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A “Fresh Start” or One More Clunker? Dublin and Solidarity in the New Pact – EU Migration Blog

ForumAsile received permission of author to repost his analysis of the EU Migration and Asylum Pact proposed recently by the EU Commission and currently negociated by all EU gorvernments. Francesco Maiani is Associate professor at the Centre of Comparative, European and International Law, Faculty of Law, Criminal Justice and Public Administration, , University of  Lausanne. 

Five years after the peak of the 2015 policy crisis, the European Commission launched what it labelled as a ‘new’ Pact on Migration and Asylum. The academic Odysseus Network for legal studies on immigration and asylum in Europe is the natural setting to provide a timely and quality review of the diverse aspects of the Commission proposals. They will be published in a special collection of more than a dozen blogposts written by eminent experts from across Europe over the next weeks. We have designed a specific website to bring together the individual contributions in an overarching format – and invite you to consult it on a regular basis or to subscribe to our newsletter informing you about new blogposts.

In ongoing discussions on the reform of the CEAS, solidarity is a key theme. It stands front and center in the New Pact on Migration and Asylum: after reassuring us of the “human and humane approach” taken, the opening quote stresses that Member States must be able to “rely on the solidarity of our whole European Union”.

In describing the need for reform, the Commission does not mince its words: “[t]here is currently no effective solidarity mechanism in place, and no efficient rule on responsibility”. It’s a remarkable statement: barely one year ago, the Commission maintained that “[t]he EU [had] shown tangible and rapid support to Member States under most pressure” throughout the crisis. Be that as it may, we are promised a “fresh start”. Thus, President Von der Leyen has announced on the occasion of the 2020 State of the Union Address that “we will abolish the Dublin Regulation”, the 2016 Dublin IV Proposal (examined here) has been withdrawn, and the Pact proposes a “new solidarity mechanism” connected to “robust and fair management of the external borders” and capped by a new “governance framework”.

Before you buy the shiny new package, you are advised to consult the fine print however. Yes, the Commission proposes to abolish the Dublin III Regulation and withdraws the Dublin IV Proposal. But the Proposal for an Asylum and Migration Management Regulation (hereafter “the Migration Management Proposal”) reproduces word-for-word the Dublin III Regulation, subject to amendments drawn … from the Dublin IV Proposal! As for the “governance framework” outlined in Articles 3-7 of the Migration Management Proposal, it’s a hodgepodge of purely declamatory provisions (e.g. Art. 3-4), of restatements of pre-existing obligations (Art. 5), of legal bases authorizing procedures that require none (Art. 7). The one new item is a yearly monitoring exercise centered on an “European Asylum and Migration Management Strategy” (Art. 6), which seems as likely to make a difference as the “Mechanism for Early Warning, Preparedness and Crisis Management”, introduced with much fanfare with the Dublin III Regulation and then left in the drawer before, during and after the 2015/16 crisis.

Leaving the provisions just mentioned for future commentaries – fearless interpreters might still find legal substance in there – this contribution focuses on four points: the proposed amendments to Dublin, the interface between Dublin and procedures at the border, the new solidarity mechanism, and proposals concerning force majeureCaveat emptor! It is a jungle of extremely detailed and sometimes obscure provisions. While this post is longer than usual – warm thanks to the lenient editors! – do not expect an exhaustive summary, nor firm conclusions on every point.

DUBLIN, THE UNDYING

To borrow from Mark Twain, reports of the death of the Dublin system have been once more greatly exaggerated. As noted, Part III of the Migration Management Proposal (Articles 8-44) is for all intents and purposes an amended version of the Dublin III Regulation, and most of the amendments are lifted from the 2016 Dublin IV Proposal.

A first group of amendments concerns the responsibility criteria. Some expand the possibilities to allocate applicants based on their “meaningful links” with Member States: Article 2(g) expands the family definition to include siblings, opening new possibilities for reunification; Article 19(4) enlarges the criterion based on previous legal abode (i.e. expired residence documents); in a tip of the hat to the Wikstroem Report, commented here, Article 20 introduces a new criterion based on prior education in a Member State.

