Caso de Morris contra el Reino Unido, de 26/02/2002
Violation of Art. 6-1
EUROPEAN COURT OF HUMAN RIGHTS
FORMER THIRD SECTION
CASE OF MORRIS v. THE UNITED KINGDOM
(Application no. 38784/97)
JUDGMENT
STRASBOURG
26 February 2002
In the case of Morris v. the United Kingdom,
The European Court of Human Rights (Third Section), sitting as a Chamber
composed of:
Mr J.-P. Costa, President,
Mr W. Fuhrmann,
Mr L. Loucaides,
Sir Nicolas Bratza,
Mrs H.S. Greve,
Mr K. Traja,
Mr M. Ugrekhelidze, judges,
and Mrs S. Dollé, Section Registrar,
Having deliberated in private on 23 October 2001 and 30 January 2002,
Delivers the following judgment, which was adopted on the last-mentioned date:
PROCEDURE
1. The case originated in an application (no. 38784/97) against the United
Kingdom of Great Britain and Northern Ireland lodged with the European
Commission of Human Rights (“the Commission”) under former Article 25 of the
Convention for the Protection of Human Rights and Fundamental Freedoms (“the
Convention”) by a United Kingdom national, Mr Dean Morris (“the applicant”), on
31 October 1997.
2. The applicant alleged that he had been denied a hearing before an independent
and impartial tribunal on account of various structural defects in the court-martial
system. In addition, he argued that his hearing before the court martial was not
fair due to the actions of the prosecuting authorities and his own defending
officer. He also maintained that he had been denied his right to free legal
assistance.
3. The application was transmitted to the Court on 1 November 1998, when
Protocol No. 11 to the Convention came into force (Article 5 § 2 of Protocol No.
11).
4. The application was allocated to the Third Section of the Court (Rule 52 § 1
of the Rules of Court). Within that Section, the Chamber that would consider the
case (Article 27 § 1 of the Convention) was constituted as provided in Rule 26 §
1.
5. By a decision of 3 July 2001 the Chamber declared the application admissible
[Note by the Registry. The Court's decision is obtainable from the Registry].
6. The applicant and the Government each filed observations on the merits (Rule
59 § 1).
7. On 1 November 2001 the Court changed the composition of its Sections (Rule 52
§ 1)., but this case remained with the Chamber constituted within the former
Third Section.
8. A hearing took place in public in the Human Rights Building, Strasbourg, on
23 October 2001 (Rule 59 § 2).
There appeared before the Court:
(a) for the Government
Mr C. Whomersley, Foreign and Commonwealth Office, Agent,
Mr P. Havers QC, Counsel,
Mr J. Betteley,
Ms L. Nicholl,
Mr D. Howell,
Mr G. Risius,
Mr S. Andrews, Advisers;
(b) for the applicant
Mr J. Mackenzie, Counsel,
Mr S. Lindsay, Adviser.
The Court heard addresses by Mr Mackenzie and Mr Havers.
THE FACTS
I. THE CIRCUMSTANCES OF THE CASE
9. In September 1991, at the age of 16, the applicant became a member of the
British Army, joining the Life Guards regiment of the Household Cavalry. In
November 1992 the applicant was posted to the Household Cavalry Mounted Regiment
(“the HCMR”) where he was taught to ride a horse. The applicant alleges that
during riding lessons he became the target of bullying by other soldiers,
including a lance-corporal. According to the applicant, towards the end of
November 1992 the lance-corporal hit him on the side of the head with his fist,
causing him to fall and strike his head on the ground. On 30 November 1992,
several days after the attack, the applicant reported sick and told the medical
officer that the injury to his face had been caused by falling off a horse. On
26 February 1993 the applicant, who alleges to have feared a further physical
attack, went absent without leave. On 17 March 1993 he wrote to the commanding
officer (“CO”) of the regiment (a lieutenant-colonel), stating, inter alia, that
“[his] inability to express sufficient enthusiasm during training sometimes
resulted in physical abuse by certain NCOs [non-commissioned officers]”, and
asking to terminate his service. He received no reply to this letter.
10. The applicant was arrested by the civilian police on 16 October 1996 and
taken to the HCMR's barracks at Hyde Park, London. The following day he was
charged with being absent without leave contrary to section 38(a) of the Army
Act 1955. On 18 October 1996 he was remanded in close arrest by Major Kelly,
acting as subordinate CO. On the “Eight Day Delay Report” dated 24 October 1996,
the reason for the detention is stated: “Likely to absent himself ... – has
already offered bribe to JNCO on guard to release him.” On 31 October 1996 he
appeared before the CO and was remanded by him in close arrest for an abstract
of evidence. He was subsequently released by the CO into open arrest on 11
November 1996. The CO remanded him for trial by district court martial on 13
March 1997.
11. In a statement dated 4 November 1996 to the Ministry of Defence Police, the
applicant stated that the attack by the lance-corporal had occurred in the week
prior to his going absent without leave, while in a statement dated 29 January
1997 he stated that the attack occurred sometime in February 1993. The police
found that the lance-corporal had left the army and took statements from other
soldiers who had been on the same riding course as the applicant. They found
that there was no evidence to support his complaint. The applicant subsequently
signed a statement saying, inter alia: “I have come to the conclusion that I
just want to get out of the army and get on with my life ... Even though this
assault happened, I do not want the Ministry of Defence Police ... to take any
further action concerning the incident.”
12. Following the applicant's remand for trial, the CO appointed Captain A. as
“defending officer”. Captain A. was an army officer with no legal training,
serving as a troop commander with the HCMR. The applicant applied to the Army
Criminal Legal Aid Authority (“the Legal Aid Authority”) for legal aid to enable
him to be represented by a solicitor. On the application form he stated that his
weekly income after deduction of tax, rent and national insurance was 158.13
pounds sterling (GBP), and that he had no savings or other property of value.
The form was countersigned by his CO. By a letter dated 26 March 1997, the Legal
Aid Authority replied that a charge of absence without leave did not normally
warrant legal representation but that either the CO or the applicant should
write setting out his reasons if he considered that, exceptionally, legal aid
should be granted. The applicant's solicitor wrote to the Legal Aid Authority on
18 April 1997 pointing out that the applicant faced a custodial sentence and
needed to be represented. The Legal Aid Authority offered the applicant legal
aid subject to a down-payment of GBP 240 in a letter dated 21 April 1997. The
Government maintain that he could have paid in ten weekly instalments of GBP 24
each, but this is disputed by the applicant. On 30 April 1997 the applicant's
solicitor wrote asking the Legal Aid Authority to reconsider the down-payment
condition, but on 2 May 1997, before the Legal Aid Authority had replied, the
applicant refused the offer of legal aid and was not, therefore, represented by
a solicitor at the court martial.
13. Also on 2 May 1997, the applicant signed a document, addressed “to whom it
may concern”, in which he made the following statement:
“This is to certify that I, 25009734 Tpr Morris D of The Life Guards no longer
wish to be represented at my pending District Court Martial other than by my
Defending Officer, Captain [A.].
I have made this decision of my own free will. I understand that all previous
correspondence with regard to my application for legal representation will now
be ignored.”
14. The applicant's court martial took place at Chelsea Barracks on 28 May 1997.
The court was composed as follows: a president, Lieutenant-Colonel A.D. Hall of
the Corps of Royal Electrical and Mechanical Engineers, who was a permanent
president of courts martial (appointed to his post in January 1997 and due to
remain until his retirement in September 2001); Captain R. Reid of the Royal
Army Medical Corps, Aldershot; Captain W.D. Perks of the Second Battalion, Royal
Gloucestershire, Berkshire and Wiltshire Regiment (Volunteers), Reading; and a
legally qualified civilian judge advocate (see paragraph 26 below). All three
military officers were outside the command area in which the applicant was
serving. The president worked from home when not attending court-martial
hearings.
