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Case No. 1/97

Case No. 1/97 Case No. 1/97 THE CONSTITUTIONAL COURT OF THE REPUBLIC OF LITHUANIA R U L I N G On the compliance of the 31 August 1995 Government of the Republic of Lithuania Resolution No. 1169-22 “On

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of the Republic of Lithuania Law on State Treasury, Item 5 of Article 21 of the Law on the Government of the Republic of Lithuania, as well as Article 4 of the Law “On Approving the 1995 State Budget of the Republic of Lithuania and the Specifications of Deductions into Budgets of Self-Governments and Their Subsidies” 17 June 1997, Vilnius The Constitutional Court of the Republic of Lithuania, composed of the Justices of the Constitutional Court Egidijus Jaraðiûnas, Kæstutis Lapinskas, Zigmas Levickis, Augustinas Normantas, Vladas Pavilonis, Jonas Prapiestis, Pranas Vytautas Rasimavièius, Teodora Staugaitienë, and Juozas Þilys, the secretary of the hearing - Daiva Pitrënaitë, the party concerned - Vytenis Gudelis, a state consultant, and Robertas Martinkus, a state consultant, adviser for the Prime Minister, both are the representatives of the Government of the Republic of Lithuania, pursuant to Part 1 of Article 102 of the Constitution of the Republic of Lithuania and Part 1 of Article 1 of the Law on the Constitutional Court of the Republic of Lithuania, in its public hearing on 4 June 1997 conducted the investigation of Case No. 1/97 subsequent to the petition submitted to the Court by the petitioner - a group of the members of the Seimas of the Republic of Lithuania - requesting to investigate if the 31 August 1995 Government of the Republic of Lithuania Resolution No. 1169-22 “On the Special Auction of Government Securities” was in compliance with the Constitution of the Republic of Lithuania,

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of the Republic of Lithuania Law on State Treasury, Item 5 of Article 21 of the Law on the Government of the Republic of Lithuania, as well as Article 4 of the Law “On Approving the 1995 State Budget of the Republic of Lithuania and the Specifications of Deductions into Budgets of Self-Governments and Their Subsidies”. The Constitutional Court has established: I On 31 August 1995 the Government adopted Resolution No. 1169-22 “On the Special Auction of Government Securities” (the said resolution was classified, it has not been published in the official gazette “Valstybës Þinios”, it was declassified by the decision of the 19 March 1997 Government sitting, Government sitting Protocol No. 12, Item 26). The content of the resolution in question is as follows: “In attempt to render support for the Vakarø Bankas and the “Aurabankas” in solving temporary liquidity problems, the Government of the Republic of Lithuania shall resolve:

  1. On 1 September 1995, to organise a close auction of short-term loan bonds under the following parameters of the issue: 1.
  2. the number if the issue shall be 50062; 1.
  3. the maximum amount of the issue shall be 50 million litas; 1.
  4. the term of the bonds shall be 63 days; 1.
  5. the nominal value of one bond shall be 100 litas; 1.
  6. the payment day for the purchased bonds shall be 1 September 1995; 1.
  7. the day of the repurchase of the bonds shall be 3 November 1996; 1.
  8. the uppermost margin of annual interest under which claims must be satisfied shall be 26 per cent.
  9. The Ministry of Finance must deposit up to 30 million litas received for the sold Government bonds into the Vakarø Bankas on condition that the latter shall guarantee the returning of the deposit with its building which is at the address: Gynëjø St 14, Vilnius, while the remaining portion of the means received for the sold Government bonds must be deposited into the “Aurabankas”. The means shall be deposited in the said banks for the term not exceeding 4 months, receiving no less than 27 per cent of annual interest.” The petitioner requests to investigate whether this resolution of the Government is in compliance with Parts 1 and 2 of Article 128 of the Constitution,

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of the Republic of Lithuania Law on State Treasury, Item 5 of Article 21 of the Law on the Government of the Republic of Lithuania, as well as Article 4 of the Law “On Approving the 1995 State Budget of the Republic of Lithuania and the Specifications of Deductions into Budgets of Self-Governments and Their Subsidies”. II The petitioner grounds his request on the following motives. According to Part 1 of Article 128 of the Constitution, decisions concerning state loans and other basic property liabilities of the state shall be adopted by the Seimas on the recommendation of the Government.

