Published online by Cambridge University Press: 14 January 2020
In this article, we ask what the impact is of the role of the EU administration in responding to emergencies in terms of (changes to) the rule of law. A response to an emergency in some cases creates exceptions to rule of law guarantees that bind the authorities to procedural rules and fundamental rights. These exceptions can become more permanent and even change the constitutional order of the EU. We articulate the legal framework for health emergencies, and discuss how the EU court has interpreted and developed this framework in two key decisions. We then ask whether this framework offers adequate safeguards for upholding the rule of law in cases of major health emergencies. We conclude that public health emergencies can bend and even break rule of law requirements for the EU administration, and advocate for more legal guidance on proportionality, which may offer better safeguards suited for protecting the rights of affected parties.
We want to thank our colleagues and the reviewers for their invaluable comments on this article. We also thank Mark de Wilde and the colleagues participating in the Amsterdam emergency “book club” for the interesting discussions on constitutional emergency theory.
1 See the CJEU’s old ruling in Case 23-75, Rey Soda, EU:C:1975:142, where at para 11 the conferral of “wide powers of discretion” onto the Commission is justified in view of it being able to continually monitor the implementation of policies and “act with urgency as the situation requires”.
2 The first legislative instruments on the common agricultural policy provided for urgent measures in case of abrupt shifts in market prices. See for instance Art 22 of Regulation 19/62, on the progressive establishment of a common market in cereals.
3 See Case C-270/12, United Kingdom v European Parliament and Council, EU:C:2014:18, where the powers of the European Markets and Securities Authority to address certain emergencies in financial markets were challenged by the British government.
4 J Waldron, The Rule of Law and the Importance of Procedure, New York University Public Law and Legal Theory Working Papers, Paper 234 (2010) p 17.
5 See Hamburger, P, Is Administrative Law Unlawful? (University of Chicago Press 2015)Google Scholar and Vermeule, A, Law’s Abnegation: From Law’s Empire to the Administrative State (Harvard University Press 2016).CrossRefGoogle Scholar
6 Curtin, D, “Challenging Executive Dominance in European Democracy” (2013) 77(1) Modern Law Review 1.CrossRefGoogle Scholar
Gabriel Knowles, S, “Learning from Disaster?: The History of Technology and the Future of Disaster Research” (2014) 55 Technology and Culture 773.CrossRefGoogle Scholar
7 von Jhering, R, Geist des Römischen Rechts auf den verschiedenen Stufen seiner Entwicklung, II, 2nd edn (Breitkop & Härtel 1875) pp 471–472.Google Scholar
8 Bengtsson, L and Rhinard, M, “Securitisation across Borders: The Case of “Health Security” Cooperation in the European Union” (2019) 42 West European Politics 346.CrossRefGoogle Scholar
9 White, J, “Emergency Europe” (2015) 63 Political Studies 300CrossRefGoogle Scholar; White, J, “Authority after Emergency Rule” (2015) 78 The Modern Law Review 585CrossRefGoogle Scholar; Dawson, M and de Witte, F, “Constitutional Balance in the EU after the Euro-Crisis” (2013) 76 The Modern Law Review 817CrossRefGoogle Scholar; Dawson, Met al, Beyond the Crisis: The Governance of Europe’s Economic, Political and Legal Transformation (Oxford University Press 2015).CrossRefGoogle Scholar
10 Vos, E, “EU Food Safety Regulation in the Aftermath of the BSE Crisis” (2000) 23 Journal of Consumer Policy 227.CrossRefGoogle Scholar
11 “Decision No 1082/2013/EU of the European Parliament and of the Council of 22 October 2013 on Serious Cross-Border Threats to Health and Repealing Decision No 2119/98/EC” (OJ L 293/1 5–11 2013).
12 Fioritto, A, L’amministrazione dell’emergenza tra autorità e garanzie (Il Mulino 2008) p 30.Google Scholar
13 Gross, O, “Extra-Legality and the Ethic of Political Responsibility” in Ramraj, VV (ed), Emergencies and the Limits of Legality (Cambridge University Press 2008) p 62.Google Scholar
14 Gross, supra, note 13.
15 D Dyzenhaus, “The Compulsion of Legality” in Ramraj, supra, note 13, p 33.
16 ibid, p 39.
17 See ibid, pp 25, 237–240.
18 ibid, p 240.
19 ibid, pp 240–243.
