MYKOLAS ROMERIS UNIVERSITY. Aušra Kargaudien

Transcription

1 MYKOLAS ROMERIS UNIVERSITY Aušra Kargaudien THE EFFECT OF SOCIAL INFLUENCE MECHANISMS ON THE ADMINISTRATIVE-LEGAL STATUS OF A PRIVATE PERSON AND A PUBLIC AUTHORITY Summary of the Doctoral Dissertation Social Sciences, Law (01 S) Vilnius, 2007

2 The dissertation was written during the period of at Mykolas Romeris University. Scientific supervision: Prof. Dr. Algimantas Urmonas (Mykolas Romeris University, Social Sciences, Law 01- S). The doctoral dissertation will be defended at the Law Research Council of Mykolas Romeris University: Charman of the Council: Members: Prof. Dr. Juozas Žilys (Mykolas Romeris University, Social Sciences, Law - 01 S). Prof. Habil. Dr. Egidijus Aleksandravičius (Vytautas Magnus University, Humanities Sciences, History - 05 H); Prof. Dr. Egidijus Jarašiūnas (Mykolas Romeris University, Social Sciences, Law - 01 S); Prof. Habil. Dr. Borisas Melnikas (Vilnius Gediminas Technical University, Social Sciences, Business and Administration - 03 S); Prof. Dr. Vytautas Šlapkauskas (Mykolas Romeris University, Social Sciences, Law - 01 S). Opponents: Dr. Stasys Šedbaras (Mykolas Romeris University, Social Sciences, Law - 01 S); Doc. Dr. Dainius Žalimas (Vilnius University, Social Sciences, Law - 01 S). The public defence of the dissertation will take place at the Law Research Council at Mykolas Romeris University on the 18 th of June 2007 at 13:00 in the Senate Hall of Mykolas Romeris University. Address: Ateities str. 20, LT 08303, Vilnius, Lithuania. This summary of the Doctoral Dissertation was sent out on 18 th of May The Doctoral Dissertation is available at the library of the Mykolas Romeris University and Lithuanian Library of Martynas Mazvydas. 2

3 MYKOLO ROMERIO UNIVERSITETAS Aušra Kargaudien SOCIALINöS ĮTAKOS MECHANIZMŲ POVEIKIS PRIVATAUS ASMENS IR VALSTYBöS VALDŽIOS INSTITUCIJOS ADMINISTRACINIAM TEISINIAM STATUSUI Daktaro disertacijos santrauka Socialiniai mokslai, teis (01 S) Vilnius,

4 Darbas atliktas metais Mykolo Romerio universiteto Administracin s teis s ir proceso katedroje. Mokslinis vadovas: Prof. dr. Algimantas Urmonas (Mykolo Romerio universitetas, socialiniai mokslai, teis 01 S) Disertacija ginama Mykolo Romerio universiteto Teis s mokslo krypties taryboje: Pirmininkas: Prof. dr. Juozas Žilys (Mykolo Romerio universitetas, socialiniai mokslai, teis 01 S). Nariai: Prof. habil. dr. Egidijus Aleksandravičius (Vytauto Didžiojo universitetas, humanitariniai mokslai, istorija, 05H); Prof. dr. Egidijus Jarašiūnas (Mykolo Romerio universitetas, socialinia mokslai, teis, 01S); Prof. habil. dr. Borisas Melnikas (Vilniaus Gedimino technikos universitetas, socialiniai mokslai, vadyba ir administravimas 03S); Prof. dr. Vytautas Šlapkauskas (Mykolo Romerio universitetas, socialinia mokslai, teis, 01S). Oponentai: Doc. dr. Stasys Šedbaras (Mykolo Romerio universitetas, socialiniai mokslai, teis 01S); Doc. dr. Dainius Žalimas (Vilniaus universitetas, socialiniai mokslai, teis 01S). Disertacija bus ginama viešame Teis s mokslo krypties tarybos pos dyje 2007 m. birželio 18 d. 13 val. Mykolo Romerio universiteto Senato pos džių sal je. Adresas: Ateities g. 20, 2057 Vilnius, tel , faks Disertacijos santrauka išsiųsta 2007 m. geguž s 18 d. Su disertacija galima susipažinti Lietuvos nacionalin je Martyno Mažvydo (Gedimino pr. 51, Vilnius) ir Mykolo Romerio universiteto (Ateities g. 20, Vilnius) bibliotekose. 4

5 THE EFFECT OF SOCIAL INFLUENCE MECHANISMS ON THE ADMINISTRATIVE-LEGAL STATUS OF A PRIVATE PERSON AND A PUBLIC AUTHORITY Introduction The purpose and object of the dissertation Over more that seventeen years of independence a lot has been done in Lithuania to implement the law reform while establishing and developing democratic institutions in order to ensure that these institutions follow the rule of law principle, respect and protect human rights. In Lithuania as well as in other states of Central and Eastern Europe, the important changes of administrative law system, administrative law were taking place during this period. These changes are related not only with the law reform in progress, but also with a set of social factors in the political, social, economical and cultural field. Since 1990, after change of the attitude towards the doctrine of administrative justice in Lithuania, the legal status of a private person and a public authority, its theoretical evaluation, practical implementation become a very important part of the law reform. The traditional political theories and jurisprudences define the law and administrative law system as a state instrument. It is applied for demand from a citizen (private person) to perform or not to perform some actions. Otherwise, the administrative authority - a public authority - is provided with the possibility to use some legally established compulsory measures against a person. Such interpretation and practical application of the functions of administrative authority was particularly developed Lithuania, as well as in other Central and Eastern Europe states, during the soviet period. Today, it is attempted to treat the administrative authority, public administration as public service due to the influence of the reform; protection of human rights becomes a criterion for evaluation of effectiveness of public administration institution. Depending on this changing attitude towards the legal status of a person and a public authority, the purposes and objectives of administrative authority are also changing. Protection of human rights today has become one of the most important tasks set before the state. However, the purpose to protect human rights effectively may not be considered only on the formal level, i.e. only by enforcing the fundamental principles of constitutional state and universally acknowledged legal norms in the constitutional and other legal-administrative documents. The issue of protection of human rights must be, first of all, properly solved in the field of daily communication between persons and administrative structures, public authorities. In this process, it is necessary to evaluate the role of both participants of administrative-legal relations (private person and public authorities), powers, rights and possibilities of the participants of administrative-legal relations prescribed by the norms of administrative law and to evaluate the characteristics of them as well as trends of change from the practice at the same time. The problem of the research In 1990, the attitude that far-reaching changes of a political system must change the relations of public authorities and private persons dominated in the society 5

