[неофициальный перевод]
ЕВРОПЕЙСКИЙ СУД ПО ПРАВАМ ЧЕЛОВЕКА
СУДЕБНОЕ РЕШЕНИЕ
ФУНКЕ (FUNKE) ПРОТИВ ФРАНЦИИ
(Страсбург, 25 февраля 1993 года)
(Извлечение)
КРАТКОЕ НЕОФИЦИАЛЬНОЕ ИЗЛОЖЕНИЕ ОБСТОЯТЕЛЬСТВ ДЕЛА
A. Основные факты
Г-н Функе, гражданин Германии, работал торговым представителем
и проживал во Франции.
В связи с расследованием возможных нарушений законодательства
о зарубежных финансовых операциях службы таможни вместе с
представителем судебной полиции провели 14 января 1980 г. обыск по
месту жительства г-на и г-жи Функе, изъяв ряд документов и
предметов. Они также потребовали от г-на Функе представить выписки
некоторых заграничных банковских счетов. В апреле 1982 г.
таможенная администрация получила от суда малой инстанции
Страсбурга распоряжение об аресте имущества г-на Функе на сумму
100200 французских франков для обеспечения оплаты таможенных
штрафов. Банковские счета заявителя в августе 1982 г. были
блокированы, а на его недвижимое имущество наложен залоговый
арест; эти меры были сняты в июле 1990 г. по заявлению г-жи Функе.
Поскольку г-н Функе не представил требуемые банковские
документы, таможенная администрация обратилась в полицейский суд
города Страсбурга, который 27 сентября 1982 г. наложил на него
штраф в 1200 франков и потребовал представить испрашиваемые
документы под угрозой штрафа по 20 франков за каждый день
просрочки. 14 марта 1983 г. Апелляционный суд поддержал данное
решение и увеличил штраф до 50 франков в день. Кассационный суд 21
ноября 1983 г. отклонил жалобу г-на Функе по вопросам права. В
январе 1985 г. таможенные органы направили в банк г-на Функе
уведомление с требованием об уплате штрафа за непредставление
документов. В марте 1985 г. действительность этого уведомления
была подтверждена судом малой инстанции Страсбурга, но
Апелляционный суд отменил это решение в феврале 1989 г., что было
обжаловано таможенными органами в Кассационном суде, хотя и
безрезультатно. К моменту его смерти, 22 июля 1987 г., дело г-на
Функе еще не было передано в суд по главному пункту обвинения. Он
умер в 1987 г., и судебный процесс вела его жена.
B. Разбирательство в Комиссии по правам человека
В жалобе, поданной 13 февраля 1984 г., г-н Функе утверждал,
что была нарушена статья 6 п. 1 (не было справедливого судебного
разбирательства) и п. 2 (презумпция невиновности), а также
статья 8 (неприкосновенность жилища) Конвенции. Жалоба была
признана Комиссией приемлемой 6 октября 1988 г. В своем докладе от
8 октября 1991 г. Комиссия установила факты и выразила мнение, что
не было нарушения статьи 6 п. 1 как в отношении справедливого
разбирательства (семь голосов против пяти), так и по срокам
разбирательства (восемь голосов против четырех), а также статьи 6
п. 2 (девять голосов против трех) и статьи 8 (шесть голосов против
шести с решающим голосом Председателя);
Комиссия передала данное дело в Суд 13 декабря 1991 г.
ВОПРОСЫ ПРАВА
I. О предполагаемом нарушении статьи 6 п. 1 и 2
38. Г-н Функе считает себя потерпевшим в связи с нарушением
статьи 6 п. 1 и 2, которая гласит:
"1. Каждый человек имеет право при определении его гражданских
прав и обязанностей или при рассмотрении любого уголовного
обвинения, предъявляемого ему, на справедливое и публичное
разбирательство дела в разумный срок независимым и беспристрастным
судом, созданным на основании закона...
2. Каждый человек, обвиняемый в совершении уголовного
преступления, считается невиновным до тех пор, пока его виновность
не будет установлена законным порядком".
A. Справедливое судебное разбирательство
и презумпция невиновности
1. Предварительное возражение Правительства
39. Как и в Комиссии, Правительство возражает против принятия
дела к рассмотрению в связи с тем, что в данном деле потерпевшего
нет: г-н Функе не подвергался уголовному преследованию за
нарушение законодательства о зарубежных финансовых операциях, а
его смерть, наступившая 22 июля 1987 г., повлекла прекращение
уголовного дела.
40. Суд отмечает, что сформулированные заявителем на основе
статьи 6 претензии касаются совершенно иной процедуры, связанной с
представлением документов. Соответственно возражение Правительства
отклоняется.
2. Обоснованность жалобы
a) Статья 6 п. 1
41. По утверждению заявителя, назначение ему уголовного
наказания за отказ представить таможне документы (см. п. 9 - 14
выше) является нарушением его права на справедливое
разбирательство, гарантируемое статьей 6 п. 1. По его мнению,
власть нарушила его право не свидетельствовать против самого себя,
которое представляет собой общий принцип, закрепленный как в
правопорядке государств - членов, так и в Европейской конвенции и
Международном пакте о гражданских и политических правах: хотя
власти не подали жалобу на нарушение г-ном Функе положения о
зарубежных финансовых операциях, они начали против него уголовное
преследование, в результате чего г-ну Функе пришлось
способствовать предъявлению ему обвинения. Это тем более
недопустимо, что пользуясь международной взаимопомощью, власти
сами могли получить от иностранных государств необходимые для
предъявления обвинения доказательства.
42. Правительство указало, что таможенная система Франции,
имея декларативную основу, избавляет налогоплательщика от
систематического досмотра, но взамен этого налагает на него
соответствующие обязанности, например: сохранять в течение
некоторого времени документы, подтверждающие его доходы и
состояние, и предоставлять их в распоряжение администрации. Это
право государства на получение некоторых документов находится под
строгим контролем суда и не представляет собой нарушение права не
свидетельствовать против самого себя, что запрещено Пактом ООН
(статья 14) и осуждается Судом Европейских сообществ (см. Решение
по делу Оркема от 18 октября 1989 г. ECR 3283); оно не
противоречит основным направлениям судебной практики органов
Конвенции по вопросам справедливого разбирательства.
В данном случае таможенные службы не заставляли г-на Функе
признаваться в каких-то нарушениях или доказывать их отсутствие;
его просто попросили сделать некоторые уточнения по неясным
моментам, которые выявили работники службы и которые он признал.
Речь идет о выписках из банковского счета и чековых книжках,
обнаруженных во время обыска по месту жительства. Вопрос о том,
является ли требование таможенных служб обоснованным с правовой и
фактической сторон, решают суды на основе состязательности.
43. Комиссия пришла к такому же заключению, исходя главным
образом из особенностей процедур расследования в области экономики
и финансов. Ни обязанность представить выписки из банковских
счетов, ни наложение возрастающих штрафов не нарушают принципа
справедливого разбирательства. Указанная обязанность отражает
доверие государства к каждому гражданину, поскольку оно не
прибегает к более строгим мерам контроля; ответственность за
причиненный ущерб во втором случае полностью ложится на лицо,
отказывающееся сотрудничать с администрацией.
44. Суд считает, что таможенные службы спровоцировали
предъявление обвинения г-ну Функе с целью получения некоторых
документов, о существовании которых у них были предположения, но
полной уверенности не было. Не имея возможности или не желая
получить их каким-то другим путем, они попытались заставить
заявителя представить доказательства своего собственного
нарушения. Особенности таможенного права (см. п. 30 - 31 выше) не
могут оправдать нарушение права любого "обвиняемого" (в смысле
статьи 6) молчать или не давать показания в подтверждение своей
вины.