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of the Constitution provides that procedures concerning the management, utilisation, and disposal of state property shall be established by law. Item 5 of Article 25 of the Law on the Government consolidates the provision that the Government shall hold, use and dispose of the state property according to the procedures and situations established by law.

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of the Law on State Treasury provides that the money resources which are disposed of by the Government may only be used for financing the needs established by the law. Article 4 of the Law “On Approving the 1995 State Budget of the Republic of Lithuania and the Specifications of Deductions into Budgets of Self-Governments and Their Subsidies” granted the right to the Government to take loans only for financing the 1995 state budget deficit. The petitioner alleges that at the time when the Government adopted the aforesaid resolution, the Constitution and aforementioned laws had not granted the right to the Government to adopt the decisions set forth in the resolution, therefore, in the opinion of the petitioner, there exist grounds to maintain that the Government exceeded its competence and that its 31 August 1995 Resolution No. 1169-22 “On the Special Auction of Government Securities” contradicts the Constitutions and the laws. In the course of the preparation of the case for the court hearing, the representative of the petitioner J. Razma noted in writing that on 31 August 1995 the Government adopted the resolution on a state loan regardless of the proposals of the Budget and Finance Committee of the Seimas set forth in Paper No. 109-14-201 of 19 June 1995 for the Government to prepare and submit draft legal acts to the Seimas for deliberation wherein the establishment of the amount of state internal and foreign debts, as well as their legalisation, coping with and other questions linked with basic property liabilities of the state were regulated. The Government neither took account of these recommendations, nor did it move that the Seimas adopt a decision concerning the 50 million litas state loan. III In the course of the preparation of the case for the court hearing, R. Martinkus and V. Gudelis, the representatives of party concerned - the Government - noted in their explanations that, in their opinion, the most important fact is that the Government of 1995, under the cover of the laws then in force, as well as ostensible necessity to strengthen commercial banks, in fact covered embezzlements of certain private persons which had been made in the commercials banks “Aurabankas” and Vakarø Bankas which were indicated in the disputed resolution of the Government. This was confirmed by subsequent events: the means allotted for the said banks by the Government and officially registered as deposits were dispensed, while the deposits themselves were not returned. They are of the opinion that, in adopting the disputed resolution and assessing the actual condition of the said banks, it was practically impossible for the Government not to foresee such a destiny of the deposits. Another aspect of this problem is the fact that state means were embezzled in attempt to make use of then valid laws and other legal acts as a cover. The representatives of the Government called one’s attention to the fact that on the day of the adoption of the disputed resolution the state held shares for only 39, 000 Lt in the Vakarø Bankas and not a single share in the “Aurabankas”. The deposit put with the “Aurabankas” was capitalized - converted into shares of the stock company Turto Bankas which was undergoing the procedure of being established. During the process of judicial investigation the representatives of the party concerned explained that the Law on Approving the State Budget of 1995 permitted the Government to take a loan for financing the state budget deficit. The wording of the disputed resolution of the Government to organise a purposive issue of Government loan bonds in attempt to render support to commercial banks is not a correct one. One might say, that it is for this that the said Government resolution contradicts the aforesaid law. The representatives of the party concerned noted that the money received during the auction, after they had been in the deposits of the commercial banks, were allowed to be used for financing the state budget deficit, therefore, in their opinion, the Government resolution must have consisted of 2 parts: the first - on the issue of Government loan bonds for the purpose of financing the budget deficit, the second - on the right to deposit the received money in the banks providing the shortage of the budget does not arise. The representatives of the party concerned also noted that the deposit of state means in a bank is in itself not its financing. By placing the deposits, the Government was formally not financing the Vakarø Bankas and “Aurabankas”, however, in reality the matters happened to be otherwise. Both aforesaid banks had negative capital, as well as big debts, therefore, when the disputed Government resolution was being adopted, it was evident that the deposits would not return. The Government is entitled to and must strengthen banks, however, it must do so only in pursuance of laws. In the case at issue the state means had been used not rationally. There were a number of violations in implementing the said Government resolution. The state has incurred losses due to the disputed Government resolution. In the opinion of the party concerned, the Government adopted a classified resolution on support for commercial banks as it did not want to publicize the problems of banks to which the public was very sensitive. The Constitutional Court holds that: 1.