6 of Lithuania as well as other states of Central and Eastern Europe. However, unfortunately these changes in the system of public administration were not so rapid and effective as it was possibly expected at the beginning. In the modern democratic state which has being developed more than one decade, which may boast of rapid development of economy, we face the social phenomenon disappointment of private persons, distrust of public service, public administration institutions. After Lithuania became a full member state of the European Union on the 1 st of May 2004, approximately 70 per cent of Lithuanians were dissatisfied with work of public officers. The carried out surveys and researches constantly allow to draw the conclusion that the relations between a public authority and a private person are associated with corruption in Lithuania. The status of a member state of the European Union is not the only thing that obliges to reduce this contraposition between private persons and public authorities as much as possible. The background for solution of this long-lasting problem could be more detailed analysis of not only the administrative legal norms which regulate the rights and duties of the subjects of these administrative relations in case of dispute, but also more extensive analysis of the developed administrative-legal relations. In one of the parts of the Constitution of the European Union in the Charter of Fundamental Rights of the European Union the civil provision the right to have good administration is established. The real enforcement of this provision in Lithuania must be not only the purpose establishing the grounds of activities of the institutions or organisations of protecting the rights of a private person, but also the strategy of the government which is implemented in a real life. Sources of the study In her paper, the author made references to papers of Lithuanian and foreign scientists. The change of the legal status of a person and a public authority during the period of transformations in the states of Central and Eastern Europe has been widely discussed in the papers of A.Sajo, D.J.Galligan, J.Elster, F.Emmert S.Lilic, change of the role of public authorities during this period has been analysed by Z.Bissera, the transformational phenomena have been looked into by L.Balcerowicz, the law as the instrument of social change has been researched by V.Gessner, the concept of legal status of a private person has been examined by W.Lang, the relation between the institutions of private and public administration in the modern democratic society has been researched by S.Selon, J.Ch.Savignac. The analysis of R.Goodman and D.Jinks has been referred to while evaluating socialization mechanisms during the process of enforcement of legal norms. The study of R.Cooter has been referred to while discussing the influence of legal norms on an individual. The author has also made references to the studies of the other foreign scientists, including M.Alliot, V.Berger, W.Cairns, R.Chapus, M.W.Finkin, D.O.Friedrichs, M.L.Friedman, Y.Gaudemet, Ch.McCrudden, M.Macovei, K.Meßerschmidt, A.Moyrand, J.M.Nelson, G.Lebreton, M. Rousset and O.Rousset, H.Smith, S.Schønberg, T.Tridimas, J.A.Usher. The reference in the research paper has been made to the material of evaluation of administrative justice in Lithuania prepared by the international experts. The reference has been made to the Lithuanian authors, including A.Andruškevičius, R.Bakševičien, T.Birmontien, A.Dziegoraitis, L.Kietyt, E.Kūris, V.Mikel nas, 6

7 J.Paužait -Kulvinskien, S.Šedbaras, V.Šlapkauskas, A.Urmonas, V.A.Vaičaitis, A.Vaišvila, V.Valančius. During the research, the following sources of law have been used: the Constitution of the Republic of Lithuania, the Code of Administrative Violations of Law, the Civil Code of the Republic of Lithuania (valid until the 1 st of July 2001 and later), the Law on Administrative Proceedings of the Republic of Lithuania, etc. The orders made by the Constitutional Court of the Republic of Lithuania (made during the period from 1993 to 2005 (Annex No. 8, Table No. 8-1)) where the issue of constitutionality of legal acts was solved by analysing the cases which are examined on the ground of requests of administrative courts have been analyzed (part 3.4.). During the research, the practice of administrative courts during the period under research was analyzed: cases related with the right of a private person to receive information from public authorities, application of proportionality principle (3.4.), the practice of administrative courts with regard to compensation for damage resulting from illegal actions of public institutions (3.6), etc. The norms of administrative law of Germany and France (e.g. for analyzing application of proportionality principle), and the norms of administrative law of Latvia, Estonia (e.g. for analyzing the legal norms of public liability) have been chosen for the comparative analysis. While evaluating the problems of enforcement of the principles of administrative law in the field of public relations, the recommendations on enforcement of the principles of administrative law proposed by the international organizations (recommendations and resolutions of the Committee of Ministers of the Council of Europe) have been chosen for comparative analysis. For the discussion of the characteristics of social influence mechanisms, the sources of foreign scientific literature have been used. In this part of the research, the social influence mechanisms (such as coercion, persuasion, acculturation) have been chosen for comparative analysis. The comparative analysis has been carried out by defining the similarities and differences of the ground, form of the influence as well as results of the influence of these three social influence mechanisms, by comparing them with the methods of state management presented in the theory of administrative law (coercion, persuasion, stimulation), (general) methods of public administration (method for management of coercion, method for management of persuasion) (Annex No. 4). Taking into consideration the fact that after 1990 during enforcement of the reform of administrative law Lithuania faced the problem of enforcement of the fundamental principles of administrative law in the relations between a public authority and a private person, it is attempted to find the missing chains of enforcement of legal norms in the current administrative law system by means of the chosen comparative model as well as to theoretically evaluate the ground, form of these mechanisms and methods as well as possible results of their influence. During the research, the survey of private persons (Questionnaire, Annex No. 1) about public authorities and municipal government institutions as well as their activities (the results of Questionnaire are provided in Annex No. 2) was carried out. One of the tasks of this research was to evaluate the attitude of private persons towards enforcement and importance of the fundamental principles of administrative law (legitimacy, impartiality, availability of public services, equality before the law, etc.) in the field of public relations. The factors determining the relevance of the chosen topic: 7