15. Captain A. represented the applicant, who pleaded guilty to the charge of
being absent without leave between 25 February 1993 and 16 October 1996. The
applicant's letter of 17 March 1993 to his CO was handed to the court, but no
other mention was made of the bullying allegedly suffered by him. The applicant
was sentenced to dismissal from the army and nine months' detention.
16. After the hearing, Captain A. erroneously advised the applicant that if he
appealed against the sentence he risked the commencement date for his sentence
being put back to the date of dismissal of the appeal. On 31 May 1997 the
applicant instructed a solicitor to represent him. On 19 June 1997 the solicitor
lodged a petition with the Defence Council in its role as the “reviewing
authority” (see paragraph 29 below), relying on the facts that the applicant had
had no legal representation before the court martial and that his allegations of
assault were not presented to the court, either by way of a defence of duress (which
applies when a person charged with a criminal offence can show that, at the
relevant time, he reasonably believed that he would be killed or seriously
injured if he did not commit the offence) or in mitigation of sentence. The
petition asserted that it was unlikely that the defending officer understood
that the applicant might have had a defence on the basis of duress and that the
defending officer had indicated that he had been “ordered” not to allude to the
allegations at the court martial without indicating who had so ordered him. It
also mentioned instructions which the defending officer had given about what the
applicant ought to do in the event that the court martial should, of its own
volition, ask the applicant about the allegations which had been made. It also
indicated that the defending officer had advised the applicant that, “if he
appealed, his sentence might well be increased”. On the same day the petition
was introduced, the solicitor wrote to Captain A. asking for his comments on it
and reminding him that he was subject to the rules of client privilege and
should not disclose details of his dealings with the applicant to any third
party. Despite this, Captain A. provided a statement to the Defence Council, in
which he said, inter alia:
“As [the applicant's] Troop Leader I was asked to represent him at Court Martial,
this was the first Court Martial I have attended in any capacity. Although I
have had experience in civil cases at both Magistrates' and Crown Courts. ...
[The applicant] had indicated to me that he had gone absent from the Army for
more than one reason. As expressed in his letter of 17 March 1993. He was
showing reservations about his enthusiasm, commitment and devotion to duty. ...
[T]he petition states that I assumed the petitioner had no choice but to plead
guilty, as he had been Absent Without Leave. I was unaware that he could have
entered a plea of not guilty to the charge on the basis of duress. [The
applicant] and I did not discuss the allegations of bullying in any great detail.
This was because these allegations had been withdrawn by him under interview by
MOD Police.
[The applicant] indicated to me that he wanted to drop all the references to the
violence by the NCO during his training. This was in order that the trial date
would be set significantly earlier and that the trial would be substantially
shorter. This led me to advise [the applicant] to plead guilty as charged, as I
had felt that this gave him his best opportunity to be discharged from the Army
at the earliest date which was, after all, his overall aim. ...
I discussed with the Adjutant my role as the Defending Officer. We talked about
the procedural steps of the court martial and my conduct leading up to the trial.
It was confirmed to me that a guilty plea would produce an earlier trial date
than that of not guilty.
I advised [the applicant] that references to his allegations of bullying could
prolong and complicate his court martial. The mention of bullying would be
introduced as part of his letter to his commanding officer dated 17 March 1993,
which he agreed could be put forward for the court as mitigation. [The applicant]
agreed that he did not wish to answer questions about his previous allegations,
which he had dropped.
I therefore advised him to refer such questions to me and I would state to the
court that this was an avenue down which he did not wish to proceed. ...”
17. The petition was refused by the reviewing authority on 14 July 1997, in the
following terms:
“The Reviewing Authority has considered the petition submitted by your above-named
client, and has denied it for the following reasons.
The down payment for Legal Aid was carefully calculated, and was well in line
with the amount the petitioner would have had to pay under the civil system. The
certificate signed by him shows clearly that he had decided not to proceed with
his application for legal representation. We cannot accept that [the applicant]
was in any way forced to accept this decision. He also appears to have been
content to accept Captain [A.] as his defending officer.
The complaints about the petitioner being bullied were investigated by the SIB
and the allegations could not be substantiated. Indeed it came to light during
this investigation that the petitioner had told [another soldier] that he
planned to go absent because he was merely tired of the training and the long
hours being worked. In view of the SIB report, the Reviewing Authority must
accept that the allegation that the petitioner was subjected to violence by a
Non-Commissioned Officer cannot be substantiated, and cannot be regarded as a
mitigating factor.
In considering your complaint that, had the petitioner been advised by a
qualified solicitor, he would have been able to plead not guilty on the basis of
duress, we had to rely on the advice given by the Judge Advocate General. He
stated that a person is subject to duress when words or conduct from another
person cause him to fear that he will be killed or seriously injured, if he does
not commit the offence. Clearly, the petitioner could never have reasonably
believed that he had cause to fear that he would be killed or seriously injured.
The Reviewing Authority notes that the petitioner had dropped his allegations of
being subjected to violence by the time he appeared in Court. All Captain [A.]
intended to do was to inform the Court that the petitioner did not wish to
proceed with these allegations. In fact the Court was made aware of them because
the letter from (sic) the Commanding Officer was read out to them.
We accept that Captain [A.] was mistaken in referring the petitioner to the
booklet 'Appeals and Petitions after conviction by Army Court Martial', which
was out of date after 1 April 1997. In addition the wrong paragraph was used in
his advice to the petitioner. However as we have now received a petition, in
spite of this mistaken advice, we believe that no harm has been done. ...”
18. On 26 July 1997 the applicant lodged an application for leave to appeal
against conviction and sentence to the Courts-Martial Appeal Court. Leave to
appeal was refused by the single judge on 22 October 1997, on the grounds that
the defence of duress had not been open to the applicant, that he had been
properly advised to plead guilty, and that the sentence was not manifestly
excessive.
II. RELEVANT DOMESTIC LAW AND PRACTICE
A. The structure and procedure of courts martial
19. The Armed Forces Act 1996 (“the 1996 Act”) came into effect on 1 April 1997,
amending the Armed Forces Act 1955 (“the 1955 Act”).
20. Under the 1996 Act, the initial decision whether or not to bring a
prosecution is taken by the higher authority, who is a senior officer who must
decide whether any case referred to him by the accused's commanding officer
should be dealt with summarily, referred to the prosecuting authority, or
dropped. Once the higher authority has taken this decision, he has no further
involvement in the case.
21. Where the accused is a member of the army, the role of prosecutor is
performed by the Army Prosecuting Authority (“the prosecuting authority”).
Following the higher authority's decision to refer a case to it, the prosecuting
authority has absolute discretion, applying similar criteria as those applied in
civilian cases by the Crown Prosecution Service, to decide whether or not to
prosecute, what type of court martial would be appropriate and precisely what
charges should be brought. In addition, it conducts the prosecution (1996 Act,
Schedule I, Part II). The prosecution is brought on behalf of the
Attorney-General. The current prosecuting authority is the Director of Army
Legal Services. In his role as prosecuting authority, the Director of Army Legal
Services is answerable to the Attorney-General, while in his coexisting role as
the army's senior lawyer he is answerable to the Adjutant General (the army's
principal personnel and training officer, responsible, inter alia, for army
disciplinary policy and a member of the Army Board). In pursuit of his latter
role, the Director of Army Legal Services provides some military legal advice to
the army chain of command. He does not advise the disciplinary chain of command
of the army, this role being reserved to the Brigadier Advisory.
22. The Army Criminal Legal Aid Authority is also the responsibility of the
Adjutant General.
