Chapter 0. Introduction 1

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Contents- Summary

Acknowledgments i

List of Abbreviations i

Chapter 0. Introduction 1

Chapter 1. What is trust? - a social science perspective 2

Chapter 2. Institutional architecture of EU criminal law: mutual recognition as the ‘cornerstone of judicial cooperation in criminal matters’ 3

Chapter 3. The ‘flagship’ mutual recognition instrument: the European Arrest Warrant and trust issues 4

Chapter 4. The Court of Justice of the European Union’s mutual trust journey: from a strict presumption to (room for) rebuttal 5

Chapter 5. Mutual trust in the EU criminal law discourse: from confidence to doubt 6

Chapter 6. The trust building policy: an orchestrated effort to enhance mutual trust or a patchwork of measures? 6

Chapter 7. The (critical) reception and development of mutual trust in academic literature 7

Chapter 8. Criminal law cooperation in a federal context: the United States of America 8

Chapter 9. US interjurisdictional interaction in criminal justice matters: trust based cooperation? 9

Chapter 10. Juxtaposing the EU’s trust problems with the US- the value of the US experience 10

Chapter 11. The substance of mutual trust, a core principle of EU criminal law 11

Chapter 12. Conclusion 12

Bibliography 13

Table of Cases 14

Table of Legislation 15

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Contents- outline

Acknowledgments……… i

List of Abbreviations………... i

Chapter 0. Introduction 1. The topic of the thesis………. 1

2. Research aims………. 2

3. Relevance of the study……… 3

4. The structure of the thesis………... 4

5. Methodology……… 5

6. Scope and delineation……….. 6

Chapter 1. What is trust? - a social science perspective 0. Introduction……… 10

1. Towards a body of social science literature on trust- defining an undefined term……… 11

2. Dissecting trust- risks and interests at the core of trust relationships……… 12

2.1. The willingness to take risks and the need for choice to do so……… 13

2.2. Interests at the core of trust relationships………. 14

3. Clarifying the concept of trust- more specificity about the phenomenon we describe….. 15

3.0. Introduction………... 16

3.1. Is trust cognitive or noncognitive?... 17

3.2. Distinguishing trust from trustworthiness………. 18

3.3. Trust is a term of knowledge, the trusting relationship a term of action……….. 19

3.4. Trust is a three-part relation: A trusts B to do X……….. 20

3.5. Mutual and reciprocal trust……….. 21

3.6. Developmental accounts of trust- trust as a learning process……….. 22

4. How does social trust translate to the EU criminal law context?... 23

4.0. Introduction……….. 24

4.1. Taking risks in EU criminal justice cooperation- the transfer of discretion... 25

4.2. Common interests as an indicator of trust within EU criminal justice cooperation… 26 4.3. Trust, between who? Determining the subject of trust in EU criminal law…………. 27

4.4. A trusts B to do C- determining the object of trust in EU criminal law……….. 28

4.5. The value of a social science perspective for EU criminal law……… 29

5. Conclusion……….. 30

Chapter 2. Institutional architecture of EU criminal law: mutual recognition as the ‘cornerstone of judicial cooperation in criminal matters’ 0. Introduction……… 31

1. Institutional development of EU cooperation in criminal justice matters………... 32

1.1. Council of Europe, Trevi and Schengen (pre-1993)……… 33

1.2. The Maastricht era (1993-1999)……….. 34

1.3. The Amsterdam era (1999-2009)………. 35

1.4. The Lisbon era (2009-present)………. 36

2. The principles of mutual recognition and mutual trust in EU law………. 37

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2.1. The origin of mutual recognition……….. 38

2.2. Limits to the application of mutual recognition……… 39

2.3. Facilitating mutual recognition……… 40

2.4. Mutual trust (or confidence) as a prerequisite to mutual recognition………... 41

3. Transferring mutual recognition to the criminal justice sphere………. 42

3.1. Mutual recognition: the cornerstone of judicial cooperation in criminal matters…… 43

3.2. Mutual trust in EU criminal law: ‘the principle behind the principle’………. 44

3.3. Mutual recognition in EU criminal law practice: managed and ad hoc……… 45

3.4. The measures applying mutual recognition to criminal justice cooperation…………. 46

3.5. Mutual recognition and the exchange of evidence- from the European Evidence Warrant to the European Investigation Order………. 47

4. Conclusion……….. 48

Chapter 3. The ‘flagship’ mutual recognition instrument: the European Arrest Warrant and trust issues 0. Introduction……… 50

1. The European Arrest Warrant: a revolutionary extradition scheme?... 51

2. The success of the European Arrest Warrant- mixed messages………. 52

3. National constitutional challenges to the validity of the European Arrest Warrant- a signal of distrust?... 53

4. Difficulties with the European Arrest Warrant in practice. Trust issues?... 54

4.1. Problem area 1: insufficient regard to human rights and creative national solutions.. 55

4.2. Problem area 2: lack of a proportionality check and different legality principles…... 56

4.3. Problem area 3: excessive use of pre-trial detention discouraging extradition……… 57

4.4. Problem area 4: poor detention conditions and prison overcrowding……….. 58

4.5. Problem area 5: (partial) abolition of double criminality. A sign of trust or distrust?. 59 4.6. Problem area 6: creative national implementation of the European Arrest Warrant… 60 4.7. Problem area 7: refusing extradition in case of in absentia judgments……… 61

