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Chapter4PhilosophicalLens(TheNormativeTheories,etc.
Continued)Ethicalconductmustbebasedonspiritualvaluesthatarecoretoallreligionsandthatarealsopartofasecularapproachtovalues.
RenéSmits,TheInvisibleCoreofValuesintheEuropeanIntegrationProject(Smits2018,224).
4.
1EthicalApproachIdentiedinEULegalDocumentsWhileobjectives1–3havebeendealtwithinthechapterssofar,thischapterisdedicatedtoobjective4.
Thatistosay,whetherwecanidentifyacertaincommonhorizontal(orratheraspecic)patterninreferringtothesetermsofethicsandmorality,andwhetherwecanthusidentifyanethicalspiritbasedonananalysisoftheselegaltexts;orwhetherwehavetoascertainagap,whichhastobelledbyothermeansFirst,wehavetoshedsomelightonthenotionof'spirit',atermthatcanhavemanifoldmeanings.
AccordingtotheCollinsBirminghamdictionary,thespiritofalegalprovision"isthewaythatitwasintendedtobeinterpretedorapplied",1andaccordingtotheOxforddictionary"therealmeaningasopposedtolipserviceorverbalexpression(thespiritoflaw)".
2Oftenthisintentionoftheauthorsofalegalprovisioncanbecontrastedtotheliteralmeaning,themerewording.
Afamousexampleforthisoppositionof"wordingvs.
spirit"canbefoundinWilliamShakespeare's"TheMerchantofVenice",3wherethepromisetogivea"poundofesh"incasealoancannotberepaid,intheendissolvedasfollows.
Astheagreementdidnotmentionblood,hence,therewouldonlybearighttohavethis"poundofesh",ifnobloodwouldbeshed.
41Krishnamurthy(1993,p.
948).
2Allenetal.
(1990,pp.
1173–1174);noemphasisadded.
3TheHamlynPublishingGroup(1970,pp.
184–208).
4ActIV,SceneI.
Venice.
ACourtofJustice;TheHamlynPublishingGroup(1970,p.
204).
TheAuthor(s)2019M.
Frischhut,TheEthicalSpiritofEULaw,https://doi.
org/10.
1007/978-3-030-10582-2_489904PhilosophicalLens(TheNormativeTheories,etc.
Continued)However,thisbookisbasedonanunderstanding,wherethenotionof'spirit'surpassesthemere'intention'ofalegalprovisioninvariousways.
First,thisbookrefersto"theethicalspiritofEUlaw",hence,alegalsystemandnotonlyasinglelegalprovision.
Second,fortheauthor,'spirit'ismorethanjusttheintention.
Itistheholisticcomingtogetherofdifferentelements,orasMontesquieucalledit,the"relations[which]togetherconstitutewhatIcalltheSpiritofLaws".
5Whenanalysing"[h]owvaluescometomatterattheEuropeanCommission",JimDratwahasreferredtoa'lattice',a"setofbodiesandtexts,ofproductsandprocesses".
6Whiletheauthorofthisbookfullyacknowledgesthedifcultyindeningthenotionof'spirit',thisbookisbasedonthefollowingunderstanding:theintentionoftheauthorsofalegalsystem,whichisreectedinalatticeofvariousdifferentprovisions.
Inametaphoricalsense,this'spirit'7canbedescribedasaghostthatmaybecannotbeseen,butwhichisneverthelesspresentintermsofthislattice;or,asmentionedabove,thediscoveryofacommonapproachwhichcanserveasabasisofunderstandingoftheunderlyingphilosophyofEUlaw.
8Thereason,whythisdenitionincludes"theauthorsofalegalsystem"(plural)andnot"thelegislator"issimplybecausewehaveseenseveralauthorsinSects.
3.
1–3.
3.
4.
FromtheMSas"MastersoftheTreaties",theEPandtheCouncil(i.
e.
theordinarylegislativeprocedure),theCJEU(case-law),andnallytotheMSinimplementingdirectives,tonamebutthemostimportantones.
Thespiritofalegalsystemobviouslycanchangeovertime.
ThespiritofEUlawinitsinfancywasdifferentatthebeginning(startingwithcoalandsteel,spillingovertothegeneraleconomiceld),comparedtowhatitistoday(alsocomprisingthepoliticaleldandentailinghumanrightsandvalues).
Itisalsorelativetothosedifferentprovisionsandprocesses.
Thisrelativityisreminiscentofthe'relation'aspect,whichhasalsobeenstressedbyMontesquieu.
