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by Steve Peers* and Emanuela Roman, **
The key non-EU country in the EU’s ongoing refugee crisis is Turkey: the host ofover 2 million Syrian refugees, and a transit country for many asylum-seekers. An increasing number of them have been making the journey from Turkey to the Greek islands, leading to a significant rise in the number of would-be asylum-seekers in the EU over the last year. Tragically, many have died making this crossing.
To address these issues, the EU and Turkey reached a deal in November with a number of different elements. The main aim was to improve the position of Syrian refugees in Turkey (reducing the ‘push’ factor which results in more people planning to leave), and to return to Turkey those who did not need international protection. But, according to the latest Frontex statistics, most of the people arriving from Turkey do need international protection: about 90% of those arriving in Greece in December were from Syria, Iraq and Afghanistan, countries with high recognition rates for asylum claims.
It follows that returning to Turkey only those who don’t need international protection would only make a small dent in the numbers coming to the EU. Many politicians, in reaction to a portion of public opinion, would like to reduce those numbers far more. So last week, a further plan emerged: to return to Turkey those who do need international protection, on the grounds that they already had such protection in Turkey – or if not, they should seek it there. This would entail designating Turkey as a ‘safe third country’. The plan would entail a nearly immediate return to Turkey of any would-be asylum-seekers who reached the Greek islands.
The following analysis looks first of all at the main elements of the overall EU/Turkey deal on the refugee crisis, then in more detail at the new plan to return asylum-seekers to Turkey.
The EU/Turkey deal
The EU/Turkey deal contains concessions on both sides. The EU side has agreed: the opening of another chapter in the EU/Turkey accession process, and preparatory work by the Commission on further chapters; a proposal to lift Schengen visa requirements for Turkey by October 2016, if Turkey meets the requirements of the EU’s ‘roadmap’ on visa liberalisation; and a ‘Refugee Facility for Turkey’, totalling of €3 billion for Turkey. Subsequently, the Commission adopted a Recommendation on an EU ‘humanitarian admission scheme’ of Syrian refugees from Turkey (discussed in detail by Laura Robbins-Wright here).
In return, the Turkish side agreed: to readmit non-Turkish nationals to its territory, from June 2016; to apply a previously-agreed plan on the status of Syrian refugees in Turkey; and to prevent non-EU citizens from leaving.
There are also agreements in both sides’ mutual interest: to hold regular summits (at least twice a year); and to ‘upgrade’ the EU/Turkey customs union, to include services and investment, with negotiations to start before the end of 2016.
Several elements of the deal should be clarified further. It’s sometimes claimed that the deal has ‘fast-tracked’ Turkish membership of the EU. This is clearly not the case. Turkey applied for EU membership in 1987, and negotiation talks opened 18 years later, in 2005. In the eleven years since, the EU and Turkey have agreed only one of the 35 ‘chapters’ of issues being discussed in the negotiation. Before last year’s deal, they had opened another 13 chapters; the deal raised that number to 14. There is no date to open talks on the remaining 20 chapters; the deal is expressly without prejudice to EU Member States’ position on the planned ‘preparatory work’. Overall, the deal means that the enlargement negotiations will now move at the pace of a turtle, instead of a snail.
The prospect of Turkish accession to the EU also faces a number of obstacles on the EU side: objections by many Member States (including possible referendums), and misgivings by the European Parliament (which must approve accession treaties). Nor would accession lead immediately to free movement of Turkish citizens to the EU. Recent accession treaties have provided for waiting periods of seven years before workers from the new Member States can move to the older Member States, and the UK, which has a veto over accession treaties, insists that future enlargements must provide for even longer waiting periods.
As for the visa waiver, it should be noted that it will apply to (short-term) visas to visit the Schengen states. Therefore it will not ever apply to the UK and Ireland; and does not yet apply to Romania, Bulgaria, Croatia or Cyprus. It’s the EU’s usual practice to offer visa facilitation (fast-track issue of visas, with reduced fees) and then a full visa waiver to neighbouring States which have agreed a readmission treaty. As the text of the EU/Turkey deal points out, that waiver is dependent in each case upon the third State fulfilling a list of conditions set out by the EU (for the Commission’s most recent report on Turkey meeting those conditions, see here).
It’s the readmission deal – the quid pro quo for the visa waiver – that is central to the issue of the refugee crisis. The EU/Turkey readmission treaty has applied since October 2014. It applies to Turkish citizens straight away, but Turkey (like many other states signing up to readmission treaties) negotiated a delay before it applies to nationals of other countries. That’s a three year delay, so it was due to expire in October 2017. However, in light of the perceived migration and refugee crisis, the EU was not willing to wait that long until it called upon Turkey to accept third-state citizens back onto its territory.
Finally, the ‘Refugee Facility for Turkey’ aims to reduce the ‘push’ factor which leads to departures from Turkey to the EU. According to the Decision establishing the fund – which Member States finally agreed to recently – the Fund will assist refugees and host communities. No further details are given.
Before we look at the substance of the law on returning people to Turkey, it’s useful to make some general observations on EU policy in this area. Some critics of EU asylum policy argue that it should be more like the Australian policy. In fact, in some ways the EU is moving towards such a policy, as we’ll see. But – leaving aside for a moment the desirability of the EU adopting an ‘Australian’ asylum policy – there are legal, political, geographical and practical limits to doing so.
In a nutshell, Australia intercepts vessels of asylum-seekers on the high seas (international waters) and arranges for the asylum-seekers to be detained and their applications processed in other countries, which Australia considers to be ‘safe’. Furthermore, Australia resettles confirmed refugees directly from third countries (about 13,000 a year), as its contribution to sharing the burdens of the countries which host those refugees (the large majority of refugees live in developing countries).
There’s no legal obligation upon the countries which Australia considers ‘safe’ to take the asylum-seekers and process them. The UN Convention on Refugees (the ‘Geneva Convention’) imposes no such obligation (on the international law framework for ‘safe third country’ rules, see discussion here). Even if it did, some of the countries concerned haven’t ratified that treaty. So Australia has to talk those countries into accepting the people concerned. They won’t accept unless Australia pays most of the costs.
How does this compare with the EU? First of all, the numbers are hugely different:18,000 people arrived illegally by sea in Australia in 2012-13, whereas over a million potential asylum-seekers arrived in the EU last year. We’re comparing apples and orchards here. There are simply more people wanting to apply for protection in closer vicinity to the EU, as compared to Australia, and the distance to travel is shorter. Furthermore, there are no ‘high seas’ between Greece and Turkey, so interception raises different legal issues. Once would-be asylum-seekers reach Greek waters, EU law says they can apply for asylum, and Greece is also bound by the European Convention on Human Rights (ECHR) as regards them.
That brings us to the next distinction. The Australian constitution has weak human rights protection, and that country’s High Court has recently ruled in favour of the offshore detention policy. In contrast, EU countries are governed by the case law of the European Court of Human Rights (ECtHR), which is open to individual complaints and can give binding rulings, often critical of national policies in this area. While Australia has signed up to the International Covenant on Civil and Political Rights (ICCPR), and allows individuals to make complaints to the United Nations Committee which interprets that Covenant, the Committee’s rulings aren’t binding. When the Committee rules against Australian policy on asylum-seekers – which it often does – Australian politicians in effect throw the ruling on the barbecue.
So given the large numbers concerned and the legal constraints, if the EU wants non-EU countries to take back non-citizens of those countries who have made their way to the EU, it needs to offer a lot to them to convince them to do so. At first sight, it may seem overly generous for the EU to offer money to Turkey, waive visa requirements and accelerate the accession process a little, in order to secure Turkey’s cooperation as regards refugees and migrants. But Turkey is under no obligation now to take back non-citizens or to restrain them from leaving. Even after it agrees to accept returns of non-citizens to its territory, it could end its obligations at any time by denouncing the readmission agreement – if it is willing to accept the re-imposition of visa requirements by the EU as a consequence. The financial assistance, if spent as intended, will also reduce the ‘push’ factor for migration of Syrian refugees towards the EU.
Returning people to Turkey
Turkish citizens
Turkey is already obliged to accept back its own citizens under the readmission agreement with the EU. Turkish citizens in the EU might have rights to stay under the EU’s immigration and asylum legislation, or under the EU/Turkey associationagreement. But they have no general right of free movement to the EU, and there is no prospect of it being extended to them before (or indeed well after) EU membership. So those Turkish citizens in the EU without such a right to stay, including failed asylum-seekers, must be returned.
It should be noted that the EU Commission has proposed to list Turkey as a ‘safe country of origin’ for asylum purposes, meaning that asylum claims by Turks would be fast-tracked (but not rejected automatically). This is a rather dubious suggestion (for the reasons set out here), and it is not yet known whether it will be accepted.
Non-Turkish citizens: Irregular migrants
Turkey is not obliged to accept back any non-Turkish citizens until it brings forward the relevant obligations in the EU/Turkey plan – as it has agreed to do so. If someone has never applied for asylum, and has no other ground to stay, EU Member States will then be able to return them to Turkey, if the Member States can prove that the person was previously in Turkey. It should be sufficient to show that the person concerned crossed from Turkey to a Greek island.
This is equally the case for failed asylum-seekers, if the person concerned has failed on the merits. In other words, if the non-Turkish citizen has not convinced the Member State’s authorities (or the courts on appeal) that he or she faced persecution or serious harm, that person could be sent back to Turkey once that country extends the scope of the readmission deal.
The more difficult question – which is the subject of the new plan – is whether asylum-seekers who have come via Turkey can be rejected and returned to Turkey on the grounds that their applications are inadmissible. Let’s be clear what that means: those applications would not be rejected on the basis that the person wasn’t a genuine refugee, but that he or she either (a) could have applied for protection in Turkey or (b) already had protection there. The former is the ‘safe third country’ concept; the latter is the ‘first country of asylum’ concept. There are detailed definitions of each concept in EU law, in the Asylum Procedures Directive. We will consider those definitions in turn.
Is Turkey a ‘safe third country’?
On Thursday 28 January 2016, Diederik Samsom, leader of the Dutch Labour Party, announced in an interview with the newspaper De Volkskrant (followed by an interview on the nightly TV programme Niewsuur) a Dutch proposal for a new plan to radically reduce the number of migrants and asylum-seekers entering the EU from Turkey. The proposal was immediately baptised ‘the Samsom Plan’.
The plan would have the support of Dutch PM Mark Rutte and would also receive support by a number of EU Member States, among which Germany, Austria and Sweden. The idea is to offer Turkey the resettlement of 150,000 to 250,000 refugees per year from Turkey to the EU countries that voluntarily agree with the plan. This resettlement would presumably be on the basis of the Commission Recommendation on humanitarian admission from Turkey, referred to above. In exchange for this, Turkey would have to accept the return of all migrants and asylum-seekers who cross the Greek-Turkish border irregularly. According to Mr Samson, these people would have to be very rapidly returned from Greece to Turkey by ferry-boat, and it would be Turkey’s responsibility to deal with their reception and asylum application.
This new plan is based on the assumption that Turkey can be considered a ‘safe third country’ – a non-EU country where an asylum-seeker can apply for asylum and be granted access to asylum procedures and reception conditions in line with international and EU law.
The Samsom Plan, however, does not seem to come from Mr Samsom’s mind. The European Stability Initiative (ESI), a think tank specialised in Southeast Europe, presented a very similar proposal in October 2015. The original plan, based on the fundamental idea of considering Turkey a safe third country, was called ‘Merkel Plan’, because initially Germany alone would have the main role in the resettlement scheme with Turkey. The original plan was then further developed (becoming‘Merkel Plan 2.0’) and a ‘coalition of the willing’ (including the Netherlands) was gathered around Germany. From October 2015 to January 2016 the ESI presented this proposal in different countries across Europe, but it was only following Mr Samsom’s interview, that the now renamed Samsom Plan burst into the public debate.
What is the legal definition of a ‘safe third country’? Article 38(1) of the Asylum Procedures Directive sets out a series of legal requirements that need to be met in order for a third country to be considered ‘safe’ for asylum-seekers:
Article 38(2) establishes also several procedural guarantees. The safety of a third country must be always assessed on a case-by-case basis in order to check whether the notion is applicable to the particular circumstances of the individual applicant concerned. Moreover, the applicant must be guaranteed the right to challenge the application of the safe third country concept to his or her case, based on the fact that that country may not be safe in his or her particular circumstances. The question is whether an extremely rapid procedure as the one envisaged by Mr Samsom, would allow for a case-by-case examination of the individual circumstances of each asylum-seeker arriving in Greece from Turkey.
A further, more practical, question concerns who would be responsible for these procedures. Considering the difficulties faced by the Greek authorities in managing the current migrant flow and the established deficiencies of the Greek asylum system, it is hard to believe that the Greek authorities (despite the assistance provided by Frontex and the European Asylum Support Office, EASO) would be able to implement a systematic readmission plan as far-reaching as the one foreseen by Mr Samsom. As mentioned above, such plan must indeed be based on the individual consideration of each asylum application, otherwise it could amount to a violation of the prohibition of collective expulsions entailed in Article 4 Protocol 4 of the ECHR. Such practice has been condemned by the European Court of Human Rights (ECtHR) in the famous Hirsi case, where the Grand Chamber found Italian authorities responsible for violating the ECHR, because they returned a group of Eritrean and Somali migrants intercepted on the high seas back to Libya without granting them the possibility to apply for asylum. The same rule obviously applies to asylum-seekers who enter the territorial waters or land on the territory of a Member State.
