
under a pension scheme in Germany. As a result Mrs Kröll handed over
to him 2,500 schillings and waived the rent of 1,500 schillings.
Purportedly in the expectation of receiving the above-mentioned
payments, the applicant opened an account at a bank in Mayrhofen on
19 January 1988 and, on 22 January, Mrs Kröll gave him a further
600 schillings.
8. On 27 January 1988, Mrs Kröll reported the matter to the
police. The Innsbruck Public Prosecutor's Office (Staatsanwaltschaft)
asked, on 8 February 1988, the investigating judge of the Innsbruck
Regional Court (Landesgericht) to institute a preliminary investigation
concerning the applicant on suspicion of fraud as a recidivist
offender. In addition, the prosecutor requested the judge to order his
detention on remand on the ground that there was a risk of his
absconding.
The judge granted these requests on 9 February 1988. Prior to
this, the applicant had been detained since 4 February, pending
extradition to Germany. On 10 February he was questioned by the
investigating judge.
9. The latter sent, on 12 February 1988, a rogatory letter
(Rechtshilfeersuchen) to the Zell am Ziller District Court
(Bezirksgericht) asking it to put some specific questions to Mrs Kröll
as a witness. District Court Judge, Mrs Andrea Kohlegger, did so on
25 February.
10. On 1 March 1988, the Innsbruck Public Prosecutor's Office
dropped one of the fraud charges against the applicant. As a result,
the Regional Court no longer had jurisdiction. Accordingly, the
prosecutor asked to have the case, which now concerned only the alleged
fraud against Mrs Kröll, transmitted to the District Court which had
jurisdiction to deal with offences of lesser gravity, that is,
according to Article 9 of the Code of Criminal Procedure
(Strafprozeßordnung), offences punishable by a fine or a term of
imprisonment not exceeding six months. Moreover, on the same date, the
prosecutor, in pursuance of Article 451 (1) of the Code, called for the
applicant's conviction on charges of fraud.
11. At the time when the case was referred to the District Court
the case-file contained mainly the following items:
- criminal information to the Mayrhofen police;
- the applicant's criminal record in Germany;
- the order made by the Regional Court's investigating judge
for the applicant's detention on remand;
- a record of the investigating judge's interrogation of the
applicant;
- a record of District Court Judge, Mrs Kohlegger's
interrogation of witness, Mrs Kröll;
- letters from the applicant to the prosecution, asking it to
drop the charges, and to the Regional Court, complaining about his
detention on remand;
- a note to the effect that the applicant had withdrawn his
complaint against detention.
12. During the ensuing period, Judge Kohlegger took the following
steps in the applicant's case:
In a letter to the Osnabrück Execution of Sentence Chamber
(Strafvollstreckungskammer) in Germany, she enquired why a prison
sentence imposed on the applicant had been partly suspended. She
received a reply on 1 April 1988.
She sent the case-file to the Innsbruck District Court together
with a rogatory letter asking it to question the applicant in order to
establish whether his expectations as regards the pension payments
allegedly due in January 1988, had been justified and to obtain details
of his pension or any other revenue from insurance policies.
On 17 March 1988, she telephoned the Mayrhofen bank to
establish whether any payments had been entered on the account opened
by the applicant (see paragraph 7 above); by letter of the same date
the bank replied that no payment had so far been recorded.
In addition, she telephoned the Provincial Insurance Companies
of Hannover and of Oldenburg-Bremen (Germany) in order to find out
whether the applicant had ever applied for or received a pension.
According to a note in the case-file, prepared by Judge Kohlegger on
18 March 1988, the first of these companies had replied that, under the
reference number which the applicant had indicated, a pension had never
been requested by him and that no pension benefits had been paid to
him; the other company had stated that he had not been granted a
pension.
On 18 March 1988, she set down the trial hearing for 24 March
(Article 451 (4) of the Code of Criminal Procedure).
13. On the latter date a hearing was held by the Zell am Ziller
District Court, with Judge Kohlegger sitting as a single judge. The
District Prosecutor (Bezirksanwalt) was present, but the applicant's
lawyer at the time did not appear although he had been summoned. The
court heard the applicant first, who claimed that he was innocent. It
then heard Mrs Kröll as a witness and a police officer replacing a
colleague who had visited her house after the applicant's arrest.