Inhisfamousbook,the'spiritoflaws'('DeL'espritdesLoix'9),hewrotethatthespiritoflaws"consistsinthevariousrelationswhichthelawsmayhavetodifferentobjects".
10Inthatregardhementionedthe"natureandprincipleofeachgovernment","theclimateofeachcountry",the"relationtothedegreeoflibertywhichtheconstitutionwillbear,tothereligionoftheinhabitants,totheirinclinations,riches,numbers,5Thisquotationhasbeenretrievedfrom"TheCompleteWorksofM.
deMontesquieu(London:T.
Evans,1777),4vols.
Vol.
1.
27.
8.
2018",http://oll.
libertyfund.
org/titles/837#Montesquieu_0171-01_115;bookI,'chapterIII,ofpositivelaws'.
6Dratwa(2014,113etpassim).
7SeealsoBrnnmark(2017,p.
176),whopointsoutthat"areasonablefoundationalstorydoesatthesametimeaddsomethingmoretoaframeworkthanjustaphilosophicalbasis;italsoaddsaspiritinwhichtherulesorprinciplesoftheframeworkcanbeinterpretedandimplemented".
8SupraSect.
1.
4.
9Montesquieu,CharlesdeSecondat,Baronde(1927).
10Thisquotationhasbeenretrievedfrom"TheCompleteWorksofM.
deMontesquieu(London:T.
Evans,1777),4vols.
Vol.
1.
27.
8.
2018",http://oll.
libertyfund.
org/titles/837#Montesquieu_0171-01_115;bookI,'chapterIII,ofpositivelaws';emphasisadded.
4.
1EthicalApproachIdentiedinEULegalDocuments91Table4.
1Contributionof'categoriesofdetermination'toidenticationof'ethicalspirit'UsefulLessusefulNotpossible,becausedeterminationofcontenttakesplaceelsewhere[2.
]Referencesonlyasasupportiveargumentforacertainlegalsolution[1.
]ReferencesonlyasanargumentagainstinterferencefromtheEU[4.
]Determinationviaethicscommittees,atEUoratnationallevel;exceptionEGE[5.
]Determinationviacodesofconduct,atEUoratnationallevel(incasesomeprinciplesarementioned)[3.
]Referencesinordertocreateaparallelethicalassessment(besidethelegalone)[5.
]Determinationviacodesofconduct,atEUoratnationallevel(incaseNOprinciplesarementioned)[7.
]Determinationindocumentitself(somehintswithregardtothecontentorunderstandingofethics)[8.
]Nodeterminationatall[6.
]Determinationviareferencestoother(international)documentscommerce,manners,andcustoms".
11Inaddition,hecontinues:"TheserelationsIshallexamine,sinceallthesetogetherconstitutewhatIcalltheSpiritofLaws".
12Theserelations13adduptothislatticethatreectsthisspirit,inourcase,'theethicalspiritofEUlaw'.
Tobeginwith,someintroductoryremarks.
Inthecontextoftheabove-mentioneddeterminationofthesubstanceofethics,somecategoriesaremoreusefultoextractthisethicalspirit,otherslessso.
Themostfruitfulcategorieswerethosewhereethicswasusedasasupportiveargument[2.
],orwherethedeterminationtookplaceviacodesofconduct[5.
],especiallyifthesecodesofconductentailedcertainprinciples,aswellasifthecontentofethicswasdeterminedintherelevantlegaldocumentitself[7.
].
IfethicswasonlyusedasanargumentagainstinterferencefromtheEU[1.
],if'only'aparallelethicalassessment(besidesthelegalone)wasopened[3.
],orifsubstancewiseethicshasnotbeendeterminedatall[8.
],thenthesecategoriesobviouslyarelessrewarding.
Obviously,wecannotharvestanyuseful'ethicsfruits',ifthedeterminationtakesplaceelsewhere,i.
e.
incaseofethicscommittees[4.
]andinreferencetootherdocuments[6.
].
Thesameholdstrueifincaseofcodesofconduct[5.
],thesedocuments,inthefuture,willbedraftedatadifferentlevel(e.
g.
byMSorcompanies).
TherespectivecontributionofthesecategoriestoourquestfortheethicalspiritofEUlawcanbedisplayedasfollows(seeTable4.
1).
Hence,inthefollowing,thendingsofChap.
3willbecontrastedwiththepracticalphilosophicalbasics,ascoveredinChap.
2.
Thequestionstobeansweredarethefollowing:11Ibid.
12Ibid.
13InCJEUAchmea,C-284/16,paras33–34,inthecontextoftheautonomyofEUlawandtheEU'scommonvalues,theCourtreferredto"astructurednetworkofprinciples,rulesandmutuallyinterdependentlegalrelations".