8 The lack of scientific theoretical analysis and basics of the social influence mechanisms as means for analyzing the status of administrative-legal relations' participants and its change. The object of the study The objective to establish the features of change of status of public administration institutions as well as other public authorities and a private person during the period of independence and predict the trends of this change. The aim of the study The main purpose of the research paper is to investigate the change of legal status of a private person and public authorities as the participants of administrative-legal relations during the period of independence of Lithuania; to investigate and evaluate the change of legal status by evaluating the legal norms which determine the rights and duties of administrative relations as well as the developed administrative-legal relations, the principles of administrative law applied to these relations. The change of relation between a public authority and a private person is determined not only by the change of legal norms defining the status of these subjects, but also by enforcement of these legal norms (as well as the fundamental principles of administrative law which must be followed in modern democratic societies) in daily relations between a private person and a public authority as well as in making court orders. The purpose of the research paper is to investigate and evaluate the changes in Lithuanian administrative law system that occurred during the period of independence; to assess them by investigating the changes of legal status of the subjects of administrative law system, i.e. private persons and public authorities as well as the development of change of their interrelations; during the research, to analyze the change of normative acts regulating the relation between a private person and a public authority and carry out the analysis of jurisprudence. The tasks of the study The following tasks are set in the study: 1. to evaluate the changes of legal status of a private person and public authorities as the participants (subjects) of administrative-legal relations during the period of independence in Lithuania from system approach; to establish the trends of the change of legal status of participants (subjects) of these administrative-legal relations; 2. to establish the practice for application of the norms of administrative law (to carry out the analysis of the practice of administrative courts and courts of general competence; 3. to form the provisions and guidelines for further improvement of effectiveness of administrative law system, taking into consideration the trends of social changes; 4. availability of public services, openness, impartiality and other principles of administrative law must be enforced already in the initial stage of administrative-legal relations, i.e. public administration, during acceptance of the applications, complaints and proposals of private persons by other public authorities. This attitude is used as the ground for setting the task to evaluate the legal norms regulating the procedure for consideration of Lithuanians applications and complaints and their change during the period under research 8

9 (recommendations on enforcement of the fundamental principles of administrative law in the these administrative-legal relations of the Council of Europe have been chosen as a comparative model) have been chosen for comparative analysis; 5. to carry out the analysis of jurisprudence (the Constitutional Court of the Republic of Lithuania, the Supreme Administrative Court of Lithuania) during the research, by evaluating the application of proportionality principle. The proportionality principle, as one of the most important principles of administrative law, has been chosen as the object of the research since all public authorities in democratic societies must follow this principle while making decisions or acting in respect of a private person. The following theses (hypotheses) are formulated and defended by research. 1. The political change of a society has the influence on the legal norms which determine the legal status of the subjects of administrative-legal relations. 2. The possibilities of acculturation as a social influence mechanism are poorly used in Lithuania to effect the change of legal status of the subjects of administrative-legal relations. 3. The change of legal norms is not the sole and fundamental factor which may change the existing difference between the status of the subjects of administrative-legal relations declared in the Constitution and in the laws, regulated rights, duties, freedoms and legal relations in a real life. Academic novelty and practical importance of the study Academic novelty Although the relation between a state and a person is referred to in the paper of the scientists in the field of administrative law quite frequently, there are almost no more explicit analysis related with the change of legal status of the subjects of these administrative relations during the reform of administrative law as well as development of their relations and trends of change. Up to now, most of the researches dealt with evaluation of a dispute between a private person and a public authority rather than with the legal status of the participants of administrative-legal relations themselves. The question whether the fundamental principles of administrative law are followed in relations between a public authority and a private person, whether the purpose to be reached - the model of legal state where there is a balance between the interests of an individual and a society, between protection of the rights of a private person and needs of state management is realized today has been raised in the paper. The analysis of the change of legal status of the participants of administrative-legal relations as well as the attitude towards this change based on empirical data could help to find the answer to the raised question. Up to now, social influence mechanisms have not been widely chosen as an object of scientific researches in the law and not only in the field of administrative law in Lithuania. Practical meaning of the dissertation research The practical meaning of this research paper is based on the relevance of the scientific paper. After detailed evaluation of the role of both participants of administrative-legal relations, i.e. a private person and a public authority, powers, rights and possibilities given by the norms of administrative law and at the same time 9

