Is law a 'value free' instrument in the EU
context ?
Discussion
by
Olivier
Charnoz
I Law is not a
value free instrument
1 - a
principle of justification
2 -
a non utilitarian principle
5 - Conclusion : a value is not a technical
but a moral and a political matter.
Its legitimacy lies in the individual and
democracy.
B - Law is
essentially about values
1 - law is
technical only because it is a bridge between values and reality
2- law change over time an space with values
3 - law is
about politics and values
4 - That is
why law needs a democratic legitimacy
5 - How can a value influence the legislative
process ?
C - The European
Union law is even more so
1 -EU law is historically linked to the
integration process which is non value
free
2 - EU legal texts are largely teleological
3 -certain European institutions have a
self-interest in promoting certain values
II Searching the
ethics of the European law
A - Where can one
find these values in the EU Law ?
2 - in the practice and in the interpretative
method of the ECJ
3 - in the legal traditions of Members States
B - The four
basic values at work within the EU law and the ECJ
3 - Solidarity between Members States
C - Specificity
of the fourth value : integration
1 - integration originally covers a set of
values (Joseph Weiler)
2 - integration is now used as a value in
itself, thanks to the institutional
interest of the Commission and the European
court of Justice
3 - EU law promotes integration
D - Human Rights
and Fundamental Freedoms
III Interpreting
the ethics of the EU law
1 - an image of neutrality ...
2 - ... which hides an ideological consensus
B - The main
ideological root of the EU law : liberalism
C - Lack of
ideological coherence
2 - individualism v solidarity
Is law a value free instrument ?
I see two reasons why this question is crucial.
Firstly because the Community Insitutions often
try to present its work as value free, and merely technical or pragmatic.
joseph weiler notes that, for instance, the idea of the single market was
presented in the 1992 White Paper as an ideologically neutral
program. Besides, one has only to think of the technocratic and techinical
image secured by the Commission.
Secondly because trying to explore values of EU
law is a way not to content us with the realist, instrumentalist, or so to say
microeconomics approach which tends to dominate the social sciences nowdays.
Appart from the self interest of the actors, there must be another thing which
ispire EU law.
First of all, I'd like to show that law is not
a value free instrument, and thus deserve an ideological survey apart from a '
realist ' one which only seeks interests (part 1). Then I will try to find out
which values and principle are at work within the EU law (party 2). Finally,
I'll try to interpret these values in tems of ideology and to unveil tensions
within the EU law ethics.
So, basically, this presentation argues that
there is a strong ideological dimension within the EU law, even though its
doctrine is not fully coherent.
That is to say a fundamental guideline which is
used as a basis of reasoning or actions. A value is something which can be
referred to when a justification is needed. In that line, value and law seem
already close to each other since they are both expected to justify actions.
Value is opposed to interest. Values involve
not simply putting forward something desired, but also involve an altruistic
dimension. Of course a value can have an utilitarian dimension. For instance
there is an interest in peace : the possibility of free trade. But peace is
also related to a conception of humanity which involves much more than the
possibility of trade or any other interest. It ctually involve values like
dignity, fraternity among mankind, a conception of love and so on. All these
dimensions are non utilitarian in the sense that they are not related to any
self-interest, but imply something perceived as being 'higher' and finally
altruistic.
From what we have said, it follows that a value
is something worthwhile in itself. But to be worthwhile in itself ' is exactly
the specific nature of the Good. Thus a value is nothing but a specific
conception of the Good, a specific content given to the idea of the Good.
Conceptions of the good change over time and space, andtherefore legislation as
well.
There can not be any demonstration of values,
because trying to justify a value implies to try to link this specific value to
a superior principle upon which it would be based. But this superior principle
is precisely another value. All you can do with a set of values is to try to
reduce their number by finding out which ones are sources of the others.
A value cannot be a technical matter set up by
some " specialists ". It implies a choice, an unjustifiable
judgement, the setting up of a hierarchy of principles. What makes a value a
value, is finally the judgement or the will of the people who believe in it.
This conception, which holds that nothing can objectively justify a value,
implies that value is not a technical matter. Therefore the two olny modern
sources of value legitimacy are the individual and democracy :
- the individual because nobody has more
legitimacy to tell a given individual what the true values are, than the
individual himself.
- democracy because nothing has more legitimacy
to decide which values should be legally promoted in a given society, than a
kind of general agreement or compromise between individuals - and that is
democracy.
This is our thesis. To underpin it we have to
show that law, likewise values, is neither a mere technical nor a pure interest
matter.
Law is very often technical : lots of
distinctions, lots of details, lots of difficult cases. But the technical
aspect of law is not essential to its nature. Law is always an application of a
certain set of values. Law is technical and complex only because it has to deal
with reality, which is highly complex, and not because it would be a non
ideological matter. It is generally difficult or even impossible to report a
real case to a single principle or value. Reality is contradictory.