In addition, according to Article 46 of the Procedures Directive, asylum-seekers have the right to refer to a national court the decision to consider their application inadmissible pursuant to Article 33(2). They can stay on the territory during their initial application, and apply to a court to stay during this appeal. The Grand Chamber of the ECtHR unanimously confirmed in Hirsi (and reiterated in following case law – see for instance, Sharifi and others v Italy and Greece and Khlaifia and others v Italy) that return is only possible after the asylum-seeker has been able to claim asylum before a national authority, and to stay on the territory at least until the first instance decision on the application was made. However, it is even more doubtful that the accelerated procedure proposed by Samsom would allow for asylum-seekers to challenge the decision to return them to Turkey in front of a judicial authority and in the respect of all due procedural safeguards under the Directive and the ECHR.
However, besides the procedural issues, the crucial question here is more substantive: can Turkey be considered as a safe third country? Does Turkey comply with the requirements established by the Procedures Directive?
First, Turkey ratified the 1951 Geneva Convention and its 1967 Protocol, but maintains a geographical limitation for non-European asylum-seekers, thus recognising refugees originating only from Europe (i.e. from countries which are members of the Council of Europe). The geographical limitation provides the first barrier to accessing asylum in the country. Moreover, Syrians represent a particular case. They were at first received as ‘guests’ and then subject to a temporary protection regime, formalised by a Regulation on Temporary Protection only in October 2014 (for more details, see the updated AIDA Country Report on Turkey). The basic idea behind the temporary protection regime is to host Syrians until the conflict is over and then possibly let them return to their country of origin. As such, Syrians have a right to reside in the country but are denied the prospect of a long-term legal integration. They have access to limited rights compared to asylum-seekers in the ‘normal’ procedure, in particular as concerns access to education for children (on this point, see for instance, Human Rights Watch report) and access to employment. Although in January 2016, the Turkish government adopted adecision aimed at ensuring that Syrians can enter the labour market, the effects of this new regulation are yet to be seen in practice. Most importantly, Syrians in Turkey do not have access to refugee protection in its full sense, as enshrined in the Geneva Convention. For the reasons set out in more detail in the annex to this blog post, it is arguable that the ‘safe third country’ clause can only be interpreted as applying to countries which have ratified and fully apply the Geneva Convention.
Secondly, Turkey should respect the principle of non-refoulement, a prohibition on returning a person to a place where he or she faces a risk of persecution, torture, or inhuman or degrading treatment. However, several reports suggest that Turkey has engaged in refoulement and push-back practices throughout the years 1990s and 2000s. In particular, in November and December 2015, Human Rights Watch andAmnesty International denounced an increase in deportations, push-backs, arbitrary detentions and physical violence against asylum-seekers trying to cross the Turkish southern border coming from Syria or Iraq, or trying to enter Greece from Turkey, either by land or sea. This increase would coincide with the period leading up to and after the signing of the above-mentioned EU/Turkey deal.
Thirdly, in Turkey asylum-seekers and migrants in general, face a number of obstacles which may increase their risk of serious harm. In particular, Turkey has a record of treating asylum-seekers and refugees harshly in detention: episodes of torture or inhuman or degrading treatment have been reported by NGOs (Global Detention Project and Amnesty International among others) and condemned by the ECtHR in a series of judgments (see for instance, Abdolkhani and Karimnia v Turkey and the recent SA v Turkey, judgement of 15 December 2015). Furthermore, with reference to serious harm due to indiscriminate violence in a situation of conflict, the internal conflict between Turkey and the Kurdish rebels, which has escalated during the last year, may pose threats to the lives of asylum-seekers and refugees in the southeast of the country.
Therefore, it seems that Turkey does not fulfil many of the requirements for designation as a safe third country under the Procedures Directive. Even though the Samsom Plan does not mention this option, it seems now interesting to consider whether a similar policy could theoretically be implemented based on two different concepts entailed in the Procedures Directive, the concepts of ‘European safe third country’ and ‘first country of asylum’. The latter will be examined more in detail.
Is Turkey a ‘super-safe’ third country?
This wasn’t mentioned above, but the Asylum Procedures Directive also provides for a special category of ‘European safe third country’, which has been dubbed (sarcastically) the ‘super-safe’ third country concept. In this case, a Member State could have ‘no, or no full’ consideration of an asylum application – as foreseen by the Samsom Plan. The legal requirements for a country to be considered a ‘European safe third country’ are set out in Article 39(2) of the Directive:
Even though Turkey has in place an asylum procedure prescribed by law (Law on Foreigners and International Protection adopted in April 2013 is Turkey’s first-ever national legislation on asylum), is a party to the ECHR (even though one of the parties with the highest number of condemnations by the ECtHR for violations of this treaty) and has ratified the Geneva Convention, as mentioned above, it maintains a geographical limitation to the application of the Geneva Convention, excluding non-European asylum-seekers from the refugee status. For this reason Turkey could not even be considered a ‘European safe third country’.
Could Turkey be considered a ‘first country of asylum’?
Could then the notion of ‘first country of asylum’ apply to Turkey? Could asylum-seekers possibly be returned from Greece to Turkey based on the fact that Turkey is their first country of asylum?
Article 33(2)(b) of the Procedures Directive foresees the possibility for a Member State to deem an asylum application inadmissible if it considers a non-EU country to be a first country of asylum for a particular applicant. Article 35 establishes that a third country can be a first country of asylum in two cases:
Article 35 further specifies that in applying this concept Member States may take into account the legal requirements provided for by Article 38(1) – i.e. those used to establish whether a country is a safe third country. It also states that asylum-seekers ‘shall be allowed’ to argue that the principle cannot apply to their particular circumstances. Furthermore, they also have the right to appeal pursuant to Article 46 of the Procedures Directive (and stay on the territory during the application and at least at the outset of the appeal), as discussed above.
For the reasons set out in the annex to this blog post, option (a) arguably refers only to obtaining status under the Geneva Convention. Therefore Turkey cannot be considered a first country of asylum for a non-European asylum seeker, due to its geographical limitation on that Convention. On the other hand, option (b) might apply. In Turkey, indeed, non-European asylum seekers can, at least theoretically, have access to an alternative form of protection: the so-called ‘conditional refugee status’ (for applicants who would qualify as refugees under the Geneva Convention but who come from a non-European country) or the EU-inspired subsidiary protection. Moreover, as mentioned above, asylum seekers originating from Syria have access to a different form of temporary protection.
These three alternative forms of protection differ in terms of the level of rights their holders benefit from, which in all cases (and in particular in the case of Syrians benefiting from temporary protection) is lesser than the one recognised to ‘European refugees’ (for details on the content of these three alternative forms of protection, see the AIDA Country Report on Turkey). The question is: could these forms of protection be considered as ‘sufficient protection’? How can a Member State establish when protection is ‘sufficient’?
Article 35 provides two reference points, one being strictly mandatory, the other one being optional. The first one is the respect of the non-refoulement principle. Turkey is formally bound to the principle of non-refoulement, being a party to the ECHR and having incorporated the principle into Article 4 of its Law on Foreigners and International Protection as well as in Article 6 of its Temporary Protection Regulation. However, as mentioned above, the country has a historical record ofrefoulement practices and there are allegations of a recent intensification of push-backs and deportations of Syrians and other asylum-seekers. Therefore, Turkey does not seem to be fully compliant with the principle of non-refoulement in practice. But, in light of the fact that each asylum application must be examined individually based on the specific circumstances of the case, Member States might argue that the risk of non-refoulement could be assessed on a case-by-case basis in order to establish if that particular applicant enjoys sufficient protection in Turkey.
The second reference point mentioned by Article 35 is Article 38(1). In deciding whether a third country can be considered a first country of asylum, Member States may apply the same criteria they use for determining whether that country could be a safe third country. As discussed above, Turkey does not seem to comply with most of the safe third country legal requirements and, on this basis, it might be argued that in general it should not be considered a first country of asylum. However, because this is a ‘may’ clause, Member States have no obligation to apply Article 38(1) requirements to Article 35 cases and can simply ignore the possible link between the two concepts.
Therefore, although the possible application of the concept of first country of asylum to Turkey seems in general rather controversial, Member States might apply it on an individual basis, based on option (b). However, if they decide to do so, Member States’ authorities would have to conduct a case-by-case assessment, taking into due consideration the particular circumstances of each individual applicant in order to determine whether he or she enjoys sufficient protection in Turkey and does not risk being refoulé(e). As discussed above, an individual examination of all asylum claims (including the applicant’s right to appeal against a negative decision) is incompatible with the extremely rapid procedure and systematic readmission mechanism envisaged by the Samsom Plan.
A change in EU law?
The above discussion is based on current EU legislation. It is, of course, possible in principle for the EU to amend that legislation via the usual process, or arguably via means of an ‘emergency’ measure on asylum pursuant to Article 78(3) TFEU. The previous use of Article 78(3), for a ‘relocation’ system, is being challenged byHungary and Slovakia. (On the latter challenge, see discussion here; and on the general legal issues concerning that provision, see discussion here.) There might be some specific procedural issues about the use of Article 78(3) to establish the Samsom Plan, but the underlying issue is substantive: could EU law be changed (by either means) to set up a ‘return ferries’ process?
The answer is clearly: No. All EU asylum measures are subject to the general rules in Article 78(1) TFEU: ‘compliance with the principle of non-refoulement’, and acting ‘in accordance with the Geneva Convention…and other relevant treaties’. Also, all EU measures are subject to the EU Charter of Fundamental Rights, which must be interpreted consistently with the ECHR (Article 52(3) of the Charter).
It must follow that at the very least, the ECHR case law minimum standards discussed above must apply. So no revised EU law can provide for return of people coming from Turkey without some proper individual consideration of their claim that Turkey would not be a safe country for them; and there must be a right to appeal and stay in the country at least until the first-instance decision is made on this issue. To the extent that the Samsom Plan does not respect this irreducible core of human rights protection, it would be illegal.
Conclusion
Although it is remarkable that Turkey adopted a new comprehensive EU-inspired asylum legislation and is a state party to major human rights conventions, such as the European Convention on Human Rights, the Refugee Convention and the Convention against Torture, the way it has so far implemented its international human rights obligations appears to be still faulty. In particular, the right to asylum in Turkey cannot be considered as ‘fully established’, especially because of the still largely dysfunctional asylum system and the existing inequalities in access to protection and content of protection, which at the present moment are affecting Syrian refugees in particular.
For these reasons, the Samsom Plan proposing the systematic return of all asylum seekers from Greece to Turkey in exchange for increased refugee resettlement in Europe, appears to be not only very difficult to implement (due to both legal and practical obstacles), but also based on the doubtful presumption that Turkey may be (soon) considered a safe third country for refugees and asylum-seekers.
Furthermore, it is unfortunate that the EU and Turkey did not agree to fully apply the Geneva Convention for Turkey, and that there are no mechanisms of accountability in place for the EU institutions to report either in general upon Turkey’s compliance with international human rights standards or in particular to explain exactly how the EU’s money is being spent.
Barnard & Peers: chapter 26
JHA4: chapter I:5
Photo credit: insidethegames.biz
**Emanuela Roman is a PhD candidate in Human Rights at the University of Palermo and junior researcher at the Forum of International and European Research on Immigration (FIERI). This article was written during the period she is spending as a visiting researcher at the Vrije Universiteit Amsterdam, Faculty of Law, Migration Law Section. Emanuela would like to thank all her colleagues at the VU Migration Law Section, in particular Theodore Baird, Evelien Brouwer, Thomas Spijkerboer and Hemme Batijes for their precious comments and advise. The sole responsibility for the content of this article lies with the authors.
Annex I
First of all, this interpretation is supported by the legislative history of the text, which is set out in detail in Annex II. The original draft in 2002 made expressly clear that the clause could apply even if a State had not ratified the Convention. During negotiations that text was revised so that the final wording states that it must be possible to get status ‘in accordance with’ the Convention. Attempts by several Member States to make it clear that alternative types of protection besides full Convention refugee status could also trigger the clause were not successful.
Secondly, the ordinary meaning of the words ‘in accordance with’ in English is ‘in compliance with’, although the other language versions are equally valid. This is confirmed by the words ‘refugee status’: the full title of the Geneva Convention is the ‘Convention on the Status of Refugees’. How can one apply for ‘refugee status…in accordance with the Geneva Convention’ if the state concerned has not ratified, or does not fully apply, the ‘[Geneva] Convention on the Status of Refugees’? While the definitions clause refers to Member States as regards the definitions of ‘refugee’ and ‘refugee status’, this logically cannot be intended to apply to Article 38, since that Article only refers to applications made in non-EU states.
Thirdly, the a contrario rule supports this interpretation. Where the drafters of the Directive wanted to refer to the possibility of applying for an alternative form of protection, they did so expressly, as in Article 35(b) of the Directive. Admittedly Article 39, which refers more clearly to the geographical reservation of Turkey as a (failed) condition for the ‘super-safe’ countries rule to apply, points in the opposite direction. But to the extent that these two a contrario analyses simply cancel each other out, the interpretation in line with the legislative history and ordinary meaning should apply.
Similarly ‘recognised as a refugee’ under Article 35(a) of the Directive should be interpreted to refer to the Convention refugee status, in the absence of any indication that any alternative meaning is intended. However, Article 35(b) does clearly provide for an alternative option of designating a state as a ‘first country of asylum’ due to the existence of other forms of protection.