  1. The fundamentals of legal regulation of state revenues and state expenditure are consolidated in the chapter of the Constitution entitled “Finances, the State Budget”. Part 1 of Article 128 of this chapter stipulates: “Decisions concerning State loans and other basic property liabilities of the State shall be adopted by the Seimas on the recommendation of the Government.” According to this norm of the Constitution, the Seimas establishes the amount of the sum which is to be lent for state investments or to finance certain needs by entitling the Government to adopt respective decisions; the Seimas, on recommendation of the Government, has also the right to adopt a decision regarding extraordinary state loans or other basic property liabilities of the State. Thus the norm of Part 1 of Article 128 of the Constitution presupposes that the question of state loans or other basic property liabilities of the State must always be considered and decided on in the Seimas. State loan is financial means (it may also be material values, services) which are received under the name of the state under loan agreements or other loan liabilities and which are returned in respective (internal or foreign) currency. One of the ways of reception of a state loan is sale of Government bonds with the obligation of their subsequent repurchase. The provision of the 31 August 1995 Government Resolution “On the Special Auction of Government Securities” to organise on 1 September 1995 an auction of short-term loan bonds is a decision on a state loan of 50 million litas. The means of a state loan are state revenue, while covering of loans is expenditure of the state budget. Part 1 of Article 131 of the Constitution consolidates an exclusive right of the Seimas in the sphere of the state budget: the Seimas shall approve by law the state budget, i.e., the amount of state revenue and that of state expenditure. Regulation of the state budget is based on the principles of rational financial planning, those of balancing the entirety of public revenue and expenditure, and their qualitative and quantitative equalizing. The financial control accomplished by the Seimas helps to implement the aforesaid principles. Therefore, as a rule, decisions concerning state loans are adopted by law when the state budget is being approved. For instance, the Government was given the right by Article 4 of the Law “On Approving the 1995 State Budget of the Republic of Lithuania and the Specifications of Deductions into Budgets of Self-Governments and Their Subsidies” to take loans for financing the deficit of the state budget of 1995 providing it did not exceed 419,359 thousand litas (when the budget was being implemented, this sum was increased). 1.
  2. The Government accomplishes executive power, its powers are defined by the Constitution and laws. In its activity the Government must proceed from the principles of democracy, lawfulness and openness (Article 4 of the Law on the Government). The lawfulness principle of the executive power requires that its activity should be based on law. It means that the Government must accomplish respective actions under the competence granted to it and to restrain from actions which are not allowed by legal norms. Items 2 and 4 of Article 94 of the Constitution prescribe: the Government shall implement laws and execute the state budget. When the Government was implementing the Law “On Approving the 1995 State Budget of the Republic of Lithuania and the Specifications of Deductions into Budgets of Self-Governments and Their Subsidies”, it was permitted to take a state loan only for the purpose provided for in the law - financing the deficit of the state budget. According to Article 13 of the Law on Budgeting, appropriations from the state budget shall be made for the following national needs: education, culture, health care and sport; social welfare and social relief; science and technological progress; regulation of environmental protection and economic development; national defence; maintenance of state power, state government and law enforcement institutions; subsidies to self-government budgets; public order and protection of society; development of the Republic’s foreign relations; the expenses of coping with the state debt; increase of the working cash balance of the state budget; compensation of expenses for application of fare advantages for using public transport; implementation of other measures pursuant to the laws of the Republic of Lithuania. Thus it was possible to take a state loan in 1995 to finance either the state needs enumerated in the Law on Budgeting or other measures provided for in the laws in case there existed insufficiency of means in the state budget. 1.
  3. The preamble of the disputed Government resolution indicates that “in attempt to render support for the Vakarø Bankas and the “Aurabankas” in solving temporary liquidity problems”, the Government shall resolve to organise a 50 million value close auction of Government loan bonds. As it was mentioned, the Law “On Approving the 1995 State Budget of the Republic of Lithuania and the Specifications of Deductions into Budgets of Self-Governments and Their Subsidies” entitled the Government to take a state loan for financing the state budget deficit only. Thus it is only for this purpose that auctions of Government securities were permitted to be organised. Meanwhile, taking account of the purpose of the auction of the issue of Government loan bonds formulated in the preamble of the disputed Government resolution, a conclusion should be drawn that this purposive state loan was not designated for execution of the state budget. There did not exist at that time any other decision of the Seimas concerning a possibility to take a purposive state loan to support commercial banks. The Constitutional Court notes that a 50 million litas issue of Government loan bonds is a basic property liability of the state to repurchase the bonds by paying interest. When this question was being decided, Part 1 of Article 128 of the Constitution must have been followed. It means that the Government was permitted to adopt a decision concerning such an issue of securities provided there existed a respective decision of the Seimas. The argument that the right of the Government to adopt independent decisions concerning state loan was proceeding from the 6 October 1992 Resolution of the Supreme Council of the Republic of Lithuania “On Commissioning the Government of the Republic of Lithuania with Decision of Certain Questions” is not grounded. The said resolution commissioned the Government with “regulation by its decision the questions of [...] issue and turnover of securities”. This is a commissioning with an establishment of corresponding legal rules of issue of securities and their turnover. At the time of adoption of the disputed Government resolution, the norm of the Constitution concerning the competence of the Government as regards the question of taking of state loan was already in force, therefore its disregard or a too wide interpretation of the competence of the Government on the basis of a substatutory act would mean that the principle of the supremacy of the Constitution in the system of legal acts - a fundamental requirement for a democratic state - is disregarded. In assessing the compliance of the disputed Government resolution with Part 1 of Article 128, one must also take into consideration the fact that there exist two important aspects of legal regulation in the content of the said constitutional norm. First of all, as it was already mentioned in the present ruling of the Constitutional Court, an imperative requirement is consolidated in the constitutional norm that only the Seimas may adopt decisions concerning state loans and other basic property liabilities of the state. The Government has the right to initiate discussions on such issues at the Seimas. The second aspect which is of importance in the present case is the fact that deliberations upon state loans and other basic property liabilities of the state presuppose an open discussion. Meanwhile the Government did not appeal to the Seimas with a motion to decide the question of a purposive state loan designated to support commercial banks and, therefore, the Seimas did not consider this question. Such a decision of the Government was not in line with the principle of openness. Thus the investigation of the legal regulation which existed at the time of adoption of the disputed Government resolution indicates that the Government had no right to organise an auction of securities for any purpose but financing of the state budget. The Government, by adopting a classified resolution to organise a close auction of Government loan bonds designated to support commercial banks, overstepped the powers granted to it by the Constitution in the sphere of state loan taking and disregarded the purpose of taking of a state loan which had been established in the Law “On Approving the 1995 State Budget of the Republic of Lithuania and the Specifications of Deductions into Budgets of Self-Governments and Their Subsidies”. Therefore one should conclude that the disputed Government resolution contradicts Part 1 of Article 128 of the Constitution and Article 4 of the Law “On Approving the 1995 State Budget of the Republic of Lithuania and the Specifications of Deductions into Budgets of Self-Governments and Their Subsidies”. 2.1.