Следовательно имело место нарушение статьи 6 п. 1 Конвенции.
b) Статья 6 п. 2
45. Предыдущее заключение Суда избавляет его от необходимости
устанавливать, было ли в уголовном деле г-на Функе также нарушение
принципа презумпции невиновности.
B. О длительности разбирательства
46. Учитывая сделанный в п. 44 вывод, Суд также считает, что
нет необходимости рассматривать жалобу на превышение "разумного
срока" (см. п. 20 - 25 выше).
II. О предполагаемом нарушении статьи 8 Конвенции
47. По утверждению заявителя, обыск по месту жительства и
проведенные изъятия являются нарушением статьи 8, которая гласит:
"1. Каждый человек имеет право на уважение его личной и
семейной жизни, неприкосновенности его жилища и тайны
корреспонденции.
2. Не допускается вмешательство со стороны государственных
органов в осуществление этого права, за исключением вмешательства,
предусмотренного законом и необходимого в демократическом обществе
в интересах государственной безопасности и общественного
спокойствия, экономического благосостояния страны, в целях
предотвращения беспорядков или преступлений, для охраны здоровья
или нравственности или защиты прав и свобод других лиц".
48. Правительство согласилось, что имело место нарушение права
г-на Функе на уважение его личной жизни; к этому Комиссия добавила
право на уважение жилища.
Суд считает, что нарушены все права, гарантируемые статьей 8
п. 1, за исключением права на уважение семейной жизни. В связи с
этим необходимо определить, соответствовало ли оспариваемое
вмешательство публичной власти требованиям статьи 8 п. 2.
A. "Предусмотрено законом"
49. По мнению заявителя, вмешательство публичной власти не
имеет законодательной основы: статья 64 Таможенного кодекса в ее
тогдашней редакции не соответствовала Конституции 1958 г.,
поскольку по ней не требовалось наличия судебной санкции на обыск
и изъятия. Строго говоря, эта статья и не могла быть подвергнута
проверке с точки зрения ее конституционности, поскольку она
вступила в силу до вступления в силу Основного закона. В то же
время в смежной области - в области налогообложения -
Конституционный совет Франции признал не соответствующей
Конституции статью 89 Закона о государственном бюджете 1984 г.,
inter alia высказав следующее мнение:
"Если у налоговой администрации возникнет необходимость
проведения ее работниками осмотра частных объектов, то такие
осмотры могут проводиться только при соблюдении статьи 66
Конституции, которая возлагает на судебную власть заботу об охране
свободы личности во всех отношениях, в частности в отношении
неприкосновенности жилища. Должно быть предусмотрено вмешательство
судебной власти, с тем чтобы она надлежащим образом несла
ответственность и осуществляла свое право контроля" (Решение
Т.83-164 DC от 29 декабря 1983 г. Official Gazette, 30 декабря,
1983, с. 3874).
50. Правительство считает (и Комиссия в основном разделяет его
мнение по этому вопросу), что статья 64 Таможенного кодекса,
дополненная довольно богатой судебной практикой, четко
ограничивает право обыска по месту жительства, что является
перенесением в область таможенного законодательства и
регулирования финансовых операций с зарубежными государствами
права на обыск, признанного в уголовном судопроизводстве. Эта
статья восходит к Закону от 6 августа 1791 г., позднее - к Декрету
Правительства от 12 июля 1934 г. и затем неоднократно
подтверждалась. В ее конституционности нет никаких сомнений, как,
впрочем, и в конституционности статьи 454 того же Кодекса:
проверка конституционности законов между голосованием Парламента и
промульгацией находится исключительно в ведении Конституционного
совета.
Что касается "качества" внутренних правовых норм в свете
Конвенции, то оно зависит от точности, с которой законодательство
и судебная практика определяют объем и условия осуществления
властных полномочий, исключая опасность произвола. Так, еще до
реформы 1986 - 1989 гг. (см. п. 29 выше) судебные инстанции разных
уровней уже осуществляли, хотя и a posteriori, но эффективно
контроль за обысками, произведенными работниками таможни. К тому
же статья 8 Конвенции не требует предварительного судебного
разрешения на проведение обысков на дому и изъятий.
51. Суд не считает необходимым решать данный вопрос, ибо в
любом случае оспариваемые вмешательства оказались несовместимыми
со статьей 8 по другим основаниям (см. п. 57 - 59 ниже).
B. Правомерная цель
52. Правительство и Комиссия считают, что вмешательства были
направлены как на обеспечение "экономического благосостояния
страны", так и на "предотвращение преступлений".
Несмотря на противоположное утверждение заявителя, Суд
считает, что они преследовали по крайней мере первую из названных
правомерных целей.
C. "Необходимо в демократическом обществе"
53. По мнению г-на Функе, вышеуказанные вмешательства не могут
считаться "необходимыми в демократическом обществе". Поскольку их
объем не ограничен, они оказываются далеко за пределами требований
общего интереса, выпадают из-под контроля судебной власти. Кроме
того, они могут иметь место, без очевидных оснований, при
отсутствии улик или в нарушение презумпции невиновности, а также
могут явиться результатом злоупотреблений.
54. По утверждению Правительства, мнение которого Комиссия в
основном разделяет, обыск на дому и изъятия являются единственными
средствами, имеющимися в распоряжении властей для борьбы с
незаконными зарубежными финансовыми операциями, контрабандой,
утечкой капиталов и уклонением от налогообложения. В этих областях
не существует или существует очень редко "физическая очевидность
преступления"; соответственно, "физическое проявление"
преступления находится главным образом в документах, которые
нарушитель может легко скрыть или уничтожить. Однако
заинтересованные лица имеют немалые гарантии, подкрепленные весьма
строгим контролем со стороны судов: решение должно приниматься
начальником таможенного округа и т.п. Короче, еще до реформы
1986 - 1989 гг. во французской системе уже была справедливая
соразмерность между требованиями государственных органов и защитой
прав человека.
55. В своих решениях Суд всегда подчеркивал, что государства -
участники обладают определенной сферой усмотрения при решении
вопроса о вмешательстве, но это усмотрение предполагает контроль
со стороны соответствующих европейских органов. Предусмотренные в
статье 8 п. 2 исключения требуют ограничительного толкования (см.
Решение по делу Класс и другие против Германии от 6 сентября
1978 г. Серия A, т. 28, с. 21, п. 42), а необходимость их
использования в каждом конкретном случае должна быть четко
установлена.
56. Нет сомнения в том, что в рассматриваемой области, т.е. в
борьбе с утечкой капиталов и уклонением от налогообложения,
государства испытывают серьезные трудности, связанные с размерами
и сложностью банковских сетей и финансовых каналов, а также с
многочисленными возможностями перемещения капиталов в
международном масштабе, чему способствует относительная
прозрачность границ. Таким образом, Суд признает, что государства
вправе прибегнуть к некоторым мерам, например осмотру жилища и
изъятиям, для установления вещественных доказательств совершения
правонарушений по валютным операциям и преследования виновных в
судебном порядке. При этом необходимо, чтобы в законодательстве и
практике были достаточные гарантии для защиты от злоупотреблений
(см., в частности, mutatis mutandis вышеупомянутое Решение по делу
Класс и другие. Серия A, т. 28, с. 23, п. 50).
57. Однако в данном случае дело обстояло иначе. В тот период,
когда имели место данные обстоятельства, до законодательных реформ
1986 и 1989 гг., направленных на большую защиту человека (см.