Annex II: Legislative history of the ‘safe third country’ clause
Posted by Steve Peers
This is the first in a series of blog posts about the draft deal on the renegotiation of the UK’s EU membership, tabled earlier today. I am starting with the critical issue of free movement of EU citizens (often referred to as ‘EU immigration’). Subsequent posts will be on the other substantive issues (competitiveness, Eurozone relations, sovereignty) and on the legal form of the deal.
The draft deal takes the form of six draft legal texts: a Decision of the EU Member States’ Heads of State and Government (the ‘draft Decision’); a Statement of the Heads of State and Government (which consists of a draft Council Decision); a Declaration by the European Council (which consists of the EU Member States’ Heads of State and Government, although when acting collectively they are legally distinct from the European Council): and three declarations by the Commission. Of these, Section D of the draft Decision and two of the Commission declarations relate to immigration issues.
Having said that, the key feature of the draft deal on immigration is the intention to propose amendments to the three main current EU laws. These three laws are: (a) the EU citizens’ Directive, which sets out the main rules on most EU citizens moving to other Member States: (b) the EU Regulation on free movement of workers, which contains some specific rules on workers who move; and (c) theRegulation on social security, which sets out rules on coordination and equal treatment in social security for those who move between Member States. The draft Decision
All three sets of amendments are to be proposed by the Commission as soon as the main draft Decision enters into force. That will happen (see Section E of the draft Decision) as soon as the UK announces that it will remain a member of the EU (that would only happen, of course, if the UK public vote to remain in the upcoming referendum). The draft deal includes a commitment from the Commission to make these proposals, and from the other Member States to support their adoption in the EU Council (oddly, the latter commitment does not apply to the proposed amendment to the citizens’ Directive, since that proposal is not referred to in the draft Decision).
However, all three proposals are subject to the ‘ordinary legislative procedure’, meaning that they have to be agreed with the European Parliament. It is also possible that their legality would be challenged before the EU Court of Justice. I can’t appraise the political likelihood of the European Parliament approving the proposals, but I will offer some thoughts about possible challenges to their legality if they are agreed.
Unlike some other parts of the draft deal (on the position of non-Eurozone states, and the clarification of ‘ever closer union’), there is no mention of possible future Treaty amendments to give effect to any part of the text dealing with free movement (immigration) issues. It should be kept in mind that the texts are not final, and at least some amendments might be agreed before their formal adoption – which is planned for later in February.
Although the press discussion has focussed on the ‘emergency brake’ in in-work benefits, there are three categories of issues: benefits (including a couple of points besides that emergency brake); the family members of non-EU citizens; and EU citizens who commit criminal offences. I refer back to Cameron’s November 2014 speech on EU immigration issues (which I analysed here) where relevant.
It should be noted that there is no proposed text in the deal on two of the issues which Cameron had raised: removal of job-seekers if they do not find a job within six months, and a requirement to have a job offer before entry. Both these changes would have required a Treaty amendment, in light of the Antonissen judgment of the CJEU.
Benefits
There are three benefits issues in the draft deal: (a) the ‘emergency brake’ for in-work benefits; (b) the export of child benefit; and (c) benefits for those out of work.
‘Emergency brake’ on in-work benefits
Cameron had called for no access to tax credits, housing benefits and social housing for four years for EU citizens, but later signalled his willingness to compromise on this point. The position of non-workers and job-seekers is discussed below; but the position of workers is legally and politically difficult, since the Treaty guarantees them non-discrimination.
In the end, the draft deal suggests not permanent discrimination on this issue, but temporary discrimination on the basis of an ‘emergency brake’. The Commission will propose legislation on this issue, which will provide that the UK (or other Member States) can apply a four-year ban on in-work benefits, subject to substantive and procedural criteria. Procedurally, the rules will say that a Member State will apply to the Council to authorise the ban, which will approve it by a qualified majority on a proposal from the Commission (the European Parliament will have to approve the legislation, but would have no role on deciding if the brake should be pulled). A Commission declaration states the UK qualifies to pull this ban immediately; but there is nothing in the deal to suggest that Member States – who would have the final word – also agree. As I have already pointed out, there is no legal requirement in EU law that the legislation would have to give the final word to the Council, rather than the UK itself. The restrictions would only apply for a certain number of years (the exact number is not yet agreed), and would have to be phased out during that time. It’s not clear how much time would then have to pass before they could be applied again.
On what grounds could the brake be applied? According to the draft Decision, it would apply where: ‘an exceptional situation exists on a scale that affects essential aspects of [a Member State’s] social security system, including the primary purpose of its in-work benefits system, or which leads to difficulties which are serious and liable to persist in its employment market or are putting an excessive pressure on the proper functioning of its public services’.
There’s certainly a widespread perception that one of more of these problems exist in the UK and are caused by the large increase in the number of workers from other Member States in recent years. However, there are two serious problems with the proposed mechanism. Firstly, as Jonathan Portes has argued, objective evidence for this view is lacking. Secondly, while the CJEU has been willing to accept certain limits to free movement rights on the grounds of protecting health systems (see my prior blog post for details), this proposal would have a much more far-reaching impact on non-discrimination for workers. It’s certainly conceivable that by analogy from the Court’s obvious willingness to keep EU monetary union afloat, along with its endorsement of restrictions for non-workers in recent years (see below), it might accept that these plans do not violate the Treaties. But as EU currently stands, that is probably a long shot.
Export of child benefit
Cameron sought to end payment of child benefit to children living in other Member States. This payment is provided for in the EU social security coordination Regulation, which would have to be amended to change those rules. There was a strong argument that the plan would have breached the Treaties, since in the case of Pinna the CJEU struck down EU legislation that allowed Member States not to export such benefits at all as a breach of the rules on free movement of workers.
The draft deal does not go as far as Cameron wanted: instead child benefit can be limited by indexing it to the standard of living in the receiving State. It’s an open question whether this would breach the Treaties, since there is no case law on the point.
Benefits for those out of work
Cameron sought to end social assistance for job-seekers. The EU legislation already rules out social assistance for job-seekers, so this reflects the status quo. Although the CJEU has said that job-seekers have a right to access benefits linked to labour market participation, if they have a link already with the labour market in question, it took a narrow view of this rule in the judgment in Alimanovic. Pure benefit tourists (who have never had work in the host State) are not entitled to benefits, according to the judgment in Dano. So the draft Decision simply reiterates this case law, which has already satisfied Cameron’s main objectives in this field.
EU citizens’ family members
Under the EU citizens’ Directive, currently EU citizens can bring with them to another Member State their spouse or partner, the children of both (or either) who are under 21 or dependent, and the dependent parents of either. This applies regardless of whether the family members are EU citizens or not. No further conditions are possible, besides the prospect of a refusal of entry (or subsequent expulsion) on grounds of public policy, public security or public health (on which, see below).
In principle EU law does not apply to UK citizens who wish to bring non-EU family members to the UK, so the UK is free to put in place restrictive rules in those cases (which it has done, as regards income requirements and language rules). However, the CJEU has ruled that UK citizens can move to another Member State and be joined by non-EU family members there, under the more generous rules in the EU legislation. Then they can move back to the UK with their family members, now invoking the free movement rights in the Treaties. In 2014, the CJEU clarified two points about this scenario (as discussed by Chiara Berneri here): (a) it was necessary to spend at least three months in the host Member State exercising EU law rights and residing with the family member, before coming back; and (b) the EU citizens’ Directive applied by analogy to govern the situation of UK citizens who return with their family members.
In his 2014 speech, David Cameron announced his desire to end all distinction between EU citizens and UK citizens as regards admission of non-EU family members, by allowing the UK to impose upon the EU citizens the same strict conditions that apply to UK citizens. Since this would have deterred the free movement of those EU citizens who have non-EU family members, there is a good change that it would have required not just a legislative amendment but a Treaty change. (Note that according to the CJEU, EU free movement law does not just require the abolition of discrimination between UK and other EU citizens, but also the abolition of non-discriminatory ‘obstacles’ to free movement).
However, the draft deal does not go this far. The main draft decision states that: ‘In accordance with Union law, Member States are able to take action to prevent abuse of rights or fraud, such as the presentation of forged documents, and address cases of contracting or maintaining of marriages of convenience with third country nationals for the purpose of making use of free movement as a route for regularising unlawful stay in a Member State or for bypassing national immigration rules applying to third country nationals.’
The Commission Declaration then states that it will make a proposal to amend the citizens’ Directive: ‘to exclude, from the scope of free movement rights, third country nationals who had no prior lawful residence in a Member State before marrying a Union citizen or who marry a Union citizen only after the Union citizen has established residence in the host Member State. Accordingly, in such cases, the host Member State’s immigration law will apply to the third country national.’
That Declaration also states that the Commission will clarify that: ‘Member States can address specific cases of abuse of free movement rights by Union citizens returning to their Member State of nationality with a non-EU family member where residence in the host Member State has not been sufficiently genuine to create or strengthen family life and had the purpose of evading the application of national immigration rules’; and ‘The concept of marriage of convenience – which is not protected under Union law – also covers a marriage which is maintained for the purpose of enjoying a right of residence by a family member who is not a national of a Member State.’
It seems clear that these ‘clarifications’ will not be included in the legislative proposal, since the declaration later concludes (emphasis added): ‘These clarifications will be developed in a Communication providing guidelines on the application of Union law on the free movement of Union citizens.’
Let’s examine the planned legislative amendments, then the ‘clarifications’.
The proposed amendments would exclude two separate categories of non-EU citizens from the scope of the citizens’ Directive: those who did not have prior lawful residence in a Member State before marrying an EU citizen who has moved to another Member State; and those who marry such an EU citizen after he or she has moved to a Member State. It’s possible to fall into both categories; the first category will exclusively apply to those who got married while an EU citizen lived in a non-EU state, or those who got married in an EU State even though the non-EU citizen was not lawfully resident there. For these people, national immigration law will apply.
The background to this proposal is CJEU case law. In 2003, in the judgment in Akrich, the CJEU ruled that Member States could insist that non-EU family members had previously been lawfully resident in the Member State concerned (previously no such rule appeared to exist). But in 2008, in Metock, the CJEU overturned this ruling and said that a prior legal residence requirement was not allowed.
Several points arise. First, the basic definition: what is lawful residence exactly? Presumably it means more than lawful presence, ie a stay of three months on the basis of a valid visa or visa waiver. But what about ambiguous cases, such as a pending asylum application or appeal? EU legislation says that asylum-seekers can usually stay until the application fails (if it fails), and then during the appeal (subject to some big exceptions). According to the CJEU, the EU’s main rules on irregular migrants therefore don’t apply to asylum-seekers whose application is pending.
Secondly, it’s odd to refer to national law alone, since sometimes EU law governs the admission of non-EU nationals. Even the UK (along with Ireland) is bound by the first-phase EU asylum law, and by the EU/Turkey association agreement. Denmark is bound by the latter treaty. And all other Member States are bound by the second-phase asylum law, along with EU legislation on admission of students and researchers and some categories of labour migrants (the highly-skilled,seasonal workers and intra-corporate transferees).
Thirdly, it’s arguable that the EU principle of non-discrimination applies. That would mean, for instance, that if a German woman already in the UK married her American husband, the UK would have to treat her the same as a British woman in the same situation – but no worse. This would in fact be relevant to every Member State – there’s nothing in this part of the proposal that limits its application to the UK.
Finally, the consequences of the rule need to be clearer. Does the exclusion from the scope of the Directive mean that the family member is excluded forever from the scope of the citizens’ Directive – even if the person concerned is admitted pursuant to national immigration law? That would mean that national immigration law (or EU immigration legislation, in some cases) would continue to govern issues such as the family member’s access to employment or benefits, or subsequent permanent residence. It’s also not clear what happen to children such as the step-child of the EU citizen, or a child that was born to the EU and non-EU citizen couple while living in a third country.
Could this legislative amendment violate the EU Treaties? In its judgment in Metock, the Court referred almost entirely to the wording of the citizens’ Directive. It mainly referred to the Treaties when concluding that the EU had the competenceto regulate the status of EU citizens’ third-country national family members. But it also referred to the Treaty objective of creating an ‘internal market’, as well as the ‘serious obstruct[ion]’ to the exercise of freedoms guaranteed by the Treaty, if EU citizens could not lead a ‘normal family life’. It must therefore be concluded that there is some possibility that the revised rules would be invalid for breach of EU free movement law.
Would the amendment violate the EU Charter right to family life? That’s unlikely. While the right to family life is often invoked to prevent expulsions of family members, the case law of the European Court of Human Rights gives great leeway to Member States to refuse admission of family members, on the grounds that the family could always live ‘elsewhere’ – as the CJEU has itself acknowledged (EP v Council). There is some possibility, though, that the CJEU would be reluctant to follow that case law (EP v Council concerns families entirely consisting of non-EU nationals) in the context of free movement: the idea that you could go away and enjoy your family life somewhere else is antithetical to the logic of free movement.
As for the ‘clarifications’ in future guidelines, they will of course not be binding. They first of all refer to cases where an EU citizen has moved to another Member State and come back to the home State (known in the UK as the Surinder Singh route). The definition of what constitutes a ‘sufficiently genuine’ move to another country is set out in the case law (three months’ stay with a family member) and mere guidelines cannot overturn this.