10 evaluation of the features of the legal status of the participants of these administrativelegal relations in the practice, it is possible to forecast the future trends of change of these administrative-legal relations. Evaluation and theoretical analysis of the social influence mechanisms as new possibilities in regulation of administrative-legal relations may have practical benefit in the future while searching for solutions related with improvement of legal relation between public authorities and private persons, implementation of the norms of administrative law. Methods of the study The study has been prepared following by the following methods: descriptive, analictic-critical, systemic, comparative, document analysis, historic method, analysis of soursce content, meta-analysis. Approbation of the doctoral dissertation The major investigation results have been announced in three articles which were published in Mykolas Romeris University Scientific Paper Magazine Jurisprudencija. On the theme of this paper five reports were read in scientific-practical conferences which took place in Lithuania and Latvia. The study has been heard in Mykolas Romeris University Law Faculty Administrative Law and Process Department. The structure of the dissertation The dissertation consists of the introduction where the research problem has been presented; relevance and novelty, the purpose as well as the tasks of the paper have been described, and the defendable thesis have been provided in this part as well. The paper has been divided into the parts, taking into consideration the hypothesis generated during the research. The first part of the dissertation STATUS OF A PRIVATE PERSON AND A PUBLIC AUTHORITY DURING THE PROCESS OF SOCIAL CHANGE consists of four sections: 1.1. Administrative law system and social changes; 1.2. Legal norms: instrument of social change or consequence of social change; 1.3. Criteria for evaluation of the effectiveness of administrative law system and change of public relation; 1.4. Social influence mechanisms. Theoretical and practical aspects of administrative-legal relations of their influence. The first part of the dissertation deals with the changes of the administrative law system and the aspects of their theoretical evaluation during social change in the society. Analysis refers, that mentioned changes are similar to the transitional changes in the other Central and Eastern European countries. All countries of Central and Eastern Europe have experienced the fundamental changes in their social, political, cultural and economic life and a legal order, (in particular) in the administrative system. Lithuania s administrative system is not an exception. In this part of the dissertation, the content of the concept status (legal status), its application in research paper is provided. In this the part, the theories of mutual influence of legal norms (administrative legal norms in a narrow sense) and 10

11 social norms have been discussed. The attitude that relation between a person and public authorities (relation between a person and a state) is one of the most important criteria for evaluation of the effectiveness of state administrative law system has been substantiated. However, the aim of evaluation of administrative law system s effectiveness is not only to establish how the modernisation process of the administrative law system evidences, but also how it may be accelerated. This part of the dissertation is related with the second hypothesis formulated in the dissertation. While reviewing the theories dealing with the impact of social influence mechanisms, the main theoretical papers have been presented. They have been used as the basis for analysis of theoretical possibilities to evaluate and to have an influence on the relationships of a private person and authorities (persons) representing the state as well as the norms of administrative law regulating these relationships during the reform. This part presents the carried out comparative analysis on the grounds of which the conclusion that the current problem of the reform of Lithuanian administrative law is the lack of scientific theoretical analysis and basics of the social influence mechanisms has been made. The second part of the dissertation PRINCIPLES OF ADMINISTRATIVE LAW, THEIR ENFORCEMENT DURING THE CHANGE OF LEGAL STATUS OF THE SUBJECTS OF ADMINISTRATIVE-LEGAL RELATIONS consists of six sections: 2.1. Principle of administrative law the concept characterizing the relation between a private person and a public authority; 2.2. Consideration of applications and complaints by the public administration institutions and by the other public authorities; 2.3. The private person s right to receive the information from public authority; 2.4. Principle of proportionality; 2.5. Principle of protection of legitimate expectations and legally acquired rights; 2.6. State liability. In the second part of the dissertation, the discussion of the fundamental principles of administrative law (principle of proportionality, impartiality, availability of public services, transparency, protection of legitimate expectations, etc.), the enforcement of which in the field of public relations becomes the criterion for evaluation of conformance of the legal status of a private person and public authorities to the standards of modern democratic society, has been provided. This part deals with the characteristics of the fundamental principles; the analysis of the legal norms of regulating the procedures for consideration of persons applications and complaints to evaluate the enforcement of the fundamental principles (transparency, impartiality, etc.) carried out by the author has been discussed. The analysis has verified the hypothesis formulated in the dissertation that change of legal norms by itself does not ensure the modernisation process of the status of public relations participants. This part presents the development process of enforcement of the principle of the right to receive the information from public authorities and includes the discussion of change of legal norms, jurisprudence. The problems of application of proportionality principle have been discussed by evaluating the order made by Lithuanian Constitutional Court and the Supreme Administrative Court of Lithuania during the period under research; the comparative analysis of guidelines prescribed by Law on Public Administration and the European Council for application of proportionality has been carried out. The problems of application of the principle of legitimate expectations protection have been assessed by evaluating the decisions made by the Lithuanian Constitutional Court. The object of the research in this part is 11

12 the evaluation of the demands of working pensioners, taking into consideration juridical and political terms. This part of the paper has been intended for the fundamentals of public liability in Lithuania. The problems of implementation of the principle of authority s service to people, while claiming compensation for damage in a court (material, non-pecuniary), have been discussed. The statistical analysis of the orders made by the Supreme Administrative Court of Lithuania in the cases of such nature (2005) has been carried out. The third part of the dissertation REFORMS OF REGULATION OF ADMINISTRATIVE-LEGAL RELATIONS IN THE EUROPEAN UNION consists of two sections: 3.1. The Charter of Fundamental Rights new guarantor of the person's rights Regulation of the provisions of the right to good administration. The third part of the paper has been intended for the reforms of regulation of relation between public and private persons in the European Union. The author has chosen the provisions of the Charter of Fundamental Rights of the European Union and the principles of administrative law declared in them for the comparative analysis of Lithuanian legal norms. This document as the comparative model has been chosen by the author, since it is a innovative instrument protecting the human rights; the fundamental principles of European administrative law have been established in the provisions of this charter generated as a result of the theoretical analysis and practical application of participants of long-term administrative-legal relations; those principles are prescribed by the Community Case Law. The provisions of the Charter of Fundamental Rights of the European Union become the future model which will definitely have influence on the national legal systems of the European Union member states. On the subject of the principle of good administration, the part of this paper has been intended for the Code of Good Administration adopted by the European Parliament on the 6 th of September The last part of the dissertation ROLE OF COURTS IN MODERNIZATION OF THE LEGAL STATUS OF THE SUBJECTS OF PUBLIC RELATION. The last part of the dissertation, taking into consideration the conclusions of the dissertation, has been intended for the review of the role of a court in the process of modernisation of public relations subjects' status. At the end of the dissertation, the conclusions, references have been given. The list of publications related with the topic of dissertation and published in science publications has been attached. In the annexes of the dissertation, the tables prepared during research as well as the example of questionnaire have been given. Conclusions and proposals Conclusions 1. The effectiveness of the current modern administrative law system may be evaluated in two aspects: evaluating the system as a tool applied for 12