20 Waldron, J, “The Rule of Law and the Importance of Procedure” in Fleming, J, Getting to the Rule of Law (New York University Press 2011) p 3.CrossRefGoogle Scholar
21 Loughlin, M, Foundations of Public Law (Oxford University Press 2010) p 312 ff.CrossRefGoogle Scholar
22 Waldron, J, “The Rule of Law in Public Law” in New York University Public Law and Legal Theory Working Papers (New York University School of Law 2014) p 1 at p 12Google Scholar. See also Tamanaha, B, On the Rule of Law: History, Politics, Theory (Cambridge University Press 2004) p 91 ffCrossRefGoogle Scholar on the requirement of predictability and other formal aspects of the rule of law.
23 Waldron, supra, note 20.
24 Raz, J, “The Rule of Law and its Virtue” in The Authority of Law: Essays on Law and Morality (Clarendon 1979) pp 210 ff, 214–218CrossRefGoogle Scholar and Tamanaha, B, “A Concise Guide to the Rule of Law” in Palombella, G and Walker, N (eds), Relocating the Rule of Law (Hart Publishing 2009) p 3, at pp 3–6.Google Scholar
25 One seminal example of this is Joined Cases 46/87 and 227/88, Hoechst, EU:C:1989:337.
26 See Art 2 TEU and Cases 294/83, Parti écologiste “Les Verts"” EU:C:1986:166 and C-2/88, Zwartveld, EU:C:1990:315, paras 16–17. On the principle of the rule of law in the EU, see Lenaerts, K, “The Rule of Law and the Coherence of the Judicial System of the European Union” (2007) 44 Common Market Law Review 1625.Google Scholar
27 Klecatsky, H, “Reflections on the Rule of Law and in Particular the Principle of Legality of Administrative Action” (1963) 4 International Commission of Jurists 205, at p 209.Google Scholar
28 Alford, R, Permanent State of Emergency, Unchecked Executive Power and the Demise of the Rule of Law (McGill-Queen’s University Press 2017) at pp X and 12–13.Google Scholar
29 As Sordi explains, the emergence of administrative law responded to the need to “circumscribe the enormous power that executive administrations had conquered with the French revolution and the Napoleonic era”: Sordi, B, “Révolution, Rechtsstaat and the Rule of Law: historical reflections on the emergence of administrative law in Europe” in Rose-Ackerman, S and Lindseth, P (eds), Comparative Administrative Law (Edward Elgar 2010) p 23, at p 29.Google Scholar
30 della Cananea, G, Due Process of Law beyond the State: Requirements of Administrative Procedure (Oxford University Press 2016) p 22.CrossRefGoogle Scholar
31 Barnes, J, “Sobre el Procedimiento Administrativo: Evolución y Perspectivas” in Barnes, J (ed), Innovación y Reforma en el Derecho Administrativo (Global Law Press 2006) p 261, at pp 270–271.Google Scholar
32 della Cananea, supra, note 30, p 19.
33 Pünder, H, “Administrative procedure – mere facilitator of material law versus cooperative realisation of common welfare” in Pünder, H and Waldhoff, C (eds), Debates in German Public Law (Hart Publishing, 2014) p 239, at p 240.Google Scholar
34 H-Röhl, C, “Procedures in the European Composite Administration” in Barnes, J, Transforming Administrative Procedure (Global Law Press 2008) p 77, at p 79 ff.Google Scholar
35 della Cananea, supra, note 30, p 34.
36 HNehl, P, Principles of Administrative Procedure in EC Law (Hart Publishing 1999) p 2.Google Scholar See also Tridimas, T, The General Principles of EU Law, 2nd edn (Oxford University Press 2006) p 371Google Scholar and Mendes, J, Participation in EU Rule-Making: A Rights-Based Approach (Oxford University Press 2011) p 33.CrossRefGoogle Scholar
37 Pech, L, “A Union Founded on the Rule of Law: Meaning and Reality of the Rule of Law as a Constitutional Principle of EU Law” (2010) 6(3) European Constitutional Law Review 359, at p 372CrossRefGoogle Scholar. See however Raitio, J, “Does the concept of rule of law have any material content? A Nordic point of view” (2017) 24(6) Maastricht Journal of European and Comparative Law 774, at pp 786–789.CrossRefGoogle Scholar
38 The rulings emphasising this point are legion. For many, see Case C-32/95 P, Lisrestal, EU:C:1996:402, para 21; Case T-334/07, Denka, EU:T:2009:453, para 127; and Joined Cases T-91/12 and T-280/12, Flying Holding, EU:T:2014:832, para 54.
