On 9 May 2018, the Second
Section of the Constitutional Court found a violation of the procedural
aspect of the right to life safeguarded by Article 17 of the Constitution in
the individual application lodged by Naziker Onbaşı and Others (no.
2014/18224).
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THE FACTS
[9-30] The applicants’ brother lost his
life as a result of inrush (sudden eruption of gas and coal) and
methane gas poisoning that occurred in a mine operated by a hard coal
company affiliated to the Turkish Hard Coal Institution (TTK).
The incumbent chief public prosecutor’s
office launched an investigation into the incident. The applicants filed a criminal
complaint against those alleged to be responsible.
Within the scope of the
investigation, a permission for investigation was requested from the Ministry
of Energy and Natural Resources (“the Ministry”) against the Chairman and five
members of the Executive Board of the TTK who were holding office at the
material time. The Ministry refused to grant permission. The objection filed before
the Regional Administrative Court against the refusal was also dismissed.
Thereupon, the chief public prosecutor’s
office issued a decision of non-prosecution regarding the Chairman and five
members of the Executive Board. The objection filed against this decision was
dismissed by the competent court.
Having being notified of
dismissal decision, the applicants then lodged an individual application with
the Court on 30 March 2015.
V. EXAMINATION AND GROUNDS
31. The Constitutional Court,
at its session of 9 May 2018, examined the application and decided as follows:
A. The Applicants’
Allegations and the Ministry’s Observations
32. The applicants alleged
that the procedural aspect of the right to life, the rights to a fair trial as
well as to an effective remedy had been violated on the grounds that no
permission had been granted for launching an investigation against the Chairman
and members of the Executive Board of the TTK despite the expert reports of 30
April and 5 December 2013, which was obtained by the Zonguldak Chief Public
Prosecutor’s Office and where these persons were clearly found to be at fault;
and that their challenge against the decision granting no permission had been rejected
without any justification.
33. The applicants also
maintained that the suspects in respect of whom the Zonguldak Chief Public
Prosecutor’s Office issued a decision of non-prosecution had been also responsible
for the incident; but no action had been brought against them. They accordingly
alleged that there had been violations of the procedural aspect of the right to
life, the right to a fair trial and the right to an effective remedy.
34. In its observations, the
Ministry made a reference to the various judgments rendered by the
Constitutional Court and stated that in the present case, an investigation had
been immediately conducted into the incident and the available evidence had
been collected; and that despite the allegation that the decision dismissing
the challenge to the decision granting no permission for investigation was
unreasoned, it may be deemed sufficient for the decisions rendered by the
appeal authority to simply make a reference to the challenged decision if the
appeal authority was of the same opinion with the deciding body.
35. In their
counter-statements against the Ministry’s observations, the applicants maintained
that the Ministry reached a conclusion that an inadmissibility decision must be
rendered in their case by making deficient and erroneous references to the
Court’s judgments; that although it was deemed sufficient for the appeal
authority to simply make a reference to the challenged decision if upholding
the original decision, the impugned decision should have been reasoned as the
Regional Administrative Court had acted in its capacity as a first instance
court.
B. The Court’s Assessment
36. Article 17 § 1 of the
Constitution titled “Personal inviolability, corporeal and spiritual existence of the
individual” reads
as follows:
“Everyone has the right to life and the right
to protect and improve his/her corporeal and spiritual existence.”
37. Relevant part of Article
5 of the Constitution titled “Fundamental aims and duties of the State”
reads as
follows:
“The fundamental aims and duties of the State are to
safeguard … the Republic and democracy, to ensure the welfare, peace, and
happiness of the individual and society; to strive for the removal of
political, economic, and social obstacles which restrict the fundamental rights
and freedoms of the individual in a manner incompatible with the principles of
justice and of the social state governed by rule of law; and to provide the
conditions required for the development of the individual’s material and
spiritual existence.”
38. The Constitutional Court
is not bound by the legal qualification of the facts by the applicant and it
makes such assessment itself (see Tahir Canan, no. 2012/969, 18
September 2013, § 16). It has been considered that the applicants’ allegations
concern the failure of the relevant authorities to conduct an effective
investigation into the death of their next-of-kin. Therefore, these allegations
were, as a whole, examined under the State’s obligation to conduct an effective
investigation inherent in the right to life which is safeguarded by Article 17
of the Constitution.
1. Admissibility
a. As regards the Decision
of Non-Prosecution
39. As required by the subsidiary nature
of the individual application mechanism, for an individual application to be
lodged with the Constitutional Court, the ordinary legal remedies must be
primarily exhausted. The applicant is to raise, primarily and in due course of
time, his complaints –subject matter of the individual application– before the
competent administrative and judicial authorities, to submit the relevant
information and evidence to these authorities, as well as to pay due regard to
pursue his case and application during this process (see İsmail Buğra İşlek,
no. 2013/1177, 26 March 2013, § 17).