5. Conclusion……….. 62

Chapter 4. The Court of Justice of the European Union’s mutual trust journey: from a strict presumption to (room for) rebuttal 0. Introduction……… 63

1. Establishing the trust presumption- the EU-wide application of ne bis in idem………… 64

2. The validity of the European Arrest Warrant- Advocaten voor de Wereld……… 65

3. A hidden nationality exception? Kozlowski, Wolzenburg and Lopez de Silva Jorge…… 66

4. The relation mutual recognition-mutual trust under examination in Mantello…………. 67

5. The first rebuttal of the trust-presumption in N.S. and M.E.………. 68

6. A human rights refusal ground under the European Arrest Warrant post N.S.? Not yet… 69 6.1 Urgent calls to extend N.S. to the criminal law sphere……….. 70

6.2. Radu- the Court unable (or unwilling) to rule on a human rights refusal ground…… 71

6.3. Melloni- giving precedence to EU fundamental rights, a matter of trust?... 72

7. Opinion 2/13- a showcase of the importance of (the presumption of) mutual trust……... 73

8. A change of direction- more deference to fundamental rights and less to mutual trust: Lanigan, Aranyosi and Căldăraru, and Bob-Dogi………. 74

8.1. Lanigan- change is in the air……… 75

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8.2. Aranyosi and Căldăraru- a landmark ruling for fundamental rights and mutual trust. 76

8.3. A continuation of the ‘new approach’: Bob-Dogi and onwards………... 77

9. Conclusion- the evolution of the trust presumption……… 78

Chapter 5. Mutual trust in the EU criminal law discourse: from confidence to doubt 0. Introduction………... 79

1. First articulation of the presumption of mutual trust………. 80

2. Questions raised on the validity of the trust presumption………. 81

3. A direct link between improving mutual recognition and enhancing trust- the Hague Programme……….. 82

4. Building trust as a main objective of the Stockholm Programme……….. 83

5. Observing fading trust in the cooperation instruments: from the European Arrest Warrant to the European Investigation Order……….. 84

6. The 2020 justice agenda- mutual trust as the ‘bedrock upon which the EU justice policy should be built’……….. 86

7. Towards a broader, more abstract notion of trust- from one Commissioner to another… 88 8. Conclusion- the EU’s ‘trust logic’. Is there one?... 89

Chapter 6. The trust building policy: an orchestrated effort to enhance mutual trust or a patchwork of measures? 0. Introduction……….. 90

1. The relation mutual recognition-harmonisation (approximation)……… 91

2. Legal trust building: substantive harmonisation……….. 92

3. Legal trust building: approximation of procedural rights………. 93

3.0. Building trust by establishing EU-wide defence and victims’ rights……….. 94

3.1. A first attempt for an EU instrument on procedural safeguards: the failed Framework Decision on Procedural Rights………... 95

3.2. First tangible result to build trust by approximating procedural rights: the Roadmap.. 96

4. Non-legal and soft law means of trust building………. 97

4.0. Introduction……….. 98

4.1. Training of those working with EU criminal law measures in everyday practice….. 99

4.2. Evaluation and monitoring- the importance of accurate information……… 100

5. Building trust by developing criminal justice infrastructure: from Eurojust to a European Public Prosecutor……….. 101

6. Conclusion……… 102

Chapter 7. The (critical) reception and development of mutual trust in academic literature 0. Introduction……….. 103

1. Mutual recognition and trust literature- questioning the EU’s trust presumption…….. 104

1.0. Introduction……… 105

1.1. Challenging the trust presumption on human rights grounds……… 106

1.2. Trust building after implementing mutual recognition: putting the cart before the horse?... 107

1.3. Enlargement as a (further) complication for trust………. 108

2. Efforts to clarify the meaning of the principle of mutual trust……… 109

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2.0. Introduction……… 110

2.1. A ‘technical’ perspective- trust beneficial but no absolute requirement……… 111

2.2. Distinguishing between different ‘variants’ of trust- trust in abstracto and in concreto, or, alternatively, political and legal trust……….. 112

2.3. More specificity please- subject or object of trust?... 113

2.4. Non-binary trust- but can we prove to what degree trust exists?... 114

3. Wide(r) relevance of mutual trust……… 115

3.1. General EU variant of the principle of mutual trust……….. 116

3.2. Mutual constitutional trust………. 117

3.3. The fundamental difference between mutual recognition and mutual trust in the internal market and criminal justice contexts……… 118

3.4. Mutual trust in the common asylum context……….. 119

4. Invitations for further conceptual development of the principle of mutual trust………. 120

5. Conclusion……… 121

Chapter 8. Criminal law cooperation in a federal context: the United States of America 0. Introduction……….. 122

