Hostname: page-component-586b7cd67f-dlnhk Total loading time: 0 Render date: 2024-11-22T04:14:28.344Z Has data issue: false hasContentIssue false

Of General Principles and Trojan Horses — Procedural Due Process in Immigration Proceedings under EU Law

Published online by Cambridge University Press:  06 March 2019

Abstract

Core share and HTML view are not available for this content. However, as you have access to this content, a full PDF is available via the ‘Save PDF’ action button.

The present paper concerns procedural guarantees in immigration proceedings, thus addressing the broader question of the role of the general principles of EU law in respect of administrative decision-making. The main assertion is that certain requirements of procedural due process are recognized in EU law as fundamental rights. They must therefore be observed by Member State authorities when decisions significantly affecting the legal position of a person are taken, provided that the decision is at least partly determined by EU law. The relevant immigration proceedings involve measures related to the termination of residence as well as decisions related to denial or loss of a particular legal status. In effect, the actual scope of application of the EU's administrative fundamental rights is determined by the actual scope of activity of the European legislator. The author concludes that even a relatively ‘shallow’ harmonization of laws can lead to a ‘deep’ reshaping of the domestic legal order, by becoming a Trojan Horse for fundamental rights heretofore alien to some national immigration regimes.

Type
Articles
Copyright
Copyright © 2010 by German Law Journal GbR 

References

1 On the various sources of this multi-level body of law, see European Migration Law 35 (P. Boeles et al, eds., 2009).Google Scholar

2 Regarding the various functions of administrative procedures, see E. Schmidt-Aßmann, Europäisches Verwaltungsverfahrensrecht, in Perspektiven der Rechts in der Europäischen Union, 131, 132–134 (P.C. Müller-Graff, ed., 1998).Google Scholar

3 See A. von Bogdandy, Founding Principles, in Principles of European Constitutional Law, 11, 26–28 (A. von Bogdandy & J. Bast, eds., 2nd ed., 2010).Google Scholar

4 See, inter alia, T. A. Aleinikoff, Federal Regulation of Aliens and the Constitution, 83 American Journal of International Law (AJIL) 862–871 (1989); G. Renner, Ausländerrecht in Deutschland 1–46 (1998). For a pleading in favour of ‘equal treatment’ of immigration proceedings, See Boeles, P., Fair Immigration Proceedings in Europe 455–463 (1997).Google Scholar

5 After the Pupino judgment of the ECJ (Case C-105/03, Pupino, 2005 E.C.R. I-5285) one could speak of ‘general principles of Union law’ in its entirety, given the Court's straightforward extension of its jurisprudence on the general principles of Community law into the realm of the EU Treaty's third pillar. In view of the merger of the pillars under the Lisbon Treaty, I will henceforth use the new terminology (‘EU law', ‘Union institutions', etc.) even where the historical context would actually demand the term ‘Community'.Google Scholar

6 Regarding their “constitutional status”, see Case C-101/08, Audiolux, 2009 E.C.R. I-0000, para. 63. For comprehensive accounts, see e.g. General Principles of European Community Law (U. Bernitz & J. Nergelius, eds., 2000); X. Groussot, General Principles of Community Law (2006); T. Tridimas, The General Principles of EU Law (2006); for a recent study, See Prechal, S., Competence Creep and General Principles of Law 3 Review of European Administrative Law 5 (2010).Google Scholar

7 Cases 7/56 and 3–7/57, Algera et al. v. Common Assembly, 1957 E.C.R. (English special edn.) 39, 54 et seq‥ Google Scholar

8 Cases 205/82 to 215/82, Deutsche Milchkontor, 1983 E.C.R. 2633, para. 17 et seq. Google Scholar

9 Case C-542/08, Barth, 2010 I-0000, para. 17 et seq. Google Scholar

10 Case C-555/07, Kücükdeveci, 2010 E.C.R. I-0000, para. 23. As to the limits, see Case C-299/95, Kremzow, 1997 E.C.R. I-2629, para. 19.Google Scholar