39 See, for instance, Cases C-291/89, Interhotel, EU:C:1991:189, para 14; C-367/95 P, Sytraval, EU:C:1998:154, para 67; C-286/95 P, Imperial Chemical Industries, EU:C:2000:188, para 51; and T-240/10, Hungary v Commission, EU:T:2013:645, para 70.
40 See the contribution of Rabinovici, I, “The Right to Be Heard in the Charter of Fundamental Rights of the European Union” (2012) 18(1) European Public Law 149.Google Scholar
41 For many, see Case T-260/11, Kingdom of Spain v Commission, EU:T:2014:555, paras 62–63 and C-418/11, Texdata, EU:C:2013:588, para 83.
42 See Joined Cases T-191/98, T-212/98 to T-214/98, Atlantic Container Line, EU:T:2003:245, para 138. See also Curtin, D, “Constitutionalism in the European Community. The Right to Fair Procedures in Administrative Law” in Human Rights and Constitutional Law. Essays in Honour of Brian Walsh (Round Hall Press 1992) p 293, at p 301Google Scholar and E Barbier de la Serre, “Procedural Justice in the European Community Case-law concerning the Rights of the Defence: Essentialist and Instrumental Trends” (2006) 12(2) European Public Law 225, at p 233.
43 Some authors dispute the extent to which the wording of the provision in the Charter actually corresponds to the formulations used in prior case law. See Rabinovici, supra, note 40.
44 Lenaerts, K and Vanhamme, J, “Procedural Rights of Private Parties in the Community Administrative Process” (1997) 34 Common Market Law Review 531, at p 568.CrossRefGoogle Scholar
45 See for instance Cases 17-74, Transocean Marine Paint, EU:C:1974:91, para 15; 136/79, National Panasonic, EU:C:1980:169, para 21; 85/87, Dow Benelux, EU:C:1989:379, para 25; and C-204–5/00 P, C-211/00 P, C-213/00 P, C-217/00 P and C-219/00 P, Aalborg Portland, EU:C:2004:6, para 64.
46 See Arts 53 (1) and (2) and 54 of Regulation (EC) No 178/2002 of the European Parliament and of the Council of 28 January 2002 laying down the general principles and requirements of food law, establishing the European Food Safety Authority and laying down procedures in matters of food safety. The Court has had the opportunity to clarify that the Commission is not required to adopt such measures upon the request of a Member State where the risks to human health, animal health, or the environment, are not evident (Case C-111/16, Fidenato, EU:C:2017:676, para 30). The urgent measures at stake must be “based on a risk assessment as complete as possible in the particular circumstances of an individual case” (Joined Cases C-58/10 to C-68/10, Monsanto, EU:C:2011:553, para 77).
47 It is worth pointing out that these administrative procedures are also applicable in cases involving genetically modified food and feed (see Art 34 of Regulation 1829/2003).
48 Art 20 of Regulation (EC) No 726/2004 of the European Parliament and of the Council of 31 March 2004 laying down Community procedures for the authorisation and supervision of medicinal products for human and veterinary use and establishing a European Medicines Agency.
49 Art 20(3) Regulation (EC) No 726/2004.
50 Regulation (EU) No 468/2014 of the European Central Bank of 16 April 2014 establishing the framework for cooperation within the Single Supervisory Mechanism between the European Central Bank and national competent authorities and with national designated authorities (SSM Framework Regulation).
51 Art 31(5) SSMFR.
52 Mihaescu, B, The Right to Good Administration at the Crossroads of the Various Sources of Fundamental Rights in the EU Integrated Administrative System (Nomos 2015) pp 392 and 463CrossRefGoogle Scholar and Hofmann, H and Mihaescu, B, “The Relation between the Charter’s Fundamental Rights and the Unwritten General Principles of EU Law: Good Administration as the Test Case” (2013) 9(1) European Constitutional Law Review 73, at p 92CrossRefGoogle Scholar. In the case law, see Case T-731/15 Klyuyev, EU:T:2018:90, para 103.
53 Case C-16/90, Nölle, EU:C:1991:402.
54 Cases T-443/11, Gold East Paper, EU:T:2014:774, para 123; T-355/13 easyJet, EU:T:2015:36, para 19; and T-574/14, European Association of Euro-Pharmaceutical Companies, EU:T:2018:605, para 76. See also Case C-269/90, Technische Universität München, EU:C:1991:438, para 14.