It should be noted that the Surinder Singh case law is in any event derived from the Treaty. This line of case law does not accept that such movement between Member States is an ‘evasion’ of national law – as long as free movement rights are genuinely exercised with a family member for a minimum time. The CJEU also usually assumes (see Metock, for instance) that a ‘marriage of convenience’ cannot apply to cases where there is a genuine relationship, even if an immigration advantage is gained. (The Commission has released guidelines already on the ‘marriage of convenience’ concept: see analysis by Alina Tryfonidou here).
Having said that, the planned legislative changes will complicate the plans of people who wish to move to another Member State with their non-EU family and then move back, since national immigration law will apply to their move to the first Member State. It will be important to see how the legislative amendments address the transitional issues of people who have already moved to a host Member State before the new rules apply. Can the home Member State say that those families must now obtain lawful residence in the host State for the non-EU family member, before the non-EU family member can come to the home State?
Criminality and free movement law
The Treaties allow for the refusal or entry or expulsion of EU citizens on ‘grounds of public policy, public security or public health’. The citizens’ Directive sets out detailed substantive and procedural rules on this issue, which has been the subject of considerable CJEU case law.
What would the renegotiation deal do? First of all, the draft decision states that: ‘Member States may also take the necessary restrictive measures to protect themselves against individuals whose personal conduct is likely to represent a genuine and serious threat to public policy or security. In determining whether the conduct of an individual poses a present threat to public policy or security, Member States may take into account past conduct of the individual concerned and the threat may not always need to be imminent. Even in the absence of a previous criminal conviction, Member States may act on preventative grounds, so long as they are specific to the individual concerned.’
To this end, the Commission declaration states that it will: ‘also clarify that Member States may take into account past conduct of an individual in the determination of whether a Union citizen’s conduct poses a “present” threat to public policy or security. They may act on grounds of public policy or public security even in the absence of a previous criminal conviction on preventative grounds but specific to the individual concerned. The Commission will also clarify the notions of “serious grounds of public policy or public security” and “imperative grounds of public security” [grounds for expelling people who have resided for longer periods in a host Member State]. Moreover, on the occasion of a future revision of [the citizens’ Directive], the Commission will examine the thresholds to which these notions are connected.’
It’s not clear whether the revision of the Directive referred to at the end here will be as imminent as the planned proposal to amend the rules on a ‘prior lawful residence’ rule for non-EU family members. Otherwise the plan to issue guidelines is clearly not binding. The language on these guidelines partly reflects the existing law, but some features are new: the greater emphasis on past conduct, the lesser need to show that a threat is imminent and the possibility of expelling someone as a ‘preventative’ measure.
These changes fall within the scope of Cameron’s desire to have ‘stronger measures to deport EU criminals’. However, it should be noted that there is no specific reference to his plans for ‘tougher and longer re-entry bans for foreign rough sleepers, beggars and fraudsters’. While a conviction and re-entry ban for fraud might be covered by the guidelines referred to above, there’s no mention of clarifying entry bans as regards those guidelines, or changing the legislation on this issue. Also, as I noted in my comments on Cameron’s plans at the time, EU legislation does not allow for re-entry bans for rough sleepers and beggars, since the EU citizens’ Directive states unambiguously that a ban on entry cannot be imposed where a person was expelled for grounds other than public policy, public security and public health.
Longer waiting periods for free movement of persons from new Member States
Finally, it should be noted that the draft Decision briefly refers to Cameron’s plan to have longer waiting periods for free movement of persons in future accession treaties. It does not incorporate his suggestion, but merely notes it. However, since the details of each new Member State’s adaptation to EU law are set out in each accession treaty, which has to be approved by each Member State, the UK can simply veto any future accession treaties unless longer waiting periods for free movement are indeed included. The next accession to the EU is at least four years away, probably more. So nothing really turns on the absence of agreement with the UK’s position for now.
Conclusion
How to appraise the planned changes to free movement law? The most fervent supporters of the EU are likely to see some or all of them as a betrayal of the EU’s principles that should never be tolerated. But the departure of a large Member State is liable to do far greater damage to the EU’s integration project than acceptance of these changes ever would.
The changes, if they are all implemented as planned, would fall short of afundamental change in the UK’s relationship with the EU. But equally it is clearly wrong to say that they mean nothing – if in fact they are implemented. The changes would be modest but significant: amendments to three key pieces of EU legislation that would for the first time roll back EU free movement law, not extend it. Leaving aside the calls for non-binding guidelines, there would be cutbacks in in-work benefits (albeit for a limited period), significantly more control on the admission of non-EU family members of EU citizens, and more limited export of child benefit.
The plans not only raise questions of interpretation (although most legislative reforms do that), but of political and legal feasibility: the Commission is willing to propose them and the Member States support two of them, but do Member States support the third proposal – and the UK’s intention to pull the ‘emergency brake’? Will the European Parliament support any of them? Which of them would get past the CJEU? My assessment, as detailed above, is that the amendments on family members will probably be acceptable; the child benefit reforms are an open question; and the changes on in-work benefits are highly vulnerable.
Others may reach a different legal conclusion, of course. And British voters will also be making an assessment not only of the rest of the renegotiation package, but also on the broader pros and cons of EU membership. These changes go nowhere near far enough for the EU’s strongest critics, but much too far for its biggest admirers. Time will soon tell whether the British public believes that they are a reasonable compromise.
Barnard & Peers: chapter 13
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Labels: benefits, Brexit, David Cameron, emergency brake, EU citizenship, EU reform, expulsion,family reunion, free movement of persons, free movement of workers, UK renegotiation
by Steve Peers,
One issue that has arisen in the UK’s renegotiation of EU membership is the procedure for the UK (or other Member States) invoking an ‘emergency brake’ to limit access to in-work benefits by EU citizens. Should a Member State be able to pull the ‘emergency brake’ on its own initiative (perhaps with a requirement to notify the Commission and Council)? Or should it only be able to make a request to that effect, with the Commission and/or Council deciding on whether to authorise it?
The following analysis demonstrates that there is no legal rule which requires that only the Commission and/or Council can authorise a Member State to pull the emergency brake. Therefore it is a matter of political discretion to decide on who should pull it.
Treaty rules
There is no general rule in the Treaty governing the use of Member States’ safeguards and derogations. The possible limits on free movement rules on grounds of public policy et al refer only to decisions by Member States’ governments, although the EU institutions have the power to adopt legislation on these issues. Similarly, the power to disapply EU law in times of war, threat of war or civil disturbance is invoked by Member States; the Treaty only refers in this case to discussions with the Commission, and a possible special procedure before the Court of Justice. (To keep this text readable for non-lawyers, I have put the precise details of all the laws referred to in an annex.)
On the other hand, there are some Treaty Articles which provide for authorisation for Member States’ action by the Commission (as regards higher national standards following internal market harmonisation), or by the Council (to authorise a state aid which the Commission has ruled out, or to permit a tax rule restricting movement of capital to third countries).
The Treaty provisions most directly relevant to social security and immigration of large numbers of people give the final say to Member States. In particular, if a Member State pulls an ‘emergency brake’ to stop EU decision-making on social security for EU citizens exercising free movement rights, there is discussion in the European Council, but the proposal can ultimately be blocked if there is no agreement there among all Member States. The case law of the CJEU implicitly confirms that if Member States wish to restrict the free movement of EU citizens on grounds of public health, they may do so without being subject to an EU control procedure (Bressol). And the power to control the volumes of non-EU citizens coming from third countries to the EU to work rests entirely with the Member States.
In certain cases, the CJEU has insisted upon a Community (EU) control procedure for Member States’ derogations. But those cases apply to circumstances where the EU both has exclusive competence, and there are Treaty provisions relating to the control procedure. In Commission v UK, the Court relied on the 1972 Act of Accession and the exclusive EU competence over fisheries conservation to justify its conclusion that Member States have ‘special duties of action and abstention’ where the Commission has made proposals to the Council which had not yet been adopted, entailing prior Commission approval of Member State action. In its subsequent judgment in Bulk Oil, the Court essentially confined the Commission v UK judgment to its particular facts.
In Donckerwolke, the Court stated that national measures relating to trade with non-EU countries needed Commission approval. Again, though, this was in light of the exclusive EU competence in the area, and in particular of Article 115 EEC (since repealed), which detailed this process. The exclusive EU powers over these two issues can be distinguished from the shared power over the internal market.
Secondary law
The most relevant provisions in EU secondary legislation tend to give power to Member States to trigger derogations, with at most an information and consultation requirement for the EU institutions. Most significantly, the EU citizens’ Directive leaves it entirely to Member States to trigger the exceptions to EU citizens’ access to benefits. The EU’s patients’ Directive (more on that Directive here) allows Member States to limit reimbursement of costs incurred by patients in other Member States, subject only to a requirement to inform the Commission.
Equally the legislation referring to movements of large numbers of third-country nationals reserves power to Member States. The asylum procedures Directive allows Member States to adopt a longer deadline to decide on asylum applications where there a ‘large number’ of applications, without even a notification requirement. Also, Member States alone decide on whether to derogate from the rules on border procedures in the event of a ‘large number’ of applications at the border or in a transit zone.
Under the Directive on reception conditions for asylum-seekers, Member States may adopt different rules where the normal accommodation to be provided is ‘temporarily exhausted’, with no control requirement. And under the Returns Directive, Member States can derogate from some safeguards on immigration detention if there are an ‘exceptionally large number’ of irregular migrants; but they need only inform the Commission of this decision.
Finally, an example from outside the field of immigration, free movement and social security proves that Member States are often given sole discretion to decide on derogations in other fields of EU law too. The working time Directive provides for four categories of derogations. The first three categories are entirely up to Member States’ discretion. The fourth category, which sets out transitional rules for doctors in training which have now expired, set out rules requiring only a Commission opinion before Member States extended the relevant transitional period.
Of course, secondary EU law is required to comply with EU primary law in the Treaties, and so the lack of EU control procedures over derogations would be invalid if it violated the Treaties. But as discussed in the first part, the Treaties set out no general rule on the EU political institutions’ control of Member States’ derogations from EU law. Indeed, in the particular areas of free movement and social security, they expressly leave the power to decide on such measures to Member States. This is, however, without prejudice to the possibility of judicial control (by the national courts and the CJEU) to determine whether most of these national decisions (except for the ‘emergency brake’ on social security decision-making) have been validly exercised.
Annex – Articles in Treaty and legislation referred to
Free movement exceptions: Articles 45(3), 52(1), 62 and 65(1) TFEU
Emergency wartime derogation: Article 348 TFEU
Higher national standards following internal market harmonisation: Article 114 TFEU
State aid authorisation: Article 108(2) TFEU
Tax rule restricting movement of capital to third countries: Article 65(4) TFEU
Social security and free movement of persons: Article 48 TFEU
Volumes of third-country nationals coming to work: Article 79(5) TFEU
Fisheries conservation ruling: Case 804/79 Commission v UK, referring to Article 102 of the 1972 Act of Accession (paras 17, 28 and 31 of the judgment)
Case 174/84 Bulk Oil: para 56
EU competences: Articles 3(1) and 4(1)(a) TFEU
EU citizens’ Directive (Directive 2004/38): Article 24
EU’s patients’ Directive (Directive 2011/24): Article 7(9) and (11)
Asylum procedures Directive (Directive 2013/32): Articles 31(3)(b) and 43(3)
Directive on reception conditions for asylum-seekers (Directive 2013/33): Article 18(9)(b)
Returns Directive (Directive 2008/115): Article 18
Working time Directive (Directive 2003/88): Article 17
by Laura Robbins-Wright (*)
On 15 December 2015, the European Commission published a recommendation concerning a humanitarian admission scheme for Syrian refugees in Turkey. The recommendation follows a June 2015 decision to implement an intra-EU relocation programme and a scheme of resettlement from third countries. The document also builds on an action plan released in October 2015 and a more recent decision to provide €3 billion for a Refugee Facility that will “coordinate and streamline” the provision of humanitarian assistance to Syrian refugees in Turkey. The recommendation calls for a “rapid, efficient and voluntary scheme” for the “orderly, safe and dignified arrival” of these individuals.
Three aspects of the recommendation stand out and merit further analysis.
First, the Commission noted the importance of demonstrating solidarity with Turkey since the country hosts more than 2.2 million Syrian refugees at present. However, though Turkey hosts the largest absolute number of Syrian refugees, Jordan and Lebanon bear the greatest (relative) responsibility for these refugees. Indeed, whereas Syrian refugees comprise approximately 3 per cent of the total population of Turkey, they make up roughly 10 percent of the population of Jordan and more than 20 per cent of the population of Lebanon. Nevertheless, the recommendation to offer humanitarian admission to refugees from Turkey is perhaps to be expected given that the EU shares a border with Turkey and thousands of refugees have attempted the perilous journey across the Aegean into Greece. Furthermore, Turkey is a candidate for accession to the EU, while Jordan and Lebanon are simply considered to be part of the broader ‘European neighbourhood.’ Though negotiations on Turkish accession opened in 2005 and have proceeded slowly since then, the European Union and Turkey may be in the process of forging a new and more cooperative relationship in migration that could enhance refugee protection and “re-energize” these complex discussions.