11 See, e.g., S. Kadelbach, European Administrative Law and the Law of a Europeanized Administration, in Good Governance in Europe's Integrated Market, 167, 191 (C. Joerges & R. Dehousse, eds., 2002).Google Scholar

12 On the duty of the Member States to ensure that fundamental rights are observed when transposing directives and applying national law based on them, see Case C-107/97, Rombi and Arkopharma, 2000 E.C.R. I-3367, para. 65; Case C-276/01, Steffensen, 2003 E.C.R. I-3735, para. 69 et seq.; Cases C-20/00 and C-64/00, Booker Aquacultur and Hydro Seafood, 2003 E.C.R. I-7411, para. 88; on the interpretation of the results prescribed by a directive consistently with fundamental rights, see Case C-540/03, Parliament v. Council, 2006 E.C.R. I-5769, paras. 61 and 104–5; Case C-305/05, Ordre des barreaux francophones et germanophones, 2007 E.C.R. I-5305, para. 28.Google Scholar

13 Cf. Cases C-465/00, C-138/01 and C-139/01, Rechnungshof v. Österreichischer Rundfunk, 2003 E.C.R. I-4989, para. 45.Google Scholar

14 Cases 201/85 and 202/85, Klensch, 1986 E.C.R. 3477, para. 8; Case 5/88, Wachauf, 1989 E.C.R. 2609, para. 19; Case C-2/92, Bostock, 1994 E.C.R. I-955, para. 16; Case C-351/92, Graff, 1994 E.C.R. I-3361, para. 17; Case C-292/97, Karlsson, 2000, E.C.R. I-2737, para. 37.Google Scholar

15 Case 44/79, Hauer, 1979 E.C.R. 3727, para. 14.Google Scholar

16 For an overall appraisal, see K. Kańska, Towards Administrative Human Rights in the EU: Impact of the Charter of Fundamental Rights, 19 European Law Journal (ELJ) 296–326 (2004); D.U. Galetta, Inhalt und Bedeutung des europäischen Rechts auf eine gute Verwaltung, Europarecht 57–81 (2007); J. Wakefield, The Right to Good Administration 57–92 (2007).Google Scholar

17 Case C-462/98 P, Mediocurso v. Commission, 2000 E.C.R. I-7183, para. 36 (with omissions).Google Scholar

18 See Case T-228/02, Organisation des Modjahedines du peuple d'Iran v. Council, 2006 E.C.R. II-4665, para. 89.Google Scholar

19 The case-law is summarized by Kariska, supra, note 16, 315–18; J. Schwarze, European Administrative Law CXLVIII–CUV (2006).Google Scholar

20 The applicant does not have to prove that the violation has caused a wrongful decision in terms of substance. However, not every formal defect constitutes a violation of the rights of the defence. The details are subject to a complex jurisprudence, see e.g. Case T-147/97, Champion Stationary et al. v. Council, 1998 E.C.R. II-4137, para. 87. Cf. Schwarze, J., Judicial Review of European Administrative Procedure, 68 Law and Contemporary Problems 85,98 (2004).Google Scholar

21 For a comprehensive study, see Swedish Agency for Public Management (Statskontoret), Principles of Good Administration in the Member States of the European Union (2005), available at: http://www.statskontoret.se/upload/Publikationer/2005/200504.pdf.Google Scholar

22 On the structural conflicts with more lenient approaches to sanction violations of procedural rights, See Kahl, W., Grundrechtsschutz durch Verfahren in Deutschland und in der EU, 95 Verwaltungs-Archiv 1, 19–28 (2004).Google Scholar