These are welcome changes, but all that glitters is not gold. The Commission advertises “streamlined” evidentiary requirements to facilitate family reunification. These would be necessary indeed: evidentiary issues have long undermined the application of the family criteria. Unfortunately, the Commission is not proposing anything new: Article 30(6) of the Migration Management Proposal corresponds in essence to Article 22(5) of the Dublin III Regulation.

Besides, while the Commission proposes to expand the general definition of family, the opposite is true of the specific definition of family applicable to “dependent persons”. Under Article 16 of the Dublin III Regulation, applicants who e.g. suffer from severe disabilities are to be kept or brought together with a care-giving parent, child or sibling residing in a Member State. Due to fears of sham marriages, spouses have been excluded and this is legally untenable and inhumane, but instead of tackling the problem the Commission proposes in Article 24 to worsen it by excluding siblings. The end result is paradoxical: persons needing family support the most will be deprived – for no apparent reason other than imaginary fears of “abuses” – of the benefits of enlarged reunification possibilities. “[H]uman and humane”, indeed.

The fight against secondary movements inspires most of the other amendments to the criteria. In particular, Article 21 of the Proposal maintains and extends the much-contested criterion of irregular entry while clarifying that it applies also to persons disembarked after a search and rescue (SAR) operation. The Commission also proposes that unaccompanied children be transferred to the first Member State where they applied if no family criterion is applicable (Article 15(5)). This would overturn the MA judgment of the ECJ whereby in such cases the asylum claim must be examined in the State where the child last applied and is present. It’s not a technical fine point: while the case-law of the ECJ is calculated to spare children the trauma of a transfer, the proposed amendment would subject them again to the rigours of Dublin.

Again to discourage secondary movements, the Commission proposes – as in 2016 – a second group of amendments: new obligations for the applicants (Articles 9-10). Applicants must in principle apply in the Member State of first entry, remain in that State for the duration of the Dublin procedure and, post-transfer, remain in the State responsible. Moving to the “wrong” State entails losing the benefits of the Reception Conditions Directive, subject to “the need to ensure a standard of living in accordance with” the Charter. It is debatable whether this is a much lesser standard of reception. More importantly: as reception conditions in line with the Directive are seldom guaranteed in several frontline Member States, the prospect of being treated “in accordance with the Charter” elsewhere will hardly dissuade applicants from moving on.

The 2016 Proposal foresaw, as further punishment, the mandatory application of accelerated procedures to “secondary movers”. This rule disappears from the Migration Management Proposal, but as Daniel Thym points out in his forthcoming contribution on secondary movements, it remains in Article 40(1)(g) of the 2016 Proposal for an Asylum Procedures Regulation. Furthermore, the Commission proposes deleting Article 18(2) of the Dublin III Regulation, i.e. the guarantee that persons transferred back to a State that has meanwhile discontinued or rejected their application will have their case reopened, or a remedy available. This is a dangerous invitation to Member States to reintroduce “discontinuation” practices that the Commission itself once condemned as incompatible with effective access to status determination.

To facilitate responsibility-determination, the Proposal further obliges applicants to submit relevant information before or at the Dublin interview. Late submissions are not to be considered. Fairness would demand that justified delays be excused. Besides, it is also proposed to repeal Article 7(3) of the Dublin III Regulation, whereby authorities must take into account evidence of family ties even if produced late in the process. All in all, then, the Proposal would make proof of family ties harder, not easier as the Commission claims.

A final group of amendments concern the details of the Dublin procedure, and might prove the most important in practice.

These are, in short, the key amendments foreseen. While it’s easy enough to comment on each individually, it is more difficult to forecast their aggregate impact. Will they – to paraphrase the Commission – “improv[e] the chances of integration” and reduce “unauthorised movements” (recital 13), and help closing “the existing implementation gap”? Probably not, as none of them is a game-changer.