40. Regard being had to the
fact that in cases where a criminal investigation or a set of proceedings
involves stages concluded at different times through decisions of
non-prosecution, acquittal, conviction or suspension of pronouncement of the
verdict, these stages are concerning the responsibility of different
individuals in a given case. Therefore, the investigation processes may need to
be considered as a whole (see Süleyman Deveci, no. 2013/3017, 16
December 2015, § 69).
41. Article 17 of the
Constitution where the right to life is enshrined and Article 5 thereof where
the State’s fundamental purposes and duties are laid down entail, when taken
together, the obligation to conduct an effective investigation capable of
ensuring identification, and if necessary, punishment, of those who are
responsible for each incident of unnatural death. However, such an
investigation must not be limited merely to establishing whether a certain
person is responsible for the incident but must be of the scope and nature that
would clarify the circumstances of the incident in all aspects. As a matter of
fact, the assessment as to the effectiveness of the investigation may be duly
made by not being limited to a decision issued in respect of a certain person,
but dealing with the investigation process as a whole, in consideration of the
particular circumstances of a given case (see Gülcan Keleş and Others,
no. 2014/797, 22 March 2017, § 30).
42. Regard being had to the
present case from this standpoint, it has been observed that although the
applicants lodged individual applications due to the decision of
non-prosecution issued in respect of certain persons in the course of the
investigation conducted by the chief public prosecutor’s office into the
incident, a bill of indictment was indeed issued in respect of the certain
suspects; the proceedings having initiated upon the acceptance of the
indictment by the incumbent court are still pending; and therefore, it is still
possible -as a result of an inquiry to be made during these proceedings- to
identify, and file a criminal case against, those who have responsibility in the
incident. Accordingly, it appears that if any responsibility is found also on
the part of the persons in respect of whom the decision of non-prosecution was
rendered, there is no obstacle to filing a criminal case against them.
43. Therefore, in the
present case, it has been concluded that the judicial remedies prescribed in the
law were not exhausted before the lodging of this individual application with
the Court.
44. For these reasons, this
part of the application must be declared inadmissible for non-exhaustion of
available legal remedies without any further examination as to the other admissibility criteria.
b. As regards the Decision Granting no
Permission for Investigation
45. By the very nature of the right to
life, an application concerning this right with respect to the person who has
lost his life can be filed only by his relatives who have suffered losses due
to his death (see Serpil Kerimoğlu and Others, no. 2012/752, 17
September 2013, § 41).The applicants are the deceased’s siblings. Therefore, there
is no deficiency in terms of eligibility for filing a case.
46. The file contains no
information or document to the effect that the decision granting no permission
for investigation, which was issued by the Ministry of Energy and Natural
Resources on 25 February 2014, was served on the applicants. Nor did the
Ministry provide any information or document indicating that the decision had
been served on them. In this case, it must be acknowledged that the applicants
became aware of this decision on 22 October 2014 when they were served with the
decision of no further examination, which was issued on 19 September 2014 by
the Zonguldak Chief Public Prosecutor’s Office. The applicants lodged an
individual application within 30 days following 22 October 2014 when they
became aware of the decision. In this sense, there is no expiry of time-limit
prescribed for lodging an individual application in the present case.
47. Besides, the applicants
did not maintain that there was a deliberate breach of the right to life. Nor
was there any element which would cause the applicants to get the impression
that the death of their next-of-kin had been intentionally caused.
48. As explained below under
the heading of the general principles, in every case involving death or injury
that has resulted from unintentional acts, it is not necessarily required to
conduct an effective criminal proceedings with a view to fulfilling the
obligation to set up an effective judicial system. However, in cases where
-even if the act is not intentional- the death has resulted from the public
authorities’ erroneous judgment or fault which is beyond mere negligence -in
other words from the public authorities’ failure to take necessary and
sufficient measures, within the scope of the powers conferred upon them, so as to
eliminate the risks emanating from a dangerous activity despite being aware of
the possible outcomes-, an effective criminal investigation would be
necessarily carried out.
49. In this sense, another
issue to be addressed in terms of the admissibility of the present application
is whether the positive obligation to “set up an effective judicial system”,
which is incumbent on the State under the right to life, necessarily requires
conduction of an effective investigation.
50. The obligation to
conduct an investigation into the deaths resulting from unintentional acts does
not necessarily entail criminal proceedings in every case. In such cases, it
may be sufficient to provide civil, administrative and even disciplinary
remedies to the victims (see Serpil Kerimoğlu and Others, § 59).