Various documents were exhibited (dargetan), including:
- the complaint to the police;
- the results of the police investigations in the case;
- the applicant's criminal record;
- the case-file of the Regional Court (see paragraph 11 above);
- the information provided by the Mayrhofen bank and the two
German insurance companies and a letter from a third
such company.
After the court had finished taking evidence, the prosecutor
invited it to find the applicant guilty. The applicant asked the court
to ascertain that, on 9 April 1987, he had applied to a German
insurance company for a pension. The court dismissed this request,
finding that the facts in the case were sufficiently clear.
14. By judgment of 24 March 1988, the District Court acquitted the
applicant of the fraud charge concerning the 600 schillings which he
had received from Mrs Kröll on 22 January 1988 but convicted him of
having fraudulently induced her to hand over 2,500 schillings to him
and to waive the rent of 1,500 schillings; it sentenced him to three
months' imprisonment and ordered him to pay Mrs Kröll 4,000 schillings.
The periods of detention pending extradition and the trial were
deducted from the sentence.
The judgment, which was signed by Judge Kohlegger, was founded
inter alia on Mrs Kröll's testimony as well as the information obtained
from the bank and the insurance companies.
15. The applicant appealed against his conviction and sentence to
the Regional Court. He complained, inter alia, that in the proceedings
before the District Court, the case had been investigated and tried by
the same person.
16. On 20 April 1988 the Review Chamber (Ratskammer) of the
Regional Court dismissed several requests for release submitted by the
applicant on 6, 12 and 15 March.
17. In a judgment of 13 May 1988, the Regional Court, composed of
three members who had previously taken the above-mentioned decision of
20 April 1988, dismissed the appeal. As to his complaint described in
paragraph 15 above, the judgment stated:
"As a reply thereto, reference should be made to the
prevailing legal opinion derived from Articles 451 and 452 of
the Code of Criminal Procedure, according to which the trial
judge in District Court proceedings may also undertake
preliminary inquiries and a judge who has carried out such
inquiries will therefore not be excluded from the trial ... .
Equally, if a judge acts in a criminal case as a judge ...
under a rogatory letter, this will not prevent him from
participating at the trial ... . It is not necessary for the
[Regional Court] in the present case to make a thorough
examination of the extent to which this legal opinion, which
is generally applied, corresponds to Article 6 (art. 6) of the
Convention ..., since the accused, who became aware of the
(alleged) ground of nullity at the latest at the beginning of
the trial, did not ... immediately raise this ground before
the Zell am Ziller District Court."
II. The relevant domestic law
18. In order to procure the necessary evidence for the institution
of criminal proceedings or for the closing of the file (Zurücklegung)
on a complaint, the public prosecutor may have preliminary inquiries
(Vorerhebungen) carried out by the investigating judge, the District
Courts and the police authorities (Article 88 (1) of the Code of
Criminal Procedure).
Where the public prosecutor is satisfied that there are
sufficient grounds for bringing a criminal prosecution, he shall either
apply for the institution of a preliminary investigation
(Voruntersuchung) or file a formal accusation (Anklageschrift,
Article 90 (1)). However, in District Court proceedings there is no
formal process of investigation and no special procedure of committal
for trial: all that is required is a written or oral application from
the District Prosecutor seeking the imposition of a penalty on the
person concerned (Antrag auf gesetzliche Bestrafung, Article 451 (1)).
19. Pursuant to Article 451 (1) and (4), taken together, the
District Court may carry out preliminary inquiries, but not formal
preliminary investigations like the Regional Court. When undertaking
preliminary inquiries a District Court judge must in principle observe
the same rules as those that apply to an investigating judge of the
Regional Court during preliminary investigations. However, according
to Article 452, which sets out exceptions to this principle, the
District Court judge has narrower powers with respect to such matters
as pre-trial detention, arrest and search for documentary evidence.
Under Article 194 (1) of the Code of Criminal Procedure, the
District Court judge may order the release of a person held on remand,
subject to agreement with the District Prosecutor that the grounds for
detention have ceased to exist.
The District Court judge shall set a date for the hearing after
such preliminary inquiries as may be necessary have been made
(Article 451 (4)).