Taken together, however, they might well aggravate current distributive imbalances. Dublin “locks in” the responsibilities of the States that receive most applications – traditional destinations such as Germany or border States such as Italy – leaving the other Member States undisturbed. Apart from possible distributive impacts of the revised criteria and of the now obligations imposed on applicants, first application States will certainly be disadvantaged combination by shortened deadlines, security screenings (see below), streamlined take backs, and “stable” responsibility extending to beneficiaries of protection. Under the “new Dublin rules” – sorry for the oxymoron! – effective solidarity will become more necessary than ever.

BORDER PROCEDURES AND DUBLIN

Building on the current hotspot approach, the Proposals for a Screening Regulation and for an Asylum Procedures Regulation outline a new(ish) “pre-entry” phase. This will be examined in a forthcoming post by Lyra Jakuleviciene, but the interface with infra-EU allocation deserves mention here.

In a nutshell, persons irregularly crossing the border will be screened for the purpose of identification, health and security checks, and registration in Eurodac. Protection applicants may then be channelled to “border procedures” in a broad range of situations. This will be mandatory if the applicant: (a) attempts to mislead the authorities; (b) can be considered, based on “serious reasons”, “a danger to the national security or public order of the Member States”; (c) comes from a State whose nationals have a low Union-wide recognition rate (Article 41(3) of the Asylum Procedure Proposal).

The purpose of the border procedure is to assess applications “without authorising the applicant’s entry into the Member State’s territory” (here, p.4). Therefore, it might have seemed logical that applicants subjected to it be excluded from the Dublin system – as is the case, ordinarily, for relocations (see below). Not so: under Article 41(7) of the Proposal, Member States may apply Dublin in the context of border procedures. This weakens the idea of “seamless procedures at the border” somewhat but – from the standpoint of both applicants and border States – it is better than a watertight exclusion: applicants may still benefit from “meaningful link” criteria, and border States are not “stuck with the caseload”. I would normally have qualms about giving Member States discretion in choosing whether Dublin rules apply. But as it happens, Member States who receive an asylum application already enjoy that discretion under the so-called “sovereignty clause”. Nota benein exercising that discretion, Member States apply EU Law and must observe the Charter, and the same principle must certainly apply under the proposed Article 41(7).

The only true exclusion from the Dublin system is set out in Article 8(4) of the Migration Management Proposal. Under this provision, Member States must carry out a security check of all applicants as part of the pre-entry screening and/or after the application is filed. If “there are reasonable grounds to consider the applicant a danger to national security or public order” of the determining State, the other criteria are bypassed and that State becomes responsible. Attentive readers will note that the wording of Article 8(4) differs from that of Article 41(3) of the Asylum Procedure Proposal (e.g. “serious grounds” vs “reasonable grounds”). It is therefore unclear whether the security grounds to “screen out” an applicant from Dublin are coextensive with the security grounds making a border procedure mandatory. Be that as it may, a broad application of Article 8(4) would be undesirable, as it would entail a large-scale exclusion from the guarantees that applicants derive from the Dublin system. The risk is moderate however: by applying Article 8(4) widely, Member States would be increasing their own share of responsibilities under the system. As twenty-five years of Dublin practice indicate, this is unlikely to happen.

“MANDATORY” AND “FLEXIBLE” SOLIDARITY UNDER THE NEW MECHANISM

So far, the Migration Management Proposal does not look significantly different from the 2016 Dublin IV Proposal, which did not itself fundamentally alter existing rules, and which went down in flames in inter- and intra-institutional negotiations. Any hopes of a “fresh start”, then, are left for the new solidarity mechanism.

Unfortunately, solidarity is a difficult subject for the EU: financial support has hitherto been a mere fraction of Member State expenditure in the field; operational cooperation has proved useful but cannot tackle all the relevant aspects of the unequal distribution of responsibilities among Member States; relocations have proved extremely beneficial for thousands of applicants, but are intrinsically complex operations and have also proven politically divisive – an aspect which has severely undermined their application and further condemned them to be small scale affairs relative to the needs on the ground. The same goes a fortiori for ad hoc initiatives – such as those that followed SAR operations over the last two years– which furthermore lack the predictability that is necessary for sharing responsibilities effectively. To reiterate what the Commission stated, there is currently “no effective solidarity mechanism in place”.