23. The Court-Martial Administration Office (now the Army Court Service),
independent of both the higher authority and the prosecuting authority, is
responsible for making the arrangements for courts martial, including arranging
venue and timing, ensuring that a judge advocate and any court officials
required will be available, securing the attendance of witnesses and selecting
members of the court. Its officers are appointed by the Defence Council. Before
commencement of the court-martial hearing, the power to dissolve it is vested in
the responsible court-administration officer. Until early 2001 the person in
charge of the Court-Martial Administration Office was a retired officer. The
Army Court Service was then created in its place, the head of which is now a
serving brigadier.
24. At the relevant time, a district court martial (“DCM”) was required to
consist of a permanent president of courts martial, not less than two serving
military officers of at least two years' military experience and a judge
advocate (section 84D of the 1955 Act as amended by the 1996 Act). The
court-administration officer, commanding officers of the accused, members of the
higher authority, investigating officers and all other officers involved in
inquiring into the charges concerned were all barred from selection to the court
martial (section 84C(4) of the 1955 Act as amended by the 1996 Act). The Courts
Martial (Army) Rules 1997 further provide that an officer serving under the
command of: (i) the higher authority referring the case; (ii) the prosecuting
authority; or (iii) the court-administration officer are ineligible for
selection. The Queen's Regulations provide that a court martial is, so far as
practicable, to be composed of officers from different units.
25. The post of permanent president of courts martial (“the permanent
president”) was first created in 1941. Permanent presidents were routinely
appointed thereafter to sit on DCMs whenever one was available until suspension
of the post in 2000, around the time of a ruling by Assistant Judge Advocate
Pearson on 6 March 2000 in McKendry (see paragraph 31 below) that the
appointment of permanent presidents meant that courts martial did not have the
necessary impartiality and independence for the purposes of Article 6 of the
Convention. Permanent presidents were selected from the ranks of serving army
officers of suitable age and rank. Until around the end of 1996, permanent
presidents of courts martial held the rank of major. Thereafter their rank was
raised to lieutenant-colonel, which resulted in permanent presidents routinely
outranking the other serving officers on a DCM, who were never above the rank of
major. Legal qualifications or experience were not required. Their appointment
was usually expected to be for a period in excess of three years and was almost
without exception the officer's last posting before his retirement from the
army. The Military Secretary (a senior subordinate of the Adjutant General) had
power to terminate the appointment of a permanent president, but this has never
happened in practice.
26. Judge advocates are appointed by the Lord Chancellor and are civilians who
must have at least seven years' experience as an advocate or five years'
experience as a barrister. A judge advocate's rulings on points of law are
binding on the court and he delivers a summing-up in open court before the court
martial retires to consider its verdict. Once the court martial hearing has
commenced, the power to dissolve it is vested in the judge advocate. He has a
vote on sentence, but not on verdict. Under the 1996 Act, the Judge Advocate
General lost his previous role of providing general legal advice to the
Secretary of State for Defence (Schedule I, Part III, sections 19, 25 and 27).
27. Each member of a court martial has to swear the following oath:
“I swear by Almighty God that I will well and truly try the accused before the
court according to the evidence, and that I will duly administer justice
according to the Army Act 1955 without partiality, favour or affection, and I do
further swear that I will not on any account at any time whatsoever disclose or
discover the vote or opinion of the president or any member of this court
martial, unless thereunto required in the due course of law.”
28. Decisions on verdict and sentence are reached by majority vote (section 96
of the 1955 Act). The casting vote on sentence, if needed, rests with the
president of the court martial, who also gives reasons for the sentence in open
court. The members of the court are required to speak, and at the close of
deliberations to vote on verdict and sentence, in ascending order of seniority.
29. All guilty verdicts reached and sentences imposed by a court martial must be
reviewed by the “reviewing authority” (section 113 of the 1955 Act as amended by
the 1996 Act). Although the ultimate responsibility rests with the Defence
Council, the review is as a matter of practice generally delegated to a senior
subordinate of the Adjutant General. Post-trial advice received by the reviewing
authority from a judge advocate (different from the one who officiated at the
court martial) is disclosed to the accused, who has the right to present a
petition to the authority. The reviewing authority may quash any guilty verdict
and associated sentence or make any finding of guilt which could have been made
by the court martial, and may substitute any sentence (not being, in the
authority's opinion, more severe than that originally passed) which was open to
the court martial (section 113AA of the 1955 Act as amended by the 1996 Act).
The reviewing authority gives a reasoned decision and its verdict and sentence
are treated for all purposes as if they were reached or imposed by the court
martial.
30. There is a right of appeal against both conviction and sentence to the
Courts-Martial Appeal Court (a civilian court of appeal) (section 8 of the
Courts-Martial (Appeals) Act 1968). An appeal will be allowed where the court
finds that the conviction is unsafe, but dismissed in all other cases. The court
has power, inter alia, to call for the production of evidence and witnesses
whether or not produced at the court martial (section 28 of the Courts-Martial
(Appeals) Act 1968).
B. Domestic case-law
31. The role of permanent president was examined by the Courts-Martial Appeal
Court (which has the same composition as the civilian Court of Appeal) in R. v.
Spear and another and in R. v. Boyd ([2001] Court of Appeal, Criminal Division
(England and Wales) 2). The court dismissed the appellants' complaint that the
position of permanent presidents on courts martial violated Article 6 § 1 of the
Convention because permanent presidents lacked the necessary independence and
impartiality. The court declined to follow the reasoning of Assistant Judge
Advocate Pearson in McKendry. Lord Justice Laws, delivering the judgment of the
court, said:
“24. Mr Mackenzie of course relies on the decision of Assistant Judge Advocate
General Pearson in McKendry. His judgment was given as we have said on 6 March
2000, by way of a ruling in a then current court martial upon objections raised
on behalf of the defence to the PPCM [Permanent President] sitting as a member
of the court. The judge advocate's essential reasoning appears at pp. 8-9 of the
transcript, after he had correctly directed himself as to the Article 6
standards to be applied (the numbering attached to the judge advocate general's
text is ours, not his):
'1. I am concerned as to the terms of appointment of these Permanent Presidents.
It seems to me that there is no fixed time limit other than a time which may be
quite short – two, three or four years; certainly two years is probably too
short to ensure full independence, four years may be suitable – I express no
comment on that.
2. I am concerned as to their training. This reference to their visiting the APA
[Army Prosecuting Authority], I suspect that is mistyping, nevertheless it is
there in their current job description and I must be concerned with the
perception of bias, and it does not look appropriate, in my view, for Permanent
Presidents to be told they should attend a briefing from the Prosecuting
Authority.
3. I am concerned obviously with their potential removal. Clearly anybody
exercising judicial or quasi-judicial functions should be free from arbitrary
removal, and there should be some sort of guarantee that the removal would only
be on the basis of some sort of misconduct within that particular office. There
is no security, therefore, it would seem to me, that applies to Permanent
Presidents at the present time in their role.
4. I am also obviously concerned with the question of reporting, whether it be
annual – which I doubt; it is more likely to be every two years, or perhaps on
the renewal of their appointment – I cannot say, but certainly there is some
reporting that appears to take place, and it seems to me again that is a
significant difficulty which affects the perception of independence.
Now, I have specified those three [in fact, four] as being the main concerns
that I have ... those particular concerns are sufficient in my view for me to
rule that in the particular circumstances of the system as it now stands, the
appointments of Permanent Presidents do not give rise to an independent and
impartial tribunal.'
The judge advocate was at pains to insist that his ruling was 'limited to this
particular case'; but its reasoning plainly applies at least to all DCMs
presided over by a PPCM.
25. Mr Mackenzie sought to build on the reasoning in McKendry with a series of
further points ... In particular, he submitted that (a) there were no objective
regulatory provisions governing the PPCM's appointment, beyond the ordinary
procedures for staff appointments; (b) 'the medium rank of PPCM prevents such
officers from being immune from general Army influence' ...; (c) the PPCM is
senior in rank to the other officers on the court martial ..., and would be
likely to exert a substantial influence over them.