п. 29 выше), таможенная администрация обладала значительными
правами; в частности, она имела право сама определять, какие
проводить проверки, когда, в каком количестве и в течение какого
срока. Без соответствующего судебного мандата предусмотренные в
законодательстве ограничения и требования, на которые ссылается
Правительство (см. п. 54 выше), были слишком слабыми и неполными,
чтобы можно было признать вмешательство в права заявителя
соразмерным преследуемой законной цели.
58. К этим общим соображениям следует добавить одно особое
замечание: таможенная администрация никогда не предъявляла г-ну
Функе прямых обвинений в нарушении соответствующего валютного и
финансового законодательства (см. п. 8 выше).
59. Короче говоря, имело место нарушение статьи 8.
III. Применение статьи 50
60. Статья 50 гласит:
"Если Суд установит, что решение или мера, принятые судебными
или иными властями Высокой Договаривающейся Стороны, полностью или
частично противоречат обязательствам, вытекающим из настоящей
Конвенции, а также если внутреннее право упомянутой Стороны
допускает лишь частичное возмещение последствий такого решения или
такой меры, то решением Суда, если в этом есть необходимость,
предусматривается справедливое возмещение потерпевшей стороне".
A. Возмещение ущерба
61. Г-н Функе требует возмещения морального вреда в сумме
300000 франков: по его утверждению, нарушения Конвенции сильно
сказались на нем, на его супруге и на их личной жизни.
Правительство и представитель Комиссии своего мнения не
выразили.
62. Суд считает, что заявитель потерпел моральный вред, для
возмещения которого недостаточно только самого признания факта
нарушения; решая по справедливости, как этого требует статья 50,
Суд на этом основании присуждает заявителю компенсацию в размере
50000 франков.
B. Судебные издержки и расходы
63. Г-н Функе требует также возмещения судебных издержек и
расходов, которые он понес в связи с разбирательством дела в
судебных органах Франции (90000 франков), а затем в органах
Конвенции (35000 франков плюс НДС).
Правительство и представитель Комиссии своей позиции не
выразили.
64. На основе применяемых в данных случаях критериев Суд
присуждает заявителю компенсацию в размере 70000 франков.
ПО ЭТИМ ОСНОВАНИЯМ СУД
1. Отклонил предварительное возражение Правительства
(единогласно);
2. Постановил, что отсутствие справедливого судебного
разбирательства явилось нарушением статьи 6 п. 1 (восемью голосами
против одного);
3. Постановил не рассматривать остальные претензии, основанные
на статье 6 (восемью голосами против одного);
4. Постановил, что имело место нарушение статьи 8 (восемью
голосами против одного);
5. Постановил, что государство - ответчик должно выплатить
заявителю в трехмесячный срок 50000 (пятьдесят тысяч) французских
франков в возмещение морального вреда и 70000 (семьдесят тысяч) в
возмещение судебных издержек и расходов (единогласно);
6. Отклонил остальные требования заявителя (единогласно).
Совершено на французском и английском языках и оглашено во
Дворце прав человека в Страсбурге 25 февраля 1993 г.
Председатель
Рудольф БЕРНХАРДТ
Грефье
Марк-Андре ЭЙССЕН
В соответствии со статьей 51 п. 2 Конвенции и статьей 53 п. 2
Регламента Суда к настоящему Решению прилагаются отдельные мнения
судей.
ОСОБОЕ МНЕНИЕ СУДЬИ ТОРА ВИЛЬЯЛМСОНА
Я голосовал против признания нарушения статей 6 и 8 Конвенции
по основаниям, сходным с теми, которые изложены большинством в
докладе Комиссии.
СОВПАДАЮЩЕЕ МНЕНИЕ СУДЬИ МАТШЕРА ОТНОСИТЕЛЬНО
П. 41 - 44 РЕШЕНИЯ СУДА
Проголосовав за постановление Суда о нарушении статьи 6 п. 1,
я в то же время считаю необходимым подчеркнуть следующее. В
соответствии с налоговым законодательством (в области собственно
налогообложения, таможни, контроля за валютными операциями) на
лицо, не предъявившее требуемых деклараций или подтверждающих
документов в сроки, установленные законом (или администрацией),
налагается возрастающий "разумный" штраф, либо его финансовые
обязательства перед налоговыми органами оцениваются (также
"разумно") соответствующими органами. Сам по себе данный факт не
противоречит ни требованиям справедливого разбирательства, ни
презумпции невиновности (в том смысле, что никто не обязан
свидетельствовать против самого себя).
И действительно, подобного рода нормы весьма распространены в
странах Западной Европы.
Однако в данном деле французские органы власти начали
уголовное преследование в отношении заявителя, нарушив тем самым
рамки того, что мне представляется совместимым с вышеизложенными
принципами.
EUROPEAN COURT OF HUMAN RIGHTS
CASE OF FUNKE v. FRANCE
JUDGMENT
(Strasbourg, 25.II.1993)
In the case of Funke v. France <1>,
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") <2> and
the relevant provisions of the Rules of Court, as a Chamber
composed of the following judges:
--------------------------------
Notes by the Registrar
<1> The case is numbered 82/1991/334/407. 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.
<2> As amended by Article 11 of Protocol No. 8 (P8-11), which
came into force on 1 January 1990.
Mr R. Bernhardt, President,
Mr {Thor Vilhjalmsson} <*>,
Mr F. Matscher,
Mr L.-E. Pettiti,
Mr C. Russo,
Mr N. Valticos,
Mr J.M. Morenilla,
Mr M.A. Lopes Rocha,
Mr L. Wildhaber,
--------------------------------
<*> Здесь и далее по тексту слова на национальном языке
набраны латинским шрифтом и выделены фигурными скобками.
and also of Mr M.-A. Eissen, Registrar, and Mr H. Petzold,
Deputy Registrar,
Having deliberated in private on 24 September 1992 and
27 January 1993,
Delivers the following judgment, which was adopted on the
last-mentioned date:
PROCEDURE
1. The case was referred to the Court by the European
Commission of Human Rights ("the Commission") on 13 December 1991,
within the three-month period laid down by Article 32 para. 1 and
Article 47 (art. 32-1, art. 47) of the Convention. It originated
in an application (no. 10828/84) against the French Republic
lodged with the Commission under Article 25 (art. 25) by a German
national, Mr Jean-Gustave Funke, on 13 February 1984.
The Commission's request referred to Articles 44 and 48
(art. 44, art. 48) and to the declaration whereby France
recognised the compulsory jurisdiction of the Court (Article 46)
(art. 46). The object of the request was to obtain a decision as
to whether the facts of the case disclosed a breach by the
respondent State of its obligations under Article 6 paras. 1 and 2
and Article 8 (art. 6-1, art. 6-2, art. 8).
2. In response to the enquiry made in accordance with Rule 33
para. 3 (d) of the Rules of Court, Mrs Ruth Funke, {nee} Monney,
who, as Mr Funke's widow, had continued the proceedings before the
Commission, stated that she wished to take part in the proceedings
and designated the lawyer who would represent her (Rule 30). For
reasons of convenience Mr Funke will continue to be referred to as
"the applicant" although it is now Mrs Funke who is to be regarded
as having this status (see, among other authorities, mutatis
mutandis, the Giancarlo Lombardo v. Italy judgment of 26 November
1992, Series A no. 249-C, p. 39, para. 2).
3. On 24 January 1992 the President of the Court decided,
under Rule 21 para. 6 and in the interests of the proper
administration of justice, that a single Chamber should be
constituted to consider the instant case and the cases of
{Cremieux} and Miailhe v. France <3>.
--------------------------------
<3> Cases nos. 83/1991/335/408 and 86/1991/338/411.