23 Case 32/62, Alvin v. Council, 1963 E.C.R. (English special edn.) 49, summary no. 1.Google Scholar

24 Case 17/74, Transocean Marine Paint v. Commission, 1974 E.C.R. 1063, para. 15.Google Scholar

25 See Case 85/76, Hoffmann-La Roche v. Commission, 1979 E.C.R. 461, para. 9.Google Scholar

26 On the ‘first generation’ of procedural rules, See Bignami, F., Three Generations of Participation Rights before the European Commission, 68 Law and Contemporary Problems 61, 63–67 (2004).Google Scholar

27 Case 234/84 and Case 40/85, Belgium v. Commission, 1986 E.C.R. 2263, para. 27, and 2321, para. 28; Case 259/85, France v. Commission, 1987 E.C.R. 4393, para. 12; Case C-301/87, France v. Commission, 1990 E.C.R. I-307, para. 29.Google Scholar

28 Cases C-48/90 and C-66/90, Netherlands et al. v. Commission, 1992 E.C.R. I-565, para. 44.Google Scholar

29 Case C-49/88, Al-Jubail Fertilizer et al. v. Council, 1991 E.C.R. I-3187, para. 15.Google Scholar

30 See G. della Cananea, The European Union's Mixed Administrative Proceedings, 68 Law and Contemporary Problems 197–217 (2004). On the concept of composite administration (Verwaltungsverbund), see E. Schmidt-Aßmann, Das allgemeine Verwaltungsrecht als Ordnungsidee 377 et seq (2006).Google Scholar

31 Case C-269/90, Technische Universität München, 1991 E.C.R. I-5469, paras. 14 and 25.Google Scholar

32 Case C-32/95 P, Commission v. Lisrestal et al., 1996 E.C.R. I-5373, para. 21, confirming Case T-450/93, Lisrestal et al. v. Commission, 1994 E.C.R. II-1177, para. 42 et seq.Google Scholar

33 For details, See Nehl, H.P., Principles of Administrative Procedure in EC Law 41–99 (1999); O. Mader, Verteidigungsrechteim Europäischen Gemeinschaftsverwaltungsverfahren 131–285 (2006).Google Scholar

34 See Case C-48/96 P, Windpark Groothusen v. Commission, 1998 E.C.R. I-2873, para. 48.Google Scholar

35 See e.g. Case C-194/99 P, Thyssen Stahl v. Commisison, 2003 E.C.R. I-10821, para. 30: “In all proceedings in which sanctions, especially fines or penalty payments, may be imposed, observance of the rights of the defence is a fundamental principle of Community law …”.Google Scholar

36 See Bitter, S., Procedural Rights and the Enforcement of EC Law through Sanctions, in The Emerging Constitutional Law of the European Union, 15, 25–27 (A. Bodnar et al., eds., 2003).Google Scholar

37 See Nehl, H.P., Europäisches Verwaltungsverfahren und Gemeinschaftsverfassung 288 (2002). The approach of Article 41 of the Charter is arguably more lenient, see Kańska, supra, note 16, 316–17.Google Scholar

38 See K. Lenaerts and J. Vanhamme, Procedural Rights of Private Parties in the Community Administrative Process, 34 CMLREV 531, 535–537 (1997).Google Scholar

39 Case C-49/88, Al-Jubail Fertilizer et al. v. Council, 1991 E.C.R. I-3187, para. 15.Google Scholar

40 Case C-7/98, Krombach, 2000 E.C.R. I-1935, para. 42.Google Scholar

41 Id., paras. 25–26.Google Scholar

42 For a review of the role of Article 6(1) ECHR in administrative matters, See Grabenwarter, C., Verfahrensgarantien in der Verwaltungsgerichtsbarkeit 35–81, 355–396 (1997). According to the Grand Chamber (GC) of the European Court of Human Rights, decisions regarding the entry, stay and deportation of aliens are not covered by Article 6(1) ECHR, see, Maaouia v. France, Appl. No. 39652/98, Judgment of 5 October 2000, Reports of Judgments and Decisions 2000-X, para. 40.Google Scholar