26. It is convenient to deal with this last point first. In McKendry the judge
advocate stated at 6C-D (referring to junior members of a DCM):
'Speaking for myself, having of course sat in on many, many sentencing matters
with Permanent Presidents, I can say that I have found that the junior members
... the fact that they happen to be junior in rank, has not prevented them from
being very robust in their sentencing arguments.'
As judge advocate he would not, of course, have participated in the court's
deliberations upon conviction. It is to be noted that by paragraph 70(4) of the
Court Martial (Army) Rules 1997 the junior officer is required to speak first in
the course of any court martial's deliberations. The provision is plainly
intended to ensure that junior members' genuine opinions are put forward.
27. Upon this point, Mr Mackenzie's argument does not go to the particular
position of the PPCM at all, but rather to the differences in rank among the
members of the court martial, whether the president is a PPCM or not. As such we
doubt whether it is open to him. But we are clear in any event that there is no
merit in it. If the argument were right, it would presumably mean that Article
6(1) required that the members of a court martial should be officers of the same
rank. That cannot be the law. The notion, were it accepted, that it is
reasonable to fear that between joint decision-makers of different rank there is
a systematic likelihood that the more junior may be unduly influenced by the
perceived views of the more senior would, surely, be an unlooked for and
unwelcome side-effect of the Convention's beneficent regime. We consider it
perfectly reasonable to suppose that junior officers would regard it as their
duty to speak with their own voice, and that the modern culture of the Service
would promote that very point of view. We do not think it would be reasonable
for the accused soldier to entertain any different perception. This point is a
bad one.
28. The argument as to the PPCM's medium rank and 'general Army influence' falls
to be disposed of in like manner. But there is another point to be made. The way
this argument is formulated – 'the medium rank of PPCM prevents such officers
from being immune from general Army influence' – amounts, looked at rigorously,
to an allegation of actual bias (whether unconscious or not). It is not, or not
only, a matter of the appearance of the thing or of the presence or absence of
objective guarantees. It is a delicate way of saying that such medium-ranking
officers are relatively prone to take a prosecution line. That is quite a
serious allegation, for which there is not a whisper of any supporting evidence.
And in our view it is simply patronising to suggest that an officer in the rank
of Lieutenant-Colonel ... will have his judgment on the concrete facts of a
particular case affected by anything so amorphous as 'general Army influence'.
29. In our judgment Mr Mackenzie's further submission about the absence of any
specific regulatory provision goes nowhere, unless it supports an argument to
the effect that the PPCMs lack sufficient tenure in office for this court to be
satisfied that the Article 6 requirements of independence and impartiality are
met. ...
30. ... we should dispose of point (2) in McKendry. This rested in the judge
advocate's understanding that Army PPCMs were required, as a training exercise,
to visit and be briefed by the Army Prosecuting Authority. In fact the judge
advocate himself reported (4E) the assurance given to him that no such visits
took place. Lt Col Stone states in terms that he has never visited the APA. From
the judge advocate's reasoning in McKendry it looks as if there must have been
some rogue document or documents in circulation; but there is obviously nothing
of substance in the point.”
32. Lord Justice Laws concluded as follows on the appellants' complaint about
the position of permanent presidents (at paragraph 33):
“... We consider that the conditions upon which PPCMs have been appointed, and
held office, have involved no violation of Article 6(1), and in particular there
was no violation on the facts of these cases. We should first collect the facts
which have weighed with us. (1) The PPCMs effectively operated outside the
ordinary chain of command. They advisedly lived their professional lives largely
in isolation from their Service colleagues. (2) While Mr Havers rightly accepted
that there was no 'written guarantee' against removal, there is in fact no
record of a PPCM ever having been removed from that position. Removal from
office, we may readily infer, would only take place in highly exceptional
circumstances which have never eventuated. (3) The appointment was the officer's
last posting, offering no prospect of promotion or preferment thereafter.
Neither of the PPCMs in these cases entertained any such prospect, hope or
expectation. ... (4) The term of these PPCMs' appointments was for no less than
four years ... (5) There have been no reports on Army PPCMs since April 1997.
...”
C. Other relevant case-law
33. In R. v. Généreux ([1992] 1 Supreme Court Reports 259), the Supreme Court of
Canada examined, inter alia, the compatibility of a Canadian general court
martial with section 11(d) of the Canadian Charter of Rights and Freedoms, which
provides:
“11. Any person charged with an offence has the right
...
(d) to be presumed innocent until proven guilty according to law in a fair and
public hearing by an independent and impartial tribunal.”
34. A general court martial consisted of between five and nine voting members,
who were joined by a judge advocate who was called upon to determine questions
of law or mixed law and fact during the trial. The judge advocate was appointed
to the general court martial by the Judge Advocate General on an ad hoc basis.
35. The Supreme Court concluded that the judge advocate did not possess
sufficient security of tenure to satisfy the requirement of “independence” under
section 11(d) of the Charter. Lamer CJ, delivering the leading judgment of the
court, commented as follows:
“... the judge advocate was appointed solely on a case by case basis. As a
result, there was no objective guarantee that his or her career as a military
judge would not be affected by decisions tending in favour of the accused rather
than the prosecution. A reasonable person might well have entertained an
apprehension that a legal officer's occupation as a military judge would be
affected by his or her performance in earlier cases ... [or] that the person
chosen as judge advocate had been selected because he or she had satisfied the
interests of the executive, or at least has not seriously disappointed the
executive's expectations, in previous proceedings. ...
Military judges who act periodically as judge advocates must therefore have a
tenure that is beyond the interference of the executive for a fixed period of
time.”
He went on to note that amendments to Canadian court-martial procedures, which
had come into force subsequent to the proceedings at issue in the case, had
corrected deficiencies in the judge advocate's security of tenure, providing for
appointment for a period of between two and four years.
THE LAW
I. ALLEGED VIOLATION OF ARTICLE 6 § 1 OF THE CONVENTION
36. The applicant made a series of complaints under Article 6 § 1 of the
Convention relating to the general structure of the court-martial system in the
United Kingdom following the 1996 Act. In addition, he made a number of specific
complaints under Articles 6 §§ 1 and 3 (c) about the fairness of the proceedings
and the lack of legal representation before his court martial.
37. The relevant parts of Article 6 provide:
“1. In the determination 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. ...
...
3. Everyone charged with a criminal offence has the following minimum rights:
...
(c) to defend himself in person or through legal assistance of his own choosing
or, if he has not sufficient means to pay for legal assistance, to be given it
free when the interests of justice so require;
...”
A. Applicability of Article 6
38. In the Court's view, Article 6 is clearly applicable to the applicant's
court-martial proceedings, since they involved the determination of sentence
following his plea of guilty to a charge of going absent without leave.
Although, in contrast with Findlay v. the United Kingdom (judgment of 25
February 1997, Reports of Judgments and Decisions 1997-I), the applicant was not
charged with an ordinary criminal offence, the Court notes that following the
hearing he was sentenced, inter alia, to nine months' detention. In the face of
such a substantial deprivation of liberty, there was clearly a “determination of
a criminal charge” (see Findlay, cited above, p. 279, § 69; Engel and Others v.
the Netherlands, judgment of 8 June 1976, Series A no. 22, p. 36, § 85; and Hood
v. the United Kingdom [GC], no. 27267/95, ECHR 1999-I). Indeed, the Government
did not dispute this point.