1. The relevance of a comparison with the United States of America………. 123

1.1. Feasibility of the comparative study………. 124

1.2. The (increasingly) federal nature of the EU……….. 125

1.3. European federal criminal law………... 126

2. Distinctive features of the US legal system………. 127

2.1. US constitutional history……… 128

2.2. The shared common law tradition………. 129

2.3. Strong rooted constitutionalism………. 130

2.4. US federalism- dual or cooperative?... 131

3. The American decentralised criminal justice system………. 132

3.0. Introduction……… 133

3.1. The states as autonomous actors in criminal law……….. 134

3.2. Federal dimension of US criminal law……….. 135

3.3. Interaction between federal and state in criminal justice matters (vertical federalism)……… 136

3.4. Interaction between states in criminal justice matters (horizontal federalism)- full faith and credit?... 137

3.5. The limited reach of the prohibition of double jeopardy- a sign of (dis)trust?... 138

4. The Constitutional baseline of the rights of suspects and defendants in criminal proceedings……….. 139

4.0. Introduction……… 140

4.1. The protection of defence rights- an interplay of norms……… 141

4.2. The Warren Court criminal justice (r)evolution………. 142

4.3. Revival of state constitutional law………. 143

5. Conclusion……… 144

Chapter 9. US interjurisdictional interaction in criminal justice matters: trust based

cooperation?

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0. Introduction………. 145

1. US interstate extradition: a procedure with a high degree of automaticity………. 146

1.0. Introduction……… 147

1.1. The layered legal framework setting out the obligation to extradite……….. 148

1.2. From gubernatorial discretion to an obligation to extradite- the Supreme Court’s reversal……… 149

1.3. Other relevant factors that contributed to the evolution of extradition……… 150

1.4. The summary nature of the interstate extradition procedure……… 151

1.5. Testing the legality of extradition: habeas corpus proceedings……… 152

1.6. Under what circumstances can a governor refuse an extradition request?... 153

1.7. Overall- interstate extradition, a streamlined procedure………... 154

2. Other forms of inter-state interaction in criminal justice matters……… 155

2.0. Introduction……… 156

2.1. Detainers: from comity to an interstate agreement……… 157

2.2. Hot pursuit: crossing state borders with ease……… 158

2.3. Fugitives from Justice Act: federal criminal law assisting state law enforcement… 159 2.4. The (patchwork) arrangement of exchange and admissibility of out of state evidence……… 160

2.5. Interstate Compact on Adult Offender Supervision……….. 161

2.6. Criminal recidivist enhancements based on extraterritorial misconduct………….. 162

3. Conclusion………... 163

Chapter 10. Juxtaposing the EU’s trust problems with the US- the value of the US experience 0. Introduction……….. 164

1. Different cooperation rationales: pragmatism versus idealism? mutual trust versus interstate harmony……… 165

2. Core characteristics underpinning US interaction in criminal justice matters………… 166

2.1 Timeframe: trust and familiarity as a learning process that requires to grow and evolve……….. 167

2.2. Federalism as a catalyst for interstate cooperation……… 168

2.3. Cooperation underpinned by a baseline of Constitutional defence rights…………. 169

2.4. Homogenous substantive criminal laws as a cause for (relative) harmony……….. 170

2.5. Interstate extradition- limited possibility for refusal………. 171

2.6. One common language as an important facilitator of cooperation……… 172

2.7. Extraterritorial application of double jeopardy in the US and the EU compared….. 173

3. Conclusion. The value of the US study: lessons and limitations………. 174

Chapter 11. The substance of mutual trust, a core principle of EU criminal law 0. Introduction………. 175

1. Characteristic 1- a fairly developed common legal culture and the existence of a ‘European criminal law’………... 176

2. Characteristic 2: fundamental rights- the ‘Europeanisation’ of the right to a fair trial… 177 3. Characteristic 3: high level of reciprocity, although not explicitly……….. 178

4. Characteristic 4: the loyalty principle: what kind of loyalty in EU criminal law?... 179

5. Characteristic 5: the equivalence presumption- towards more equivalence, but while

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preserving diversity……….. 180

6. A comprehensive (three-fold) effort to tackle challenges to mutual trust……… 181

7. Recommendation 1: a change of perspective. From formal trust to substantive trust (allowing rebuttal of the trust presumption)………. 182

8. Recommendation 2: addressing fundamental rights concerns by implementing European due process rights……… 183

8.0. Introduction……….. 184

8.1. Practical application of rebutting the trust presumption: allowing non-execution of mutual recognition requests on fundamental rights grounds………... 185

8.2. Legislative intervention in the European Arrest Warrant………. 186

8.3. Approximation of procedural rights to consolidate trust………. 187

9. Recommendation 3: the importance of non-legal trust building. The need for accurate information………... 188

10. Conclusion………. 189

Chapter 12. Conclusion 0. Introduction………. 190

1. The importance of mutual trust in balancing the various interests at stake in EU criminal law……… 190

2. A social science inspired perspective on mutual trust………. 191

3. From presuming to rebutting trust: the evolution of mutual trust……… 192

4. The US case study- lessons from a relatively smooth interstate cooperation model…… 193

5. The substance of the principle of mutual trust in EU criminal law……….. 194