Thus, Law is a kind of bridge between values
and reality and is technical because it has to link an abstract unity to an
complex reality.
Values -- Law -- Reality
Saying
that peoples have different values over time and space is exactly the same as
saying that their conception of what is good changes. Furthermore this often
ends in changes in legislation. For instance the decreasing number of legal
systems that use the death sentence mirrors the fact that values changed over
time. The individual has become a value in itself against which the society has
less and less power. This change in legislation just reflects the emergence of
a liberal conception of the good, that is to say a new value.
Furthermore " For governments law is the instrument par excellence, the way to transform a political discourse into
a political action " quote from
Wallace (p.243). Whenever a government wants to modify some features of the
society, he tries to change law. This is another way to say that law is a
bridge between values and reality, in so far as politics is at least partly
about values.
We have seen that a value has no legitimacy in
a modern political order other than a democratic agreement. From this it
follows that the law-making process must be democratic.
It is only because of its embodying values,
that law needs a democratic legitimacy. If law was merely a technical issue, a
committee of specialists would enjoy a full legitimacy to generate it. The
common sense that law must be generated by political and democratic bodies,
merely show, in my view, that everybody intuitively feels that law deals with
values. Otherwise why should we be offended by an undemocratic law making
process which gives power to specialists ?
We now have to justify the accuracy of our
ideological enquiry, in front of the powerful realist approach which use self
interest as the main explanatory principle.
Of course, values have no power in
themselves to inspire legislation if they are not supported by men. They
must mobilise peolpe, either interest groups or political and judicial elites
which more likely to promote values for themselves.
We should not hold a naive point of view about
what law is made of. Of course law is partly the result of conflicts between
economic interests. One has only to look at the importance of economic lobbies
within the legislative process of the European Union.
But it is generally quite difficult to
conceptually separate values from interests. Even if the actors themselves do
not promote a value for itself, it might be the case that what they try to
legally secure implies an indirect promotion of certain value.
The best example is of course the promotion of
the single market by economic intresest group automatically promote a crtain
ideology and political culture.
In this line, one can say that values appear
from the struggle of interset. Convesly, trough the political and judicial
elites, values mobilise for themselves ans lead the way.
Since the European integration has been largely
élite-driven, it is not unthinkable that ideas and values have had a great
influence upon the whole integration process precisely through these élites.
Value discourse is part of the explanation of their mobilisation..
In this line, I should stress the importance of
the Commission and the European Court of Justice which enjoy enough
institutional autonomy to be able to promote values sometimes through an
interest free but procedure.
The EU law is product of the integration
process which is highly political and non-value free. One has just to look back
at all the debates on the integration process since 1945, to realise that they
involved not only economic considerations but also different conceptions of
nation, citizenship, culture, social
life, and so on. All these elements are values.
Much
more than national law, the Treaties are wholly steeped in a teleological
approach. That basically means that they lay down objectives and goals. There
is only a limited number of really operative provisions. Even the
administrative acts largely adopt the same teleological approach. Directives
best exemplify this, since they lay down an objective and they leave it to the
individual Members States to decide how best to achieve it.
Certain European
institution have an institutional interest in promoting certain values in the sense that their promotion
would increase the scope of their institutional power. For instance :
- the European parliament has an
interest in promoting democracy since it would increase the scope of its
competence.
- the European Commission has
an interest in promoting integration (which is a value as we shall see afterwards)
for the same reason.
- the European court of justice has a
similar interest in promoting integration or even human rights because it was a
way to secure a safer position vis a vis national courts which care a great
deal about human rights.
After showing that law cannot be a value free
instrument, the next step is to find out which values are at work within the EU
law.
The opening articles of the Treaties - articles
2-6 ECSC, 1-9 EEC, 1-4 EURATOM, and the preambles enunciate the objectives and
describe the spirit in which they should be interpreted. The court refers to
these elements in order to interpret a specific provision in their light.
We have just seen that the Treaties are
strongly theological. A very small number of provision are directly applicable.
Therefore, the treaties implicitly gives a great deal of interpretative
power to the ECJ. One can
understand now to what extent the interpretative method of the ECJ is crucial.
This institution has proven over time to have adopted the so called functional
method.
It basically consists of taking into
consideration the spirit of the Treaties, more than their literal content
(literal method). This method has three main features : it promotes the
objective of the law more than the law itself ; it prevents unacceptable
results ; it fills the gaps of the legislation and enable the court to deal
with new cases. As a result :
" Community rules are much more determined
by what the Treaties intend to achieve rather than by what is actually written
in them ".
Hence, the court in interpreting is left with
its conscience. That is why in order to discover the values at work, one has to
carefully look at the practice of the court.