B. General complaints
1. Arguments of the parties
(a) The applicant
39. The applicant complained of a number of structural defects in the
court-martial system as amended by the 1996 Act. He argued that his commanding
and defending officers, the higher authority, the Court-Martial Administration
Office, the Army Criminal Legal Aid Authority, the Army Prosecuting Authority
and the officers who sat on the court martial itself were all controlled wholly
or in part by the Adjutant General, who was himself directly subordinate to the
Defence Council. In particular, he commented that the appointment, future
appointment and promotion of the commanding, defending and prosecuting officers
and the officers sitting on the court martial depended at least in part upon the
Military Secretary, who was a subordinate of the Adjutant General. He
highlighted the fact that the prosecuting authority was also Director of Army
Legal Services (see paragraph 21 above) and, as such, was answerable to the
Adjutant General. He stated that the Adjutant General also had responsibility
for maintaining discipline in the army.
40. The applicant submitted that, in order to comply with Article 6 § 1 of the
Convention, courts martial had to be independent of the army as an institution,
particularly of senior army command. By contrast, at all key stages of the
applicant's court martial, including the bringing of charges, the appointment of
the members of the court, the reaching of a decision on verdict and sentence,
and the review of such verdict and sentence, the applicant considered that the
army hierarchy had been closely involved, as ultimately represented by the
Adjutant General and the Defence Council.
41. The applicant drew particular attention to the means of selection by
court-administration officers of the members of courts martial. He pointed out
that there was no statutory or regulatory guidance as to how the members of the
court martial were to be selected. Although there were rules about eligibility
to sit on a court martial, those conducting the defence were not, as a matter of
practice, provided with the information necessary to enable them to check
whether the officers appointed to sit at a court martial were disqualified. The
applicant submitted that there was nothing to prevent court-administration
officers, who are themselves appointed by the Defence Council, from considering
themselves as acting in the army's interests when selecting the members of a
court martial. He argued that the fact that the Adjutant General had, earlier in
2001, been able to replace the retired officer who had been in charge of the
Court-Martial Administration Office with a serving army brigadier showed that
that office was not, and never had been, independent of senior army command. He
added that, in any event, in practice the appointment of serving officers from
their units to courts martial was normally left to the army's operational chain
of command. As for permanent presidents of courts martial, although they were
allocated to individual courts martial by the Court-Martial Administration
Office, they were appointed to their post as permanent president by way of the
normal army staff appointment system. All of these factors, he argued, brought
the independence of courts martial into question.
42. The applicant highlighted the lack of formal security of tenure of permanent
presidents, indicating that the Military Secretary had the power to terminate
their appointment at any time. He stated that the appointment of permanent
presidents and the nature of their role were not governed by any statutory or
regulatory provision. Similarly, there was no formal provision protecting the
permanent president from improper outside influence. He pointed out that, as a
lieutenant-colonel, the permanent president in the applicant's case
substantially outranked the two serving officers who sat on the court martial.
Contrasting the full-time nature of the permanent president's appointment with
the ad hoc nature of that of the two serving officers, he contended that the
permanent president had an apparent experience and authority to which the junior
officers were bound to defer.
43. The applicant submitted that, in principle, a court made up almost
exclusively of army officers trying charges brought by the army could not
constitute an “independent and impartial tribunal”, particularly in the case of
offences against army discipline such as absence without leave. This was
especially the case where, as here, two of the three army officers involved had
been appointed on an ad hoc basis for a single case. There were also no measures
in place which could guarantee that the two serving officers would not be
interfered with when executing their judicial functions. He identified a strong
officer corps ethos in the British Army which recognised the importance of army
discipline and of setting a deterrent to others in imposing terms of detention
and which, he said, gave rise to an unavoidable conflict of interest at every
court martial under the 1996 Act.
44. The applicant stated that the presence of an independent and impartial judge
advocate on a court martial was not capable of remedying the failings which he
had identified in the system, particularly as the judge advocate had no vote on
verdict, was only one of four voting as to sentence and had far less influence
over the other members of the court martial than did the permanent president.
45. At the sentencing stage, the applicant argued that army influence was
illustrated by the fact that sentences were calculated by reference to previous
decisions of courts martial which pre-dated the Court's decision in Findlay
(cited above), and by the attendance of permanent presidents, and possibly other
officers sitting on courts martial, at army-discipline conferences.
46. In view of the fact that the Defence Council, as “reviewing authority”, had
relatively wide powers to set aside the court martial's verdict following its
mandatory review, and of the fact that those powers were in practice normally
delegated as in the applicant's case to a serving officer, the applicant
submitted further that the court martial did not possess the characteristics
necessary to constitute a “tribunal established by law” and that its
independence was brought further into doubt.
47. The applicant maintained also that the court martial before which he had
appeared lacked the necessary characteristics to have been “established by law”.
In particular, the applicant highlighted the lack of any law substantially
controlling the selection and appointment of members of a court martial.
(b) The Government
48. The Government submitted that the court-martial system introduced by the
1996 Act was fully compatible with the Convention.
49. They contended that the fact that the Defence Council has certain functions
as to command and administration of the armed forces, and appointments in those
forces, did not mean that the applicant was not tried by an independent and
impartial tribunal. They drew a distinction between “command” and “staff”
appointments, stating that discipline was a function solely of those holding
command appointments. They stated that the Adjutant General was not a command
officer at all, but rather a very senior staff officer responsible for personnel
policy. They argued that the applicant was wrong to suggest that the Military
Secretary controlled the appointments and promotion of the officers sitting on a
court martial, since such control was exercised by promotion and selection
boards.
50. The Government stressed that the new court-martial system met all of the
objections to the previous system identified by the Court in Findlay (see
paragraph 45 above). In particular, they pointed out that the post of “convening
officer” had ceased to exist and that his main roles were now split between the
higher authority, the prosecuting authority and the Court-Martial Administration
Officer.
51. The Government indicated that the role of the higher authority was a narrow
one. His key decision as to whether to refer a matter back to the accused's
commanding officer for summary resolution, to refer it to the prosecuting
authority for a decision on formal prosecution, or not to institute proceedings
at all was essentially a command one, not a legal one.
52. In respect of the prosecuting authority, the Government highlighted that he
and his staff were entirely independent of senior army command and brought
prosecutions on behalf of the Attorney-General. They argued that the current
prosecuting authority's coexisting role as Director of Army Legal Services, in
which capacity he was answerable to the Adjutant General, did not prejudice his
independence or impartiality as a prosecutor, especially since the Director of
Army Legal Services was no longer involved with the giving of advice on
disciplinary matters to the chain of command.
53. The Government pointed out that the person in charge of the Court-Martial
Administration Office at the time of the applicant's court martial was also a
civilian and that his subordinate officers were independent of both the higher
authority and the prosecuting authority. They refuted the applicant's assertion
that the task of selecting the members of a court martial was routinely taken
out of his hands and left to the army's operational chain of command.
54. They highlighted that the permanent president at the applicant's court
martial was in his last post before retiring from the army, thus being appointed
as such for a likely term of four years and eight months. He was also outside
the chain of command, did not receive any confidential reports and worked from
home. There was no record of a permanent president ever having been removed from
his post prematurely.
55. As for the two serving army officers who sat on the applicant's court
martial, the Government again emphasised the fact that they were outside the
chain of command of the applicant, the higher and prosecuting authorities and
the defending officer. Other guarantees against outside pressures existed in the
form of the oath taken by each member of a court martial (see paragraph 27
above) and their obligation to follow rulings on points of law made by the judge
advocate. They indicated that, in many ways, the position of the serving
officers on a court martial was analogous to that of juries at civilian criminal
trials. Although they were, like the defending officer, under the ultimate
command of the commander of the UK land forces, the same could be said for every
army officer. The Government asserted that it could not be suggested that this
fact alone rendered trial by court martial inherently incompatible with Article
6 of the Convention.
56. The Government maintained that, to the extent that there were any
inadequacies as to sentencing under the pre-1996 Act court-martial system, these
had been met by the expanded role in that context of the judge advocate, and by
the new right of appeal against sentence, both of which had been provided by
that Act.
57. The Government stated that, contrary to the position at the time of Findlay,
findings and sentences of courts martial were, at the time of the applicant's
case, no longer subject to confirmation or revision by the “confirming officer”.