Second, the recommendation also emphasises the voluntary nature of participation in the proposed scheme. The Commission indicated that all Member States, plus members of Schengen, are welcome to join the humanitarian admission programme. This approach is consistent with some of the previous intra-EU relocation efforts – namely EUREMA I and II. The decision to offer Member States a choice in participating in this programme is not especially surprising given the challenges the Commission faced in securing the agreement of some Member States on national quotas for the intra-EU relocation programme proposed last summer. In that context, recent media reports indicate that EU Migration Commissioner Dimitri Avromopoulos has acknowledged that “relocation does not work.” This statement is supported through data released on 20 January, 2015 which demonstrate that Member States pledged just over 4,200 places (as opposed to the Commission’s target of 160,000 places) and only 331 individuals have been relocated from Greece and Italy to date.
From a normative perspective, the desire to demonstrate international solidarity aligns with the principle of international cooperation outlined in the preamble to the 1951 Convention. However, this voluntary approach – combined with a clear lack of enthusiasm for the most recent relocation scheme – raises the age-old question of whether the European Union can truly achieve a cohesive approach to humanitarian protection.
Finally, the recommendation is notable for its strategic approach, as embodied in the desire to achieve a “sustainable reduction” in irregular migration from Turkey to the European Union. Since 2003, the United Nations High Commissioner for Refugees (UNHCR) has attempted to reframe resettlement as a strategic instrument for protection that emphasises the direct and indirect benefits of resettlement for refugees, host countries, receiving countries, and the international refugee protection regime. However, the organisation also recognised the importance of ensuring that such programmes do not create a “pull factor” for further migration. The UNHCR suggested that this can be achieved by establishing “clear and transparent” selection criteria. In this case, the Commission has proposed that only those who registered their presence with Turkish officials prior to 29 November, 2015 will be eligible for humanitarian admission. The Commission also recommends that participating countries assess why the individual fled Syria and examine their vulnerability and potential family ties within the European Union, among other criteria.
Though managing this humanitarian admission programme in a strategic manner could encourage Turkey to continue welcoming asylum seekers and also enable some Syrians to benefit from international protection, there are questions as to how Turkey will seek to manage ongoing arrivals. Furthermore, the UNHCR has noted that the decision to offer a durable solution to certain refugees can potentially create “bitterness and resentment” among ineligible groups, particularly in cases where these groups do not have access to effective protection in the host country. This raises questions about how the prospective decision to offer humanitarian protection to Syrian refugees will be perceived by the tens of thousands of Afghan, Iranian, and Iraqi refugees who have long resided in Turkey and may be obliged to wait up to 10 years for a decision on their respective applications for protection.
Though the recommendation offers clear operational guidelines, it does not indicate how many refugees can or should be offered protection through this proposed scheme. Instead, the Commission notes that the number of individuals offered admission should be determined according to UNHCR processing capacity, the number of displaced persons in Turkey, and the impact of efforts to reduce irregular migration to Turkey (a measure that has attracted criticism from the European Council on Refugees and Exiles). Furthermore, the Commission has recommended that participating Member States admit those granted subsidiary protection in an “equitable” manner. However, given the aforementioned challenges the Commission faced in securing Member State agreement on quotas for the intra-EU relocation programme, this could prove more difficult than anticipated. Overall, it remains unclear whether this humanitarian admission programme – if adopted – will have a meaningful impact on the substantial number of Syrian refugees residing in Turkey at present.
EXECUTIVE SUMMARY OF A STUDY FOR THE EUROPEAN PARLIAMENT LIBE COMMITTEE (Full study – 128 pages-accessible HERE)
Authors: Dr Sergio CARRERA , Prof. Elspeth GUILD, Dr Ana ALIVERTI, Ms Jennifer ALLSOPP ,Ms Maria Giovanna MANIERI, Ms Michele LEVOY
The ongoing ‘asylum crisis’, with the tragic experiences and loss of lives among people trying to reach and cross the EU’s external borders, has been the catalyst for renewed EU policy efforts to address the issue of irregular migration and people smuggling in the scope of the European Agenda on Migration.
The issue of facilitating the entry, transit and stay of irregular migrants has been politicised at the EU’s internal borders and within Member States during the course of 2015. While migrants remain in transit in areas such as Calais, Ventimiglia and the Serbian-Croatian border, often seeking out the services of smugglers to cross into neighbouring states to reunite with family members or fulfil a personal migration goal, humanitarian actors seek to respond to their human rights and needs in an increasingly ambiguous, punitive and militarised environment. Within many EU Member States, the backdrop of austerity and cuts to public services has placed local authorities and civil society actors in a difficult position as they seek to respond to the basic needs of new and established migrants.
In the EU Action Plan against migrant smuggling (2015-2020) (COM(2015) 285), the Commission noted that it would ensure that appropriate criminal sanctions are in place while avoiding the risks of criminalising those who provide humanitarian assistance to migrants in distress. Accordingly, the Commission has at least implicitly acknowledged the inherent tension between assisting irregular migrants to enter, transit and remain in EU Member States and the real risks this poses to those who provide humanitarian assistance of being subject to criminal sanctions.
This tension between the criminalisation of people smuggling and those providing humanitarian assistance is a by-product of Council Directive 2002/90/EC of 28 November 2002 defining the facilitation of unauthorised entry, transit and residence (the Facilitation Directive) and the Council Framework Decision implementing it – collectively known as the ‘Facilitators’ Package’. The tension arises because the Facilitators’ Package seeks to compel Member States to provide criminal sanctions for a broad range of behaviours that cover a continuum from people smuggling at one extreme to assistance at the other, but it does so with a high degree of legislative ambiguity and legal uncertainty.
The implementation of the Facilitators’ Package has been said to face a number of key challenges. There is, however, a lack of on-the-ground information about the multilayered effects of the practical implementation of the Facilitation Directive on irregular migrants and those providing assistance to them. This study aims to address this gap by providing new knowledge on this issue, while also identifying areas for further research. It provides a comprehensive understanding of the implementation of the humanitarian exception provisions of the Facilitators’ Package and their impact on irregular migrants, as well as the organisations and individuals assisting them in selected Member States.
The study finds a substantial ‘implementation gap’ between the UN Protocol against the Smuggling of Migrants by Land, Sea and Air (referred to as the UN Smuggling Protocol) and the international and EU legal frameworks on people smuggling. Chiefly, the latter differs from the UN Protocol in three main ways: i) the extent of the inclusion and definition of an element of “financial gain” in the description of facilitation of irregular entry, transit and stay; ii) the inclusion of an exemption of punishment for those providing humanitarian assistance; and iii) the inclusion of specific safeguards for victims of smuggling. As a result of the discretionary powers granted to Member States in the implementation of the Facilitators’ Package, the study further finds variation in the way in which laws are implemented in the national legislation of selected Member States. This results in legal uncertainty and inconsistency, and impacts on the effectiveness of the legislation.
An analysis of available statistics coupled with an in-depth analysis of court cases in selected countries involving the criminalisation of facilitation and humanitarian assistance reveals that qualitative and quantitative data on the prosecution and conviction rates of those who have provided humanitarian assistance to irregular migrants is lacking at the national and EU level. We can therefore identify a significant knowledge gap regarding the practical use and effects of the criminalisation of entry, transit and residence. Domestic court cases in selected EU Member States offer anecdotal evidence that family members and those assisting refugees to enter have been criminalised. Meanwhile, domestic developments in Greece and Hungary suggest that these laws are being applied with renewed rigour but with minimal monitoring of the direct or indirect impact on humanitarian assistance. Irrespective of the actual number of convictions and prosecutions, the effects of the Facilitators’ Package extend beyond formal prosecutions and the number of criminal convictions.
Drawing on primary evidence from an online survey, the study demonstrates that, in addition to direct and perceived effects, the Facilitation Directive has profound unintended consequences (or indirect effects) that have an impact not just on irregular migrants and those who assist them, but also on social trust and social cohesion for society as a whole. Some civil society organisations fear sanctions and experience intimidation in their work with irregular migrants, with a deterrent effect on their work. They similarly highlight the lack of EU funding to support the work of cities and civil society organisations providing humanitarian assistance to irregular migrants. Moreover, we find widespread confusion among civil society practitioners about how the Facilitation Directive is implemented in their Member State, which can lead to misinformation and ‘erring on the side of caution’, thereby compromising migrants’ access to vital services. This is especially true in the context of the current migration crisis, where everyday citizens are obliged to volunteer vital services in the absence of sufficient state provision. This confusion stems in part from a lack of coordination between local and national authorities regarding implementation of the Facilitation Directive.
In certain Member States, the implementation of the Facilitation Directive is perceived to contribute to the social exclusion of both irregular and regular migrants and to undermine social trust. Shipowners report that they feel poorly supported by Member States and are ill placed to help irregular migrants at sea.
In light of the above considerations, the study formulates the following policy recommendations to the European Parliament:
Recommendation 1: The current EU legal framework should be reformed to i) bring it into full compliance with international, regional and EU human rights standards, in particular those related to the protection of smuggled migrants; ii) provide for a mandatory exemption from criminalisation for ‘humanitarian assistance’ in cases of entry, transit and residence; and iii) use the financial gain element and include standards on aggravating circumstances in light of the UN Smuggling Protocol. Clarity and legal certainty should be the key guiding principles of this legislative reform.
Recommendation 2: Member States should be obliged to put in place adequate systems to monitor and independently evaluate the enforcement of the Facilitators’ Package, and allow for quantitative and qualitative assessment of its implementation when it comes to the number of prosecutions and convictions, as well as their effects.
Recommendation 3: EU funding should be made available for cities and civil society organisations to address the human rights, destitution and humanitarian needs of irregular migrants.
Recommendation 4: Firewall protections should be enshrined for irregular migrants to allow them to report human rights abuses and access public services without fear that they will immediately be reported to immigration authorities.
ORIGINAL PUBLISHED ON EU Immigration and Asylum Law and Policy Blog on 28 ThursdayJan 2016

By Daniel Thym, Universität Konstanz
Borders are a place of great symbolic importance and are deeply enshrined in our cultural memory. Most of us first encountered them in school where we got to know borders as fine black lines on maps separating countries. They appeared, thus, as a quasi-natural basic structure giving us orientation. It does not come as a surprise, therefore, that political debates often invoke national borders as a place where a solution to the ongoing refugee crisis could be found. Sweden recently stepped up controls through reinforced carrier sanctions. Last week, Austria introduced an upper limit on the number of refugees, while support for a potential Plan B gathered momentum in Germany.
To be sure, nothing has been decided yet. Even the numerical upper limit imposed by Austria remains a political guideline (‘Richtschnur’) whose method of implementation remains to be determined. German politicians still hope for a pan-European solution with intergovernmental consultations between Turkey and Germany signalling that the government remains confident that international cooperation may yield results. This is Merkel’s Plan A which I described in a post three months ago: effective migration management at European level is the favoured solution.
Yet, the chancellor keeps emphasising that the number of refugees must be reduced noticeably (‘spürbar zu verringern’). If that fails, the political pressure to move towards a national solution may prove irresistible. Political observers identify late spring as a potential turning point. In late spring, the number of sea arrivals is expected to increase again due to weather conditions, regional elections in Baden-Württemberg and Rhineland-Palatinate with a combined population of 15 million people may have signalled widespread popular unease and the Austrian upper limit for this year will be reached around the same time. The most symbolic expression of a Plan B would be the rejection of asylum seekers at the border, the legal implications of which will be discussed below.
Plan B: Loss of Trust in a European Solution
The activation of a Plan B presupposes the failure of a Plan A. That is why the renewed emphasis on national solutions should start alarm bells ringing in Brussels and across Europe. As described earlier on this blog, the Plan A focuses on a pan-European solution through hotspots, relocation, enhanced external border controls and cooperation with Turkey – and the EU institutions have done their best to move in this direction. New policies have been set up, often within weeks. But what worked well on paper all but flopped in practice. Representatives of local municipalities across Sweden, Germany and Austria that often had to set up accommodation centres for hundreds of people within days will feel mocked when reading the latest state of play about relocation or hotspots. They do not work despite massive financial and administrative support.
Of course, the EU institutions cannot be expected to single-handedly follow the desire of countries such as Germany, Austria, Sweden, Denmark, the Netherlands or Slovenia who jointly represent not even 30 % of the EU’s citizenry. Yet, they cannot ignore their political opposition either, not least since these countries welcome and accommodate the overwhelming majority of refugees. Without their support, the Common European Asylum System would collapse. Indeed, politicians have recently increased the pressure. Dutch Prime Minister Mark Ruttetold the European Parliament last week: ‘We’re running out of time. We need a sharp reduction in six to eight weeks.’
Against this background, the Austrian decision to designate an official upper limit, whose implementation has been postponed for the moment, can be perceived as a warning shot. In an interview with the Frankfurter Allgemeine Zeitung, theAustrian Foreign Minister Sebastian Kurz made clear that other countries should be aware of what is at stake: ‘The problem in recent months has been that the situation was fairly comfortable for many countries… We should not be surprised that Greece does little to protect the external borders for as long as refugees are transported, often with active EU support, to the Macedonian border within hours.’ That is certainly an exaggeration, but it signals that participants are getting nervous and that much is at stake
The Symbolic Climax: Closure of National Borders
What would a ‘Plan B’ look like? Closer inspection of the Austrian policy documentagreed upon last week and related policy debates in Germany show that it would almost certainly consist of a mix of diverse measures. The most drastic and symbolic step would be to reject asylum seekers at the border. This may happen unilaterally at the German-Austrian or the Austrian-Slovenian border, but it could also be organised plurilaterally in a sort of de facto ‘Mini-Schengen’, as reported by Der Spiegel, on the basis of joint German-Austria-Slovenian border control operations, possibly together with Croatia.