The Chamber to be constituted for this purpose included ex
officio Mr L.-E. Pettiti, the elected judge of French nationality
(Article 43 of the Convention) (art. 43), and Mr R. Ryssdal, the
President of the Court (Rule 21 para. 3 (b)). On the same day, in
the presence of the Registrar, the President drew by lot the names
of the other seven members, namely Mr {Thor Vilhjalmsson}, Mr F.
Matscher, Mr C. Russo, Mr N. Valticos, Mr J.M. Morenilla, Mr M.A.
Lopes Rocha and Mr L. Wildhaber (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 French Government ("the Government"), the Delegate of the
Commission and the applicant's lawyer on the organisation of the
proceedings (Rules 37 para. 1 and 38). Pursuant to the order made
in consequence, the Registrar received the applicant's memorial on
11 June 1992 and the Government's memorial on 19 June. On 17 July
the Secretary to the Commission informed the Registrar that the
Delegate would submit his observations at the hearing.
On 24 July the Commission produced the file on the proceedings
before it, as requested by the Registrar on the President's
instructions.
5. In accordance with the President's decision, the hearing
took place in public in the Human Rights Building, Strasbourg, on
21 September 1992. The Court had held a preparatory meeting
beforehand. Mr R. Bernhardt, the 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 B. Gain, Head of the Human Rights Section, Department of
Legal Affairs, Ministry of Foreign Affairs, Agent,
Miss M. Picard, magistrat, on secondment to the Department of
Legal Affairs, Ministry of Foreign Affairs,
Mr J. {Carrere}, magistrat, on secondment to the Department of
Criminal Affairs and Pardons, Ministry of Justice,
Mrs C. Signerinicre, Head of the Legal Affairs Office,
Department of Customs, Ministry of the Budget,
Mrs R. Codevelle, Inspector of Customs, Department of Customs,
Ministry of the Budget,
Mr G. Rotureau, Chief Inspector of Customs, Strasbourg
Regional Head Office of Customs, Counsel;
(b) for the Commission
Mr S. Trechsel, Delegate;
(c) for the applicant
Mr R. Garnon, avocat, Counsel.
The Court heard addresses by Mr Gain for the Government, Mr
Trechsel for the Commission and Mr Garnon for the applicant.
AS TO THE FACTS
I. The circumstances of the case
6. Mr Jean-Gustave Funke, a German national, was born in 1925
and died on 22 July 1987. He worked as a sales representative and
lived in France, at Lingolsheim (Bas-Rhin). His widow, Mrs Ruth
Funke, {nee} Monney, is French and lives in Strasbourg.
A. The house search and the seizures
7. On 14 January 1980 three Strasbourg customs officers,
accompanied by a senior police officer (officier de police
judiciaire), went to the house of the applicant and his wife to
obtain "particulars of their assets abroad"; they were acting on
information received from the tax authorities in Metz.
Mr Funke admitted having, or having had, several bank accounts
abroad for professional and family reasons and said that he did
not have any bank statements at his home.
The customs officers searched the premises from 10.30 a.m. to
3.00 p.m., and discovered statements and cheque-books from foreign
banks, together with a German car-repair bill and two cameras.
They seized all these items and on the same day drew up a report.
B. The court proceedings
8. The customs officers' search and the seizures did not lead
to any criminal proceedings for offences against the regulations
governing financial dealings with foreign countries. They did,
however, give rise to parallel proceedings for disclosure of
documents and for interim orders.
1. The proceedings for disclosure of documents
(14 January 1980 - 18 December 1990)
(a) The main proceedings
9. During their search on 14 January 1980 the customs officers
asked the applicant to produce the statements for the previous
three years - that is to say 1977, 1978 and 1979 - of his accounts
at the Postsparkasse in Munich, the PKO in Warsaw, the {Societe}
de Banque suisse in Basle and the Deutsche Bank in Kehl and of his
house-purchase savings plan at the {Wurttembergische} Bausparkasse
in Leonberg and, lastly, his share portfolio at the Deutsche Bank
in Kehl.
10. Mr Funke undertook to do so but later changed his mind.
(i) In the Strasbourg police court
11. On 3 May 1982 the customs authorities summoned him before
the Strasbourg police court seeking to have him sentenced to a
fine (amende) and a further penalty (astreinte) of 50 French
francs (FRF) a day until such time as he produced the bank
statements; they also made an application to have him committed to
prison.
12. On 27 September 1982 the court imposed a fine of FRF 1,200
on the applicant and ordered him to produce to the customs
authorities the bank statements of his accounts at the {Societe}
de Banque suisse in Basle, the PKO in Warsaw and the Deutsche
Bank in Kehl and of his savings account at the {Wurttembergische}
Bausparkasse in Leonberg and all documents concerning the
financing of the flat he had bought at Schonach (Federal Republic
of Germany), on penalty of FRF 20 per day's delay.
The reasons given for its judgment were the following:
"...
On 12.2.1980 Mr Funke told the Customs Service that he was
unable to make available the documents that he had undertaken to
produce.
He has provided no reason for this and has submitted no
correspondence that would show he took the necessary steps to
obtain the required documents or would prove that the foreign
banks refused to supply him with any such document.
Mr Funke acknowledged that, together with his brother, he
bought a bedsitter at Schonach (Federal Republic of Germany) and
produced photocopies of the contract of sale and of the entry in
the land register; but he refused to produce documents concerning
the financing of the purchase.
Article 65 of the Customs Code provides: "Customs officers
with the rank of at least inspector ... may require production of
papers and documents of any kind relating to operations of
interest to their department".
It appears from the present proceedings taken by the customs
authorities that the prosecuting officer has the rank of
inspector.
The documents sought, namely the bank statements and the
documents relating to the financing of the purchase of the flat,
can be brought within the category of documents covered by Article
65 of the Customs Code.
The same Article 65 provides in paragraph 1(i) that such
requests for production may be made "on the premises of (chez) any
natural or legal person directly or indirectly concerned in lawful
or unlawful operations falling within the jurisdiction of the
Customs Service".
In this context the term "chez" must not be restricted to "at
the home of" (au domicile de) but must be construed as meaning
"wherever ... may be" ({aupres} de).
Any other construction would enable the person concerned to
evade the Customs Service's investigations by keeping any
compromising papers elsewhere than at his home.
The house search and Mr Funke's own statements provided
sufficient evidence that there were bank accounts and financing
operations concerning the defendant to enable the Customs Service
to exercise their right of inspection in relation to the relevant
documents notwithstanding that these were not at Mr Funke's home.
As the holder of an account used abroad, Mr Funke, like any
account-holder, must receive statements following any transaction
on the account. A statement is an extension, a reflection of the
situation, of an account at a given time. The holder of the
account is the owner of his statements and may at any time ask for
them from his bank, which cannot refuse them."
(ii) In the Colmar Court of Appeal
13. Appeals were brought by Mr Funke, the public prosecutor
and the customs authorities. On 14 March 1983 the Colmar Court of
Appeal upheld the judgment of the court below other than as
regards the inspection of documents relating to the flat at
Schonach, and increased the pecuniary penalty to FRF 50 per day's
delay.
It dealt with Mr Funke's argument based on the Convention as
follows:
"Article 413 bis of the Customs Code, which applies to
financial dealings with foreign countries by virtue of Article 451
of the same code, makes any refusal to produce documents and any
concealment of documents in the cases provided for, inter alia, in
Article 65 of the aforementioned code punishable by imprisonment
for a period ranging from ten days to one month and a fine of FRF
400 to 2,000.
Under Article 65, customs officers may require production of
documents of any kind relating to operations of interest to their
department, in general, on the premises of any natural or legal
person directly or indirectly concerned in lawful or unlawful
operations falling within the jurisdiction of the Customs Service.
In the instant case Funke is liable only to a fiscal penalty:
to a fine, therefore.