The role played by the “reviewing authority” could not, they argued, bring into
question the fairness or independence of the applicant's court martial or its
status as a “tribunal” under Article 6 § 1 of the Convention. The authority was
independent of the higher authority and the prosecuting authority as it was in a
separate chain of command. It essentially provided an extra level of protection
to an accused by checking that nothing obvious had gone wrong at the court
martial. It could do so relatively quickly in comparison with an appeal,
especially in cases concerning courts martial overseas, and was obliged to
consider the advice of the judge advocate before reaching its decision. The
Government asserted that, in carrying out its review, the authority could not
act other than in favour of the accused. The Government reiterated that the
review in no way affected the applicant's right of appeal to the Courts-Martial
Appeal Court.
2. The Court's assessment
58. The Court recalls that in order to establish whether a tribunal can be
considered as “independent”, regard must be had, inter alia, to the manner of
appointment of its members and their term of office, the existence of guarantees
against outside pressures and the question whether the body presents an
appearance of independence.
As to the question of “impartiality”, there are two aspects to this requirement.
Firstly, the tribunal must be subjectively free of personal prejudice or bias.
Secondly, it must also be impartial from an objective viewpoint, that is, it
must offer sufficient guarantees to exclude any legitimate doubt in this respect
(see Findlay, cited above).
The concepts of independence and objective impartiality are closely linked and,
as in Findlay, the Court will consider them together as they relate to the
present case.
59. The Court notes that the practice of using courts staffed in whole or in
part by the military to try members of the armed forces is deeply entrenched in
the legal systems of many member States.
It recalls its own case-law which illustrates that a military court can, in
principle, constitute an “independent and impartial tribunal” for the purposes
of Article 6 § 1 of the Convention. For example, in Engel and Others (cited
above), the Court found that the Netherlands Supreme Military Court, composed of
two civilian justices of the Supreme Court and four military officers, was such
a tribunal. However, the Convention will only tolerate such courts as long as
sufficient safeguards are in place to guarantee their independence and
impartiality.
60. In Findlay (cited above), the Court held that Mr Findlay's misgivings about
the independence and impartiality of the general court martial before which he
had appeared on various charges were objectively justified. The Court's concerns
centred around the multiple roles played in the proceedings by the “convening
officer”. That officer played a key prosecuting role, but at the same time
appointed the members of the court martial, who were subordinate in rank to him
and fell within his chain of command. He also had the power to dissolve the
court martial before or during the trial and acted as “confirming officer”, with
the result that the court martial's decision as to verdict and sentence was not
effective until ratified by him. The Court held that these fundamental flaws
were not remedied by the presence of safeguards, such as the involvement of the
judge advocate, who was not himself a member of the court martial and whose
advice to it was not made public (see Findlay, cited above, pp. 281-82, §§
74-78).
61. The Court notes that the changes introduced by the 1996 Act have gone a long
way to meeting its concerns as shown in Findlay. The posts of “convening
officer” and “confirming officer” have been abolished, and the roles previously
played by those officers have been separated. The convening officer's
responsibilities in relation to the bringing of charges and progress of the
prosecution are now split between the higher authority and the prosecuting
authority (see paragraphs 20-21 above). His duties concerning the convening of
the court martial, appointment of its members, arrangement of venue and
summoning of witnesses have been entrusted to the Army Court Service (formerly
the Court-Martial Administration Office), whose staff are independent of both
the higher and prosecuting authorities. The convening officer's powers to
dissolve the court martial have been invested, prior to a hearing, in the Army
Court Service and thereafter in the judge advocate, who is now a formal member
of the court martial, delivers his summing-up in open court and has a vote on
sentence.
62. The Court concludes that a separation has existed since the entering into
force of the 1996 Act between the prosecutory and adjudicatory functions at a
court martial which was not present in Findlay. Advisory functions have also
been allocated separately to the Director of Army Legal Services and Brigadier
Advisory. Although the Director of Army Legal Services is also the prosecuting
authority, the Court is of the view that sufficient safeguards of independence
exist in that, in his advisory role, he does not deal with disciplinary matters
and, in any event, he is in that role answerable to the Adjutant General, while
as prosecuting authority he is answerable to the Attorney-General.
63. For these reasons, the Court does not find that the applicant's general
complaint about the relationship between senior army command, as represented by
the Defence Council and the Adjutant General, and those involved in the
applicant's court-martial proceedings, of itself gives rise to any violation of
Article 6 § 1 of the Convention.
64. However, the question remains whether the members who heard the applicant's
court martial collectively constituted an “independent and impartial tribunal”,
as those concepts have been explained in the case-law of the Court.
65. The Court recalls that, in Incal v. Turkey (judgment of 9 June 1998, Reports
1998-IV, pp. 1571-72, § 67), which concerned the criminal trial of a civilian
before the National Security Court, it identified certain safeguards of
independence and impartiality which existed in relation to the military judges
who sat as members of that court. In particular, it noted that the military
judges concerned underwent the same professional training as their civilian
counterparts, that when sitting they enjoyed constitutional safeguards identical
to those of civilian judges and that, according to the Turkish Constitution,
they had to be independent and free from the instructions and influence of
public authorities. However, it went on (p. 1572, § 68) to identify other
aspects of the military judges' status which made their independence
questionable. In particular, they were servicemen who still belonged to the
army, they remained subject to army discipline and assessment reports, decisions
pertaining to their appointment were to a great extent taken by the
administrative authorities and the army, and their term of office was only four
years and could be renewed.
66. Looking first at the method of appointment in the present case, the
applicant raised concerns about the means of selection of the officers who sat
on his court martial, and about the independence of the Court-Martial
Administration Office, which was responsible for that selection. The fact that
the head of the Court-Martial Administration Office was appointed by the Defence
Council does not of itself give reason to doubt the independence of the court
martial because he was, in any event, adequately separated from those fulfilling
prosecutory and adjudicatory roles at the court martial. It notes that he
appears to have had no fixed term of appointment and that there were no clear
guarantees against interference by senior army command in his selection of
courts martial. However, there is no evidence of any such interference in the
applicant's case. Therefore, the Court concludes that the manner in which the
applicant's court martial was appointed does not itself give rise to any lack of
independence in that tribunal for the purposes of Article 6 § 1 of the
Convention.
67. Turning to the terms of office and the existence of safeguards against
outside pressures, the Court considers that it is necessary to examine in turn
the positions of the permanent president and the two serving officers on the
applicant's court martial. The applicant raises no objection as to the
independence of the remaining member of the court martial, namely the judge
advocate.
68. The Court notes that the permanent president in the applicant's case was
appointed to his post in January 1997 and was due to remain in post for four
years, eight months, until his retirement in September 2001. He also worked
outside the chain of command. The Court considers that, in these respects, his
position was similar to that of the military members of the Netherlands Supreme
Military Court in Engel (cited above). In that case, in declaring the military
court “independent and impartial”, the Court drew attention to the fact that the
appointment of the military members was usually the last of their careers and
that they were not, in their functions as judges, under the command of any
higher authority or under a duty to account for their acts to the service
establishment (pp.12-13, § 30, and p. 37, § 89).
The Court recalls that, although irremovability of judges during their terms of
office must in general be considered as a corollary of their independence, the
absence of a formal recognition of such irremovability in the law does not in
itself imply a lack of independence, provided that it is recognised in fact and
that other necessary guarantees are present (see Campbell and Fell v. the United
Kingdom, judgment of 28 June 1984, Series A no. 80, p. 40, § 80). It notes also
that, as highlighted by the Courts-Martial Appeal Court in R. v. Spear and
another and R. v. Boyd (cited above – see paragraph 31), although there is no
“written guarantee” against premature removal of permanent presidents, there is
no record of a permanent president ever having been removed from office.