13 implementation of the tasks set by the government and evaluating the administrative law system as one of the measures to protect and exercise the rights of a private person. The first task, i.e. implementation of the tasks set by the government, is associated more with public authorities which practically enforce the executive power, effectiveness of working (evaluating as the process of implementation of the set tasks), interests of a society and their protection, and the second one with respect and attention towards the interests of a private person and his rights. Implementation of these both tasks frequently results in the dilemma the issue of reconciliation of interests. 2. In Lithuania, the current problem of administrative law is the lack of scientific theoretical analysis of the social influence mechanisms as tools for evaluation of the norms of administrative law, their change and enforcement as well as the lack of basics. There is a lack of scientific theoretical analysis how the enforcement of the norms of administrative law (principles of administrative law) could be improved on the basis of socialization in public relations in Lithuania. This gap of theoretical analysis does not allow to develop practical application of acculturation as a social influence mechanism in the administrative law system. 3. The administrative law system s effectiveness in the modern democratic society is more and more often associated with the procedure and process, rather than only with the norm of administrative law applied during implementation of the procedure. The significance of applicable norms of substantive law may not be derogated in respect of the norms of adjective law; however, even in case of existence of the perfect legal norm, its improper application, mistakes or illegal actions during the procedure may form the ground to overturn the decision. 4. Having carried out the analysis of normative acts which regulate the procedure for consideration of Lithuanians applications and complaints, the conclusion may be drawn that the fundamental principles of administrative law have already been established in the procedure approved by the Resolution of the Government of the Republic of Lithuania of 16 October 1992: this procedure ensures the availability of public services, principle of openness, guarantees impartiality, establishes reasonable period for consideration of an application of a person, obliges the institution that makes the order to notify a private person about the made order which shall include the motives for making such order as well as defences. 5. In Lithuania, the doctrine of proportionality has not such a long history and traditions of applying it in the jurisprudence as in the countries of Western Europe. The first applications of the principle of proportionality are related more with the studies of constitutional law and application of this principle in the Constitutional Court. In Lithuania, we do not have explicit studies of application of proportionality principle during investigation of administrative cases up to now. The Constitutional Court applies the proportionality principle to many cases and it is true to say that this doctrine is not a novelty in this court and becomes important during investigation of the cases of the Constitutional Court, and, what is even more important, in large part, the cases related with the administrative-legal disputes. The principle of proportionality is not properly established at the level of a law which determines the complicated process of application of this principle for making of orders by the administrative entities and evaluation and analysis of these 13

14 orders in courts. It is worth to stipulate and establish de jure the main provisions on the ground of which the proportionality principle could be enforced (its current definition in the Law on Public Administration of the Republic of Lithuania is not sufficient: the concept of proportionality principle is not accurate and clear to be implemented properly by the entities of administration which make orders in respect of a person). Proposals 1. Enforcement of the fundamental principles of administrative law even at the lowest level, i.e. decision-making body, may be described as one of the most important criteria for evaluation of effectiveness of administrative law system. It is associated with confirmation of empirical studies which showed that most of the made orders are not appealed, their legitimacy is solved only in the first instance; therefore, it is not enough only to develop the effective regulatory (control) mechanism for the system in order to ensure the effectiveness, the administrativelegal relations must be improved from the initial level, i.e. level of decision-making body. Today, the purpose must be set to protect human rights not only formally, i.e. by means of constitutional and other legal-administrative instruments, but also in the field of daily communication of persons with administrative entities. 2. Although the persons incur the damage due to the actions of public authorities or municipal government institutions, they do not tend to claim through the court compensation for damage. The other problem is that the actual award of damages from public authorities or municipal government institutions is not a frequent phenomenon in administrative courts. The situation is determined by the feeble expectations that the dispute concerning the compensation for damage may be settled in favour of an applicant. People s distrust of courts while settling the dispute with a public authority is quite frequent phenomenon in most of the states of Central and Middle Europe, therefore it should be considered as the phenomenon of transformational period, which may be changed through development of law education in a society, enhancement of public trust in courts, improvement of qualification of the public officers who make administrative orders, more accurate and more detailed definition of the norms of public liability. 3. It would be expedient, in the Law on Public Administration where the principles which must be followed by the entities of public administration in their activities (Article 3) are established and defined, to name the concept of proportionality not only as the principle which means that the extent of administrative orders and the measure for its enforcement shall comply with the necessary and reasonable purposes of administration, but also as the measures which shall be taken to ensure proper balance between public and private interests, to prevent unnecessary limitation of people's rights and interests. The identical definition of the principle of proportionality, i.e. its general requirements could be also established in the Code of Administrative Procedure. 14

