Table Of ContentFUNDAMENTAL RIGHTS AND MUTUAL TRUST IN THE
AREA OF FREEDOM, SECURITY AND JUSTICE
This book explores the relationship of mutual trust and fundamental rights in the
Area of Freedom, Security and Justice (AFSJ) of the European Union and asks
whether there is any role for proportionality. Mutual trust among Member States
has long been presumed by the Court in a manner that mutual recognition was
prioritised in regard to, but to the detriment of, the protection of fundamental
rights. After thoroughly reviewing this relationship, this book offers a compre-
hensive framework of proportionality and explores its impact on the protection
of fundamental rights in a mutual trust environment. It applies a theoretical
and a normative framework of proportionality to two case studies (EU criminal
and asylum law) by reference to several fundamental rights, enabling a carefully
constructed analysis with useful parallels. The book argues that such analysis,
based on proportionality, is not always desirable and helpful for the protection of
fundamental rights in this area and thoroughly explores its impact on the protec-
tion of fundamental rights vis-à-vis mutual trust.
Volume 98 in the Series Modern Studies in European Law
Modern Studies in European Law
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The Rise and Decline of Fundamental Rights in EU Citizenship
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Fundamental Rights and
Mutual Trust in the Area
of Freedom, Security
and Justice
A Role for Proportionality?
Ermioni Xanthopoulou
HART PUBLISHING
Bloomsbury Publishing Plc
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First published in Great Britain 2020
Copyright © Ermioni Xanthopoulou, 2020
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A catalogue record for this book is available from the British Library.
Library of Congress Cataloging-in-Publication data
Names: Xanthopoulou, Ermioni, author.
Title: Fundamental rights and mutual trust in the area of freedom, security and justice :
a role for proportionality? / Ermioni Xanthopoulou.
Description: Oxford ; New York : Hart, 2020. | Based on author’s thesis (doctoral – King’s College London,
2017) issued under title: Proportionality and mutual trust in the Area of Freedom,
Security and Justice. | Includes bibliographical references and index.
Identifiers: LCCN 2019056676 (print) | LCCN 2019056677 (ebook) |
ISBN 9781509922253 (hardback) | ISBN 9781509922260 (Epub)
Subjects: LCSH: Law enforcement—European Union countries. | Freedom of movement—
European Union countries. | Asylum, Right of—European Union countries.
Classification: LCC KJE5977 .X36 2020 (print) | LCC KJE5977 (ebook) | DDC 342.408/5—dc23
LC record available at https://lccn.loc.gov/2019056676
LC ebook record available at https://lccn.loc.gov/2019056677
ISBN: HB: 978-1-50992-225-3
ePDF: 978-1-50992-227-7
ePub: 978-1-50992-226-0
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ACKNOWLEDGEMENTS
This book represents the fruits of my doctoral and post-doctoral research, which
was conducted respectively at King’s College London (KCL), where I completed
my PhD, and then at Brunel University London in the context of my second
lectureship. First and foremost, I am deeply grateful to these two institutions for
offering a vibrant research environment where I could research, and write. I could
not have completed this manuscript without the patient and kind support of Sasha
Jawed and Sinead Moloney of Hart Publishing. Thank you to you two and thanks
Hart Publishing for believing in this project!
Many thanks should certainly go to my KCL supervisors, Cian Murphy, Takis
Tridimas and Alex Turk, as well as my PhD viva examiners, Adam Łazowski and
Maria Bergstrom, who have offered invaluable and constructive feedback on the
thesis that constitutes the backbone of this book.
Moreover, I am particularly thankful to my LLM supervisor, Theodore
Konstadinides, and Alexandra Xanthaki, my Brunel research mentor, for offer-
ing honest mentorship and useful advice. Special thanks should also go to former
Hertfordshire research mentor Virginie Barral for her advice on my book proposal.