924PhilosophicalLens(TheNormativeTheories,etc.
Continued)QuestionNo1:InEUlaw'sreferencestoethics,canweidentifyanyphilosophicaltheoryatallQuestionNo2:Ifyes,wouldthiscompriseoneormorephilosophicaltheoriesQuestionNo3:Ifyes,shouldthisbeunderstoodasanunconditionalreferencetooneormorephilosophicaltheories,oronlyaspointingtowardsacertainideaWithoutwishingtobroachfundamentalphilosophicalissues,itshouldbeempha-sisedthatthesethreenormativetheoriespresentedinChapt.
2canalsooverlap.
Asmentionedearlier,deontologyratherfocusesonanact,consequentialismonitscon-sequences,andthevirtueethicsputsanemphasisontheagentitself.
14Hence,thepeculiarityofthesethreetheoriesisthewayinwhich"goodbehaviour"isargued.
Ofcourse,thesethreetheoriesarguinginadifferentway,intheendcancometothesamesolution.
Forexample,itcanbeconsideredgoodtohelpchildren,e.
g.
tocrossadangerousstreet.
Thiscanbeconsideredintrinsicallygood(deontology),onecanalsoarguethisasinlinewithconsequentialism(theoutcomethatachildthathasnotbeenendangeredinthissituation),butonecanalsoseeitasapositivetraittohelpchildren,wherebythisinnerattitudealsomanifestsitselfintheoutside(virtueethics).
Whileadivisionintothesethreenormativeethicaltheoriesisprevailinginliterature,onecanquestionifthissharpdistinctionisthebestapproachpossible.
However,asitisnottheobjectiveofthisbook,thisquestioncanbeleftaside.
15Whennow,hereinafter,certainexampleswillbeassignedtothethreenormativetheories,thefollowinghastobeemphasized:Asfarasthiscanbejudgedonthebasisoftheresearchconducted,thevarious'authors'oftheEU'slegalsystemhaveneverexplicitlyreferredtooneofthesenormativetheories.
Hence,questionNo1(identicationofanyphilosophicaltheory)canonlybeansweredwithregardtoimplicitreferences.
Therefore,thefollowing'disclaimer'hastobestressed.
Thefollowingexamplescanbeinterpretedaspointingintoacertaindirection,butitisnotthecasethatsometimesotherinterpretationswouldnotbepossible.
Asmentionedabove,accordingtodeontologyactionsareintrinsicallyrightorwrong,irrespectiveoftheirconsequences.
Intheeldofpatentabilityofbiotechnologicalinventions,weseemtohavesuchadeontologicalapproach,whenitisstatedthat"thereisaconsensuswithinthe[EU]thatinterventionsinthehumangermlineandthecloningofhumanbeingsoffendsagainstordrepublicandmorality".
16Thisconsensusseemstorefertowhatisintrinsicallywrong.
Asitisagainstmorality,(a)processesforcloninghumanbeings,(b)processesformodifyingthegermlinegeneticidentityofhumanbeings,aswellas(c)usesofhumanembryosforindustrialorcommercialpurposes,"shallbeconsideredunpatentable".
17Especiallythisstanceagainstcommodicationofhumanbeingsinstatunascendicanalsobeseenasadeontologicalapproach,reminiscentoftheconceptofhumandignity.
ThisisinlinewiththeEPstatement14Cf.
Louden(2012,p.
504).
15Onthisquestion,seePart(2011).
16DirectiveBiotech,recital40;noemphasisadded.
17DirectiveBiotech,Art6(2)(a)–(c);(d)referstoanimals.
4.
1EthicalApproachIdentiedinEULegalDocuments93wehaveseenonsurrogacy.
Accordingtothisstatement,surrogacy"underminesthehumandignityofthewomansinceherbodyanditsreproductivefunctionsareusedasacommodity".
18Asimilardeontologicalandanti-commodicationapproachcanalsobefoundwithregardtoanimals,whenthekillingofseals"forcommercialreasons"isseenasintrinsicallywrongdueto"publicmoralconcerns",whereasthisisnotthecaseforsealhuntstraditionallyconductedbyInuitandotherindigenouscommunities.
19Hence,tosomeextentalsoaconsequentialistapproach.
Anothernoteworthyexampleconcernssupplychainduediligenceobligationsandtheimportoftin,tantalumandtungsten,theirores,andgold,whichshallnotbeimportedfromconict-affectedorhigh-riskareas,inparticularintheAfricanGreatLakesRegion,asthiswouldcontravene"ethicalmining".