It does not appear that the power conferred by the
aforementioned provisions on a revenue authority conflicts with
the protection of human rights and fundamental freedoms which it
is the purpose of the instrument of international law relied on to
guarantee.
The defendant had a fair hearing.
Obviously, no offences which performance of the duty to
produce documents may disclose are yet before the courts; that
being so, Funke's objections of principle are premature.
Moreover, while everyone charged with a criminal offence is to
be presumed innocent until proved guilty according to law, Article
6 para. 2 (art. 6-2) of the Convention does not otherwise restrict
the type of evidence which the lex fori places at the disposal of
the prosecuting party in order to satisfy the court.
Lastly, the obligation on a defendant to produce in
proceedings evidence likely to be used against him by the opposing
side is not a special feature of customs or tax proceedings since
it is enacted in Article 11 of the New Code of Civil Procedure
likewise.
On the other hand, while Article 8 (art. 8) of the Convention
provides that everyone has the right to respect for his private
life and his correspondence, there may be interference by a public
authority with the exercise of this right so long as it is in
accordance with the law and amounts to a measure which is
necessary in a democratic society, inter alia in the interests of
the economic well-being of the country or for the prevention of
disorder or crime.
In most of the countries signatories to the Convention,
moreover, the customs and revenue authorities have a right of
direct investigation in banks."
(iii) In the Court of Cassation
14. On 21 November 1983 the Court of Cassation (Criminal
Division) dismissed an appeal on points of law by Mr Funke. The
third and final ground, in which Articles 6 and 8 (art. 6, art. 8)
of the Convention were prayed in aid, was rejected in the
following terms:
"The Court of Appeal held that, while everyone charged with a
criminal offence was to be presumed innocent until proved guilty
according to law, Article 6 (art. 6) of the Convention ... did not
otherwise restrict the types of evidence that the lex fori placed
at the disposal of the prosecuting party in order to satisfy the
court; and that while it was true that Article 8 (art. 8) of the
Convention provided that everyone has the right to respect for his
private life and his correspondence, there might ... be
interference by a public authority with the exercise of this right
so long as the interference was in accordance with the law and
amounted to a measure which was necessary in a democratic society,
inter alia in the interests of the economic well-being of the
country or for the prevention of disorder or crime.
In so stating, and irrespective of any superfluous reasoning,
the Court of Appeal justified its decision and the ground
therefore cannot be upheld."
(b) The proceedings to enforce the customs penalty
15. In a report on 30 May 1984 the customs authorities noted
Mr Funke's refusal to comply with the Colmar Court of Appeal's
judgment of 14 March 1983 (see paragraph 13 above).
On 2 January 1985 they served a garnishee notice on the
applicant's bank requiring it to pay a sum of FRF 10,750,
representing the amount of the penalties owed by its customer for
the period from 31 May to 31 December 1984.
(i) In the Strasbourg District Court
16. On an application by Mr Funke, the Strasbourg District
Court upheld the notice in question on 27 March 1985, holding that
the customs authorities were entitled to recover the sum owed in
respect of a pecuniary penalty resulting from an enforceable court
decision in the same way as a customs fine and notwithstanding
that an application (which did not have any suspensive effect) had
been made to the European Commission of Human Rights.
(ii) In the Colmar Court of Appeal
17. On an appeal by Mr Funke, the Colmar Court of Appeal
delivered a judgment on 20 February 1989 reversing the lower
court's judgment of 27 March 1985 and quashing the garnishee
notice.
(iii) In the Court of Cassation
18. An appeal on points of law by the customs authorities was
dismissed by the Court of Cassation on 18 December 1990. Like the
Court of Appeal, the Court of Cassation held that the amount of
the customs penalty could not be recovered by means of a garnishee
notice.
19. Following this judgment, the customs authorities made no
further attempt to collect payment of the penalty in question.
2. The proceedings relating to interim orders
(16 April 1982 - July 1990)
(a) Making of the orders
(i) In the Strasbourg District Court
20. On 16 April 1982 the customs authorities applied for an
order from the presiding judge of the Strasbourg District Court
for attachment of Mr Funke's movable and immovable property to the
value of FRF 100,220. Half of this sum was to be in lieu of
confiscation of the undeclared funds, while the other half
corresponded to the fine payable. Relying on Article 341 bis-1
(see paragraph 32 below) and Article 459 of the Customs Code, the
customs authorities stated that they already had a definite right
to payment from the applicant. The documents seized at Lingolsheim
showed that he had contravened Article 1 of the decree of 24
November 1968, which provided that any payment made abroad by
persons resident in France had to be effected through an approved
intermediary (bank or post office) established in France.
21. The District Court made an order granting the application
on 21 April 1982.
On 26 May 1982 it delivered a judgment dismissing an objection
lodged by Mr Funke (Article 924 of the local Code of Civil
Procedure).
(ii) In the Colmar Court of Appeal
22. On 28 July 1982 the Colmar Court of Appeal dismissed Mr
Funke's appeal against that judgment, holding that unless
attachment orders were granted, it was to be feared that
enforcement of the decision to be expected in the criminal trial
would become impossible or much more difficult; furthermore, the
creditor had made his claim credible by producing reports
(Articles 917 and 920 of the local Code of Civil Procedure).
23. The applicant did not appeal on points of law.
(b) Discharge of the orders
24. On 22 November 1989 Mrs Funke made an application for
discharge of the attachment order (Article 926 of the local Code
of Civil Procedure); by this means she wanted to compel the
customs authorities to bring to trial the issue of the existence
of the right to payment which had provided the justification for
the attachment order. She also sought leave to sell a property.
25. In an order made on 31 May 1990 the Strasbourg District
Court gave the Director-General of Customs one month in which to
bring proceedings on the merits.
The customs authorities decided not to do so and in July 1990
agreed to the discharge of the attachment orders and of the
associated mortgage.
II. Relevant customs law
26. The criminal provisions of customs law in France are
treated as a special body of criminal law.
A. Establishment of offences
1. Officials authorised to establish offences
27. Two provisions of the Customs Code are relevant as regards
these officials:
Article 453
"The officials designated below shall be empowered to
establish offences against the legislation and regulations
governing financial dealings with foreign countries:
1. customs officers;
2. other officials of the Ministry of Finance with the rank of
at least inspector;
3. senior police officers (officiers de police judiciaire).
The reports made by senior police officers shall be forwarded
to the Minister for Economic Affairs and Finance, who shall refer
cases to the prosecuting authorities if he thinks fit."
Article 454
"The officials referred to in the preceding Article shall be
empowered to carry out house searches in any place as provided in
Article 64 of this code."
2. House searches
(a) The rules applicable at the material time
28. When the house search was made (14 January 1980), Article
64 of the Customs Code was worded as follows:
"1. When searching for goods held unlawfully within the
customs territory, except for built-up areas with a population of
at least 2,000, and when searching in any place for goods subject
to the provisions of Article 215 hereinafter, customs officers may
make house searches if accompanied by a local municipal officer or
a senior police officer (officier de police judiciaire).
2. In no case may such searches be made during the night.
3. Customs officers may act without the assistance of a local
municipal officer or a senior police officer
(a) in order to make searches, livestock counts, and
inspections at the homes of holders of livestock accounts or
owners of rights of pasture; and
(b) in order to look for goods which, having been followed and
kept under uninterrupted surveillance as provided in Article 332
hereinafter, have been taken into a house or other building, even
if situated outside the customs zone.
4. If entry is refused, customs officials may force an entry
in the presence of a local municipal officer or a senior police
officer."