20. Article 68 (2) of the Code of Criminal Procedure, which
provides that an investigating judge may not participate in the trial
of the case, does not apply to District Court proceedings. In such
proceedings, preliminary inquiries are, according to established court
practice, carried out by the trial judge.
21. A judge who has acted under a rogatory letter in a case, but
not as an investigating judge, is not thereby excluded from trying the
same case (see the collection of Supreme Court decisions SSt 30/50).
PROCEEDINGS BEFORE THE COMMISSION
22. In his application (no. 14396/88) lodged with the Commission
on 10 November 1988, Mr Fey alleged that the criminal charge raised
against him had not been determined by an "impartial tribunal" within
the meaning of Article 6 para. 1 (art. 6-1), as the District Court
judge had both undertaken preliminary investigations and tried the
case. Further, the applicant complained that the Regional Court judges
who had rejected his request for release were subsequently called upon
to rule on his appeal.
23. By decision of 9 October 1990, the Commission declared the
first of these complaints admissible and the second inadmissible.
In its report of 15 October 1991 (Article 31) (art. 31), the
Commission expressed the opinion that there had been a violation of
Article 6 para. 1 (art. 6-1) (by sixteen votes to three). The full
text of the Commission's opinion and the dissenting opinion contained
in the report is reproduced as an annex to this judgment*.
_______________
* Note by the Registrar: for practical reasons this annex will appear
only with the printed version of the judgment (volume 255-A of
Series A of the Publications of the Court), but a copy of the
Commission's report is available from the registry.
_______________
FINAL SUBMISSIONS MADE TO THE COURT
24. At the hearing on 22 September 1992 the Government confirmed
the submission set out in their memorial, in which they asked the Court
to hold that the applicant's right to an impartial tribunal under
Article 6 para. 1 (art. 6-1) had not been violated in the proceedings
before the District Court.
AS TO THE LAW
25. Mr Fey contended that he had not received a fair hearing by an
impartial tribunal within the meaning of Article 6 para. 1 (art. 6-1)
of the Convention, which, in so far as relevant, provides:
"In the determination of ... any criminal charge against him,
everyone is entitled to a fair ... hearing ... by an ...
impartial tribunal ..."
This claim was contested by the Government, but was accepted
by the Commission.
26. In support of his allegation the applicant advanced arguments
that fell into two categories.
The first category concerned the functions of District Court
judges at the pre-trial stage of criminal proceedings in Austria (see
paragraphs 18-19 above), which functions were, the applicant
maintained, essentially the same as those of investigating judges of
a Regional Court. Although a District Court judge could only carry out
preliminary inquiries, such inquiries could in fact be just as
extensive as formal preliminary investigations conducted by an
investigating judge. Moreover, the former was vested with powers to
order detention on remand which were similar to, albeit more limited
than, those of the latter. What is more, a District Court judge had
a "suspiciously close relationship" with a public prosecutor. For
instance, whilst an investigating judge had to send the case back to
the prosecutor once the investigations had been completed, a District
Court judge might himself set the case down for trial at that stage;
if he did so, this provided a clear indication of a belief on his part
that there was a likelihood that the accused was guilty.
The applicant's second category of arguments related to the
measures undertaken at the pre-trial stage by District Court
Judge Kohlegger (see paragraphs 9-12 above). He shared the
Commission's view that they were measures that were typical of an
investigating judge. They had been aimed at establishing whether the
applicant had fraudulently obtained money from the landlady, Mrs Kröll,
yet this was precisely the issue to be determined at his trial (see
paragraph 13 above). Judge Kohlegger had thus acquired, before the
trial, a particularly detailed knowledge of the file. By having
previously acted as an investigating judge in the case, she had also,
according to the applicant, formed an opinion on the case before she
set it down for trial.
27. The Court's task is not to review the relevant law and practice
in abstracto, but to examine whether the manner in which they were
applied to or affected the applicant gave rise to a violation of
Article 6 para. 1 (art. 6-1) (see, amongst other authorities, the
Thorgeir Thorgeirson v. Iceland judgment of 25 June 1992, Series A
no. 239, p. 23, para. 48).