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of the Constitution stipulates: “Procedures concerning the management, utilisation, and disposal of State property shall be established by law.” The entirety of the rights of management, utilisation and disposal of property constitutes the content of the right to property. The said norm of the Constitution commissions the legislator to regulate state property relations by law. The state property right is a type of public property right. The chapter “The Public Property” of the Civil Code consolidates that the subject of the right to state property shall be the state (Article 97 of the Civil code), while the institutions of supreme state power and governance shall manage, utilise and dispose of state property (Article 99 of the Civil Code). The nature of state property as public property determines respective restriction of powers of subjects who implement property rights of the state. Bearing in mind the fact that the state is a legal subject of the right to property of the state, while the economic owner of state property is society, in that case the right to property of the state must be accomplished in the general (public) interest. Here an exclusive role falls upon the representative body of state power - the Seimas - which establishes procedures concerning the management, utilisation, and disposal of state property by passing laws. The competence of the Government in this sphere is circumscribed by laws. 2.2. Item 5 of Article 21 of the Law on Government prescribes: the Government shall hold, use and dispose of the state property according to the procedures and situations established by law. This norm of blanket character directs to the laws regulating corresponding relations of state property. The petitioner points out that the disputed Government resolution should be assessed bearing in mind the Law on State Treasury, too. In his opinion, the decision of the Government consolidated in the said resolution as regards the use of the borrowed means which became state property contradicts the stipulation of