The immediate impact of such a step, the legal implications of which will be discussed below, would be a ‘domino effect’ with more and more states closing their borders along the Balkan route, thereby creating a backlog of refugees.Macedonia, in particular, prepares for closing its border with Greece, thereby effectively cutting Greece out of the Schengen zone – a step the Austrian Interior Minister threatened officially. Noticeably, the Austrian policy plan instructs contingency planning for movements relocating westwards towards Italy and the alpine internal Schengen border on the Brenner pass. Let me be clear: I am not supporting a border closure, but rather attempting to give international readers an impression of what more and more people in central Europe are calling for.
An official border closure would move a decisive step beyond temporary border controls which had been reintroduced temporarily by both Austria and Germany last autumn. At present, controls function primarily as an ordering mechanism to manage asylum applications and to relocate refugees among municipalities. To this date, Germany does not reject anyone applying for asylum (although it started sending back those who do not wish to do so in Germany), while most other countries along the Balkan route continue the policy of ‘waving through’criticised by heads of state last autumn.
Within Germany, the current practice of allowing asylum applications at the border is often castigated for being illegal, including by the former president of the constitutional court Hans-Jürgen Papier and by a legal expert opinioncommissioned by the state of Bavaria. Although this position does not withstand legal scrutiny, it has a tangible effect on domestic debates. This is a dangerous development, since it undermines normative power of supranational law in domestic debates. It also ignores legal arguments, grounded in EU law, which could possibly be used to justify the rejection of asylum seekers at the border. Their interpretation may soon present the doctrinal mirror image of political debates about how to respond to a de facto collapse of the Schengen area.
The Legal Picture: (De-)constructive Ambiguity
A crucial difference between a purely national safe third country-rule and the pan-European Dublin system concerns rejection at the border. In a purely national system, Germany could refuse entry to anyone coming from a safe state (such as Austria) in line with Article 16a(2) of the German Constitution, while the Dublin III Regulation rejects unilateral negative decisions. The recitals of theoriginal Dublin Convention highlighted the objective to prevent applicants from being ‘referred successively from one Member State to another without any of these States acknowledging itself to be competent.’
Instead of unilateral rejections, states are expected to coordinate their behaviour. Most readers will know that Germany and Austria will not usually have jurisdiction under the Dublin rules. Instead, they may return asylum seekers to the state of first entry, namely Greece, Croatia or Hungary – although cooperation does not function at the moment. This entails that Germany and Austria must step in on behalf of others. That may partly be the outcome of the ‘welcome culture’ promoted by Germany and Austria last autumn, but this does not unmake the frustration prevailing among politicians and citizens: domestic policy options are legally curtailed by a system that does not work.
Does that mean that Germany and Austria have no option but to stick to the status quo? Closer inspection of the broader legal context of EU law shows that one could possibly justify a rejection at the border, at least temporarily. Firstly, states can reject those who do not want to claim asylum in the state they are trying to enter. In the absence of an asylum application, the Dublin III Regulation does not apply and border guards can refuse entry in line with Article 13 Schengen Borders Code – a practice the German border police has stepped up in recent weeks with more than 2000 rejections this year.
Secondly, one could argue that the term ‘border’ in Article 3 of the Asylum Procedure Directive designates external Schengen borders only, since the legislature had in mind the regular functioning of the Schengen and Dublin systems (along similar lines, the Commission argued at some point that border procedures under Article 43 of the same Directive only concern external borders). Without an option to apply for asylum at the border, states could legally reject entry to potential refugees. Their rights would not be diminished, since asylum applications can be made in the neighbouring state. A similar outcome could be justified under recourse to Article 20(4) Dublin III Regulation.
Thirdly, the Austrian government often highlights Article 72 TFEU on the maintenance of law and order (French: ordre public) and the safeguarding of internal security to justify at least a temporary suspension of the Dublin regime mirroring CJEUcase law on similar internal market rules. There are important counterarguments, including more specific public policy rules in secondary legislation, which may have to be interpreted generously in order to comply with the prescription of Article 72 TFEU in primary law. In the absence of case law, it is difficult to predict the outcome of corresponding disputes. The provision, therefore, lends the Austrian position some legal authority.
Fourthly, the German government promotes Article 3(3) of the Dublin III Regulation according to which states ‘shall retain the right to send an applicant to a safe third country’, although this shall occur ‘subject to the rules and safeguards laid down in Directive 2013/32/EU.’ The provision is undoubtedly meant to apply primarily vis-à-vis third countries, such as Serbia, and it also stipulates that procedural safeguards under the said Directive must be complied with. But it could be argued that the reintroduction of border controls together with the systemic collapse of the Dublin system along the Balkan route leaves Germany in a de facto external borders scenario vindicating the reactivation of the domestic safe third country-rule towards Austria, also taking into account Article 72 TFEU.
Finally, one could try to justify the same outcome beyond the confines of the supranational legal order by arguing, together with Kay Hailbronner, that international law-style reciprocity applies within the EU legal order, at least in situations of systemic collapse – a position the CJEU rejected on an earlier occasion, although it is legally cogent from the perspective of public international law. The same can be argued on the basis of domestic constitutional law by activating the constitutional caveats established by the German Constitutional Court in the infamous Lisbon judgment, which the expert opinion for the Bavarian state governments mentions as a potential justification.
Migration Policy and Legal Arguments
It is evident that none of the legal arguments presented above is beyond doubt. To the contrary, they remain doctrinally unstable and can be contested on various grounds. It may be precisely this ambiguity, however, that may prove constructive in the current scenario, since it gives governments in central Europe some options to respond to the unfortunate situation within the confines of the supranational legal order. This may prevent an outright rejection of compliance with Union law in central Europe, although some of my colleagues are promoting such openly anti-European behaviour.
One should also bear in mind that legal arguments are difficult to defend at this juncture for the simple reason that we are confronted with a systemic disrespect for the EU asylum acquis in many Member States. The most evident case is, of course, the Dublin system. NGOs will find it hard to pushthe Austrian and the German governments to comply with a regulation they have fought against for years. If we want our governments to comply with supranational rules, we have to ensure that transnational cooperation works again. The EU acquis must be applied in all Member States.
In order to avoid misunderstandings, I should underline that none of the above is meant to abrogate from the obligations of states under the Geneva Convention or the ECHR. We should be careful, however, not to misrepresent their meaning, since the Geneva Convention, in particular, is in essence about the prohibition of refoulement – not about the free choice of the country in which to apply for asylum. Recital 4 rightly reminds states that a ‘satisfactory solution cannot be achieved without international cooperation.’ It is this cooperation that is not working in Europe.
It may be good news, therefore, that the Commission may soon propose afundamental recast of the Dublin rules which may embrace the proactive designation of the Member State responsible after first entry. If that initiative fails, the CEAS could fall apart sooner rather than later. In the meantime, it may prove beneficial that the provisions discussed above could grant the governments of central Europe some leeway for national responses which could build a bridge until the successor to Dublin is functioning. Otherwise, inter-state borders in Europe will again be much more than fine black lines on maps. The picture post-Dublin would be a return to a world pre-Schengen.
by Kees Groenendijk (Professor Emeritus, Radboud University Nijmegen) and Steve Peers
In recent days, several EU and non-EU countries have been in the news for taking asylum-seekers’ assets upon arrival. Is this compatible with EU law? We examine first of all national practice, then the legislative history of the relevant EU rules, then reach our conclusions.
Denmark
In November 2015 the Danish government presented among a catalogue of 34 measures to discourage people from seeking asylum in Denmark, to introduce the possibility to confiscate cash, jewellery and other assets of asylum seekers in other to make them contribute in the costs of their reception. They proposal caused heated debate after a Minister suggested that wedding rings could be also confiscated. In January the Social-Democratic Party voiced that it would only support this proposal of the centre-right minority government, only assets above 1,340 euro could be confiscated. The new law is to be voted on 26 January.
Similar practices or rules are to be found in the national law of other Member States.
Switzerland, only few asylum seekers concerned
According to Dutch newspapers, Swiss legislation requires asylum seekers who enter the country with more than 1,000 Swiss francs have report and hand over the surplus to the Swiss authorities. The rule only covers money, not other valuables such as personal jewellery. Of the 45,000 asylum seekers coming to Switzerland in 2015, only 112 had to hand in a surplus, totalling around € 150,000 that year. Not really an impressive amount. Most asylum seekers, apparently, do not carry large amounts of money, once they arrive in Western Europe. Besides, under Swiss law beneficiaries of protection with income from employment, have to pay 10% of that income to contribute to reception costs during ten years.
Germany, an old practice?
The German legislation on reception of asylum seekers, theAsylbewerberleistungsgesetz, provides, already many decades that asylum seekers can be forced to contribute from their own assets and income to the cost of their reception. Asylum seekers have to declare their assets and income. The rules for applicant for public social assistance are applicable. From the assets only 200 euro and the goods necessary for exercising a profession or employment are exempted (§ 7(5) of the law). According to newspaper reports the actual application of the law may differ considerably between the Länder. In certain Länder or cities the police may search the luggage of asylum seekers in other places asylum seekers may just be asked to report about their assets.
Netherlands, only contributions from income not from assets
The Junior Minister for Immigration recently told the press that that he was not going to follow the Danish and German example and force asylum seekers to hand over small amounts of cash and jewellery. His spokesman explained this is not on the agenda right now, since we do not expect that it will reduce the influx.” (Volkrant 23 January 2016)Already for decades asylum seekers in the Netherlands if lawfully employed (only possible after six months and until an asylum status is acquired for 24 weeks per year only) have to pay the surplus above 185 euro of his monthly income as a contribution in reception costs.
Compatible with EU law?
Are such rules and practices on seizure of assets in order to contribute in reception costs compatible with EU law, and especially with the Reception Conditions Directive2013/33? We do not deal here with the question whether such confiscation of valuables and jewellery is compatible with Article 1 of the First Protocol and Article 8 ECHR.
The relevant provisions are to be found in Article 17(3) and (4) of the 2013 recast Reception Conditions Directive, reading:
“3. Member States may make the provision of all or some of the material reception conditions and health care subject to the condition that applicants do not have sufficient means to have a standard of living adequate for their health and to enable their subsistence.
If it transpires that an applicant had sufficient means to cover material reception conditions and health care at the time when those basic needs were being covered, Member States may ask the applicant for a refund.”
Identical provisions were already present in Article 13(3) and (4) of the originalReception Conditions Directive 2003/9. They returned unchanged in the 2013 recast of the Directive. In order to understand those provisions it may be useful to have a short look at their legislative history. The various drafts are set out in more detail in the Annex, but we will summarise them here.
Legislative history of EU rules on financial contributions by asylum seekers
The Commission in its proposal for the original 2003 Directive (COM(2001)181) inserted an Article 19 on financial contributions. Member States could require applicants who can afford to do so to contribute to the cost of their material reception conditions. The relevant decisions should be taken individually, objectively and impartially and reasons shall be given. An effective judicial remedy against such decisions should be available, making explicit reference to Article 47 EU Charter.
During the first negotiations on this Article reaction eight Member States made proposals for amendments. Six Member States proposed to refer to “the general principle of the real need of the applicant, which would lead to entitlement to material benefits” (document 11320/01, p. 33). Germany proposed that “some of the applicant’s income should be protected in all cases”. That proposal only covered the asylum seeker’s income. But it implied that all the income above a certain threshold could be seized by a Member State. The Netherlands made a similar proposal linking the asylum seeker’s contribution to his income: “if the applicant has a certain income, a contribution may be asked of him to cover some or all of the costs”. Both proposals intended to regulate a possibly contribution in reception costs, but did not include the asylum seekers’ assets as an object of seizure.
In January 2002 the text of Article 19 was consolidated with two other Articles in a new Article 18, entitled ‘Financial means test’ (document 5300/02). The Dutch proposal, concerning contribution out of income from employment was included. The German proposal, implying that a Member State could seize all income above a certain fixed threshold, did not find its way in this and later versions of provisions on financial contributions by asylum seekers. During the negotiations in February 2002 this Article was considerably shortened (a.o. replacing the general means test by the condition that the applicants do not have sufficient means to cover their basic needs, and deleting the reference to income from employment) and it was renumbered Article 17 (document 6253/02). Only three Member States made suggestions: Portugal and Greece pleaded for more reduction of the reception conditions, once an asylum seeker or his family member had been allowed access to the labour market. Germany proposed to integrate Article 17 in the general Article on material reception conditions.
Early March 2002, the Asylum Working Party examined the amended proposal based on drafting suggestions from the Spanish Presidency (document 6906/02). Parts of the former Article 17 were now included in Article 13, apparently following German suggestion.
In April 2002 on suggestion of Germany the words “and health care” were added in par. 3 of Article 13. Moreover, the words “for example if they have been working for a reasonable period of time” were added in par. 4, re-introducing an explicit link with participation in the labour market again (document 7802/02). This version of Article 13 of the amended proposal was accepted by Coreper and by the Council in 2002 and became part of the Directive adopted with unanimity on 27 January 2003.
In addition, the 2013 recast Directive now states that Member States can refuse or withdraw benefits if asylum-seekers have ‘concealed financial resources’ (Article 20 of the 2013 Directive). The CJEU, in its CIMADE and GISTI judgment, has ruled that Article 20 sets out an exhaustive list of grounds for reducing or withdrawing benefits.