28. The existence of impartiality for the purposes of
Article 6 para. 1 (art. 6-1) must be determined according to a
subjective test, that is on the basis of the personal conviction of a
particular judge in a given case, and also according to an objective
test, that is ascertaining whether the judge offered guarantees
sufficient to exclude any legitimate doubt in this respect (ibid.,
para. 49).
29. As to the subjective test, the applicant did not dispute the
personal impartiality of Judge Kohlegger.
30. Under the objective test, it must be determined whether, quite
apart from the judge's personal conduct, there are ascertainable facts
which may raise doubts as to his impartiality. In this respect even
appearances may be of a certain importance. What is at stake is the
confidence which the courts in a democratic society must inspire in the
public and, above all, as far as criminal proceedings are concerned,
in the accused. This implies that in deciding whether in a given case
there is a legitimate reason to fear that a particular judge lacks
impartiality, the standpoint of the accused is important but not
decisive. What is determinant is whether this fear can be held to be
objectively justified (ibid., para. 51).
In this regard, the Court has previously held that the mere
fact that a judge has also made pre-trial decisions in the case cannot
be taken as in itself justifying fears as to his impartiality (see the
Hauschildt v. Denmark judgment of 24 May 1989, Series A no. 154, p. 22,
para. 50). Although this statement referred to systems like the
Danish, where investigation and prosecution are exclusively the domain
of the police and the prosecution, it must also be of some relevance
to systems of an inquisitorial character, such as the Austrian. What
matters is the extent and nature of the pre-trial measures taken by the
judge (see, mutatis mutandis, the De Cubber v. Belgium judgment of
26 October 1984, Series A no. 86, pp. 15-16, paras. 29-30, and the
above-mentioned Thorgeir Thorgeirson judgment, Series A no. 239, p. 24,
para. 53).
31. The Court observes, in the first place, that before the case
was referred to the District Court on 1 March 1988, a formal
preliminary investigation had already been carried out by the
investigating judge of the Innsbruck Regional Court. This had
involved, inter alia, interrogations of the applicant and the landlady,
the records of which were subsequently included in the case-file of the
District Court (see paragraphs 8, 9, 11 and 13 above).
It is true that interrogation of the landlady had been
conducted by Judge Kohlegger, but this had been done under a rogatory
letter from the investigating judge that asked the District Court to
put some very specific questions to the landlady. Judge Kohlegger
carried out this task and sent the investigating judge a report of the
interrogation of Mrs Kröll, which consisted in essence solely of making
a record of the statements made by her. In the limited capacity in
which she acted it was not for Judge Kohlegger to examine the merits
of the accusations against the applicant, nor does it appear from the
case-file that she actually did so, and there is no indication that at
the time when the questioning took place there was any prospect of
Judge Kohlegger later trying the case.
32. Following referral of the case to the Zell am Ziller District
Court, Judge Kohlegger admittedly undertook certain pre-trial measures,
which consisted of collecting simple information, mainly by asking a
bank and two insurance companies whether any payments had been made to
the applicant's account and whether he had applied for or received a
pension; she also transmitted the case-file to the Innsbruck District
Court so that it could put further questions to the applicant (see
paragraph 12 above). However, these measures were, in the Court's
view, of a preparatory character, being designed to complete the
case-file before the hearing (see paragraph 13 above).
33. The Court does not consider that Judge Kohlegger's decision of
18 March 1988 to set the case down for trial reflected, as the
applicant alleged, a belief on her part that there was a likelihood
that he was guilty. That decision merely gave effect to the rule,
under the applicable law, that the hearing date should be fixed as soon
as such preliminary inquiries as may be necessary have been made (see
paragraph 19 above). It cannot be regarded as the equivalent of a
formal decision to commit an accused for trial, a step which was not
provided for in proceedings, such as the present, instituted simply on
an application by a public prosecutor to a District Court for the
imposition of a penalty (see paragraph 18 above).
34. It was not until the hearing on 24 March 1988 that
Judge Kohlegger was faced with the applicant for the first time; she
then heard both him and the landlady and all the evidence in the case
was presented (see paragraph 13 above). In the Court's view, it was
only at that stage that she was in a position to form any opinion as
to the applicant's guilt. It does not appear that the various measures
which she had taken prior to the trial were such as could have led her
to reach a preconceived view on the merits. In this regard, it should
be noted that she did acquit Mr Fey on one of the two counts (see
paragraph 14 above).
