Published online by Cambridge University Press: 23 November 2018
Conceptualising the European rule of law-value – A critique of the concept of European legal community – A conceptualisation of trust for a fresh understanding of the rule of law-value – Trust research in the social sciences – The trustworthiness of the European rule of law in light of calls for breaking up the current order
Director at the Max Planck Institute for Comparative Public Law and International Law in Heidelberg and Professor of Public Law at the University in Frankfurt/Main. Many thanks to the editors of EuConst for inspiring critique as well as to the Dienstagsrunde, in particular Kanad Bagchi, Laura Hering, Giacomo Rugge and Dimitri Spieker. Translated by Sandra H. Lustig and edited by Matthew G. Harris. An earlier German version has been published as ‘Jenseits der Rechtsgemeinschaft – Begriffsarbeit in der europäischen Sinn- und Rechtsstaatlichkeitskrise’, 52 Europarecht (2017) p. 487.
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17 References in Bundesverfassungsgericht 9 November 1999, Case 2 BvL 5/95, ECLI:DE:BVerfG:1999:ls19991109.2bvl000595, margin number 38; Bundesverfassungsgericht 16 January 2008, Case 2 BvR 2391/07, ECLI:DE:BVerfG:2008:rk20080116.2bvr239107, margin number 6.
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21 Cf, for example, Vauchez, supra n. 4, p. 198 ff.
22 Editorial Comments, ‘The Rule of Law in the Union, the Rule of Union Law and the Rule of Law by the Union: Three interrelated problems’, 53 CMLRev (2016) p. 597 ff, 604Google Scholar; setting the discourse today, see Brunnermeier, M.K., James, H. and Landau, J.-P., The Euro and the Battle of Ideas (Princeton University Press 2016)Google Scholar.
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31 Cf, for example, references in supra n. 10.
32 On Hungary, European Commission for Democracy through Law, Opinion on the New Constitution of Hungary, Opinion No. 618/2011 of 20 June 2011, CDL-AD (2011) 016; on Poland, European Commission for Democracy through Law, Opinion on amendments to the Act of 25 June 2015 on the Constitutional Tribunal of Poland of 11-12 March 2016, CDL-AD(2016)001-e (2016); on Greece, J.Μ.D. Barroso, State of the Union Address, 11 September 2013, <www.europa.eu/rapid/press-release_SPEECH-13-684_en.htm>, visited 23 October 2018.
33 See the focus of the ground-breaking essay by Snyder, F., ‘The Effectiveness of European Community Law: Institutions, Processes, Tools and Techniques’, 56 Modern Law Review (1993) p. 19CrossRefGoogle Scholar.
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37 Extensively, Ioannidis, M., ‘Europe’s new transformations: How the EU economic constitution changed during the Eurozone crisis’, 53 CMLRev (2016) p. 1237Google Scholar at p. 1264 ff. The fact that this does not always result in the desired obedience to the law is another matter.
38 Mayer, supra n. 10, p. 432. It seems that the term ‘Community’ (Gemeinschaft) is due to Carl Friedrich Ophüls. See Ophüls, C.F., ‘Zwischen Völkerrecht und staatlichem Recht. Grundfragen des europäischen Rechts’, 4 Juristen-Jahrbuch (1963/64) p. 137 at p. 154Google Scholar; Hallstein, W., ‘Zu den Grundlagen und Verfassungsprinzipien der Europäischen Gemeinschaft’, in W. Hallstein/ H.-J. Schlochauer (eds.), Zur Integration Europas. Festschrift für Carl Friedrich Ophüls (Karlsruhe 1965) p. 1Google Scholar.
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43 van Middelaar, supra n. 20, p. 16, 18, 22 ff (preface to the German edition).
44 Early writing on this problem, Dehousse, R., ‘Constitutional Reform in the European Community. Are there Alternatives to the Majority Avenue?’, in J. Hayward (ed.), The Crisis of Representation in Europe (Taylor & Francis 1995) p. 118Google Scholar at p. 124; Haltern, U., Europa und das Politische (Mohr Siebeck 2005) p. 44Google Scholar at p. 104 ff.
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47 Setting the discourse today, Brunnermeier, James and Landau, supra n. 22.
48 Hallstein, supra n. 12, p. 33.
49 Cf ECJ 23 April 1986, Case C-294/83, Les Verts v Parliament, margin number 23; ECJ (Grand Chamber) 3 September 2008, Cases C-402/15 and C-415/05 P, Kadi and Al Barakaat International Foundation v Council and Commission, margin number 281; most recently, for example, ECJ (Grand Chamber) 6 October 2015, Case C-362/14, Schrems v Data Protection Commissioner, margin number 60: ‘according to which the European Union is a union based on the rule of law in which all acts of its institutions are subject to review of their compatibility with, in particular, the Treaties, general principles of law and fundamental rights’.