69. The applicant argues that the independence of the permanent president at the
applicant's court martial could have been reinforced by formal security of
tenure and by embodiment of his appointment in a legal instrument of some kind.
However, the Court finds that the presence of the permanent president did not
call into question the independence of the court martial. Rather, his term of
office and de facto security of tenure, the fact that he had no apparent
concerns as to future army promotion and advancement and was no longer subject
to army reports, and his relative separation from the army command structure,
meant that he was a significant guarantee of independence on an otherwise ad hoc
tribunal.
70. In contrast to the permanent president, the two serving officers who sat on
the applicant's court martial were not appointed for any fixed period of time.
Rather, they were appointed on a purely ad hoc basis, in the knowledge that they
would return to their ordinary military duties at the end of the proceedings.
Although the Court does not consider that the ad hoc nature of their appointment
was sufficient in itself to render the make-up of the court martial incompatible
with the independence requirements of Article 6 § 1, it made the need for the
presence of safeguards against outside pressures all the more important in this
case.
71. The Court recognises that certain safeguards were in place in the present
case. For example, the presence of the legally qualified, civilian judge
advocate in his enhanced role under the 1996 Act was an important guarantee,
just as the presence of two civilian judges in the Netherlands Supreme Military
Court was found to be in Engel (cited above). This was particularly so since the
applicant's guilt, upon which the judge advocate would have had no vote, was not
at issue before the court martial. As indicated at paragraph 69 above, the
presence of the permanent president provided another guarantee. The Court notes
also the protection offered by the statutory and other rules about eligibility
for selection to a court martial and the oath taken by its members (see
paragraphs 24 and 27 above).
72. However, the Court considers that the presence of these safeguards was
insufficient to exclude the risk of outside pressure being brought to bear on
the two relatively junior serving officers who sat on the applicant's court
martial. In particular, it notes that those officers had no legal training, that
they remained subject to army discipline and reports, and that there was no
statutory or other bar to their being made subject to external army influence
when sitting on the case. This is a matter of particular concern in a case such
as the present one where the offence charged directly involves a breach of
military discipline. In this respect, the position of the military members of
the court martial cannot generally be compared with that of a member of a
civilian jury, who is not open to the risk of such pressures.
73. In relation to the applicant's complaints about the role played by the
“reviewing authority”, the Court recalls that the power to give a binding
decision which may not be altered by a non-judicial authority is inherent in the
very notion of “tribunal”. The principle can also be seen as a component of the
“independence” required by Article 6 § 1 (see Findlay, cited above, p. 282, §
77, and Brumarescu v. Romania [GC], no. 28342/95, § 61, ECHR 1999-VII). In
Findlay, the role played by the “confirming officer” under the pre-1996 Act
court-martial system was found to be contrary to this well-established
principle.
74. In the present case, the applicant's sentence and conviction were subject,
under changes introduced by the 1996 Act, to automatic review by the “reviewing
authority”. The Court notes that the authority was empowered to quash the
applicant's conviction and the sentence imposed by the court martial. More
importantly, it had powers to reach any finding of guilt which could have been
reached by the court martial and to substitute any sentence which would have
been open to the court martial, not being in the authority's opinion more
serious than that originally passed. Any substituted verdict or sentence was
treated as if it had been reached or imposed by the court martial itself.
75. The Court considers that the very fact that the review was conducted by such
a non-judicial authority as the “reviewing authority” is contrary to the
principle cited at paragraph 73 above. The Court is particularly concerned by
the fact that the decision whether any substituted sentence was more or less
severe than that imposed by the court martial would have been left to the
discretion of that authority. The Court's concerns are not answered by the
Government's argument that the existence of the review serves the interests of
convicted soldiers such as the applicant, nor by the essentially fair procedure
followed by the authority when conducting its review.
76. The Court is of the view that the fundamental flaws which it has identified
were not corrected by the applicant's subsequent appeal to the Courts-Martial
Appeal Court, since that appeal did not involve any rehearing of the applicant's
case but rather determined, in the form of a decision which ran effectively to
two sentences, that leave to appeal against conviction and sentence should be
refused.
77. For all these reasons, the Court considers that the applicant's misgivings
about the independence of the court martial and its status as a “tribunal” were
objectively justified.
78. In view of the above, it is not necessary to consider the applicant's other
complaint under Article 6 § 1 that the court martial was not “established by
law”. Further, in view of the Court's conclusions about the applicant's
complaint under Article 6 § 3 (c) (see paragraph 93 below), it is not necessary
for the Court to examine the applicant's complaint about the lack of
independence of the Legal Aid Authority.
79. In conclusion, in respect of certain of the applicant's complaints about the
general structure of the court-martial system, there has been a violation of
Article 6 § 1 of the Convention.
C. Specific complaints
1. Arguments of the parties
(a) The applicant
80. The applicant argued that he was entitled to legal representation at the
court-martial proceedings but that this was denied him due to the unfairness of
the army's legal-aid system. He pointed to alleged differences between that
system and the civilian legal-aid system in the United Kingdom which he said
disadvantaged his application for legal aid. In particular, he highlighted the
fact that the army system required him to make a down-payment amounting to ten
times his weekly disposable income, whereas the civil system would probably have
required only weekly or monthly payments out of that income. He denied that he
was offered the option of making the down-payment by way of ten weekly
instalments and drew attention to the terms of the Legal Aid Authority's letter
of 21 April 1997, which stated that legally aided solicitors would not be
instructed until the payment had been made. He indicated that he was unable to
afford the lump sum required and was thus effectively denied legal
representation.
81. The applicant further argued that the defending officer who had the task of
representing him was patently unable to act in his best interests since he was
appointed by the applicant's commanding officer from within his own unit, and
was thus subordinate to the very officer who had remanded the applicant for
trial by court martial. He stated that he was not consulted about the choice of
defending officer and that, as he had been out of the army for a considerable
time by the time of his court martial, he would not have known any officer
sufficiently well to make an informed choice. He commented that the defending
officer failed to advise him properly on the possibility of lodging a “not
guilty” plea based upon the defence of duress and to inform the court martial
adequately of the reasons for the applicant going absent without leave. Although
he recognised that he had signed a statement indicating that he did not want the
military police to take any further action in connection with his allegations of
bullying, he stressed that the statement concerned had continued to assert the
truth of those allegations. He referred to the defending officer's disclosure to
the Defence Council, following the court martial, of instructions given by the
applicant in confidence, and of advice given to him, notwithstanding the
applicant's solicitor's specific requests that he should not do so.
(b) The Government
82. The Government submitted that the down-payment of GBP 240 in respect of
legal representation was requested by the Legal Aid Authority only following
careful assessment of the applicant's means. They stated that the applicant was
manifestly able to afford to pay that sum having regard to his net weekly
income, as detailed in his initial application for legal aid. They alleged that
payment by ten weekly instalments was an option and highlighted that the
applicant chose to decline the offer before a reply had been received to the
letter from his solicitor of 30 April 1997 seeking reconsideration by the Legal
Aid Authority of the terms of the offer. They indicated that, had the applicant
accepted the offer of legal aid, it would have been granted at once and would
not thus have been conditional upon prior down-payment being made in full.
83. The Government further denied that the defending officer's appointment or
conduct at the applicant's court martial had given rise to a violation of
Article 6 § 1 of the Convention. They submitted that there was no basis for the
defending officer to advise the applicant to plead not guilty to the charge
since the defence of duress was bound to fail in the circumstances. The
applicant's allegations of bullying and assault were insufficient in law to
found such a defence and were, as confirmed by the investigating authorities at
the time, not supported by the evidence. In any event, the applicant had
withdrawn those allegations and had agreed that he did not want to answer
questions about them at the hearing. They affirmed that the allegations were in
any case brought to the court martial's attention, and full reasons for the
applicant's absence were thus given, because the defending officer had handed to
the court the applicant's letter to his commanding officer of 17 March 1993 in
the course of making arguments in mitigation.