35. Thus, the extent and nature of the pre-trial measures taken by
the District Court judge are clearly distinguishable from those that
were dealt with in the above-mentioned De Cubber judgment. In that
case the Court concluded that the impartiality of the tribunal in
question had been capable of appearing to the applicant to be open to
doubt, bearing in mind, inter alia, the fact that one of its members
had carried out extensive investigations in the case, including
numerous interrogations of the accused (see pp. 15-16, paras. 29-30,
of the judgment).
36. In the light of the foregoing, the Court does not find that
such fears as the applicant may have had as to the District Court
judge's impartiality can be held to have been objectively justified.
Accordingly, there has been no violation of Article 6 para. 1
(art. 6-1) in the present case.
FOR THESE REASONS, THE COURT
Holds by seven votes to two that there has been no violation
of Article 6 para. 1 (art. 6-1) of the Convention.
Done in English and in French, and delivered at a public
hearing in the Human Rights Building, Strasbourg, on 24 February 1993.
Signed: Rudolf BERNHARDT
President
Signed: Marc-André EISSEN
Registrar
In accordance with Article 51 para. 2 (art. 51-2) of the
Convention and Rule 53 para. 2 of the Rules of Court, the following
separate opinions are annexed to this judgment:
(a) dissenting opinion of Mr Spielmann;
(b) concurring opinion of Mr Martens;
(c) dissenting opinion of Mr Loizou.
Initialled: R. B.
Initialled: M.-A. E.
DISSENTING OPINION OF JUDGE SPIELMANN
(Translation)
1. I have been unable to vote with the majority for a finding of
non-violation, since in my opinion there has quite evidently been a
breach of Article 6 para. 1 (art. 6-1) of the European Convention on
Human Rights.
2. I entirely adopt the majority opinion of the Commission
(sixteen votes to three) in particular paragraph 56 of its report,
which reads as follows:
"In the Commission's opinion, at a stage preceding the trial,
Judge Kohlegger in fact undertook typical acts of an
investigating judge. The investigations aimed at establishing
whether the applicant had fraudulently obtained money from the
landlady. Yet these issues were precisely those which she had
to deal with at the trial when deciding on the applicant's
guilt."
The majority of the Commission accordingly concluded, rightly
in my opinion, that the applicant could legitimately fear that
Judge Kohlegger, when acting as the sole trial judge, had a
preconceived opinion as to his guilt, and therefore have doubts as to
her impartiality (see paragraph 58 of the Commission's report).
3. While I agree with the Court's finding that there is no
indication that at the time when the landlady was questioned under a
warrant issued by an investigating judge there was any prospect of
Judge Kohlegger later trying the case (see paragraph 31 of the
judgment), I consider, however, that that judge should have stood down
and not tried the case.
If the composition of District Courts in Austria might indeed
on certain occasions pose organisational problems, that is not a factor
which can have any influence on the decisions of the Strasbourg
institutions.
4. Finally, I do not share the opinion of the majority of the
Court that the present case is clearly distinguishable from the
De Cubber v. Belgium case (see paragraph 35 of the judgment). In my
opinion, no distinction should be drawn between extensive
investigations and less extensive investigations.
This is a question of principle.
CONCURRING OPINION OF JUDGE MARTENS
1. The procedure followed by Judge Kohlegger of the Zell am Ziller
District Court, which in the applicant's view violated
Article 6 para. 1 (art. 6-1), was in every respect in conformity with
Articles 451 and 452 of the Austrian Code of Criminal Procedure.
Consequently, in assessing whether the application of those provisions
in fact gave rise to a violation, the first step should be to review
whether they are in conformity with the Convention.
This approach is not only required by logic and truthfulness
(see my dissenting opinion in the Brogan and Others v. the United
Kingdom case, judgment of 29 November 1988, Series A no. 145-B, p. 50,
para. 7), but also by the Court's present position within the legal
community instituted by the Convention and gradually elaborated by the
Court's case-law. That position implies that, where possible, the
Court should not base its decision (solely) on the particular
circumstances of the individual case, but should endeavour (also) to
give reasons that afford clear guidance to national courts and
authorities for the category of cases under consideration.