20However,themostimportantexampleinthisregardistheonethat"[a]nimalshaveanintrinsicvaluewhichmustberespected".
21Thisdeontologicalattitudecorrespondswithwhatwehaveseeninthecontextofanimaltransports22andanimalexperiments,i.
e.
thestatementthat"manhasamoralobligationtorespectallanimalsandtohavedueconsiderationfortheircapacityforsufferingandmemory".
23Inaddition,wehaveseensimilarapproacheswithregardtoanimalsinthecontextofmassslaughtering.
24Inaddition,thestatementonanethicalaccountabilityofresearchers"towardssocietyasawhole"25canbeinterpretedasadeontologicalapproach.
FromtheCJEU'scase-lawwehaveseensofar,wecanaddthecasesonhumandignity,wheretheCourtinOmega(Oct.
2004)acceptedtheGermannotionofhumandignity,whichhasacleardeontologicalbedrock.
26InasimilarwayasGermanyhasbroughtforwardthisnationalconstitutionalconceptofhumandig-nity,inBrüstle(Oct.
2011)theCourthadtodealwithhumandignityasitwasmentionedinthe1998'DirectiveBiotech'.
TheCourt'sapproachofoptingforawideinterpretationofthenotionof'humanembryo'basedonhumandignityalsopointsintothisdeontologicaldirection.
TheentryintoforceoftheLisbonTreaty(Dec.
2009),enshriningtheEU'scommonvaluesclearlystrengthensthisapproach.
18EPreporthumanrights,para115.
19Regulationsealproducts,recitals1and2.
20Regulationsupplychain,recital23.
21Directiveanimals,recital12;emphasisadded.
22Conventionanimaltransport,recital2;"everypersonhasamoralobligationtorespectallanimalsandtohavedueconsiderationfortheircapacityforsuffering".
23Conventionanimalexperiments,recital2;emphasisadded.
24SupraSect.
3.
3.
3.
3.
25ECCharterresearchers,Annex,Section1.
26BVerfGShootingdownterrorplane,1BvR357/05.
944PhilosophicalLens(TheNormativeTheories,etc.
Continued)Alltheseexamplespointtowardsadeontologicalunderstandingandare,aswehaveseen,closelyrelatedtohumandignity,ortheintrinsicdignityofanimals.
27Asmentionedabove,accordingtoconsequentialismactionsaremorallyrightorwrongdependingonthequalityoftheconsequencesofaction.
Therequest"toensuretheethicsoftransplantationbyadoptingmeasurestoelim-inate'transplanttourism'"28couldbeinterpretedasaconsequentialistapproach,astheethicalqualityoftheactionoftheaddressedstatesisbasedontheoutcomeoftheiraction,i.
e.
theeliminationoftransplanttourism.
Inaddition,theKoreaagreementdenes'ethicalbusinesspractices'(i.
e.
thetitleofthisprovision)withregardtothepharmaindustrybyitsoutcome,accordingtowhichthecontractingparties"shalladoptormaintainappropriatemeasurestoprohibitimproperinducementsbymanufacturersandsuppliersofpharmaceuticalproductsormedicaldevicestohealthcareprofessionalsorinstitutions".
29Theoutcomeisalsothebasisforthefollowingexample,heretoreduceethicalconcerns.
Moreover,itisanexampleoftheconsiderationofanimalwelfarewithaconsequentialistapproach.
Theoutcomeintheeldofnovelfoodis,wherepossible,theavoidanceoftheduplicationofanimaltesting,as"[p]ursuingthisgoalcouldreducepossibleanimalwelfareandethicalconcernswithregardtonovelfoodapplications".
30Whiletheseexamplesdisplayaconsequentialistapproachinordertodeterminemoralcorrectnessandfalsenessofaction,wealsohaveconsequentialistexampleselsewhereinEUlaw.
TheeffectivenessofEUlaw,ofteneveninotherlanguageversionsreferredtoas"effetutile",hasbecomeofparamountimportanceinthecase-lawoftheCJEU.
Inessence,itstatesthattheprovisionsofEUlawmustbeinterpretedandappliedinsuchawaythattheyfulltheirpracticalpurposeandhavepracticaleffect.
Onthisbasis,therequirementofthepracticaleffectivenessofEUlawservestheCJEUasanexplanatoryelementwithregardtopracticallyallinstitutesofEUlawandinthisrespectrunslikearedthreadthroughthecase-lawoftheCourt.
31Inthiscase-law,thekeyinterpretativeapproachoftheCourtistheoutcome,theassertionofEUlaw.
Although,this'effetutile'approachndsitslimitations,astherehastobean"appropriatebalancebetweenMemberStateautonomyandthe'effetutile'ofEUlaw".