55 Cf Mendes, J, “Discretion, Care and Public Interests in the EU Administration: Probing the Limits of the Law” (2016) 53(2) Common Market Law Review 419, at p 431 ff.Google Scholar
56 See Opinion of AG Poiares Maduro in Joined Cases C-402/05 P and C-415/05 P, Kadi, EU:C:2008:11, para 49 and, more recently, the General Court’s ruling in Case T-138/14, Randa Chart, EU:T:2015:981, para 112.
57 For an overview of the case law developing the duty of care, see Craig, P, EU Administrative Law (Oxford University Press 2012) p 333 ff.CrossRefGoogle Scholar
58 Council Directive 85/511/EEC of 18 November 1985 introducing Community measures for the control of foot-and-mouth disease.
59 Case C-28/05, Dokter, EU:C:2006:408.
60 Dokter, supra, note 59, paras 74–75; Duijkersloot, T, “Consequences of the Violation by Administrative Authorities of the Right to be heard under EU Law: the Case M.G. and N.R.” (2014) 7(1) Review of European Administrative Law 81, at p 89CrossRefGoogle Scholar. See also Case C-418/11, Texdata Software, EU:C:2013:588, paras 83–84; C-383/13 PPU, MG and NR, EU:C:2013:533, para 33.
61 As the Court put it, “if the competent authority were not able to take measures against foot-and-mouth disease unless all potentially concerned parties had previously been given the opportunity to familiarise themselves with the facts and documents on which those measures are based and had expressed a view on those facts and documents, that authority could be prevented from acting promptly and effectively” (Dokter, supra, note 59, para 76).
62 Dokter, supra, note 59, para 76. See Binder, Tet al, “Emergency! But What about Legal Protection in the EU?” (2018) 9(1) EJRR 99, at p 113CrossRefGoogle Scholar and Keessen, A, European Administrative Decisions: How the EU Regulates Products on the Internal Market (Europa Law Publishing 2009) p 25.Google Scholar
63 See for instance Joined Cases C-317/08, C-318/08, C-319/08 and C-320/08, Alassini, EU:C:2010:146, para 63; Case C-619/10, Trade Agency, EU:C:2012:531, para 55; and Case C-249/13, Boudjlida, EU:C:2014:2431, para 43.
64 Council Directive 92/59/EEC of 29 June 1992 on general product safety. The Directive was replaced by Directive 2001/95/EC of the European Parliament and of the Council of 3 December 2001 on general product safety, which is still in force.
65 See Arts 50–52 of Regulation (EC) No 178/2002 of the European Parliament and of the Council of 28 January 2002 laying down the general principles and requirements of food law, establishing the European Food Safety Authority and laying down procedures in matters of food safety. On the mechanism, see Weimer, M and Vos, E, “The Role of the EU in Transnational Regulation of Food Safety: Extending Experimentalist Governance?” in Zeitlin, J (ed), Extending Experimentalist Governance: The European Union and Transnational Regulation (Oxford University Press 2015) p 137.Google Scholar
66 Case T-177/02, Malagutti-Vezinhet, para 30.
67 Malagutti-Vezinhet, supra, note 66, para 52.
68 Malagutti-Vezinhet, supra, note 66, para 53.
69 Malagutti-Vezinhet, supra, note 66, para 54.
70 Alexy, R, A Theory of Constitutional Rights (Oxford University Press 2010) p 47.Google Scholar
71 The various dimensions of proportionality explained here closely follow the analysis of Barak, A, Proportionality: Constitutional Rights and their Limitation (Cambridge University Press 2012).CrossRefGoogle Scholar
72 On the provision and its interpretation, see Gross, O and Ní Aoláin, F, “From Discretion to Scrutiny: Revisiting the Application of the Margin of Appreciation Doctrine in the Context of Article 15 of the European Convention on Human Rights” (2001) 23(3) Human Rights Quarterly 625.CrossRefGoogle Scholar
73 For many, see Marzal, T, “From Hercules to Pareto: Of bathos, proportionality, and EU law” (2017) 15(3) International Journal of Constitutional Law 621CrossRefGoogle Scholar and Lenaerts, K, “Limits on Limitations: The Essence of Fundamental Rights in the EU” (2019) 20 German Law Journal 779.CrossRefGoogle Scholar
74 Decision No 1082/2013/EU, supra, note 11.
75 “European Commission, Commission Staff Working Document, Health Security in the European Union and Internationally (SEC(2009)1622 Final) Brussels, 23/11/2009”.