The ECJ has derived general principles of EU
law partly from the legal systems of the Members States. For instance the
principles of proportionality and legitimate expectation are both derived from
the German law. Besides the ECJ recognise that the protection of the human
rights was inspired by the constitutional traditions common to all Member States.
As judge Pescator noticed, the guidelines
values provided by the Treaties can be spit into four basic themes, which are
to be encountered constantly in the practice of the court.
In Community law great care is taken to
guaranty equality or to prevent discrimination. Discrimination is
unequal treatment in situations which are identical or comparable. The treaties
prohibit discrimination on several occasions :
-
EEC article 119 offers a basis for the prohibition of discrimination between sexes.
-
EEC article 7 prohibits discrimination on ground of nationality, likewise many regulations.
The rule of equality has been said by the court
to be " one of the fundamental principle of the Community law "
(Frilli case June 1972). It has many implications. Non-discrimination between :
-
sexes
-
producers
-
consumers
-
Members States
-
goods of different members states
-
or their nationals
However one should note that not all different
treatment constitutes discrimination. " Difference in treatment
cannot be regarded as constituting discrimination which is prohibited unless it
appears arbitrary ". There is no discrimination when a difference in
treatment is objectively justified.
The treaty refers to the free circulation of
goods, persons, capital, services. Underlying is the respect of the private
initiative. Economic freedom therefore is mainly related to the establishment
of a common market. This set of freedoms constitute the " foundations of
the Community ".
On the relationship between member States the
court has accepted a principle of solidarity, meaning that it is incumbent on
the States to take account of the repercussions which their acts may have on
other Members States. The principle of solidarity has been said by the court to
be " at the basis of the whole of the community system ". Therefore,
this is a highly integrationist principle.
Refers to the unity of the market, law and
politics. Judge Pescatore remarks that all those three objectives are
encompassed by the idea of unity, because they all aspire towards the idea of unity
of Western European Nation. This fourth value has therefore a specific
status, and deserve a specific study.
Integration is a political choice based upon
the promotion of a certain set of values. One cannot demonstrate that the 'ever
closer union' is worthier than a nationalistic organisation of Europe, without
referring to any other value (like peace for example). Integration is a value
in the sense that it can only be justified by others values.
Joseph Weiler in his article Fin-de-Sciecle Europe, try to finds out
the original values embodied by the integration process. He concludes that the
Community was to be the instrument of three originals values or ideals :
Perhaps the most explicit ideal straight after
the Second World War. Weiler notes that this ideal was also a call for forgiveness,
one of the main value of Christian love. The influence of Christianism is
obvious in so far as the Founding Fathers were all deeply Christian (Adenauer,
De Gasperi, Schuman and Monnet)
Prosperity is the second value for which the
Community was to be instrumental. An important objection could be raised here :
in what sense can one argue that prosperity is a value, since it seems to be a pure utilitarian principle. Joseph
Weiler argue that in the context or the aftermath of war, prosperity was linked
to the value of dignity - both
personal and collective. The move from poverty to prosperity was a value,
because it meant recovering dignity.
The third ideal is that of supranationalism, as
a counter to nationalism. The Community ideal of supranationality is related to
the privileging of the individual over the nationality principal.
Even if integration actually covers a set of
different values, it is more an more used as a value in itself. It has become a
sufficient principle of justification, especially within the European
institutions like the Commission and the ECJ, partly because these institutions
have an institutional interest in the promotion of such a value. This interest
is merely an increase in the scope of their competencies. (cf. G.Garret in The politics of legal integration in the EU)
This
realist analysis is not incompatible with our own approach, since, as we said,
values often need to be objectively supported by interests groups. We should
only focus on the result : the self institutional interest of the ECJ and the
commission promote de facto a
political value, namely integration.
There are two ways of approaching the
integrationist character of the EU law. The first is to note that law is in itself an integrationist factor,
whatever its content is. The other one is to focus on the specific features of
the EU law and to underline that integrationist values are at work in its very
content. One can refer to :
- legal integration : - supremacy of community law
- principle of direct effect (if a legal
provision is said to be directly effective, it means that it grants individuals
rights which must be upheld by the national courts of all members states)
- economic integration : - free movement of goods, workers
-
freedom of establishment and freedom to provide services
-
competition policy
Until the Maastrchit Treaty, the EU treaties
contained no general provisions for the protection of Human Rights. Germany was
especially worried about that, since its constitution has strict rules on human
rights and could have been challenged by the supremacy of EU law.
With the Stauder
v Ulm Case (1969) the court recognised basic human rights as part of
Community Law. The Court said that " the fundamental human rights are
enshrined in the general principles of Community law and protected by the court
". In this line, one can say the EU legally protects all the values
included in the idea of Human Rights, which are mainly related to the freedom
of the individual over the society itself.
So far, we have shown what values are at work
within the EU law. We should now try to define the core doctrine which they are
related to.