2. When assessing whether Articles 451 and 452 of the Austrian
Code of Criminal Procedure are compatible with the Convention, a first
point to be made is that a District Court judge who is conducting a
preliminary inquiry must be deemed to be carrying out the functions of
an investigating judge. His inquiries are of an inquisitorial nature,
they are secret and are not in principle conducted in the presence of
both parties. When undertaking such inquiries, the District Court
judge is not exercising the typical functions of a judge presiding over
the hearing of the parties, but those of a judicial officer preparing
the case for trial. Significantly Article 452 requires him to observe
the provisions pertaining to an investigating judge*.
_______________
* The provision clearly implies that a District Court judge who is
conducting a preliminary inquiry has - save for the exception specified
therein - the samer powers as an investigating judge.
_______________
I am not persuaded by the Government's argument that there is
a fundamental difference between the preliminary investigations
(Voruntersuchungen) conducted by an investigating judge under
Articles 91 et seq. and the preliminary inquiries (Vorerhebungen)
carried out by a District Court judge under Articles 451 and 452**.
From the point of view of increasing the chances that the judge, as a
result of his pre-trial fact-finding activities, will start the trial
with a pre-formed opinion, there is no difference at all.
_______________
** The Government have sought to reinforce their argument by comparing
preliminary inquiries conducted by a District Court judge with those
provided for in Article 224 para. 1 which, according to the Government,
empowers the presiding judge in Regional Court proceedings to make
further investigations during the period after the accused has been
committed for trial, in which the judge is preparing for the trial.
This comparison, however, in fact undermines their argument, in that
one reads in Mayerhofer/Rieder, Das österreichische Strafrecht, II,
Strafprozessordnung (3rd ed. 1991), 1, p. 563, Anm. 4 ad Article 224,
that the presiding judge should not make such further investigations
himself but should request the investigating judge to do so, since
making them himself would preclude him from presiding at the trial.
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3. Since a District Court judge who is conducting a preliminary
inquiry must be deemed to be carrying out the functions of an
investigating judge, Articles 451 and 452 do, in principle, violate
Article 6 para. 1 (art. 6-1) as that provision has to be interpreted
under the De Cubber doctrine.
It is intentionally that I have referred to the De Cubber
doctrine. Both the considerations set out in paragraph 1 above and the
arguments used in the Court's De Cubber v. Belgium judgment of
26 October 1984 (Series A no. 86, pp. 15-16, paras. 29-30) - which
latter centre around an abstract analysis of the legal position of the
investigating judge within the national legal system - warrant the
conclusion that in that judgment the Court laid down a rule that the
functions of an investigating judge are incompatible with those of a
trial judge.
This interpretation finds further support in paragraph 50 of
the Hauschildt v. Denmark judgment of 24 May 1989, Series A no. 154,
p. 22: there the Court, evidently in order to distinguish that case
from the De Cubber case, analysed "[t]he judge's functions on the
exercise of which the applicant's fear of lack of impartiality [was]
based, and which relate[d] to the pre-trial stage". It found that they
were those of "an independent judge who [was] not responsible for
preparing the case for trial or deciding whether the accused should be
brought to trial" and concluded by saying:
"Indeed, as to the nature of the functions which the judges
involved in this case exercised before taking part in its
determination, this case is distinguishable from the Piersack
and the De Cubber cases." (emphasis added)
The De Cubber doctrine may be compared with that enunciated in
the Huber v. Switzerland judgment of 23 October 1990, Series A no. 188,
where the Court laid down the rule that membership of the prosecution
disqualifies a person from being a trial judge (compare the Brincat v.
Italy judgment of 26 November 1992, Series A no. 249-A, p. 11,
para. 20).
These rules should, in principle, apply irrespective of
differences of detail between the relevant national provisions. It is
therefore unnecessary to examine whether the Austrian District Court
judge - when making preliminary inquiries - displays all the features
which have been held to be decisive in respect of the Belgian
investigating judge. It suffices that when making these inquiries he
belongs to the same category of judicial officers, namely officers
whose function it is to prepare the case for trial by actively
conducting an inquisitorial inquiry. By the same token the extent of
the inquiries made is also immaterial: what is at issue is a functional
lack of impartiality.