84. The Government accepted that the defending officer had erroneously advised
the applicant following his conviction about the possible consequences of
bringing an appeal. However, they argued that the applicant had not been
prejudiced by that advice since he had engaged a solicitor shortly afterwards
and, no doubt following that solicitor's advice, had lodged a petition with the
Defence Council as “reviewing authority” and subsequently appealed to the
Courts-Martial Appeal Court.
85. The Government maintained that the defending officer was entitled to
disclose the previously privileged information to the Defence Council following
the court martial, in view of the serious allegations which the applicant made
about that officer in his petition to the Council.
86. The Government drew attention also to the fact that the applicant had been
entitled to legal aid for legal representation before the court martial, was
offered such aid subject to a “modest” down-payment in line with that which
would have been required in the civilian courts, and chose to decline the offer.
It followed, according to the Government, that the defending officer was not,
and was never intended to be, a substitute for a legal representative. They
contrasted the position with criminal proceedings in the civilian context where,
if an accused refused an offer of legal aid, he would generally have to
represent himself at trial. The Government highlighted that the applicant had
the right to select his own defending officer from outside his own unit, and
that he was provided with a document informing him of this right in October
1996, but had chosen not to do so.
87. The Government denied that the applicant's defending officer had any links,
apparent or otherwise, with the prosecuting authority or with the members of the
court martial, who were all from different regiments and a different chain of
command. They submitted that the mere fact that the defending officer was under
the command of the applicant's CO and, like every other army officer, was under
the ultimate command of the commander the UK land forces, could not affect the
fairness of the applicant's court martial since the decision to prosecute and
the conduct of the prosecution were the responsibility of the prosecuting
authority.
2. The Court's assessment
88. The Court recalls that, in Croissant v. Germany (judgment of 25 September
1992, Series A no. 237-B, pp. 34-35, §§ 33-38), it held that there was no
violation of Article 6 § 3 (c) where an individual was required to pay a
contribution to the cost of providing legal assistance and had sufficient means
to pay.
89. The Court notes that the applicant was offered legal aid subject to a
contribution of GBP 240. It does not regard the terms of the offer as arbitrary
or unreasonable, bearing in mind the applicant's net salary levels at the time,
regardless of whether or not the applicant was given the option of paying by way
of instalments.
90. The Court notes further that, had the applicant accepted the Legal Aid
Authority's offer of legal aid as communicated in its letter of 21 April 1997,
he would have been represented at his court martial by an independent legal
representative. Instead, the applicant refused that offer before the Legal Aid
Authority had even responded to his solicitor's request for reconsideration of
the terms of the offer. Indeed, the applicant certified on 2 May 1997 that he
wanted to be represented by no other than his defending officer, and that he had
made this choice of his own free will (see paragraph 13 above).
91. As a result, the Court finds no merit in the applicant's complaints about
the independence of his defending officer and that officer's handling of his
defence. In any event, it finds on the evidence that the defending officer did
not fail adequately to advise or represent the applicant, save as regards the
risks consequent to his appealing against the court martial's verdict. Even in
that regard, the applicant went on to pursue an appeal with the assistance of
legal representation, so that this error proved to be without consequence for
the applicant.
92. The Court does not consider that the defending officer's disclosure of
privileged information to the Defence Council in its capacity as “reviewing
authority” gave rise in the circumstances to any unfairness in the court-martial
proceedings.
93. Accordingly, as regards the applicant's specific complaints, there has been
no breach of Article 6 §§1 or 3 (c) of the Convention.
II. APPLICATION OF ARTICLE 41 OF THE CONVENTION
94. Article 41 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. Non-pecuniary damage
95. The applicant claimed 5,000 pounds sterling (GBP) for non-pecuniary damage
on the basis that, had he been represented in accordance with the Convention, he
would have received a sentence substantially less than the one he did receive
and possibly would not have received a custodial sentence at all.
96. The Government submitted that it was inappropriate to speculate as to what
the outcome of the applicant's court martial would have been had circumstances
been different. They argued that the applicant's assertions about what would
have happened had he been differently represented at the court martial were
wholly improbable given the fact that the applicant had gone absent without
leave for over three and a half years, had been arrested rather than
surrendering himself, and that the offence of absence without leave is a serious
one in the army context.
97. The Court notes that the applicant associates his claim for non-pecuniary
damage with his complaints about the representation with which he was provided
at his court martial. The Court has concluded above that none of those
complaints give rise to a violation of the Convention.
98. In any event, the Court considers that it cannot speculate as to what the
outcome of the court-martial proceedings might have been had the violations of
the Convention which it has found not occurred (see Findlay, cited above, p.
284, §§ 85 and 88).
In conclusion, the Court considers that its finding of a violation of Article 6
§ 1 of the Convention in itself affords the applicant sufficient just
satisfaction for the alleged non-pecuniary damage.
B. Costs and expenses
99. The applicant also claimed GBP 20,925.46 in respect of costs and expenses,
inclusive of value-added tax (VAT).
100. The Government submitted that the applicant's claim was excessive. They
argued that the figure of 115 hours' work on the part of his main legal
representative seemed very high. In particular, they questioned that part of the
claim relating to the preparation of the applicant's submissions between
November 1999 and January 2000, which amounted to fifty hours' work, and that
part relating to preparation of his submissions for the hearing between July and
October 2001, which amounted to thirty-five hours' work. They also suggested
that work done during the latter period might have overlapped with domestic
litigation in which the representative concerned was involved at the time. They
indicated that there appeared no reason for the applicant to engage a second
representative. They commented that a more reasonable figure for legal costs and
expenses would be GBP 12,000, inclusive of VAT.
101. 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).
102. The Court notes that the bulk of the submissions made by the applicant's
legal representative in January 2000 consisted of a general paper entitled “The
British Army Court-Martial System following the Armed Forces Act 1996 and the
European Human Rights Convention”. It notes that the paper, which runs to some
eighty-four pages excluding schedules, makes no specific mention of the present
case and contained a significant amount of material which was never referred to
in the proceedings before the Court. It considers that the paper was clearly
intended for use beyond these proceedings. The Court therefore concludes that
the applicant cannot claim that the entirety of the costs of the work done on
that paper was actually and necessarily incurred and reasonable as to quantum.
However, the Court does not accept the Government's argument that thirty-five
hours' preparation for the hearing was excessive considering the breadth and
complexity of the issues before the Court. Nor does the Court consider it
unreasonable for the applicant to have instructed a second representative for
the purposes of assisting at that hearing.
In the light of these matters, the Court awards the global sum of 30,000 euros
for legal costs and expenses, inclusive of VAT.
C. Default interest
103. 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 UNANIMOUSLY
1. Holds that, as regards certain of the applicant's complaints about the
general structure of the court-martial system, there has been a violation of
Article 6 § 1 of the Convention;
2. Holds that, as regards the applicant's specific complaints, there has been no
breach of Article 6 § 1 of the Convention;
3. Holds that there has been no violation of Article 6 § 3 (c) of the
Convention;
4. Holds that the finding of a violation of Article 6 § 1 of the Convention in
itself constitutes sufficient just satisfaction for any non-pecuniary damage
alleged by the applicant;
5. Holds
(a) that the respondent State is to pay to the applicant, within three months
from the date on which the judgment becomes final according to Article 44 § 2 of
the Convention, EUR 30,000 (thirty thousand euros) in respect of the costs and
expenses of the proceedings before the Convention organs, inclusive of
value-added tax;
(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 the remainder of the claim for just satisfaction.
Done in English, and notified in writing on 26 February 2002, pursuant to Rule
77 §§ 2 and 3 of the Rules of Court.
S. Dollé J.-P. Costa
Registrar President
|