Joseph Weiler in his article The transformation of Europe argues
that the political culture of the Community has always tried to present its
work as value free, and merely technical or pragmatic. As I mentioned by way of
introduction, the idea of the single market was presented in the White Paper as an ideologically neutral
program.
In fact, this image of neutrality is wrong.
What seems to be ideological neutrality is merely an ideological agreement,
an ideological consensus between the major European political forces. This
consensus is secured thanks to :
-
The functioning of the Council, which gathers representatives of
national governments from both right and left, and bound them to find a
consensus. Therefore, Weiler argues, the ideology of the EU law is a kind of
lowest common ideological denominator
among all the major political forces of Europe.
-
The Commission which plays a key role in this 'ideological neutralisation',
since it is perceived as being a technical body, impartial, and therefore
transcendent over the normal debates on the left-right spectrum. It has
fostered the belief that an agenda could be set for the COmmunity without to
face the normal and traditional political cleavages.
I will now try to show that most principles of
the EU law we have just pointed out, can be related to one of the four core
value of liberalism. According to John Gray, liberalism can roughly be defined
by four core features :
This doctrine holds that the power of a given
society over its individual members should have a clear limit. This limit is
precisely defined by the Human Rights.
More generally, this doctrine tends to protect the individual against all kind
of social pressure. In this line the individual becomes a value in itself.
Individualism
explains two EU law principles :
-
protection of the human rights
-
economic freedom which protects private initiative
All human being posses the same moral standing.
There is no natural superiority or inferiority.
Egalitarianism explains one EU law principls
: equality and non discrimination
Meliorism is a historical philosophy of progress.
Nearly all liberal take the view that progress is open-ended. In my opinion,
that is exactly the idea one can find in the EU treaty, behind two principles :
-
integration : we have seen that behind integration ly the values of
peace, prosperity and supranationalism. In my opinion, all these values can be
referred to the liberal principle of meliorism which holds that an ever better
world is possible.
- the promotion of the 'open market economy'
can be referred to the same principle of meliorism, in so far as from a liberal
point of view a market economy is the best way to promote social welfare and
the best economic outcome.
This fourth feature of liberalism is simply the
belief that the three previous values are universally true. Merely liberalism
des not see itself as an ideology. There is no EU law directy elated to this
principle. However, the effect universalism, is the consensus we talked about
which hides the very fact that even liberalism is an ideology. The
ideological neutrality that the Community tries to display is a very feature of
liberalism.
What are the remaining values of the EU
law, which have not been justified by
any liberal principle : solidarity an subsidiarity. Let us show that they hide
an ideological conflict within the EU law.
The European law actively promotes integration.
However it has several principles which prevent full integration.
The principle of subsidiarity provides a good
example of the tensions within the EU law, tensions between unity and preservation
of difference. It is not that easy to interpret this principle. In a strong
line, subsidiarity equates to nationalism, a way to refuse to abandon national
sovereignty. In a weaker line, it is related to decentralisation, regionalism.
Anyway, this is a counter principle opposed to integration.
Another
striking example of the integrationist and desintegrationist tensions within
the EU law is the legislation related to culture. The article 128 of the TEU
tries to find a compromise, as show the first sentence :
"
The Community shall contribute to the flowering of the cultures of the members
states, while respecting their national and regional diversity and a t the same
time bringing the common cultural heritage to the fore ".
Emphasis
is put on both cultural diversity and homogeneity.
In my view there is also a tension between on
the one hand the individualism embodied by the economic liberalism, and on the
other hand the will to promote economic and social cohesion within the EU which
implies the value of solidarity. The EU law has clearly opted for a market
society which cannot justify any solidarity principle.
But at the same time, the Title XIV of the EC
treaty refers to the principle of economic and social cohesion which is
supposed to " reduce disparities between the levels of development of the
various regions, including rural areas " (art 130.a). Besides, We should
note the interesting wording of Article 130.b : " The implementation of
the internal market shall take into account the objectives set out in Article
130.a ". This is a way to acknowledge that the market society promoted
by the EU law is actually incapable to fulfil by its own means the ideal of
cohesion and solidarity embodied in the EU law. In this line, The European
Regional Development Fund is intended to redress the main regional imbalances
of the Community.
Finally there is a tension between two ideals :
-
a market society dominated by individualism, competition, the ideology of efficiency.
-
a communautarian society at a European level in which the winners help those who lag behind.
By way of conclusion I'd say again that law as
a general concept is definitely not a value free instrument, and the EU law has
more reasons not to be so. Despite the fact that the European institutions try
to present the integration process as ideologically neutral, we cannot ignore
that EU law has deep ideological roots, notably liberal .
However EU law has not secured a doctrinal
coherence, since it displays conflicts of values, among which is to be found a
deep contradiction between individualism and solidarity.