However, in cases where the death results from unintentional acts but there is
an erroneous judgment or fault, which is beyond mere negligence, on the part of
the public authorities, in other words they have failed to take necessary and
sufficient measures, within the scope of the powers conferred upon them, to
eliminate the risks emanating from a dangerous activity despite being aware of
the possible outcomes, a criminal investigation is to be conducted against
those who have responsibility in the incident -even if those concerned have
resorted to other civil remedies.
51. At this point, it should
be primarily noted that operating a coal mine is a dangerous activity as
involving certain risks to the lives and physical integrity of individuals,
notably those of the workers of the mine. Therefore, the State is liable, by
virtue of its obligation to protect individuals’ lives, to take necessary
measures so as to protect lives and physical integrity of individuals as well
as to prevent deaths and injuries during the performance of this service.
52. In consideration of the
case-file as a whole, it has been observed that the risk of inrush was known at
the scene of accident where many people lost their lives due to the similar
incidents taking place in previous years; and that according to the expert
reports, it was possible to take measures against this existing risk.
53. In the present case
which involves a predictable risk which could be eliminated by the taking of certain
measures, it has been concluded that it was certainly necessary to conduct an
effective criminal investigation, as a requirement of the obligation to set up
an effective judicial system.
54. Accordingly, the alleged
violation of the procedural aspect of the right to life must be declared
admissible for not being manifestly ill-founded and there being no other
grounds for its inadmissibility.
2. Merits
a. General Principles
55. The procedural aspect of the positive
obligations incumbent on the State within the meaning of the right to life requires
the authorities to carry out an effective investigation capable of ensuring
identification, and if necessary, punishment, of those who are responsible for
each incident of unnatural death. The main aim of this type of investigation is
to guarantee the effective implementation of the law that protects the right to
life and, in the incidents in which public officials or institutions are
involved, to ensure that those responsible are accountable against the deaths
which occur due to their intervention or under their responsibility or due to
the actions of other individuals (see Serpil Kerimoğlu and Others, §
54).
56. This procedural
obligation inherent in the right to life may be fulfilled by conducting
criminal, civil or administrative investigations depending on the very nature
of each incident. In cases pertaining to incidents of death caused
intentionally or due to ill-treatment, the State has an obligation, under
Article 17 of the Constitution, to conduct criminal investigations that are
capable of ensuring the identification and punishment of those responsible. In such
incidents, merely imposing an administrative sanction or awarding compensation
as a result of an administrative investigation and action for compensation is
not sufficient to eliminate the violation and thus to remove the victim status
(see Serpil Kerimoğlu and Others, no. 2012/752, 17 September 2013, §
55).
57. A different approach may
be adopted in terms of the obligation to conduct an investigation into deaths
caused by unintentional acts. In this context, this positive obligation does
not necessarily entail criminal proceedings in all cases where the right to
life has not been violated or the physical integrity has not been damaged
intentionally. It may be sufficient to provide civil, administrative and even
disciplinary remedies to the victims (see Serpil Kerimoğlu and Others, §
59).
58. However, in cases where
the death has resulted from unintentional acts, if the public authorities have failed
to take necessary measures within the powers conferred upon them to eliminate
the risks resulting from a dangerous activity despite being aware of its
probable outcomes or if they act based on erroneous judgment or fault going
beyond mere negligence, a criminal investigation must be initiated against
those putting the individuals’ lives at risk even if the victims have resorted
to other legal remedies (see Serpil Kerimoğlu and Others, § 60).
59. On the other hand, the
aim of the criminal investigation is to ensure the effective implementation of
the statutory provisions protecting the right to life and to hold those
responsible accountable. This is not an obligation of result but of appropriate
means. In addition, Article 17 of the Constitution does not grant the
applicants the right to have third parties prosecuted or sentenced for a
criminal offence; nor does it place an obligation on the State to conclude all
proceedings by a verdict of conviction (see Serpil Kerimoğlu and Others,
§ 56).
60. In a state governed by
rule of law, it may be deemed reasonable to make the launch of a judicial
investigation against public officers subjected to the permission of a certain
authority as they perform their duties on behalf of the State and they
frequently face the risks of being complained and investigated due to certain
factors associated with the performance of their public duties (see Hidayet
Enmek and Eyüpsabri Tinaş, no. 2013/7907, 21 April 2016, § 106).
61. As a matter of fact, it
is laid down in Article 129 § 6 of the Constitution that prosecution of public servants
and other public officials for alleged offences shall be subject, except in
cases prescribed by law, to the permission of the administrative authority
designated by law (see Hidayet Enmek and Eyüpsabri Tinaş, § 107).