15 LIST OF ACADEMIC PUBLICATIONS 1. Kargaudiene A. The Changes of Administrative Law in a Modern Democratic Society, Jurisprudencija, 2005, 70 (62), ISSN , P Kargaudiene A. The Principle of Proportionality in Administrative Law and its Application in Lithuanian Courts, Jurisprudencija, 2005, 78(70), ISSN , P Kargaudiene A. The Principles of the Charter of Fundamental Rights of European Union and their Influence Over Administrative Law System, Jurisprudencija, 2006, 4 (82). ISSN 1392, P DISERTACIJOS TEMA PASKELBTOS MOKSLINöS PUBLIKACIJOS 1. Kargaudien A. Administracin s teis s pokyčiai šiuolaikin je demokratin je visuomen je, Jurisprudencija, 2005, 70 (62), ISSN , P Kargaudien A. Proporcingumo principas administracin je teis je (Taikymo praktika Lietuvos teismuose), Jurisprudencija, 2005, 78(70), ISSN , P Kargaudien A. Europos Sąjungos pagrindinių teisių chartijos principų įgyvendinimo klausimai administracin s teis s sistemoje, Jurisprudencija, 2006, 4 (82). ISSN 1392, P

16 ANNOUNCEMENTS IN SCIENTIFIC CONFERENCES ON THE THEME OF DISSERTATION 1. Kargaudiene A. The Changes of Administrative Law in a Modern Democratic Society: the Development of Evaluation System (Scientific conference Problems of Effectiveness in Administrative Law. Mykolas Romeris University, Vilnius. 10 th December, 2003). 2. Kargaudiene A. The Principle of Proportionality: its application in Lithuanian Courts resolving conflicts of interests (Scientific conference Administrative Law in Lithuania: Modern Doctrines and Questions of their Practical Realization. Mykolas Romeris Univeristy, Vilnius. 15 th December, 2004). 3. Kargaudiene A. The Principles of the Charter of Fundamental Rights of European Union and the Issue of their Influence Over Administrative Legal System (Scientific conference Innovations of Administrative Law and Process in Legal System. Mykolas Romeris University, Vilnius. 28 th October, 2005). 4. Kargaudiene A. Principle of Proportionality and its Implementation ir Lithuanian Administrative Law (7 th International Scientific Conference Property, Encumbrances on Property: problems, solutions and opportunities. School of Business Administration Turiba, Riga (Ryga). 2 th June 2006). 5. Kargaudiene A. Mechanisms of Social Influence. New opportunities to Influence the Process of Administrative Norms Enforcement (International Scientific Conference Development of Social Technologies in Administrative Law, Coordinating Possibilities of Law and Other Social Sciences. Mykolas Romeris University, Vilnius, 10 th November, 2006) 16

17 PRANEŠIMAI DISERTACIJOS TEMA MOKSLINöSE KONFERENCIJOSE 1. Kargaudien A. Administracin s teis s pokyčiai šiuolaikin je demokratin je visuomen je: sistemos efektyvumo vertinimo kriterijų raida / Mokslin konferencija Veiksmingumo problemos administracin je teis je. Mykolo Romerio universitetas. Vilnius m. gruodžio 10 d. 2. Kargaudien A. Proporcingumo principas: interesų derinimo klausimų sprendimas teismų praktikoje / Mokslin konferencija Administracin teis Lietuvoje. Šiuolaikin s doktrinos ir jų praktinio realizavimo klausimai. Mykolo Romerio universitetas. Vilnius m. gruodžio 15 d. 3. Kargaudien A. Europos Sąjungos pagrindinių teisių chartijos principų įgyvendinimo klausimai administracin s teis s sistemoje / Mokslin konferencija Administracin s teis s ir proceso naujov s teisin je sistemoje. Mykolo Romerio universitetas. Vilnius m. spalio 28 d. 4. Kargaudien A. Principle of Proportionality and its Implementation ir Lithuanian Administrative Law / 7 th International Scientific Conference. Property, Encumbrances on Property: problems, solutions and opportunities. School of Business Administration Turiba, Riga (Ryga) m. birželio 2 d. 5. Kargaudien A. Socialin s įtakos mechanizmai. Naujos galimyb s paveikti administracin s teis s normų įgyvendinimo procesą / Tarptautin mokslin konferencija Socialinių technologijų kūrimas administracin je teis je suvienijant teis s ir kitų socialinių mokslų galimybes. Mykolo Romerio universitetas. Vilnius m. lapkričio 10 d. 17

18 CURRICULUM VITAE NAME: Aušra Kargaudien YEAR OF BIRTH: 27 th of October EDUCATION: PhD Student of Law (Mykolas Romeris University) from Master in Law, International Law Specialization (Vytautas Magnus University, Kaunas) in Bachelor in Sociology (Vytautas Magnus University, Kaunas) in LANGUAGES: SPEAKING WRITING READING English Excellent Good Excellent Russian Excellent Good Excellent French Excellent Good Excellent COMPUTER: User of Microsoft Office programs. EXPERIENCE: RECORDS: 2005 till now Attorney at Law January of 2001 September of 2005 AB Vakarų skirstomieji tinklai Position: Chief lawyer July of 1999 January of 2001 Kaunas County Governor s Administration Position: Chief lawyer October of 1998 June of 1999 Vytautas Magnus University (position: assistant) 18