Perhaps most importantly, the EU has hitherto been incapable of accurately gauging the distributive asymmetries on the ground, to articulate a clear doctrine guiding the key determinations of “how much solidarity” and “what kind(s) of solidarity”, and to define commensurate redistributive targets on this basis (see here, p.34 and 116).

Alas, the opportunity to elaborate a solidarity doctrine for the EU has been completely missed. Conceptually, the New Pact does not go much farther than platitudes such as “[s]olidarity implies that all Member States should contribute”. As Daniel Thym aptly observed, “pragmatism” is the driving force behind the Proposal: the Commission starts from a familiar basis – relocations – and tweaks it in ways designed to convince stakeholders that solidarity becomes both “compulsory” and “flexible”. It’s a complicated arrangement and I will only describe it in broad strokes, leaving the crucial dimensions of financial solidarity and operational cooperation to forthcoming posts by Iris Goldner Lang and Lilian Tsourdi.

The mechanism operates according to three “modes”. In its basic mode, it is to replace ad hoc solidarity initiatives following SAR disembarkations (Articles 47-49 of the Migration Management Proposal):

If I understand correctly the fuzzy provision I have just summarized –  Article 48(2) – it all boils down to “half-compulsory” solidarity: Member States are obliged to cover at least 50% of the relocation needs set by the Commission through relocations or sponsorships, and the rest with other contributions.

After the “solidarity pool” is established and the benefitting Member State requests its activation, relocations can start:

If the Commission concludes that a Member State is under “migratory pressure”, at the request of the concerned State or of its own motion (Article 50), the mechanism operates as described above except for one main point: beneficiaries of protection also become eligible for relocation (Article 51(3)). Thankfully, they must consent thereto and are automatically granted the same status in the relocation State (see Articles 57(3) and 58(4)).

If the Commission concludes that a Member State is confronted to a “crisis”, rules change further (see Article 2 of the Proposal for a Migration and Asylum Crisis Regulation):

It is an understatement to say that the mechanism is complex, and your faithful scribe still has much to digest. For the time being, I would make four general comments.

FRAMING FORCE MAJEURE (OR INVITING DEFECTION?)

In addition to addressing “crisis” situations, the Proposal for a Migration and Asylum Crisis Regulation includes separate provisions on force majeure.

Thereunder, any Member State may unilaterally declare that it is faced with a situation making it “impossible” to comply with selected CEAS rules, and thus obtain the right – subject to a mere notification – to derogate from them. Member States may obtain in this way longer Dublin deadlines, or even be exempted from the obligation to accept transfers and be liberated from responsibilities if the suspension goes on more than a year (Article 8). Furthermore, States may obtain a six-months suspension of their duties under the solidarity mechanism (Article 9).

The inclusion of this proposal in the Pact – possibly an attempt to further placate Member States averse to European solidarity? – beggars belief. Legally speaking, the whole idea is redundant: under the case-law of the ECJ, Member States may derogate from any rule of EU Law if confronted to force majeure. However, putting this black on white amounts to inviting (and legalizing) defection. The only conceivable object of rules of this kind would have been to subject force majeure derogations to prior authorization by the Commission – but there is nothing of the kind in the Proposal. The end result is paradoxical: while Member States are (in theory!) subject to Commission supervision when they conclude arrangements facilitating the implementation of Dublin rules, a mere notification will be enough to authorize them to unilaterally tear a hole in the fabric of “solidarity” and “responsibility” so painstakingly – if not felicitously – woven in the Pact.

CONCLUDING COMMENTS

We should have taken Commissioner Ylva Johansson at her word when she said that there would be no “Hoorays” for the new proposals. Past the avalanche of adjectives, promises and fancy administrative monikers hurled at the reader – “faster, seamless migration processes”; “prevent the recurrence of events such as those seen in Moria”; “critical mass correction mechanism” – one cannot fail to see that the “fresh start” is essentially an exercise in repackaging.