Analysis
If this legislative history is combined with the general principles of EU law and the EU Charter, we conclude:
(1) The issue of financial contributions by asylum seekers in material reception costs from their own means was been discussed repeatedly during the negotiations on the Directive.
(2) This issue was discussed repeatedly also in relation to the access of asylum seekers to the labour market in the Member State and the income derived from such employment.
(3) The Directive allows Member States to impose a means test for access to material reception conditions, but this does not entail confiscation of assets.
(4) Since (a) the issue of financial contributions by asylum seekers in material reception costs is covered by the directive and (b) the Directive sets out minimum standards in order to avoid second movements between Member State (recitals 7 and 8), Member States are not allowed to apply less favourable rules only more favourable rules (see recital 15); the Court of Justice repeatedly held that Member States cannot introduce other conditions than those provided for in the EU Directive or Regulation, see the judgments in Ben Alaya, Koushkaki and Air Baltic. Also, by analogy with the CIMADE and GISTI ruling, the grounds in the Directive to refuse or regulate access to benefits are surely exhaustive.
(5) Article 13(3) allows Member States to make the grant of material reception conditions and health care subject to the condition that applicants do not have sufficient means to have a standard of living adequate for their health and to enable their subsistence. It follows that such decision to exclude an asylum seeker from material reception conditions can only be made after the Member State first has established that applicants have sufficient means to have a standard of living adequate for their health and to enable their subsistence in the Member State. In accordance with the general principle of proportionality in EU law, it is questionable whether a Member State could refuse any access to the benefits system, just because an asylum-seeker has a small amount of cash or valuables. Access should only be refused where the applicant either has an ongoing alternative source of funds, or the asylum-seeker has so much wealth that he or she could live off it for a considerable period of time.
(6) Article 13(4) allows Member States to require applicants to contribute to the cost of the material reception conditions and of the health care, when the applicants have sufficient resources. The conditions of paragraph 3 explicitly apply here as well. The Commission with regard to Article 19 of its proposal rightly stated: “Decisions on applicants’ contribution should be taken individually, objectively and impartially and reasons must be given if they are negative in order to make possible their review as accurate as possible.”
While, in the final version of the Directive this clause applies to the reduction or withdrawal of benefits, not the obligation to contribute toward costs, the general principles of EU law still require that national administrative decisions linked to EU law must be fair (see the CJEU’s YS and M and S ruling on asylum procedures, discussedhere; and the Mukarubega and Boudjliba judgments on the return of irregular migrants, discussed here). This means that any decision on asylum-seekers’ contributions has to be an individual decision giving reasons, taking into consideration the individual situation of each asylum seeker.
Such decisions must also comply with other general principles of Union law, in particular the principle of proportionality, which means that any confiscation of property must be necessary to achieve a genuine government end. It is hard to see how it is necessary to confiscate property when a less severe measure (delaying or curtailing benefit payments by an equivalent amount, in accordance with the rules on a means test) could achieve the same objective. Again, the principle suggests that asylum-seekers should only be required to contribute where applicants either have an ongoingalternative source of funds, or have so much wealth that they could live off it for a considerable period of time.
It must also be possible to challenge any decision made by a national authority on confiscation, in accordance with Article 47 (the right to an effective remedy) of the EU Charter of Fundamental Rights.
(7) In conclusion: a national rule allowing authorities to confiscate all means of an asylum seeker above a fixed amount, irrespective of the individual circumstance on the grounds mentioned in point 4 and 6 above is not compatible with Union law.
(8) Of course, Denmark and Switzerland are not bound by the Directive, Denmark because of its opt-out and Switzerland because it is not a Member State. Ireland opted out as well. But all other Members State are bound by Directive 2013/33 and the UK is opted in and is bound by the original Reception Conditions Directive 2003/9.
Barnard & Peers: chapter 26
JHA4: chapter I:5
Photo: Danish police officer and asylum-seeker
Photo credit: www.channelnewsasia.com
Annex
Legislative history of Article 13(3) and (4) of Directive 2003/9 = Article 17(3) and (4) of Directive 2013/33 on financial contributions by asylum seekers in reception costs
In the Commission’s proposal for the original 2003 Directive COM(2001)181 there was a separate Article 19 reading:
Article 19
Financial contribution
their material reception conditions or to cover it. Decisions to provide material reception conditions not free of charge shall be taken individually, objectively and impartially and reasons shall be given.
The Explanatory Memorandum to this Article 19 read:
“This Article concerns the financial contribution applicants for asylum may be asked to provide if they are provided with material reception conditions.
(1) This paragraph allows Member States to require applicants who can afford it to contribute to the cost of their material reception conditions. The purpose is to meet the Council’s concern regarding the requirement of “inadequate” resources of the applicants for asylum. In any case Member States should ensure that applicants for asylum have the possibility of being housed as even applicants with sufficient financial means might find it impossible to find suitable housing. Decisions on applicants’ contribution should be taken individually, objectively and impartially and reasons must be given if they are negative in order to make possible their review as accurate as possible.
(2) In conformity with the Charter of fundamental rights (Article 47) and in line with the case law of the Court of Justice, this paragraph ensures that the decisions taken according to paragraph 1 can be reviewed by a judicial body (including an administrative judicial body such as the Conseil d’Etat in France) at least in the last instance.”
The first reaction of Member States on this Article was in document 11320/01, p. 33:
“D/E/NL/P/S and UK: reference should be made to the general principle of the real need of the applicant, which would lead to entitlement to material benefits.
D: some of the applicant’s income should be protected in all cases.
NL: stipulate that if the applicant has a certain income, a contribution may be asked of him to cover some or all of the costs.
D and UK: establish a general principle laying down that Member States may decide whether or not the applicant requires material benefits.
L and A: make provision for the case in which an applicant is invited to stay in the territory of a Member State by a national who, if applicable, has served as guarantor for the purpose of obtaining a tourist visa. In this case, it should be possible to call on the national to contribute to the costs.
A: reservation on the second sentence in that it creates an obligation to notify these decisions in writing.
3 A and S: reservation on the financial aspects of legal assistance.
D and UK: a general provision on forms of appeal at the beginning of the Directive should be sufficient.
In January 2002 the text of Article 19 was consolidated in a new Article 18, consolidating several provisions of the proposal (document 5300/02):
“Article 18 (consolidating Articles 14 bis, 15(4) and 19)
Financial means test
as well as the requirement that applicants and their accompanying family memberscover or contribute to the cost thereof, subject to a financial means test of applicants andtheir accompanying family members in accordance with the provisions of this Article.
reasonable period after applicants or their accompanying family members commence anemployment activity in accordance with Article 13, applying the test established inparagraph 1.
the measures provided for in paragraphs 1 and 2 when it is confirmed that they havesufficient means.
reasons shall be given.”
In February 2002 this Article was considerably shortened (a.o. deleting the means test and the reference to income from employment) and renumbered as Article 17, reading together with the footnote by Member States and the Commission (document 6253/02):
“Article 17 (formerly 18)1
Financial means criteria
when material reception conditions were being provided, then Member States may ask these to refund.2
reasons shall be given. 3
1 D : this provision should be placed at the end of Article 15.
2 P, supported by EL, suggested adding the following :
“3. Member States may also reduce or withdraw material reception conditions within a reasonable period after applicants and their accompanying family members have been allowed access to the labour market in accordance with Article 13, applying the test established in paragraph 1.
States shall grant them the food allowance mentioned in Article 8 and access to basic social care.”
(present paragraph 3 would become 5).
3 Cion : reinsert a paragraph which was included in 12839/01 ASILE 49 (former Article 14A(6)) :
“Member States shall ensure that before the decisions referred to in paragraph 2 are notified to the applicants for asylum [and their accompanying family members] the other Articles of Chapter III of this Directive are applied”.
At its meeting on 5 and 6 March 2002, the Asylum Working Party examined the amended proposal based on drafting suggestions from the Spanish Presidency, document 6906/02. Parts of the former Article 17 were now included in Article 13, apparently following the suggestion made before by Germany with regard to that former Article 17.
Article 13
General rules1
Member States shall ensure that standard of living is met in the specific situation of persons who have special needs, in accordance with Article 17, as well as in relation to the situation of persons who are in detention.
reception conditions and of the health care provided for in this Directive, pursuant to the provision of paragraph 3, when the applicants have sufficient resources.
Where Member States provide material reception conditions in the form of allowances or vouchers, their amount shall be set in accordance with the principles set for in this Article.
1 A : a general rule providing for exceptions to be applied by Member States in extraordinary situations should be introduced.
2 B, D, F and P : the term “well-being” is s too vague and should be defined.
NL, S, UK : say “to enable their subsistence” instead of “to have a standard of living adequate for their health and well-being”.
In April 2002 on suggestion of Germany the words “and health care” were added in par. 3. Besides the words “for example if they have been working for a reasonable period of time” were added in par. 4, introducing an explicit link with participation in the labour market again (document 7802/02).
This version of Article 13 of the amended proposal was accepted by Coreper and by the Council. It became part of the Directive adopted on 27 January 2003
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Programme and information leaflet for the Odysseus Network’s First Annual Conference: “Searching for Solidarity in EU Asylum and Border Policies”
The Odysseus Academic Network is proud to present the programme for the Network’s First Annual Policy Conference, “Searching for Solidarity in EU Asylum and Border Policies”, in cooperation with the Migration Policy Centre of the European University Institute.
For more information, and to download a PDF of this leaflet, go to http://odysseus-network.eu/omnia-annual-policy-conference/ |
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by P. de Bruycker et D. Watt (Odysseus Omnia), H. Labayle (CDRE), A. Weyembergh et C. Brière (Eclan)
In the immediate aftermath of the terrorist attacks in Paris on Friday 13th November, the French President declared a state of emergency and announced the introduction of a number of measures to “mobilise all possible forces in order to neutralise the terrorists and to guarantee the security of all the areas which could be concerned”. These measures included the reintroduction of controls by France at its internal borders with other Schengen States in the interest of preventing both the entry into the territory of dangerous individuals seeking to carry out terrorist attacks, and to thwart the escape of the attackers.
Nonetheless, Salah Abdeslam, a suspect believed to be one of the masterminds of the attacks, managed to escape by crossing the border between France and Belgium during the night from Friday to Saturday without being apprehended and has still not been arrested since, despite significant effort on the part of the Belgian and French police forces. More surprising, although relatively ignored by the media is that he was checked by French police in the border region (around the city of Cambrai) but not apprehended. How can this have happened in the heart of the EU where border guards, police, judges and intelligence services use modern technology to trace such people?
Before putting the area of freedom, security and justice on trial – as some politicians have done – it is certainly important to objectively examine the manner in which the workings of this beast have been confronted by the reality of terrorism. Whether it has to do with controls carried out at borders (Section 1 of this article), or cooperation between national police forces (Section 2), it must be noted that the primary responsibility in this case does not rest with the mechanisms created by the European Union. In contrast, the failure to prevent the rather predictable attacks now creates the question of sharing intelligence between the competent national intelligence agencies, a matter which does not fall within the Union’s competences (Section 3).
Knowing what we know today about the Paris attacks and the background of the perpetrators, a distinction needs to be made between the matter of terrorists crossing internal and external borders of the Schengen Area.
a. The crossing of internal borders
The Schengen Borders Code (SBC) regulates the crossing of the borders of the concerned EU Member States. As outlined in an article by Evelien Brouwer on this blog, Schengen States can, on the basis of Article 23 of the SBC, temporarily reintroduce controls at their internal borders if there is clear justification on the grounds of a threat to public policy or internal security. The existence of such a threat is obviously not in question here.
Schengen States have certain instruments at their disposal to guarantee effective border management in the Schengen Area. The Schengen Information System (SIS) is a database for storing and sharing information about certain individuals who should not enter or travel within the Schengen Area. The second generation – “SIS II” – was established to include the new Member States after the 2004 enlargement by Regulation 1987/2006, which also sets out rules on its operation and use.
There are several reasons a person may be registered in the SIS. Firstly, alerts may be issued in order to refuse entry or stay to third-country nationals either because they are criminals or because their entry has been banned due to non-respect of the immigration rules (Article 24 of Regulation 1987/2006). Secondly, alerts may be issued in order to arrest third-country nationals or EU citizens on the basis of a European arrest warrant (EAW) or extradition. This type of alert applies to missing individuals, persons sought to assist with a judicial procedure, and for the purpose of discreet or specific checks (see Council Decision 2007/533).
As Salah Abdeslam is French and not a third-country national, he could not, by definition, be the object of an alert related to the immigration policy. When he was checked by the French police during the night of 13 to 14 November, he was not known to the French authorities apparently because, despite being French, he was living in Belgium. He was also not the object of an alert for the purpose of arrest as the EAW was only issued by Belgium after the attacks, on Sunday. He had however been signalled in the SIS by the Belgian authorities as a person to be the object of a “discreet or specific check”. Following Article 36 of Council Decision 2007/533, such an alert may be issued for the purposes of prosecuting criminal offences and for the prevention of threats to public security, “in particular where an overall assessment of a person, in particular on the basis of past criminal offences, gives reason to suppose that that person will also commit serious criminal offences in the future”.
Given the stated goals of the closure of French borders – to stop the escape of those who carried out the attacks – one might begin to question how it can be that the check conducted by the French police did not lead to the arrest of Salah Abdeslam. Even if he was not mentioned in the SIS for the purpose of arrest, a signal for a discreet or specific check should have attracted the attention of the police and could have lead to his arrest. One can rightly wonder what happened: was the information stored in the SIS not precise enough? In this case, did the French police use the SIRENE system to get more information from the Belgian authorities? If not, why? We are used to Schengen-bashing and recently to Belgium-bashing, could it be fair to say that this time there should be some France-bashing?