50 This is not disputed even by ECJ-sceptical voices, cf especially Rasmussen, H., On Law and Policy in the European Court of Justice (Springer 1986)Google Scholar, as well as the Festschrift dedicated to him, Koch et al., supra n. 30.
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52 Cf, for example, The Guardian, ‘Crisis for Europe as trust hits record low’, 24 April 2013, as well as the president of the Federal Republic of Germany, J. Gauck, Speech on the occasion of the conferral of an honorary doctorate of Maastricht University on 7 February 2017. See also J. Peet, ‘Creaking at 60: The Future of the European Union’, The Economist, 25 March 2017, p. 3 ff; G. Nonnenmacher, ‘Europas letzte Chance?’, Frankfurter Allgemeine Woche, 24 March 2017, p. 17.
53 Canor, I., ‘My brother’s keeper? Horizontal Solange: “An ever closer distrust among the peoples of Europe”’, 50 CMLRev (2013) p. 383Google Scholar. On the issue, see also Kohler, C., ‘Vertrauen und Kontrolle im europäischen Justizraum für Zivilsachen’, 19 Zeitschrift für europarechtliche Studien (2016) p. 135CrossRefGoogle Scholar; Schwarz, M., Grundlinien der Anerkennung im Raum der Freiheit, der Sicherheit und des Rechts (Mohr Siebeck 2016)CrossRefGoogle Scholar.
54 ECJ (Full Court) 18 December 2014, Opinion 2/13, margin number 191; the Court emphasised the importance of that principle already in ECJ (Grand Chamber) 21 December 2011, Cases C-411/10 and C-493/10, N.S., margin number 83: ‘At issue here is the raison d’être of the European Union and the creation of an area of freedom, security and justice and, in particular, the Common European Asylum System, based on mutual confidence and a presumption of compliance, by other Member States, with European Union law and, in particular, fundamental rights’; see further earlier judgments relying on a practically unrestricted principle of mutual trust, ECJ 26 June 2007, Case C-305/05, Advocaten vor de Wereld; ECJ 29 January 2013, Case C-396/11, Radu; ECJ 26 February 2013, Case C-399/11, Melloni.
55 ECJ (Grand Chamber) 5 April 2016, Cases C-404/15 and C-659/15 PPU, Aranyosi and Căldăraru, margin number 78; ECJ (Grand Chamber) 6 September 2016, Case C-182/15, Petruhhin; ECJ 1 June 2016, Case C-241/15, Bob-Dogi; ECJ 24 May 2016, Case C-108/16 PPU, Dworzecki. Cf also Lenaerts, K., ‘La vie après l´avis: Exploring the principle of mutual (yet not blind) trust’, 54 CMLRev (2017) p. 805 at p. 811Google Scholar; Lenaerts, K., ‘Keynote Speech – The Court of Justice in an Uncertain World’, in G. Bándi, P. Darák and K. Debisso (eds.), Speeches and Presentations from XXVII FIDE Congress (Wolters Kluwer 2016) p. 58 ffGoogle Scholar; for a critique see Nettesheim, M., ‘Überdehnt der EuGH den Grundsatz des gegenseitigen Vertrauens?’, 20 EUZ (2018) p. 4Google Scholar.
56 European Central Bank, Technical Features of Outright Monetary Transactions, 6 September 2012, <www.ecb.europa.eu/press/pr/date/2012/html/pr120906_1.en.html>, visited 23 October 2018,+visited+23+October+2018>Google Scholar; Decision (EU) 2015/774 of the ECB of 4 March 2015 on a secondary markets public sector asset purchase programme (ECB/2015/10).
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61 See ECJ (Grand Chamber) 17 April 2017, Case C-441/17, Commission v Poland (Białowieża Forest).
62 Editorial Comments, supra n. 22, p. 598, p. 604.
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73 European Commission, ‘A new EU Framework to strengthen the Rule of Law’ (Communication from the Commission to the European Parliament and the Council) COM (2014) 158 final, 11 March 2014. Cf, for example, H. Hofmeister, ‘Polen als erster Anwendungsfall des neuen “EU Rahmens zur Stärkung des Rechtsstaatsprinzipis”, Deutsches Verwaltungsblatt (2016) p. 869 ff.
74 Cf Frevert, supra n. 69, p. 30.
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83 This does not rule out working on less critical policy fields from the perspective of trust as well, cf, for example Hartmann, M., Europäisierung und Verbundvertrauen. Die Verwaltungspraxis des Emissionshandelssystems der Europäischen Union (Mohr Siebeck 2015) p. 14 ffGoogle Scholar.