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of the Law on State Treasury which provides that the money resources which are disposed of by the Government may only be used for financing the needs established by the law. In assessing the disputed Government resolution from this standpoint, the Constitutional Court notes that, as a rule, financing is understood as appropriation of finances gratis. Meanwhile the Government resolution ordered the Ministry of Finance which accomplishes the functions of state treasury to deposit in the Vakarø Bankas up to 30 million litas received for selling of Government bonds on condition that the latter shall guarantee the returning of the deposit with its building, while the remaining portion of the means it was ordered to deposit into the “Aurabankas”. The said Government resolution establishes that the means shall be deposited in the said banks for the term not exceeding 4 months, receiving no less than 27 per cent of annual interest. According to the said Government resolution, the uppermost margin of annual interest under which claims had to be satisfied constituted 26 per cent. Depositing of state means in a commercial bank is not financing of the bank, i.e. appropriation of finances gratis. Therefore the disputed government resolution is not to be assessed on such grounds. There also exist no legal grounds to decide the question of the compliance of the said Government resolution with Part 2 which is of blanket character of Article 128 of the Constitution. Taking account of these arguments one should conclude that the disputed Government resolution is in compliance with

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of the Law on State Treasury, and Item 5 of Article 21 of the Law on the Government. Conforming to Article 102 of the Constitution of the Republic of Lithuania and Articles 53, 54, 55 and 56 of the Law of the Republic of Lithuania on the Constitutional Court, the Constitutional Court has passed the following ruling:

  1. To recognise that the 31 August 1995 Government of the Republic of Lithuania Resolution No. 1169-22 “On the Special Auction of Government Securities” contradicts Part 1 of Article 128 of the Constitution and Article 4 of the Law “On Approving the 1995 State Budget of the Republic of Lithuania and the Specifications of Deductions into Budgets of Self-Governments and Their Subsidies”.
  2. To recognise that the 31 August 1995 Government of the Republic of Lithuania Resolution No. 1169-22 “On the Special Auction of Government Securities” is in compliance with

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of the Republic of Lithuania Law on State Treasury, and Item 5 of Article 21 of the Law on the Government of the Republic of Lithuania. This Constitutional Court ruling is final and not subject to appeal. The ruling is promulgated on behalf of the Republic of Lithuania. Justices of the Constitutional Court: Egidijus Jaraðiûnas Kæstutis Lapinskas Zigmas Levickis Augustinas Normantas Vladas Pavilonis Jonas Prapiestis Pranas Vytautas Rasimavièius Teodora Staugaitienë Juozas Þilys

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