19 Aušra Kargaudien SOCIALINöS ĮTAKOS MECHANIZMŲ POVEIKIS PRIVATAUS ASMENS IR VALSTYBöS VALDŽIOS INSTITUCIJOS ADMINISTRACINIAM TEISINIAM STATUSUI Rezium Tiriamoji problema 1990 metais Lietuvoje, kaip ir kitose Centrin s ir Rytų Europos valstybių visuomen se vyravo nuostatos, kad radikalios politin s sistemos permainos turi pakeisti ir valstyb s valdžios institucijų ir privačių asmenų tarpusavio santykius. Bet, deja, šios permainos Lietuvoje viešojo administravimo sistemoje nebuvo tokios sparčios ir efektyvios, kaip galbūt buvo tik tasi iš pradžių. Jau ne pirmą dešimtmetį kuriamoje modernioje demokratin je valstyb je, kuri gali pasigirti sparčia ūkio pl tra, susiduriame su socialiniu reiškiniu privačių asmenų nusivylimu, nepasitik jimu valstyb s tarnyba, viešojo administravimo institucijomis m. geguž s 1 d. Lietuvai tapus visateise Europos Sąjungos valstybe nare, apie 70 proc. Lietuvos žmonių buvo nepatenkinti valstyb s tarnautojų darbu. Atliktos apklausos ir tyrimai nuolat leidžia daryti išvadas, kad Lietuvoje viešojo administravimo ir privataus asmens santykiai sietini su korupcijos reiškiniu. Ne tik Europos Sąjungos valstyb s nar s statusas įpareigoja šią priešpriešą tarp privačių asmenų ir valstyb s valdžios institucijų kiek įmanoma labiau mažinti. Šios įsisen jusios problemos sprendimo pagrindas gal tų būti detalesnis ne tik administracin s teis s normų, kuriomis nustatomas šių administracinių santykių subjektų teis s ir pareigos esant ginčo atveju, bet ir platesn susiklosčiusių administracinių teisinių santykių analiz. Vienoje iš Europos Sąjungos Konstitucijos dalių Europos Sąjungos Pagrindinių teisių chartijoje - skelbiama pilietin nuostata teis tur ti gerą administravimą. Šios nuostatos realus įgyvendinimas Lietuvoje turi būti ne tik privataus asmens teises ginančių institucijų ar organizacijų veiklos pagrindus nustatantis tikslas, bet realiame gyvenime įgyvendinama vyriausyb s strategija. Disertacinio tyrimo aktualumas Per daugiau kaip septyniolika nepriklausomyb s metų Lietuvoje daug atlikta įgyvendinant teisinę reformą, kuriant ir vystant demokratines institucijas, siekiant užtikrinti, kad šių institucijų veikloje būtų vadovaujamasi teis s viršenyb s principu, būtų gerbiamos ir ginamos žmogaus teis s. Nuo 1990 m. Lietuvoje, pakitus požiūriui į administracin s justicijos doktriną, privataus asmens ir valstyb s valdžios institucijos teisinis statusas, jo ne tik teorinis vertinimas, bet praktinis įgyvendinimas tampa svarbia teisin s reformos dalimi. Lietuvoje, kaip ir kitose Centrin s ir Rytų Europos valstyb se šiuo laikotarpiu vyko svarbūs administracin s teisin s sistemos, administracin s teis s pokyčiai. Šie pokyčiai susiję ne tik su vykdoma teisine reforma, bet ir su aibe visuomeninių veiksnių politikos, socialin je, ekonomikos, bei kultūros srityje. Administracin s teis s teorijoje administracin teisin sistema apibr žiama kaip tam tikras valstyb s instrumentas. Juo iš privataus asmens reikalaujama atlikti arba neatlikti tam tikrus veiksmus. Priešingu atveju 19

20 administracinei valdžiai valstyb s valdžios institucijai - yra suteikiama galimyb panaudoti tam tikras teisiškai įtvirtintas prievartos priemones prieš privatų asmenį. Šis administracin s valdžios funkcijų aiškinimas ir praktinis taikymas ypač išsivyst Lietuvoje, kaip ir kitose Centrin s ir Rytų Europos valstyb se, komunistiniu periodu. Šiandien į administracinę valdžią, viešąjį administravimą, reformų įtakos pagrindu, stengiamasi žiūr ti kaip į viešąją tarnybą, žmogaus teis s apsauga tampa viešojo administravimo institucijų veiksmingumo vertinimo kriterijumi. Priklausomai nuo šio kintančio požiūrio į privataus asmens ir valstyb s valdžios institucijos teisinį statusą, vaidmenį valstyb s valdyme, kinta administracin s valdžios tikslai ir uždaviniai. Žmogaus teisių apsauga šiandien yra tapusi vienu iš svarbiausių valstybei keliamų uždavinių. Tačiau šiandien keliamas tikslas efektyviai apginti žmogaus teises nebegali būti vertinamas tik formaliu lygmeniu, t.y. tik įtvirtinant pagrindinius teisin s valstyb s principus ir visuotinai pripažįstamas teis s normas konstituciniuose ir kituose teisiniuose administraciniuose dokumentuose. Žmogaus teisių gynimo klausimas turi būti tinkamai sprendžiamas pirmiausia kasdien je privačių asmenų bendravimo su administracin mis struktūromis, valstyb s valdžios institucijomis srityje. Šiame procese būtina tinkamai įvertinti abiejų administracinių teisinių santykių dalyvių - privataus asmens ir valstyb s valdžios institucijos - vaidmenį, administracin s teis s normomis suteikiamas galias, teises ir galimybes, bei tuo pačiu įvertinti praktikoje susiklosčiusių šių administracinių teisinių santykių subjektų statuso požymius bei jo kitimo tendencijas. Disertacinio tyrimo objektas Administracinių teisinių santykių subjektų teisinį statusą apibr žiančios teis s normos, praktikoje susiklostę administraciniai teisiniai santykiai, jų metu taikomi administracin s teis s principai. Disertacinio tyrimo tikslas Pagrindinis tiriamojo darbo tikslas yra ištirti privataus asmens ir valstyb s valdžios institucijų, kaip administracinių teisinių santykių subjektų, teisinio statuso kaitą per Lietuvos nepriklausomyb s laikotarpį. Teisinio statuso kaitą tirti ir įvertinti analizuojant teis s normas, kurios apibr žia administracinių teisinių santykių subjektų teises ir pareigas, bei susiklosčiusius administracinius teisinius santykius, jų metu taikomus administracin s teis s principus. Valstyb s valdžios institucijos ir privataus asmens santykio raida yra sąlygota ne tik teis s normų, apibr žiančių šių subjektų statusą, kaita, bet ir šių teis s normų (kaip ir esminių administracin s teis s principų, kuriais privaloma vadovautis moderniose demokratin se visuomen se) įgyvendinimu kasdieniuose privataus asmens ir valstyb s valdžios institucijų santykiuose, bei teismų sprendimuose. Tiriamojo darbo tikslas - ištirti ir įvertinti Lietuvos administracin s teis s sistemoje per nepriklausomyb s laikotarpį įvykusius pokyčius, juos vertinti tiriant administracin s teis s sistemos subjektų privačių asmenų ir valstyb s valdžios institucijų teisinio statuso pokyčius bei jų tarpusavio santykio kaitos raidą. Tiriamojo darbo metu analizuoti norminių aktų, reglamentuojančių privataus asmens ir valstyb s valdžios institucijų santykį, kaitą, atlikti teismų praktikos analizę. Disertacinio tyrimo uždaviniai Tiriamuoju darbu iškelti uždaviniai: sisteminiu požiūriu įvertinti privataus asmens ir valstyb s valdžios institucijų, kaip administracinių teisinių 20