43 Cases C-204/00 P et al, Aalborg Portland A/S, 2004 E.C.R. I-123, para. 64.Google Scholar

44 Cases C-402/05 P and C-415/05 P, Kadi et al. v. Council and Commission, 2008 E.C.R. I-6351, paras. 290, 336–337, 349.Google Scholar

45 This point is also made by Bitter, supra, note 36, 24–25.Google Scholar

46 Case T-306/01, Yusuf et al. v. Council and Commission, 2005 E.C.R. II-3533, para. 328; Case T-315/01, Kadi v. Council and Commission, 2005 E.C.R. II-3649, para. 258. The Court of Justice later found this premise to be wrong and, consequentially, draw the opposite conclusion, see Cases C-402/05 P et al., supra, note 44, para. 348.Google Scholar

47 Case T-228/02, Organisation des Modjahedines du peuple d'lran v. Council, 2006 E.C.R. II-4665, para. 89.Google Scholar

48 Cf. G. della Cananea, Return to the Due Process of Law: The European Union and the Fight against Terrorism, 32 European Law Review (E.L. Rev.) 896, 900 (2007).Google Scholar

49 Case C-28/05, Dokter, 2006 E.C.R. I-5431, para. 71 et seq. Google Scholar

50 Id., para. 75 et seq. Google Scholar

51 As regards the implementation of the guarantees and, in particular, the periods within which the rights of the defence must be exercised, Member States enjoy a certain degree of autonomy, see Case C-349/07, Sopropé, 2008 E.C.R. I-10369, para. 38.Google Scholar

52 See Eur. Court H.R., Lupsa v. Romania, Appl. No. 10337/04, Judgment of 8 June 2006, Reports of Judgments and Decisions 2006-VII, paras. 51–61.Google Scholar

53 See Eur. Court H.R., Čonka v. Belgium, Appl. No. 51564/99, Judgment of 5 February 2002, Reports of Judgments and Decisions 2002-I, paras. 59–63.Google Scholar

54 Boeles et al., supra, note 1, 377–380.Google Scholar

55 But see J. E Méndez, H. Olea and A. Feldmann, International Standards of Due Process for Migrant Workers, Asylum Seekers, and Refugees, in Human Rights and Refugees, Internally Displaced Persons and Migrant Workers, 459, 465 and 470 (A.F. Bayefsky, ed., 2006), referring to decisions of the Inter-American human rights system.Google Scholar

56 See Articles 28–31 of Directive 2004/38/EC of the European Parliament and of the Council of 29 April 2004 on the right of citizens of the Union and their family members to move and reside freely within the territory of the Member States, O.J. 2004 L 158/77.Google Scholar

57 Cf. Groenendijk, K., Forty Years of Free Movement of Workers: Has it Been a Success and Why?, in Rethinking the Free Movement of Workers, 11, 21 (P. Minderhoud & N. Trimikliniotis, eds., 2009).Google Scholar

58 See Case C-136/03, Dörr and Ünal, 2005 E.C.R. I-4759, paras. 66–69, concerning Articles 8 and 9 of EEC Directive 64/221 (no longer in force).Google Scholar

59 Case C-327/02, Panayotova, 2004 E.C.R. I-11055, paras. 26–27.Google Scholar

60 Cf. Peers, S., Human Rights in the EU Legal Order, in EU Immigration and Asylum Law, 115, 121 (S. Peers & N. Rogers, eds., 2006), advocating an application “wherever there is a link to a right conferred by Community law”.Google Scholar

61 See, inter alia, Article 5(4) of Council Directive 2003/86/EC of 22 September 2003 on the right to family reunification, O.J. 2003 L 251/12; Articles 10(1) and 20(1) of Council Directive 2003/109/EC of 25 November 2003 concerning the status of third-country nationals who are long-term residents, O.J. 2004 L 16/44; Article 11 of Council Directive 2009/50/EC of 25 May 2009 on the conditions of entry and residence of third-country nationals for the purposes of highly qualified employment, O.J. 2009 L 155/17.Google Scholar