I am also grateful to many other peers, colleagues and academic friends with
whom I have had the pleasure of working and/or who have been sources of encour-
agement and intellectual stimulation. My gratitude goes to my former KCL, LSE,
Hertfordshire and current Brunel colleagues, as well as to people with whom I have
had a chance to discuss my work at conferences, seminars, w orkshops or coffee,
or who have offered their support and encouragement in their own way. Special
thanks to Valsamis Mitsilegas, Anne Weyembergh, Massimo Fichera, Jannemieke
Ouwerkerk, Ester Herlin-Karnell, Dora Kostakopoulou, Elaine Fahey, Egle Dagilyte,
Tawhida Ahmed, Lina Papadopoulou, Javaid Rehman, Eleni Polymenopoulou,
Floris de Witte, Arad Reisberg, Bimbo Olowofoyeku, Esin Kucuk, Samantha
Velutti, Anastasia Karatzia, Auke Willems, Irene Wieczorek, Niovi Vavoula,
Leandro Mancano, Noreen O’Meara, Martin Husovec, Camille Pommel, Barbara
Henry, Laura Lo Coco, Adrienne Yong, Paz Irarrazabal, Guillermo Jimenez, Alberto
Coddou, Caroline Rusterholz, Ioanna Hadjiyanni, Nikolas Voulgaris, Napoleon
Xanthoulis, Dimitris Patsikas, Amanda Spalding, Ferya Tas-Cifci, Melanie Collard,
Stellios Andreadakis, Pamela Nika, Eduardo Alvares-Armas, Francesco De Pascalis,
Josh Bowsher, Hayleigh Bosher, Gerard Conway, Paula Westenberger, Izobel
Renzulli, Eleni Kaprou and Kathrin Hamenstaedt, with all of whom I had the
chance to discuss my work. I am also deeply thankful to my students for our nice
discussions on matters related to this book.
vi Acknowledgements
I would also like to thank my close friends and family members who supported
me throughout this journey, for their encouragement and emotional support
through their safe and stable companionship.
I owe my book to Maria Kotani and Ilias Xanthopoulos, my beloved parents,
who have always been there for me.
Finally, I am thankful from the bottom of my heart to my best friend, partner
and husband, Arsalan Javed, for committedly supporting me with his love and
encouragement, tirelessly discussing new ideas and sharing common ideals!
Ermioni Xanthopoulou
London, 23 September 2019
CONTENTS
Acknowledgements ��������������������������������������������������������������������������������������������������������v
Table of Cases ��������������������������������������������������������������������������������������������������������������xi
Table of Legislation ������������������������������������������������������������������������������������������������������xv
Introduction .....................................................................................................................1
Research Questions ..................................................................................................4
Findings and Arguments ........................................................................................5
Scope ..........................................................................................................................6
Choice of Instruments .............................................................................................6
Structure ....................................................................................................................7
1. Mutual Recognition: From Passive to Active Recognition .................................9
Introduction..............................................................................................................9
Overview of the Area of Freedom, Security and Justice .....................................9
Origins of Mutual Recognition ............................................................................12
Transfer of Mutual Recognition to the Area of Freedom, Security
and Justice ...........................................................................................................15
Typology and Operation of Mutual Recognition ..............................................18
Development of Mutual Recognition ..................................................................19
Models of Mutual Recognition ........................................................................20
From a Passive to an Active Model of Mutual Recognition .........................22
Seeking Equivalence and a Role for Proportionality? ...................................24
Conclusion ..............................................................................................................25
2. Mutual Trust: From Blind to Gained Trust ........................................................26
Introduction............................................................................................................26
Mutual Trust in the Framework Decision on the European
Arrest Warrant ...............................................................................................27
Mutual Trust in the Dublin III Regulation .....................................................28
Evolution of Trust ..................................................................................................29
Blind Trust ..........................................................................................................30
The FDEAW ...................................................................................................30
Dublin System................................................................................................32
Qualified System of Trust .................................................................................32
Trust Based on Individual Assessment? .....................................................34
Age of Distrust? ......................................................................................................36
Brexit and Distrust ............................................................................................36
Rule of Law Crisis and Mutual Trust ..............................................................39
viii Contents
ECtHR Threshold: Flagrant Denial of Justice ............................................40
Criticism and Commentary .........................................................................42
Grounds for Pragmatic Earned Trust ..................................................................43
Conclusion ..............................................................................................................44
3. Deconstructing Proportionality ...........................................................................46
Introduction............................................................................................................46
Early Philosophical Foundations .........................................................................47
Emergence of a Legal Doctrine ............................................................................48
Structure of the Proportionality-based Analysis ...............................................52
Legitimate Objective .........................................................................................52