84 Cf, for example, Snyder, supra n. 33.
85 On this point Baier, A., ‘Trust and Antitrust’, 96 Ethics (1986) p. 231CrossRefGoogle Scholar at p. 234; taken from Schwarz, M., ‘Let’s talk about trust, baby! Theorizing trust and mutual recognition in the EU’s area of freedom, security and justice’, 24 European Law Journal (2018) p. 124 at p. 133CrossRefGoogle Scholar.
86 Cf, for example, Bundesverfassungsgericht 15 December 2015, Case 2 BvR 2735/14, ECLI:DE:BVerfG:2015:rs20151215.2bvr273514. Tellingly, its test is called identity control (Identitätskontrolle), which conveys an idea of how essential the interests that this test is meant to protect are.
87 This section is based on von Bogdandy and Ioannidis, supra n. 59.
88 Romano, Seminal S., ‘Diritto (funzione del)’ Law (fragments of), in S. Romano (ed.), Frammenti di un dizionario giuridico Fragments of a Legal Dictionary (Giuffré 1953) p. 76 at p. 81Google Scholar; Luhmann, N., Das Recht der Gesellschaft (Suhrkamp 1993) p. 150–153Google Scholar.
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93 Making this point against the trust approach, see Schorkopf, supra n. 82, p. 162.
94 In Latin: Fiat iustitia et pereat mundus; on this see Liebs, D., ‘Das Rechtssprichwort Fiat iustitia et pereat mundus’, 70 Juristenzeitung (2015) p. 138CrossRefGoogle Scholar.
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96 Cf, for example, Grewe, C. and Ruiz Fabri, H., Droits constitutionnels européens (Presses Univ. de France 1995) p. 22 ffGoogle Scholar; Heuschling, L., Etat de droit – Rechtsstaat – Rule of Law (Dalloz 2002)Google Scholar; Díaz García, E., Estado de derecho y sociedad democrática (Editorial Cuadernos para el Diálogo 1966)Google Scholar; Bingham, T., The Rule of Law (Allen Lane 2010) p. 8Google Scholar.
97 For a more detailed discussion, see A. von Bogdandy, C. Grabenwarter and P.M. Huber, ‘Verfassungsgerichtsbarkeit im europäischen Rechtsraum’, in von Bogdandy, Grabenwarter and Huber, supra n. 23, margin number 30 ff.
98 This will be identified as a narrow or thin concept of the rule of law. Many European institutions are pushing for a more substantive or thicker one, the value of which is not to be discussed here. For an example, see the Commission’s EU framework to strengthen the rule of law (supra n. 73) p. 4, and Annex I.
99 For an extensive discussion, see A.M. Russo, ‘La cittadinanza “sostanziale” dell’UE alla luce della proposta del gruppo di Heidelberg: verso una “reverse Solange”?’, Federalismi, 8 January 2014, p. 7 ff, <www.federalismi.it/ApplOpenFilePDF.cfm?artid=23938&dpath=document&dfile=07012014133121.pdf>, visited 23 October 2018.
100 See, further, von Bogdandy and Ioannidis, supra n. 59.
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102 Frevert, supra n. 69, p. 24 at p. 44; see also Lenaerts, supra n. 55.
103 For five alternatives along and within this path see the relevant European Commission white paper: COM(2017) 2025 final, White paper on the future of Europe. Reflections and scenarios for the EU27 by 2025 (2017).
104 A succinct compilation of relevant reasons in D. Chalmers, M. Jachtenfuchs and C. Joerges, ‘The retransformation of Europe’, in Chalmers, Jachtenfuchs and Joerges, supra n. 26, p. 1 ff.
105 On this debate S. Kadelbach, ‘Krise, Umbruch und neue Ordnung’, in Kadelbach and Günther, supra n. 36, p. 9 ff.
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108 Hegemony is making a surprising comeback, even beyond nationalist positions; see the seminal piece by Schönberger, C., ‘Hegemon wider Willen: Zur Stellung Deutschlands in der Europäischen Union’, 66 Merkur (2012) p. 1Google Scholar; Bolaffi, A., Cuore tedesco. Il modello Germania, l’Italia e la crisi europea The German Heart. Germany as a Model, Italy and the European Crisis (Donzelli 2013)Google Scholar.
109 Influential Streeck, W., Gekaufte Zeit. Die vertagte Krise des demokratischen Kapitalismus (Suhrkamp 2015) p. 292 ffGoogle Scholar.