(b) The rules applicable later
29. The Budget Acts of 30 December 1986 (section 80-I and II)
and 29 December 1989 (section 108-III, 1 to 3) amended Article 64,
which now provides:
"1. In order to investigate and establish the customs offences
referred to in Articles 414 - 429 and 459 of this code, customs
officers authorised for the purpose by the Director-General of
Customs and Excise may make searches of all premises, even private
ones, where goods and documents relating to such offences are
likely to be held and may seize them. They shall be accompanied by
a senior police officer (officier de police judiciaire).
2. (a) Other than in the case of a flagrant offence (flagrant
{delit}), every search must be authorised by an order of the
President of the tribunal de grande instance of the locality in
which the customs headquarters responsible for the department in
charge of the proceedings is situated, or a judge delegated by
him.
Against such an order there shall lie only an appeal on points
of law as provided in the Code of Criminal Procedure; such an
appeal shall not have a suspensive effect. The time within which
an appeal on points of law must be brought shall run from the date
of notification or service of the order.
The order shall contain:
(i) where applicable, a mention of the delegation by the
President of the tribunal de grande instance;
(ii) the address of the premises to be searched;
(iii) the name and position of the authorised official who has
sought and obtained leave to make the searches.
The judge shall give reasons for his decision by setting out
the matters of fact and law that he has accepted and which create
a presumption in the case that there have been unlawful activities
of which proof is sought.
If, during the search, the authorised officials discover the
existence of a bank strongbox which belongs to the person
occupying the premises searched and in which documents, goods or
other items relating to the activities referred to in paragraph 1
above are likely to be found, they may, with leave given by any
means by the judge who made the original order, immediately search
the strongbox. Such leave shall be mentioned in the report
provided for in paragraph 2(b) below.
The judge shall take practical steps to check that each
application for leave made to him is well-founded; each
application shall contain all information in the possession of the
customs authorities that may justify the search.
He shall designate the senior police officer responsible for
being present at the operations and keeping him informed of their
progress.
The search shall be carried out under the supervision of the
judge who has authorised it. Where it takes place outside the
territorial jurisdiction of his tribunal de grande instance, he
shall issue a rogatory letter, for the purposes of such
supervision, to the President of the tribunal de grande instance
in the jurisdiction of which the search is being made.
The judge may go to the scene during the operation.
He may decide at any time to suspend or halt the search.
The judicial order shall be notified orally to the occupier of
the premises or his representative on the spot at the time of the
search, who shall receive a complete copy against acknowledgement
of receipt or signature in the report provided for in
paragraph 2(b) below. If the occupier of the premises or his
representative is absent, the judicial order shall be notified
after the search by means of a registered letter with recorded
delivery. Notification shall be deemed to have been made on the
date of receipt entered in the record of delivery.
Failing receipt, the order shall be served as provided in
Articles 550 et seq. of the Code of Criminal Procedure.
The time-limits and procedures for appeal shall be indicated
on notification and service documents.
(b) Searches may not be commenced before 6 a.m. or after 9
p.m. They shall be made in the presence of the occupier of the
premises or his representative; if this is impossible, the senior
police officer shall requisition two witnesses chosen from persons
not under his authority or that of the customs.
Only the customs officers mentioned in paragraph 1 above, the
occupier of the premises or his representative and the senior
police officer may inspect documents before they are seized.
The senior police officer shall ensure that professional
confidentiality and the rights of the defence are respected in
accordance with the provisions of the third paragraph of Article
56 of the Code of Criminal Procedure; Article 58 of that code
shall apply.
The report, to which shall be appended an inventory of the
goods and documents seized, shall be signed by the customs
officers, the senior police officer and the persons mentioned in
the first sub-paragraph of this section (b); in the event of a
refusal to sign, mention of that fact shall be made in the report.
Where an on-the-spot inventory presents difficulties, the
documents seized shall be placed under seal. The occupier of the
premises or his representative shall be informed that he may be
present at the removal of the seals, which shall take place in the
presence of the senior police officer; the inventory shall then be
made.
A copy of the report and of the inventory shall be given to
the occupier of the premises or his representative.
A copy of the report and the inventory shall be sent to the
judge who made the order within three days of its being drawn up.
3. Customs officers may act without the assistance of a senior
police officer
(a) in order to make searches, livestock counts and
inspections at the homes of holders of livestock accounts or
owners of rights of pasture; and
(b) in order to look for goods which, having been followed and
kept under uninterrupted surveillance as provided in Article 332
hereinafter, have been taken into a house or other building, even
if situated outside the customs zone.
4. If entry is refused, customs officers may force an entry in
the presence of a senior police officer."
3. Production of documents
(a) The duty
30. Article 65-1 of the Customs Code gives the customs
authorities a special right of inspection:
"Customs officers with the rank of at least inspector
(inspecteur or officier) and those performing the duties of
collector may require production of papers and documents of any
kind relating to operations of interest to their department;
...
(i) ... in general, on the premises of any natural or legal
person directly or indirectly concerned in lawful or unlawful
operations falling within the jurisdiction of the Customs
Service."
(b) The sanction
31. Anyone refusing to produce documents is liable to
imprisonment for a period ranging from ten days to one month and
to a fine of FRF 600 to 3,000 (Article 413 bis-1 of the Customs
Code).
Furthermore, a pecuniary penalty of not less than FRF 10 per
day's delay may be imposed on him (Article 431) and he may be
committed to prison for non-payment (Article 382).
4. Interim measures
32. Article 341 bis-1 of the Customs Code provides:
"Customs reports, where they are conclusive unless challenged
as forgeries, shall be a warrant for obtaining, in accordance with
the ordinary law, leave to take any necessary interim measures
against persons liable in criminal or in civil law, for the
purpose of securing customs debts of any kind appearing from the
said reports."
B. Prosecution of offences
33. Article 458 of the Customs Code provides:
"Offences against the legislation and regulations governing
financial dealings with foreign countries may be prosecuted only
on a complaint by the Minister for Economic Affairs and Finance or
one of his representatives authorised for the purpose."
PROCEEDINGS BEFORE THE COMMISSION
34. Mr Funke applied to the Commission on 13 February 1984,
raising several complaints. He claimed that his criminal
conviction for refusal to produce the documents requested by the
customs had violated his right to a fair trial (Article 6 para. 1
of the Convention) (art. 6-1) and disregarded the principle of
presumption of innocence (Article 6 para. 2) (art. 6-2); that his
case had not been heard within a reasonable time (Article 6 para.
1) (art. 6-1); and that the search and seizures effected at his
home by customs officers had infringed his right to respect for
his private and family life, his home and his correspondence
(Article 8) (art. 8).
35. The Commission declared the application (no. 10828/84)
admissible on 6 October 1988. In its report of 8 October 1991
(made under Article 31) (art. 31), the Commission expressed the
opinion
(a) that there had been no breach of Article 6 para. 1 (art.
6-1) either as regards the principle of a fair trial (by seven
votes to five) or on account of the length of the proceedings (by
eight votes to four);
(b) that there had been no breach of Article 6 para. 2 (art.
6-2) (by nine votes to three); and
(c) that there had been no breach of Article 8 (art. 8) (by
six votes to six, with the President's casting vote).
The full text of the Commission's opinion and of the three
dissenting opinions contained in the report is reproduced as an
annex to this judgment <4>.
--------------------------------
<4> Note by the Registrar: for practical reasons this annex
will appear only with the printed version of the judgment (volume
256-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 TO THE COURT
36. In its memorial the Government asked the Court to "dismiss
all the complaints brought by Mr Funke and taken up by Mrs Funke".
37. As to counsel for the applicant, he requested the Court to
"find that there has been a breach of Article 6 paras. 1 and 2
(art. 6-1, art. 6-2), Article 8 paras. 1 and 2 (art. 8-1, art.