62. As within the framework of
the principle of constitutional holism, it is compulsory to implement the
constitutional provisions in a collective way and in the light of the general
principles of law, the obligation to conduct an effective investigation, and
the provisions whereby the prosecution of public officials shall be subject to
permission are to be interpreted in harmony with one another (see Hidayet
Enmek and Eyüpsabri Tinaş, § 108).
b. Application of Principles to the
Present Case
63. In the present case, the applicants’
brother M.Y. died as a result of the inrush and coal gas poisoning taking place
in a mine operating under the Kozlu Hard Coal Authority, affiliated to the TTK
which is a public economic enterprise under the Ministry of Energy and Natural
Resources.
64. The procedural aspect of
the State’s positive obligations under the right to life entails the conduction
of an effective investigation which is capable of ensuring clarification of the
incident of death in all aspects and identification of those who are
responsible.
65. In the present case, an
investigation was conducted into the impugned incident by the Zonguldak Chief
Public Prosecutor’s Office. Within the scope of the investigation, two expert
reports were obtained. In these reports, the reasons why the accident took
place and those who could be responsible for the accident were addressed. There
is certain information that the Chairman and members of the TTK’s Executive
Board had liability in the incident on the grounds that the work was assigned
to a sub-contractor with no expertise or experience in the field, by the
institution which itself had the necessary expertise for the work, and that an
improper system which made the inspection difficult and increased the risk was
operated.
66. Accordingly, the
Zonguldak Chief Public Prosecutor’s Office sought permission for launching an
investigation against those individuals.
67. As a result of the
preliminary examination conducted thereafter, it was found appropriate to grant
no permission for investigation as there was no direct causal link between the
fault attributed to the persons in respect whom the permission was sought and
the impugned incident.
68. The Ministry of Energy
and Natural Resources accordingly refused to grant permission for an
investigation. Therefore, this has led to the discontinuation of the judicial
process conducted in respect of these persons.
69. It is therefore
necessary to assess the impacts of the procedure whereby the permission for
investigation is sought under Law no. 4483 on the effectiveness of the
investigation.
70. This procedure is
designed to make a preliminary examination prior to the initiation of a
criminal investigation into the offences allegedly committed by public officers
in relation to their office and to make a preliminary assessment as to whether there
was a ground to necessitate a criminal investigation, with a view to preventing
public officers from facing with unnecessary charges due to claims and
complaints raised on account of the alleged offences as well as to avoiding any
delay in the performance of their public offices. In this sense, the procedure
designed to get permission for investigation must not be applied in a way which
would, by going beyond the said aim, cause delay in criminal proceedings and
hinder an effective investigation or cause the impression that the public
officers are exempted from criminal investigation.
71. As regards a dangerous
activity, the ability to identify those who should have minimised the possible
risks against the lives and physical integrity of individuals and taken
necessary measures, as well as the judicial reaction to be taken by the State
against the persons in this respect, are of importance also for the prevention
of similar incidents.
72. In the present case, the
decision granting no permission for investigation is apparently based on the
determination as to the “lack of an exact causal link between the fault and the
inrush/eruption” which is included in the expert report.
73. In reply to the question
put by the Zonguldak Chief Public Prosecutor’s Office to determine whether the
faults attributed to the relevant Ministries, the TTK’s Board members and the
other institutions had a direct impact on the inrush/eruption taking place in
the present case, it is noted in the expert report that the members of the
Executive Board, having undersigned the contract, were found to be at fault;
however, there was no exact causal link between this fault and the
inrush/eruption. It has been observed that both the question put by the chief
public prosecutor’s office and the determination included in the expert report
concerned a technical issue as to the existence of a direct causal link between
the fault and the accident. Within the meaning of criminal law, it is only for
the judicial authorities to ascertain whether there is a causal link between a
given action and a consequence.
74. The obligation to
conduct an effective investigation, which is incumbent on the State within the
scope of the right to life, requires the relevant authorities to conduct a
criminal investigation that is capable of ensuring identification and, if
necessary, punishment of those who are responsible. In the present case where
the public authorities were found to be at fault through the expert reports, it
fell foul of the principles of an effective investigation to decide, on the
basis of the rules of the relevant administration, whether there was a causal
link, within the scope of the criminal law, between the fault determined and
the consequence in question and to accordingly order discontinuation of the
judicial process.
75. Besides, the
examinations and assessments to be made by administrative courts dealing with
the challenges against the decisions granting no permission for investigation must
be carried out with due diligence in order not to prolong the criminal
proceedings and hinder effective conduction of an investigation, or not to give
the impression that the public officers are exempted from a criminal
investigation.