62 Article 12(1) of Council Directive 2005/85/EC of 1 December 2005 on minimum standards on procedures in Member States for granting and withdrawing refugee status, O.J. 2005 L 326/13. But see the exceptions in Article 12(2) and (3). Cf. Strik, T., The Procedures Directive: An Overview, in The Procedures Directive: Central Themes, Problem Issues, and Implementation in Selected Member States, 7,13 (K. Zwaan, ed., 2008).Google Scholar

63 See, e.g., J. Balzacq & S. Carrera, Migration, Borders and Asylum: Trends and Vulnerabilities in EU Policy (2005); J. Monar, The Area of Freedom, Security and Justice, in Principles of European Constitutional Law, 551, 575, 579–580 (A. von Bogdandy & J. Bast, eds., 2010).Google Scholar

64 See, supra, note 12.Google Scholar

65 On the paradox of over-regulation through judge-made law, see Schmidt-Aßmann, supra, note 2, 142.Google Scholar

66 For a similar approach to the related issue of judicial protection, See Brouwer, E., Effective Remedies in Immigration and Asylum Law Procedures: A Matter of General Principles of EU Law, in Whose Freedom, Security and Justice? 57 (A. Baldaccini, E. Guild & H. Toner, eds., 2007).Google Scholar

67 See surpa, note 17.Google Scholar

68 Cf. Case C-127/08, Metock, 2008 E.C.R. I-6241, paras. 77–78.Google Scholar

69 See Costello, C., The Asylum Procedures Directive in Legal Context: Equivocal Standards Meet General Principles, in Baldaccini et al., supra, note 66, 151, 175–176.Google Scholar

70 See Boules et al., supra note 1, 391.Google Scholar

71 Eur. Court H.R. (GC), Maaouia v. France, Appl. No. 39652/98, Judgment of 5 October 2000, Reports of Judgments and Decisions 2000-X, para. 39; Eur. Court H.R. (GC), Üner v. The Netherlands, Appl. No. 46410/99, Judgment of 18 October 2006, Reports of Judgments and Decisions 2006-XII, para. 56.Google Scholar

72 See also Méndez et al, supra note 55, 463–465, comparing immigration and criminal proceedings in terms of due process.Google Scholar

73 Directive 2008/115/EC of the European Parliament and of the Council of 16 December 2008 on common standards and procedures in Member States for returning illegally staying third-country nationals, O.J. 2008 L 348/98.Google Scholar

74 As stated in the 11th recital of the Preamble of the Directive.Google Scholar

75 See Bast, J., Der Vorschlag der Europäischen Kommission für eine Abschiebeverfahrens-Richtlinie, in Perspektivwechselim Ausländerrecht?, 648, 650–653 (K. Barwig, S. Beichel-Benedetti & G. Brinkmann, eds., 2007).Google Scholar

76 Articles 12–14 of the Directive. For details, See Acosta, D., The Good, the Bad and the Ugly in EU Migration Law: Is the European Parliament Becoming Bad and Ugly?, 11 European Journal of Migration and Law (EJML) 19 (2009), A. Baldaccini, The Return and Removal of Irregular Migrants under EU Law: An Analysis of the Returns Directive, 11 EJML 1, 11–13 (2009).Google Scholar

77 Cf. Case 222/86, Heylens, 1987 E.C.R. 4097, paras. 14–16; C-327/02, supra, note 59, paras. 26–27.Google Scholar

78 Cf. Case 540/03, supra, note 12, para. 60.Google Scholar

79 See supra, note 61.Google Scholar

80 See Peers, supra, note 60, 121.Google Scholar

81 Council Directive 2004/114/EC of 13 December 2004 on the conditions of admission of third-country nationals for the purposes of studies, pupil exchange, unremunerated training or voluntary service, O.J. 2004 L 375/12.Google Scholar

82 See supra, note 8.Google Scholar