8-2) and Article 13 (art. 13) of the Convention;
note that the applicant requests just satisfaction of FRF
300,000;
order the respondent State to pay the applicant the sum of FRF
125,000 by way of costs and expenses, plus VAT; and
order that all the sums shall produce interest at the
statutory rate one month after delivery of the judgment".
AS TO THE LAW
I. Alleged violation of Article 6 paras. 1 and 2
(art. 6-1, art. 6-2)
38. Mr Funke claimed to be the victim of breaches of Article 6
paras. 1 and 2 (art. 6-1, art. 6-2), which provide:
"1. In the determination of his civil rights and obligations
or of any criminal charge against him, everyone is entitled to a
fair and public hearing within a reasonable time by an independent
and impartial tribunal established by law ...
2. Everyone charged with a criminal offence shall be presumed
innocent until proved guilty according to law."
A. Fairness of the proceedings and presumption
of innocence
1. The Government's preliminary objection
39. As they had done before the Commission, the Government
raised an objection of inadmissibility for lack of victim status.
No criminal proceedings, they said, had been taken against Mr
Funke for contravening the regulations governing financial
dealings with foreign countries, and his death on 22 July 1987
finally precluded any prosecution.
40. The Court notes that the applicant's complaints under
Article 6 (art. 6) relate to quite different proceedings, those
concerning the production of documents. The objection must
therefore be dismissed.
2. Merits of the complaint
(a) Article 6 para. 1 (art. 6-1)
41. In the applicant's submission, his conviction for refusing
to disclose the documents asked for by the customs (see paragraphs
9-14 above) had infringed his right to a fair trial as secured in
Article 6 para. 1 (art. 6-1). He claimed that the authorities had
violated the right not to give evidence against oneself, a general
principle enshrined both in the legal orders of the Contracting
States and in the European Convention and the International
Covenant on Civil and Political Rights, as although they had not
lodged a complaint alleging an offence against the regulations
governing financial dealings with foreign countries, they had
brought criminal proceedings calculated to compel Mr Funke to
co-operate in a prosecution mounted against him. Such a method of
proceeding was, he said, all the more unacceptable as nothing
prevented the French authorities from seeking international
assistance and themselves obtaining the necessary evidence from
the foreign States.
42. The Government emphasised the declaratory nature of the
French customs and exchange-control regime, which saved taxpayers
having their affairs systematically investigated but imposed
duties in return, such as the duty to keep papers concerning their
income and property for a certain length of time and to make them
available to the authorities on request. This right of the State
to inspect certain documents, which was strictly supervised by the
Court of Cassation, did not mean that those concerned were obliged
to incriminate themselves, a requirement that was prohibited by
the United Nations Covenant (Article 14) and had been condemned by
the Court of Justice of the European Communities (Orkem judgment
of 18 October 1989, European Court Reports, 1989-9, pp.
3343-3354); it was not contrary to the guidelines laid down in the
Convention institutions' case-law on what constituted a fair
trial.
In the instant case the customs had not required Mr Funke to
confess to an offence or to provide evidence of one himself; they
had merely asked him to give particulars of evidence found by
their officers and which he had admitted, namely the bank
statements and cheque-books discovered during the house search. As
to the courts, they had assessed, after adversarial proceedings,
whether the customs' application was justified in law and in fact.
43. The Commission reached the same conclusion, mainly on the
basis of the special features of investigation procedures in
business and financial matters. It considered that neither the
obligation to produce bank statements nor the imposition of
pecuniary penalties offended the principle of a fair trial; the
former was a reflection of the State's confidence in all its
citizens in that no use was made of stricter supervisory measures,
while responsibility for the detriment caused by the latter lay
entirely with the person affected where he refused to co-operate
with the authorities.
44. The Court notes that the customs secured Mr Funke's
conviction in order to obtain certain documents which they
believed must exist, although they were not certain of the fact.
Being unable or unwilling to procure them by some other means,
they attempted to compel the applicant himself to provide the
evidence of offences he had allegedly committed. The special
features of customs law (see paragraphs 30-31 above) cannot
justify such an infringement of the right of anyone "charged with
a criminal offence", within the autonomous meaning of this
expression in Article 6 (art. 6), to remain silent and not to
contribute to incriminating himself.
There has accordingly been a breach of Article 6 para. 1 (art.
6-1).
(b) Article 6 para. 2 (art. 6-2)
45. The foregoing conclusion makes it unnecessary for the
Court to ascertain whether Mr Funke's conviction also contravened
the principle of presumption of innocence.
B. Length of the proceedings
46. In view of the finding in paragraph 44 above, the Court
considers it likewise unnecessary to examine the complaint that
the proceedings relating to the making and discharge of the
interim orders (see paragraphs 20-25 above) lasted for more than a
"reasonable time" as required by Article 6 para. 1 (art. 6-1).
II. Alleged violation of Article 8 (art. 8)
47. In the applicant's submission, the house search and
seizures made in the instant case were in breach of Article 8
(art. 8), which provides:
"1. Everyone has the right to respect for his private and
family life, his home and his correspondence.
2. There shall be no interference by a public authority with
the exercise of this right except such as is in accordance with
the law and is necessary in a democratic society in the interests
of national security, public safety or the economic well-being of
the country, for the prevention of disorder or crime, for the
protection of health or morals, or for the protection of the
rights and freedoms of others."
48. The Government conceded that there had been an
interference with Mr Funke's right to respect for his private
life, and the Commission additionally found that there had been an
interference with his right to respect for his home.
The Court considers that all the rights secured in Article 8
para. 1 (art. 8-1) are in issue, except for the right to respect
for family life. It must accordingly be determined whether the
interferences in question satisfied the conditions in paragraph 2
(art. 8-2).
A. "In accordance with the law"
49. The applicant contended that the interferences had no
legal basis. As worded at the time, Article 64 of the Customs Code
was, he claimed, contrary to the 1958 Constitution because it did
not make house searches and seizures subject to judicial
authorisation. Admittedly, its constitutionality could not be
reviewed, since it had come into force before the Constitution
had. Nevertheless, in the related field of taxation the
Constitutional Council had rejected section 89 of the Budget Act
for 1984, concerning the investigation of income-tax and
turnover-tax offences, holding, inter alia:
"While the needs of the Revenue's work may dictate that tax
officials should be authorised to make investigations in private
places, such investigations can only be conducted in accordance
with Article 66 of the Constitution, which makes the judiciary
responsible for protecting the liberty of the individual in all
its aspects, in particular the inviolability of the home.
Provision must be made for judicial participation in order that
the judiciary's responsibility and supervisory power may be
maintained in their entirety." (Decision no. 83-164 DC of 29
December 1983, Official Gazette (Journal officiel), 30 December
1983, p. 3874)
50. The Government, whose arguments the Commission accepted in
substance, maintained that in Article 64 of the Customs Code, as
supplemented by a fairly substantial body of case-law, the power
to search houses was defined very closely and represented a
transposition to customs legislation and the regulations governing
financial dealings with foreign countries of the power of search
provided for in ordinary criminal procedure. Provision was first
made for it in an Act of 6 August 1791 and subsequently in a
legislative decree of 12 July 1934, and it had been widened in
1945 to cover investigations into exchange-control offences and
confirmed on several occasions. In the Government's submission,
its constitutionality could not be put in doubt, any more than
that of Article 454 of the same code, since review of the
constitutionality of statutes took place between their enactment
by Parliament and promulgation and was within the sole competence
of the Constitutional Council, to the exclusion of all other
courts.