76 European Commission Staff Document, “European Commission Staff Document, Regulatory Process for the Authorization of Antiviral Medicines and Vaccines in the Protection against Pandemic Influenza H1N1 2009, Accompanying Document to the Communication to the Commission to the Council, the European Parliament and the European Economic and Social Committee and the Committee of Regions, Pandemic Influenza H1N12 2009 (COM(2009) 481-SEC(2009)119 Final)”.
77 Commission Proposal, “Commission Proposal for a Decision of the European Parliament and of the Council on Serious Cross-Border Threats to Health Brussels (COM (2011)866 Final)”.
78 Decision No 1082/2013/EU, supra, note 11, at para 8.
79 ibid, at para 9.
80 Art 18 Health Threats Decision; ibid, 30. However, Art 5(4) of Regulation (EU) No 182/2011, particularly where it concerns issue of human health, limits the power of the Commission where the Committee on Serious Cross-Border Threats has not delivered an opinion.
81 Art 12 Health Threats Decision, para 31, and see Art 8 Regulation (EU) No 182/2011.
82 Art 11 Health Threats Decision.
83 Art 2(4) Health Threats Decision.
84 Art 12(1)(a) Health Threats Decision.
85 Art 12(1)(b)(i) Health Threats Decision.
86 Art 12(1)(b)(ii) Health Threats Decision.
87 Art 13 Health Threats Decision.
88 Art 2 of Regulation (EC) No 507/2006; Art 21 of Regulation (EC) No 1234/2008.
89 This was when the medicinal legislation was still dependent on a WHO declaration of emergency (The Health Threats Decision currently provides the possibility for declaring an emergency at EU level) “Commission Staff Working Document, Regulatory Process for the Authorisation of Antiviral Medicines and Vaccines in the Protection against Pandemic Influenza (H1N1) 2009 Accompanying Document to the Communication from the Commission to the Council, the European Parliament, and the European Economic and Social Committee and Committee of the Regions, Pandemic Influenza A (H1N1) 2009 (COM(2009) 481 Final)”.
90 Persson, Iet al, “Risks of Neurological and Immune-Related Diseases, Including Narcolepsy, after Vaccination with Pandemrix: A Population- and Registry-Based Cohort Study with over 2 Years of Follow-up, January 2014” (2014) 1 Journal of Internal MedicineCrossRefGoogle Scholar; Verstraeten, Tet al, “PandemrixTM and Narcolepsy: A Critical Appraisal of the Observational Studies” (2016) 12 Human Vaccines & Immunotherapeutics 187CrossRefGoogle Scholar; Bangerter, Aet al, “Longitudinal Investigation of Public Trust in Institutions Relative to the 2009 H1N1 Pandemic in Switzerland” (2012) 7 PLoS ONE e49806.CrossRefGoogle Scholar
91 Persson et al, supra, note 90.
92 Art 14 Health Threats Decision.
93 Art 17 Health Threats Decision.
94 Decision No 1082/2013/EU, supra, note 11, Recital 17.
95 ibid, Recital 21.
96 ibid, Recital 22.
97 Art 10(2) Health Threats Decision.
98 Turner, M, “Vaccine Procurement during an Influenza Pandemic and the Role of Advance Purchase Agreements: Lessons from 2009-H1N1” (2016) 11 Global Public Health 322.CrossRefGoogle Scholar
99 Art 8 Regulation (EU) No 182/2011.
100 Art 14; Art 18 Health Threats Decision.
101 When the EU identifies public health risks, this is a central reason for denying a person entry to EU under the Dublin procedures.
102 Dąbrowska-Kłosińska, P, “Tracing Individuals under the EU Regime on Serious, Cross-Border Health Threats: An Appraisal of the System of Personal Data Protection” (2017) 8 EJRR 700.CrossRefGoogle Scholar
103 Art 16 Health Threats Decision, and see ibid.
104 Fioritto, supra, note 12, p 115.
105 T-75/06, Bayer CropScience, EU:T:2008:317 paras 81–84; T-35/01, Shanghai Teraoka Electronic, EU:T:2004:317, paras 48–49.
106 Dokter, supra, note 59, para 71.
107 This is the point of view emphasised by Binder et al, supra, note 62.
108 Joined Cases C-58/10 to C-68/10, Monsanto, EU:C:2011:553, para 77.
109 Fioritto, supra, note 12, p 96 ff.
110 Agamben, G, State of Exception (University of Chicago Press 2005) pp 25–26.Google Scholar
111 Annex to Council Directive 92/59/EEC of 29 June 1992 (previous general product safety regulation), point 3.