It would be interesting to get an answer to those questions in order to understand what was indeed the problem. In any case, even if there had been a problem with the SIS and not with the actions of the French Police, it is clear that such transnational criminality can only be addressed at the international level. In any case, the answer lies perhaps in a better SIS or a better use of the SIS by Member States. The answer is certainly not less Schengen.
b. The crossing of external borders
The attacks in Paris have brought a significant amount of attention to the issue of border controls, in particular since it has been confirmed that at least one of the terrorists, holding a Syrian passport, entered the EU through Greece via a route used by refugees. It is also suggested that the Paris attackers, themselves EU citizens, had left the EU to fight in Syria and returned to carry out the attacks in Paris, and that one of them, Salah Abdeslam, could even have managed to flee to Syria after the attacks. This is the phenomenon of so-called “Foreign Fighters”: EU citizens who become radicalised and leave their home in the EU to join the war in Syria before returning to Europe. The European Union’s Counter-Terrorism Coordinator, Gilles de Kerchove, has been warning Member States for many months about the need for strong action to be taken in this area, though his warnings have not been heeded. The main concern here is that such individuals are extremely difficult to detect, including when they enter or leave the Schengen Area by crossing its external borders.
The Schengen Borders Code provides in Article 7(2) that European citizens and other people enjoying the right to free movement in the EU, such as the family members of these groups, who cross the Schengen external border shall only be subject to minimum checks. This concerns the travel documents presented by those persons at the external border, such as an identity card or passport. On the contrary, third-country nationals are subject to thorough checks following Article 7(3) that foresees under point (a)(vi) “the direct consultation of the data and alerts on persons and, where necessary, objects included in the SIS and in national data files”. Such checks are sometimes described as being about persons instead of about documents.
Although Border Guards may consult relevant databases such as the SIS to ensure, among other things, that European citizens crossing the external borders do not represent a serious threat to internal security, a systematic consultation of these databases is not permitted. The EU and its Member States have been struggling with this prohibition of systematic checks of persons for some years now. It is clear that absolutely all EU citizens cannot be checked against databases at one crossing point of the external borders as this would directly contravene this provision. The Commission considers that this does not prevent conducting systematic checks of persons selected on the basis of a risk assessment, for instance some category of persons embarking on flights going to or coming from the vicinity of a conflict zone. TheHandbook for Border Guards was modified on 15 June 2015 to include that interpretation.
Nonetheless, Member States in the Council have been calling for the revision of the SBC regarding the systematic consultation of databases for persons enjoying free movement since the beginning of the year, motivated in large part by the Charlie Hebdo attacks in Paris in January 2015. The concerns about the threat of foreign fighters crossing back into the EU undetected are also the basis for a list of Common Risk Indicators (CRI’s), which has been drawn up by the Commission. However, it appears that these confidential CRI’s are too general and too vague in nature, leading to their ineffective implementation by Border Guards. Indeed, a Council document from 5 October from the EU Counter-Terrorism Coordinator explains that “challenges remain in the proper implementation of CRI’s at the external border”. No doubt the ineffectiveness of CRI’s is a contributing factor to the Council’s renewed call for revision of the SBC, as expressed by the Ministers for Justice and Home Affairs on 20 November. Meeting in the wake of the Paris attacks, the Council stated that Member States shall “undertake to implement immediately the necessary systematic and coordinated checks at external borders, including on individuals enjoying the right of free movement”.
One can hardly deny that such checks can be necessary, in particular at the external borders of some areas that foreign fighters are believed to cross more often than others. The current provision of the Schengen Borders Code seems inappropriate by forbidding systematic checks and this explains why the European Commission finally decided on 15 December 2015 to present a proposal to amend Article 7 of the SBC that will, once adopted, not only allow but oblige border guards to verify that an EU citizen is not “considered to be a threat to the internal security, public policy, international relations of any of the Member States or to public health, including by consulting the relevant Union and national databases, in particular the SIS”.
Does this contravene the freedom of movement that EU citizens enjoy on the basis of the EU treaties? The answer seems at first look negative, because freedom of movement concerns a priorimovement within the borders of the European Union and not the crossing of its external borders. Nevertheless, Directive 2004/38 implementing freedom of movement also contains provisions recognising the right of EU citizens to enter and to leave the territory of the Member States that could be considered part of the freedom of movement. Article 4 on the right of exit and Article 5 of the right of entry exist “without prejudice to the provisions on travel documents applicable to national border controls”. If this provision, interpreted narrowly, does not explicitly cover the consultation of databases, one should not forget that Article 27 of the same Directive allows Member States to restrict the freedom of movement and residence of Union citizens on the grounds of public policy, public security or public health. There is no doubt that the consultation of databases for security purposes like the SIS falls under the exception of public security. The conclusion is that the Commission proposal is in line with freedom of movement enjoyed by EU citizens.
Even if one may consider that a proposal to modify Article 7 of the SBC could have been presented earlier by the Commission without wasting time to discuss its possible interpretation with Member States, the Schengen acquis will be clarified to allow the systematic control of the movement of foreign fighters at the external borders of the EU. The sooner the better, so that the Council of Ministers and the European Parliament must now prove that when necessary, they can amend existing EU rules in a period of time comparable to that within which Member States with a Parliament made of two chambers can operate.
The Paris attacks and their subsequent developments, such as the flight of the suspected terrorist, Salah Abdeslam, to Belgium by car, trigger the application of mechanisms of police and judicial cooperation in criminal matters. These mechanisms have been extensively developed since the mid-1990’s, and particularly after the entry into force of the Amsterdam Treaty. Today a vast array of instruments, actors and databases are at the disposal of national authorities in charge of investigating and prosecuting terrorism. The anti-EU discourse that followed the attacks, which so often focusses on inaction during grave events, should have been balanced by an analysis of what happened in reality.
In the field of police cooperation, the importance of Europol should be underlined, both in terms of exchange and analysis of information and in terms of support for operational actions. The adoption of the compromise text on the Commission’s original proposal for a Europol Regulation, which was approved by the Council on 4 December 2015, should contribute to the improvement of cross-border police cooperation, as it should increase the agency’s capacity to act as “a hub for information exchange between the law enforcement authorities of the Member States”. One “Focal Point Travellers » has especially been set up in 2014, in which “foreign fighters” are recorded, even though it is for the Member States to make the focal point a reality by providing the content. The so-called 2008 “Prüm Decision” should be mentioned here as well. It aims particularly at mandating the exchange of DNA, fingerprint and vehicle registration data (VRD) amongst the Member States.
In terms of judicial cooperation in criminal matters, Christiane Taubira, French Minister for Justice, insisted after the JHA Council of 20 November 2015, that we do have instruments to address this type of crime and they have worked well for the cooperation with the Member States affected by the investigations.
On the morning following the attacks, requests for mutual assistance in judicial matters were issued and sent to Belgium and Germany. They were addressed very quickly on the basis of the 2000 Convention on Mutual Assistance in Criminal Matters between the Member States of the European Union.
Among the other instruments specific to the EU legal order which have been used in this context, theFramework Decision 2002/584/JHA on the European Arrest Warrant (EAW) is to be mentioned. Adopted in the aftermath of 9/11, the EAW, which is considered the “success story” of the EU area for criminal justice, organises faster and simplified surrender procedures, directly conducted by judicial authorities, without political involvement and with a limited number of grounds for refusal. One or more EAWs have been issued since the Paris attacks against suspects, which implies that competent law enforcement authorities located on the EU territory have the duty to arrest them. On the request of the issuing judicial authority, the issuance of an EAW can be coupled with its transmission via an alert in the Schengen Information System and/or in the Interpol database.
The European Criminal Records Information System (ECRIS), based on a 2009 Council Decision, which is to be read with the Framework Decision on the organisation and the content of the exchange of information extracted from the criminal record between Member States, has also been mobilised and proved its added value for the collection of information on the past convictions of the terrorist suspects. Operational since 2012, this system couples the principle of centralising convictions in the criminal records of the Member State of nationality with an interconnection of the criminal records of the Member States, enabling electronic exchange of standardised information.
Finally, joint investigation teams (JITs), belonging both to police cooperation and judicial cooperation, have a clear added-value. A JIT has been set up between France and Belgium, for which the Ministries of Justice of each country gave their agreement on 16 November. The setting up of a JIT allows the constitution of a team consisting of judges, prosecutors and law enforcement authorities, established for a fixed period and a specific purpose, to carry out criminal investigations in one or more of the involved States. One of the advantages of such JITs is the exchange of information and evidence obtained, without having to go through requests for mutual legal assistance.
Despite these positive elements, cooperation between authorities of the EU Member States can still be improved:
In conclusion, the recent tragic terrorist attacks have shown that national police and judicial authorities are aware of the tools at their disposal in the field of police cooperation and judicial cooperation in criminal matters. They do not hesitate to rely on them. However there is still room for improvement. The transnational elements of the recent attacks clearly illustrate the need for cross-border cooperation in the criminal field. Member States should realise that the solution encompasses more cooperation and that reflexes of national sovereignty are vain and detrimental to the identification and prosecution of terrorist suspects. In such a move forward, the EU must ensure the right balance between the different interests at stake and not sacrifice fundamental rights at the altar of security as underlined by Stefan Braum in a recent paper published on the blog of the GDR/ELSJ.
In the days following the attacks, criticisms were voiced against the deficiencies in the cooperation between national intelligence services. It was for instance reported that the Belgian services had information about the danger represented by the Abdeslam brothers, but never shared this information with their French colleagues.
It is important to make a preliminary remark distinguishing cooperation in the field of police information on the one hand and intelligence in the sense of renseignements in French on the other hand.
Whereas police information sharing is subject to EU legislation, adopted under the EU competences in police cooperation in criminal matters, as described above, intelligence sharing does not fall within the EU competences, and the EU is prevented from taking any action in this regard. In the current legal framework, in force since the adoption of the Treaty of Lisbon, no less than three provisions insist on the lack of competence for the EU in matters of national security. Article 4(2) TEU provides that the EU shall respect the essential State functions of its Member States, including safeguarding national security. InArticles 72 and 73 TFEU, it is stated that the Title of the Area of Freedom, Security and Justice shall not affect the exercise of the responsibilities incumbent upon Member States with regard to the safeguarding of internal security, and it is open to the Member States to organise between themselves and upon their responsibility such form of cooperation and coordination as they deem appropriate between the competent departments of their administration responsible for safeguarding national security. In other words, cooperation between national intelligence services in charge of safeguarding national security is left in the hands of the Member States, and is thus conducted on an intergovernmental basis.
As a consequence, blaming the EU for the lack of intelligence sharing between France and Belgium is an unjustified criticism. The idea of creating a European Intelligence Agency has been mentioned by some observers but was promptly rejected on Friday 20 November by the JHA Council, as it appears to be outside of the scope of EU competences in the current state of the EU treaties. Moving forward in this field in the institutional framework of the EU would clearly imply a revision of the treaties. The feasibility of such revision is of course questionable because of its extremely high sensitivity in terms of national sovereignty. It shall indeed not be forgotten that intelligence is, by definition, extremely sensitive data, which national authorities may be reluctant to share, for instance in order to safeguard the safety of their informants. Furthermore, even cooperation within each Member State is sometimes problematic, as intelligence service might be reluctant to cooperate extensively with law enforcement, judicial or other authorities.
The absence of EU competences does not imply that there is a complete absence of European multilateralisation of cooperation in the field of the intelligence. In this regard, the EU Intelligence and Situation Centre (EU INTCEN) is to be mentioned. However, this centre has a limited mandate, which is to provide intelligence analysis, early warning and situational awareness to the High Representative and to the EEAS, in the fields of security, defence and counter-terrorism. This agency is the successor of the EU Situation Centre (SITCEN), created to answer the need of timely and accurate intelligence analysis to support EU policymaking. Despite its title, this agency is not a European Intelligence Agency. It has no operational powers, nor powers in the field of cooperation between national intelligence services. Its core mandate consists of publishing intelligence assessments, reports and summaries, as well as threat assessments for EU personnel, on the basis of open sources and analytical reports transferred from national intelligence authorities. Another initiative to mention is the so-called ‘Club de Berne’, which is an intelligence-sharing forum between the intelligence services of the EU Member States, Norway and Switzerland, within which a counter-terrorism group was established in 2001. It works outside the EU institutional framework but entertains some relations with it, especially via the participation of the INTCEN.
In conclusion, the shock generated by the Paris attacks should push the EU and its Members to engage in a much deeper reflection than their many working meetings have provoked. They must reflect firstly on the criminal motivations which led EU citizens, both French and Belgian, to commit such abominations. To stubbornly insist to the public that these criminals were not the product of our own societies is a grave error which prevents us from considering the causes and therefore inhibits us from conceiving of the appropriate response. They must further reflect on the multiple failures and responsibilities relating to the events in Paris. Rather than exploiting them to justify criticism of the EU, it should be realised that a more integrated and coordinated area of freedom and security is the only possible solution.
This is true on two conditions. The first condition is that there must be real responsibility in its administration, which is far from the case in current border management and intelligence sharing. The second condition is that, above all, there must be an agreement on the values which make up this area, in both the central role of the judicial institution and its fundamental guarantees.