21 santykių subjektų, teisinio statuso pokyčius per nepriklausomyb s laikotarpį Lietuvoje, nustatyti šių administracinių teisinių santykių subjektų teisinio statuso kaitos tendencijas; nustatyti administracin s teis s normų taikymo praktiką, (atlikti administracinių teismų ir bendrosios kompetencijos teismų praktikos analizę); suformuoti nuostatas ir gaires tolimesniam administracin s tiesin s sistemos veiksmingumo gerinimui, atsižvelgiant į socialinių pokyčių tendencijas; viešųjų paslaugų prienamumo, atvirumo, nešališkumo ir kiti administracin s teis s principai privalo būti įgyvendinami jau pradin je administracinių teisinių santykių stadijoje t.y. viešojo administravimo ir kitoms valstyb s valdžios institucijoms priimant privačių asmenų pareiškimus, skundus ir pasiūlymus. Remiantis šia nuostata tiriamajame darbe keliamas uždavinys įvertinti Lietuvos gyventojų pareiškimų ir skundų nagrin jimo tvarką nustančias teis s normas ir jų kaitą per tiriamąjį laikotapį (lyginamuoju modeliu pasirinkus Europos Tarybos rekomendacijas d l esminių administracin s teis s principų šių administracinių teisinių santykių metu); tiriamojo darbo metu atlikti teismų (Lietuvos Respublikos Konstitucinio Teismo, Lietuvos vyriausiojo administracinio teismo) praktikos analizę, vertinant proporcingumo principo taikymą. Proporcingumo principas, kaip vienas iš svarbiausių administracin s teis s principų, yra pasirinktas šiame darbe kaip tyrimo objektas, kadangi demokratin se visuomen se šiuo principu privalo vadovautis visos valdžios institucijos, priimdamos sprendimus ar veikdamos privataus asmens atžvilgiu. Disertacinio tyrimo mokslinis naujumas Nors valstyb s ir žmogaus santykis administracin s teis s mokslininkų darbuose minimas gan dažnai, tačiau detalesn s analiz s, susijusios su šių administracinių teisinių santykių subjektų teisinio statuso kaita vykstant administracin s teis s reformai, bei jų santykių raida ir kaitos tendencijomis beveik n ra. Iki šiol didesn tyrimų dalis priklaus ginčo tarp privataus asmens ir valstyb s valdžios institucijos vertinimui, o ne pačių administracinių teisinių santykių subjektų teisiniam statusui. Darbe keliamas klausimas, ar valstyb s valdžios institucijos ir privataus asmens santykio metu yra vadovaujamasi esminiais administracin s teis s principais, ar siekiamas tikslas - teisin s valstyb s modelis, kuriame randama pusiausvyra tarp individo ir visuomen s interesų, tarp privataus asmens teisių apsaugos ir valstyb s valdymo poreikių, šiandien yra virtęs realybe. Administracinių teisinių santykių subjektų teisinio statuso kaitos, bei požiūrio į šią kaitą analiz, paremta empiriniais duomenimis, būtų pagrindas rasti atsakymą į keliamą klausimą. Iki šiol socialin s įtakos mechanizmai teis je, ir ne tik administracin s teis s srityje, Lietuvoje nebuvo dažnas mokslinio tyrimo objektas. Disertacinio tyrimo praktin reikšm Šio tiriamojo darbo praktin reikšm yra paremta mokslinio darbo aktualumu. Išsamiai įvertinus abiejų administracinių teisinių santykių subjektų - privataus asmens ir valstyb s valdžios institucijos - vaidmenį, administracin s teis s normomis suteikiamas galias, teises ir galimybes, bei tuo pačiu įvertinus praktikoje susiklosčiusius šių administracinių teisinių santykių subjektų teisinio statuso požymius, galima numatyti tolimesnes šių administracinių teisinių santykių kitimo tendencijas. Socialin s įtakos mechanizmų, kaip naujų galimybių administracinių teisinių santykių reguliavime, įvertinimas bei teorin analiz gali tur ti praktin s naudos ateityje ieškant sprendimų, susijusių su valstyb s valdžios institucijų ir 21