On responsibility-allocation and solidarity, the basic idea is one that the Commission incessantly returns to since 2007 (here, p. 10): keep Dublin and “correct” it through solidarity schemes. I do sympathize to an extent: realizing a fair balance of responsibilities by “sharing people” has always seemed to me impracticable and undesirable. Still, one would have expected that the abject failure of the Dublin system, the collapse of mutual trust in the CEAS, the meagre results obtained in the field of solidarity – per the Commission’s own appraisal – would have pushed it to bring something new to the table.

Instead, what we have is a slightly milder version of the Dublin IV Proposal – the ultimate “clunker” in the history of Commission proposals – and an ultra-bureaucratic mechanism for relocation, with the dubious addition of return sponsorships and force majeure provisions. The basic tenets of infra-EU allocation remain the same – “no choice”, first entry – and none of the structural flaws that doomed current schemes to failure is fundamentally tackled (here, p.107): solidarity is beefed-up but appears too unreliable and fuzzy to generate trust; there are interesting steps on “genuine links”, but otherwise no sustained attempt to positively engage applicants; administrative complexity and coercive transfers reign on.

Pragmatism, to quote again Daniel Thym’s excellent introductory post, is no sin. It is even expected of the Commission. This, however, is a study in path-dependency. By defending the status quo, wrapping it in shiny new paper, and making limited concessions to key policy actors, the Commission may perhaps carry its proposals through. However, without substantial corrections, the “new” Pact is unlikely to save the CEAS or even to prevent new Morias.

FURTHER READING

ODYSSEUS BLOG

Francesco Maiani and Constantin Hruschka, ‘The Report of the European Parliament on the reform of the Dublin system: certainly bold, but pragmatic?’, EU immigration and Asylum Law Blog of 20 December 2017

Maarten den Heijer, ‘Corrective allocation or effective solidarity? The Slovak Presidency non-paper on the revision of the Dublin system’, EU Immigration and Asylum Law Blog of 10 March 2017.

Phillippe De Bruycker, Evangelia (Lilian) Tsourdi, ‘The Bratislava Declaration on migration: European irresponsibility instead of solidarity’, EU Immigration and Asylum Law Blog of 27 September 2016.

Constantin Hruschka, ‘Dublin is dead! Long live Dublin! The 4 May 2016 proposal of the European Commission’, EU immigration and Asylum Law Blog of 17 May 2016.

Evelien Brouwer, Conny Rijken, Ralph Severijns, ‘Sharing responsibility: A proposal for a European Asylum System based on solidarity’, EU Immigration and Asylum Law Blog of 17 February 2016.

Hillel Rapoport, ‘Refugee quotas: allowing EU Member States to choose between physical and financial solidarity’, EU Immigration and Asylum Law Blog of 22 January 2016.

FROM TAMPERE 20 TO TAMPERE 2.0.

Francesco Maiani, ‘Responsibility allocation and solidarity’, in: Philippe De Bruycker, Marie De Somer and Jean-Louis De Brouwer (eds), From Tampere 20 to Tampere 2.0. Towards a new European consensus on migration (EPC, 2019), p. 103-118.

OTHERS

Sergio Carrera, Whose pact? The cognitive dimensions of the New EU Pact on Migration and Asylum, CEPS Policy Insights, N 2020/22 September 2020.

EU ACTS

Commission Communication on a New Pact on Migration and Asylum, COM(2020) 609 of 23 September 2020.

Commission Proposal for a Regulation introducing a screening of third country nationals at the external borders, COM(2020) 612 of 23 September 2020.

Proposal for a Regulation of the European Parliament and the Council on asylum and migration management and amending Council Directive concerning the status of third-country nationals who are long-term residents, COM(2020) 610 of 23 September 2020.

Amended Proposal for a Regulation establishing a common procedure for international protection in the Union and repealing Directive 2013/32/EU, COM(2020) 611 of 23 September 2020.

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