As to the "quality" of the national legal rules {vis-a-vis}
the Convention, it was ensured by the precision with which the
legislation and case-law laid down the scope and manner of
exercise of the relevant power, and this eliminated any risk of
arbitrariness. Thus even before the reform of 1986-89 (see
paragraph 29 above), the courts had supervised customs
investigations ex post facto but very efficiently. And in any
case, Article 8 (art. 8) of the Convention contained no
requirement that house searches and seizures should be judicially
authorised in advance.
51. The Court does not consider it necessary to determine the
issue in this instance, as at all events the interferences
complained of are incompatible with Article 8 (art. 8) in other
respects (see paragraphs 57 - 59 below).
B. Legitimate aim
52. The Government and the Commission considered that the
interferences in question were in the interests of "the economic
well-being of the country" and "the prevention of crime".
Notwithstanding the applicant's arguments to the contrary, the
Court is of the view that the interferences were in pursuit of at
any rate the first of these legitimate aims.
C. "Necessary in a democratic society"
53. In Mr Funke's submission, the interferences could not be
regarded as "necessary in a democratic society". Their scope was
unlimited and they went well beyond what was required in the
public interest, since they were not subject to judicial
supervision; furthermore, they had not only taken place in the
absence of any flagrant offence (flagrant {delit}), circumstantial
evidence or presumption but had also been carried out in an
improper manner.
54. The Government, whose contentions the Commission accepted
in substance, argued that house searches and seizures were the
only means available to the authorities for investigating offences
against the legislation governing financial dealings with foreign
countries and thus preventing the flight of capital and tax
evasion. In such fields there was a corpus delicti only very
rarely if at all; the "physical manifestation" of the offence
therefore lay mainly in documents which a guilty party could
easily conceal or destroy. Such persons, however, had the benefit
of substantial safeguards, strengthened by very rigorous judicial
supervision: decision-making by the head of the customs district
concerned, the rank of the officers authorised to establish
offences, the presence of a senior police officer (officier de
police judiciaire), the timing of searches, the preservation of
lawyers' and doctors' professional secrecy, the possibility of
invoking the liability of the public authorities, etc. In short,
even before the reform of 1986-89, the French system had ensured
that there was a proper balance between the requirements of law
enforcement and the protection of the rights of the individual.
55. The Court has consistently held that the Contracting
States have a certain margin of appreciation in assessing the need
for an interference, but it goes hand in hand with European
supervision. The exceptions provided for in paragraph 2 of Article
8 (art. 8-2) are to be interpreted narrowly (see the Klass and
Others v. Germany judgment of 6 September 1978, Series A no. 28,
p. 21, para. 42), and the need for them in a given case must be
convincingly established.
56. Undoubtedly, in the field under consideration - the
prevention of capital outflows and tax evasion - States encounter
serious difficulties owing to the scale and complexity of banking
systems and financial channels and to the immense scope for
international investment, made all the easier by the relative
porousness of national borders. The Court therefore recognises
that they may consider it necessary to have recourse to measures
such as house searches and seizures in order to obtain physical
evidence of exchange-control offences and, where appropriate, to
prosecute those responsible. Nevertheless, the relevant
legislation and practice must afford adequate and effective
safeguards against abuse (see, among other authorities and mutatis
mutandis, the Klass and Others judgment previously cited, Series A
no. 28, p. 23, para. 50).
57. This was not so in the instant case. At the material time
- and the Court does not have to express an opinion on the
legislative reforms of 1986 and 1989, which were designed to
afford better protection for individuals (see paragraph 29 above)
- the customs authorities had very wide powers; in particular,
they had exclusive competence to assess the expediency, number,
length and scale of inspections. Above all, in the absence of any
requirement of a judicial warrant the restrictions and conditions
provided for in law, which were emphasised by the Government (see
paragraph 54 above), appear too lax and full of loopholes for the
interferences with the applicant's rights to have been strictly
proportionate to the legitimate aim pursued.
58. To these general considerations may be added a particular
observation, namely that the customs authorities never lodged a
complaint against Mr Funke alleging an offence against the
regulations governing financial dealings with foreign countries
(see paragraph 8 above).
59. In sum, there has been a breach of Article 8 (art. 8).
III. Application of Article 50 (art. 50)
60. Under Article 50 (art. 50),
"If the Court finds that a decision or a measure taken by a
legal authority or any other authority of a High Contracting Party
is completely or partially in conflict with the obligations
arising from the ... Convention, and if the internal law of the
said Party allows only partial reparation to be made for the
consequences of this decision or measure, the decision of the
Court shall, if necessary, afford just satisfaction to the injured
party."
A. Damage
61. Mr Funke sought, firstly, compensation in the amount of
300,000 French francs (FRF), on the ground that the breaches of
the Convention had had a serious impact on his person and on that
of his wife as well as on their private life.
The Government and the Delegate of the Commission expressed no
opinion.
62. The Court considers that the applicant must have suffered
non-pecuniary damage, for which the findings of violations in this
judgment do not afford sufficient satisfaction. Making its
assessment on an equitable basis as required by Article 50 (art.
50), it awards him FRF 50,000 under this head.
B. Costs and expenses
63. Mr Funke also sought reimbursement of the costs and
expenses he had incurred in the French courts (FRF 90,000) and in
the proceedings before the Convention institutions (FRF 35,000,
plus VAT).
The Government and the Delegate of the Commission did not put
forward any view on the issue.
64. Applying its usual criteria, the Court awards the
applicant FRF 70,000.
FOR THESE REASONS, THE COURT
1. Dismisses unanimously the Government's preliminary
objection;
2. Holds by eight votes to one that, for want of a fair trial,
there has been a violation of Article 6 para. 1 (art. 6-1);
3. Holds by eight votes to one that it is unnecessary to
consider the other complaints raised under Article 6 (art. 6);
4. Holds by eight votes to one that there has been a breach of
Article 8 (art. 8);
5. Holds unanimously that the respondent State is to pay the
applicant, within three months, 50,000 (fifty thousand) French
francs for non-pecuniary damage and 70,000 (seventy thousand)
francs for costs and expenses;
6. Dismisses unanimously the remainder of the applicant's
claims.
Done in English and in French, and delivered at a public
hearing in the Human Rights Building, Strasbourg, on 25 February
1993.
Signed: Rudolf BERNHARDT
President
Signed: {Marc-Andre} 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 {Thor Vilhjalmsson};
(b) concurring opinion of Mr Matscher.
Initialled: R.B.
Initialled: M.-A.E.
DISSENTING OPINION OF JUDGE {THOR VILHJALMSSON}
I have voted against the finding of a violation of Articles 6
and 8 (art. 6, art. 8) of the Convention in this case. My reasons
are much the same as those set out by the majority of the
Commission in its report.
CONCURRING OPINION OF JUDGE MATSCHER
CONCERNING PARAGRAPHS 41 - 44 OF THE JUDGMENT
(Translation)
Although I voted in favour of finding that there had been a
violation of Article 6 para. 1 (art. 6-1), I should none the less
like to point out the following. Under the fiscal legislation (on
taxes, customs and exchange control), a person who does not submit
the required returns or does not produce documents relating to
them within the time-limits laid down in law (or by the
authorities) has pecuniary penalties (astreintes) in the form of
"reasonable" fines imposed on him or else his tax liability is
estimated - also in a "reasonable" manner - by the appropriate
authorities. This is not in itself inconsistent either with the
requirements of a fair trial or with the presumption of innocence
(in the sense that one cannot be obliged to give evidence against
oneself).
Rules of this kind are indeed common in the countries of
Europe.
In the present case, however, the French authorities brought
criminal proceedings against the applicant in order to have a
pecuniary penalty imposed on him, and this went beyond what I
consider to be compatible with the principles I have just set out.
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