Suitability and Necessity ...................................................................................54
Challenges and Limits ...........................................................................................55
Proportionality in EU Law ...................................................................................58
Conclusion ..............................................................................................................61
4. The Quest for Balancing in the AFSJ Case Law: Needle in a Haystack ..........62
Introduction............................................................................................................62
Protection of Victims in Criminal Proceedings Case Law ...............................63
European Arrest Warrant Case Law ....................................................................64
Kozłowski; I�B� �������������������������������������������������������������������������������������������������65
Leyman; Wolzenburg ���������������������������������������������������������������������������������������66
Lopes Da Silva��������������������������������������������������������������������������������������������������67
Jeremy F ������������������������������������������������������������������������������������������������������������67
Radu �����������������������������������������������������������������������������������������������������������������68
Melloni �������������������������������������������������������������������������������������������������������������70
Aranyosi and Căldăraru ����������������������������������������������������������������������������������71
LM and the Essence of the Rights ...................................................................72
Remarks ..............................................................................................................73
Dublin System Case Law .......................................................................................74
Conclusion ..............................................................................................................77
5. Constructing Proportionality for the Area of Freedom, Security
and Justice ...............................................................................................................78
Introduction............................................................................................................78
Deconstructing EU Fundamental Rights............................................................78
Fundamental Rights in EU Constitutionalism ..............................................79
The Charter and its Scope of Application .......................................................80
The Place of Fundamental Rights in the AFSJ ...............................................84
Constructing Proportionality for the AFSJ ........................................................85
Criteria on the Relevance of Proportionality Per Se .....................................85
Article 52(1) of the Charter and the Essence of the Rights ..........................89
Contents ix
European Investigation Order and Proportionality ......................................90
Context of Application: Transfers of Individuals Based on Mutual
Recognition ....................................................................................................91
Generic Balancing Parameters .........................................................................93
Variable Intensity ...................................................................................................95
Seriousness of the Value Under Restriction ...................................................96
Vulnerability of Individuals ..............................................................................97
Degree of Harmonisation .................................................................................99
Conclusion ............................................................................................................101
6. Case Study I: European Arrest Warrant Transfers ...........................................102
Introduction..........................................................................................................102
EU Criminal Justice: Evolution and Framework in the Context
of Mutual Recognition ....................................................................................104
Security and the Constructed European Public Order ...............................104
Constitutional Framework of EU Criminal Justice .....................................106
Surrender Procedures and Fundamental Rights Breaches .............................109
Informing and Applying a Proportionality-based Analysis in the
Context of the FDEAW ...................................................................................115
Disproportionate Requests and Proportionality .........................................115
The Legality Principle and the Opportunity Principle
in Prosecution .........................................................................................116
Proportionality-based Analysis Informed by the Rights in Question ......120
The Principle of Ne Bis in Idem .................................................................121
The Right to be Informed and Defence Rights ........................................123
Right to Appeal ............................................................................................132
Principle of Legality in Criminal Law ......................................................138
Proportionality in Light of Aranyosi: Mission Impossible .........................143
Conclusion: The Impact of Proportionality-based Analysis
on Surrenders ...................................................................................................146
7. Case Study II: Dublin Transfers .........................................................................149
Introduction..........................................................................................................149
Public Discourse and EU Asylum Law .............................................................151
The Common European Asylum System ..........................................................152
The Institutional and Legal Evolution of the Current Framework
on CEAS .......................................................................................................153
Dublin III Regulation ......................................................................................156
Dublin Shortcomings ......................................................................................160
Border and Migration Control as Dominant Narrative .........................160
Refugee (Governance) Crisis .....................................................................162
Informing and Applying a Proportionality-based Analysis
in the Context of the Dublin III Regulation ............................................164