76. In the present case, the
challenge against the procedure whereby the Ministry of Energy and Natural
Resources refused to grant permission for investigation was rejected by the
Regional Administrative Court “as the preliminary examination report and the
attached documents were not of the nature and capacity to require an
investigation”. It appears that the examination made by the Ankara Regional
Administrative Court did not include any assessment as regards the requirement
that the procedure whereby permission for investigation is sought must not be
operated in a way that would cause delay in criminal proceedings and hinder an effective
investigation or give the impression that the public officers are exempted from
criminal investigation.
77. Given the scope of the
case-file as a whole, it has been observed that although the public officers -in
respect of whom permission for investigation had been sought- were found to be
at fault, the permission was not granted due to the lack of a causal link
between the fault and the accident, which should have been indeed determined
through an examination by judicial authorities; and that thereby, the judicial
process was discontinued. It has been accordingly concluded that these two
facts posed an obstacle to the conduct of an effective investigation into the
death of the applicants’ next-of-kin.
78. The conclusion that an
effective criminal investigation is to be conducted into the incident does not
mean that the judicial process to be conducted against those who are
responsible necessarily entails filing of a case or conclusion of the proceedings
by a certain verdict; but points to the necessity of the effective application
of appropriate means which would lead to identification of those who are
responsible and ensure their accountability.
79. For these reasons, the
Court found a violation of the procedural aspect of the right to life which is
safeguarded by Article 17 of the Constitution.
3. Application of Article 50 of Code no.
6216
80. Article 50 §§ 1 and 2 of the Code no.
6216 on Establishment and Rules of Procedures of the Constitutional Court,
dated 30 March 2011, reads as follows:
“(1) At the end of the examination of the
merits it is decided either the right of the applicant has been violated or
not. In cases where a decision of violation has been made what is required for
the resolution of the violation and the consequences thereof shall be ruled...
(2) If the determined violation arises out of
a court decision, the file shall be sent to the relevant court for holding the
retrial in order for the violation and the consequences thereof to be removed.
In cases where there is no legal interest in holding the retrial, the
compensation may be adjudged in favour of the applicant or the remedy of filing
a case before the general courts may be shown. The court which is responsible
for holding the retrial shall deliver a decision over the file, if possible, in
a way that will remove the violation and the consequences thereof that the
Constitutional Court has explained in its decision of violation.”
81. The applicants requested
the Court to find a violation and to award 30,000 Turkish liras (“TRY”) to each
of them in respect of non-pecuniary damage.
82. In the present case, it has
been concluded that the procedural aspect of the right to life was violated.
83. As there is a legal
interest in conducting a retrial in order to redress the consequences of the
violation of the procedural aspect of the right to life, a copy of the judgment
must be sent to the Ankara Regional Administrative Court for a retrial.
84. As sending a copy of the
judgment to the relevant court for a retrial offers a sufficient redress for
the violation found, the applicants’ claims in respect of non-pecuniary
compensation must be rejected.
85. The total court expense of TRY 2,186.10
including the court fee of TRY 206.10 and the counsel fee of TRY 1,980, which
is calculated over the documents in the case file, must be reimbursed jointly to
the applicants.
VI. JUDGMENT
For these reasons, the
Constitutional Court UNANIMOUSLY held on 9 May 2018 that
A. 1. The application
insofar as it concerns the decision of non-prosecution be DECLARED INADMISSIBLE
for non-exhaustion of available legal remedies;
2. The alleged violation of
the procedural aspect of the right to life due to the refusal to grant
permission for investigation be DECLARED ADMISSIBLE;
B. The procedural aspect of
the right to life safeguarded by Article 17 of the Constitution was VIOLATED;
C. A copy of the judgment be
SENT to the Ankara Regional Administrative Court (E.2014/331, K.2014/346) for a
retrial in order to redress the consequences of the violation of the procedural
aspect of the right to life;
D. The applicants’ claims
for compensation be DISMISSED;
E. The total expense of TRY 2.186.10
including the court fee of TRY 206.10 and the counsel fee of TRY 1,980 be
REIMBURSED JOINTLY TO THE APPLICANTS;
F. The payments be made
within four months as from the date when the applicants apply to the Ministry
of Finance following the notification of the judgment. In case of any default
in payment, legal INTEREST ACCRUE for the period elapsing from the expiry of
four-month time-limit to the payment date;
G. A copy of the judgment be
SENT to the Ministry of Energy and Natural Resources.
H. A copy of the judgment be
SENT to the Ministry of Justice.