110 Palombella, G., ‘The rule of law beyond the state: failures, promises, and theory’, 7 International Journal of Constitutional Law (2009) p. 442CrossRefGoogle Scholar. For a comparison, see von Bogdandy, A., ‘Common principles for a plurality of orders: a study on public authority in the European legal area’, 12 International Journal of Constitutional Law (2014) p. 980 at p. 999CrossRefGoogle Scholar.
111 Schmalenbach, K., ‘International Organizations or Institutions, Legal Remedies against Acts of Organs’, in R. Wolfrum (ed.), The Max Planck Encyclopedia of Public International Law (Oxford University Press 2012)Google Scholar margin number 25; Ruffert, M. and Walter, C., Institutionalisiertes Völkerrecht (C.H. Beck 2009) p. 75Google Scholar.
112 Cf especially Guérot, U., Warum Europa eine Republik werden muss! Eine politische Utopie (Piper 2016) p. 81 ffGoogle Scholar; Verhofstadt, G., Europe’s Last Chance (Basic Books 2017) p. 229 ffGoogle Scholar; in the same vein, now the president of the German Social Democrats Martin Schulz, cf ‘Schulz will Vereinigte Staaten von Europa bis 2025’, Welt, 7 December 2017, <www.welt.de/politik/deutschland/article171358179/Schulz-will-Vereinigte-Staaten-von-Europa-bis-2025.html>, visited 23 October 2018.
113 On this risk in detail, see Goulard, S. and Monti, M., La democrazia in Europa: guardare lontano Democracy in Europe: To See Further (Rizzoli 2012) p. 189 ffGoogle Scholar.
114 Cf, for example, World Bank data, <info.worldbank.org/governance/wgi/pdf/rl.pdf>, visited 23 October 2018, and the data compiled and presented by the World Justice Programme, <data.worldjusticeproject.org>, visited 23 October 2018.
115 In the seminal words of Robert Schuman, where war is ‘not merely unthinkable, but materially impossible’, Schuman Declaration, 9 May 1950; the original text is Kant, Immanuel, Zum ewigen Frieden (Königsberg, 1796)Google Scholar; on this text, see Vischer, B., ‘Systematicity to excess. Kant’s Conception of the International Legal Order’, in S. Kadelbach, T. Kleinlein and D. Roth-Isigkeit (eds.), System, Order, and International Law (Oxford University Press 2017) p. 303 ffGoogle Scholar.
116 Cf Eurobarometer, Public Opinion in the European Union, Standard Eurobarometer 84, Autumn 2015, <ec.europa.eu/COMMFrontOffice/publicopinion/index.cfm/ResultDoc/download/DocumentKy/70150>, visited 23 October 2018; Bertelsmann Stiftung, Mehrheit der jungen Mittel- und Osteuropäer steht fest hinter der EU, 21 March 2017, <www.bertelsmann-stiftung.de/en/topics/aktuelle-meldungen/2017/maerz/majority-of-young-people-in-central-and-eastern-europe-strongly-backs-the-eu/>, visited 23 October 2018.
117 Weber, Max, Parlament und Regierung im neugeordneten Deutschland: Zur politischen Kritik des Beamtentums und Parteiwesens (Duncker & Humblot 1918) p. 99 ffGoogle Scholar.
118 Heller, H., ‘Politische Demokratie und soziale Homogenität’, in F. Borinski et al. (eds.), Hermann Heller: Gesammelte Schriften, Band 2 (Mohr Siebeck 1971) p. 421 ffGoogle Scholar.
119 van Middelaar, supra n. 20, p. 26.
120 Sonnevend, P., ‘Preserving the Acquis of Transformative Constitutionalism in Times of Constitutional Crisis: Lessons from the Hungarian Case’, in A. von Bogdandy et al. (eds.), Transformative Constitutionalism in Latin America (Oxford University Press 2017) p. 123 at p. 144 ffGoogle Scholar: ‘The example of Hungary shows that outsourcing parts of the constitutional functions to international or supranational organizations in peaceful years may help survive the years of crisis. (…) European institutions contributed to creating a situation where self-healing through domestic processes is still possible’.
121 See, recently, ECJ (Grand Chamber) 27 February 2018, Case C-64/16, Associação Sindical dos Juízes Portugueses; ECJ (Grand Chamber) 25 July 2018, Case C-216/18 PPU, Minister for Justice and Equality; Commission v Poland (Białowieża Forest), supra n. 61; see further, von Bogdandy, A. et al., ‘A potential constitutional moment for the European rule of law. The importance of red lines’, 55 CMLR (2018) p. 963Google Scholar.
122 M. Ivaškevičius, ‘Europa mit den Augen eines Verliebten’, Frankfurter Allgemeine Zeitung, 6 February 2017, p. 6.