4. However, the conclusion that Articles 451 and 452 are
incompatible with Article 6 para. 1 (art. 6-1) of the Convention can
only be a preliminary one. The fact that a District Court judge who
has made preliminary inquiries carried out the functions of an
investigating judge admittedly shows that the circumstances are such
that the possibility of his being prejudiced cannot be excluded.
Nevertheless, as I stated in paragraphs 3.4 and 3.5 of my dissenting
opinion in the Borgers v. Belgium case (judgment of 30 October 1991,
Series A no. 214-B, pp. 45-46), for a final conclusion a second test
is required. Indeed, determining whether fears as to impartiality are
"objectively justified" implies also a weighing of interests, since
what is at stake is not only the confidence which the courts must
inspire, but also the public interest in having a rational and smoothly
operating judicial system. Consequently, it remains to be seen
whether, in cases like the present one, the latter interests should
prevail.
In my opinion, this question has to be answered in the
affirmative. Many Contracting States have a District Court system
which is essentially similar to the Austrian one. Its main features
are a close network of often small courts where both civil and criminal
cases of lesser importance are dealt with locally (i.e. where those
concerned are domiciled), in proceedings characterised by a minimum of
formalities. This makes it possible for those who so wish to defend
themselves and to settle cases within a short time and with a minimum
of costs and expenses. Extension of the De Cubber doctrine to criminal
proceedings before District Courts would undoubtedly upset this
valuable system, if only because it may be supposed that the situation
will not infrequently be like that described by the Government which
alleged*** that "in Austria's rural areas many District Courts have
only one judge or one judge may be in charge of several district
courts". To require in such situations that a case not be tried by a
judge who has made preliminary inquiries would result in the trial
having to be held before another District Court to which the accused
would have to travel. Seeing also that a professional judge who has
already had to deal with a case at an earlier stage of the proceedings
must be deemed to be able to put this out of his mind when sitting as
a trial judge (this being the rationale of paragraphs 49 and 50 of the
above-mentioned Hauschildt judgment of 24 May 1989), I feel that to
oblige Contracting States to change the District Court system by
extending the De Cubber doctrine would amount to setting too much store
by appearances.
_______________
*** At the hearing the applicant's lawyer contested this allegation;
he told the Court that in 1988 it was already exceptional for Austrian
District Courts to have only one judge. In the context of my reasoning
this factual dispute is immaterial: what is material, is that it cannot
be excluded that, in those Contracting States where the District Court
system exists, it is not exceptional for there to be only one judge.
_______________
5. For these reasons I have voted for non-violation of
Article 6 para. 1 (art. 6-1).
DISSENTING OPINION OF JUDGE LOIZOU
I regret that I cannot share the Court's opinion in its
conclusion that there has been no violation of Article 6 para. 1
(art. 6-1) of the Convention.
The salient facts appear sufficiently in the judgment of the
Court, and in particular in paragraphs 9 to 12, but I wish to stress
for the purposes of this opinion that Judge Kohlegger, inter alia,
questioned the landlady, Mrs Rosa Kröll, as a witness and then tried
to secure further evidence by telephoning later to the bank in
Mayrhofen to establish whether money had been paid into the bank
account opened by the applicant. The bank replied by letter on the
same day that so far there had been no receipts from the applicant.
Furthermore, she telephoned the two German insurance companies to
establish whether the applicant had applied for, or received, a pension
payment on 18 March 1988. Their reply over the telephone was that the
applicant had not received a pension. She was thus collating all the
essential material with which the elements of the offence with which
the applicant was charged would be established.
The very fact that the judge was collecting evidence and
ascertaining facts could not but create reasonable doubt in the mind
of the accused as to the impartiality of the judge who to the knowledge
of the accused had full knowledge of the file which she herself had
compiled. His fears could not but be, in the circumstances of this
case, objectively justified.
These circumstances have led me to the conclusion like the
Commission that the applicant could have a legitimate fear that this
judge, when acting as the sole trial court judge, could have a
preconceived opinion as to the applicant's guilt, and that her
impartiality accordingly could appear to be open to doubt.
In my view, the applicant at his trial was not heard by an
impartial tribunal within the meaning of Article 6 para. 1 (art. 6-1)
of the Convention. Needless to say that the rights enshrined in it are
equally applicable to all categories of cases, whether serious or not.