32Whenanalysingtheexplicitlymentioned"effetutile",AdvocateGeneral(AG)Kokottreferredto"thespiritandpurposeof"therelevantprovisionsof27Forvariousethicalapproachesconcerninganimals,seethevariouscontributionsinBeauchampandFrey(2014).
28Resolutiontourism,pt.
33.
29AgreementKorea,Annex2-D,Art4(1).
30Regulationnovelfoods,recital32.
31See,alsoforfurtherexamples,RanacherandFrischhut(2009,pp.
68–70).
32AGSharpstonopinionof30September2010,RuizZambrano,C-34/09,EU:C:2010:560,para148.
4.
1EthicalApproachIdentiedinEULegalDocuments95EUlaw.
33Asmentionedabove,this'effetutile'case-lawisnotdirectlyrelatedtoethicsandmorality.
Aswehaveseenabove,34theCourttackles'sensitiveissuesofethicalnature'withapurelylegalmethodology,which,nevertheless,stillrendersadecisiononthisethicaltopic.
Hence,the'effetutile'case-lawcanalsobeofindirectrelevanceforourtopic.
Apartfromthissupreme'toolofinterpretation',another(non-ethical/moral)con-sequentialistapproachofEUlawcanbefoundincaseofimpactassessments.
Impactassessmentshavealreadybeenmentionedasoneexampleindicatedinlit-eratureinthecontextofconsequentialism.
35AccordingtoBirnbacher,theyarenotrequiredtoassesstheoutcomeofanypossibleaction,butarelimitedtodecisionswithfar-reachingconsequences,asincaseofnationalorsupranationallegisla-tors.
36InEUlaw,impactassessmentisoneofthe"toolsforbetterlaw-making",inorderto"reachwell-informeddecisions",respecting,amongstothers,funda-mentalrightsand"basedonaccurate,objectiveandcompleteinformation".
37Inessence,animpactshall"covertheexistence,scaleandconsequencesofaprob-lem".
38Suchanimpactassessmentcanalsoberequiredinthecontextoftheprecautionaryprinciple,forinstancewhenapprovingactivesubstancesresultinginlossesofhoneybeecolonies.
39Alltheseexamplespointtowardsaconsequentialistapproach,bothrelatingtoethicsandmorality,butalsoelsewhereinEUlaw(effetutile,impactassessments).
Virtueethics,sometimesunderstoodratherasasupplementthanabasisofnor-mativeethics,40putsanemphasisnotontheintrinsicqualityoftheactionoritsconsequences,butontheagentitself.
'Virtues'arecharactertraits,whichmustalsobereectedincorrespondingbehaviour.
41Asmentionedabove,sometimesvirtueethicscannotavoidestablishingprinciplesforitspart(e.
g.
thevirtueofjusticemayrequireprinciplesofjustice).
42'Integrity'hasbeendescribedas"animportantper-sonalcharacteristicinethicalsystemsbasedonvirtueandmoralcharacter".
43IntheGeorgiaagreement,wehaveseenoneexampleforthecloselinkofethics(precisely,the'BlueprintonCustomsethics')and"thehigheststandardsofintegri-ty".
4433AGKokottopinionof17July2014,UKversusCouncil,C-81/13,EU:C:2014:2114,paras114–117;emphasesadded.
34Section3.
3.
1.
1.
35Section2.
2.
36Birnbacher(2013,pp.
194–195).
37IIABetterLaw-Making,pt.
12–18(12).
38Ibid.
,emphasisadded.
39GCjudgmentof17May2018,BASFAgro,T-584/13,EU:T:2018:279,paras170–171(becauseoftheprincipleofproportionality).
40Birnbacher(2013,p.
305).
41Birnbacher(2013,p.
295).
42Birnbacher(2013,p.
304).
43Forrest(2002,p.
441).
44Seeatnote52.
964PhilosophicalLens(TheNormativeTheories,etc.
Continued)Themostimportantexamplesreferringtointegritycanbefoundintheeldoflobbying.
45Integritywasmentionedforseveral'targets'oflobbying,suchastheEP,theEC,46EUstaff,andevenfortheCJEU,aswellasforexperts("ensurethehighestlevelofintegrityofexperts").
47However,ithasnotbeenaddressedforthe'actors'oflobbying.
48Othertermswehaveseeninthecontextoflobbying,havebeenasfollows:account-ability,dignity,diligence,discretion,disinterest,honesty,impartiality,indepen-dence,loyalty,objectivity,openness,responsibility,andtransparency.
Someofthesetermsratherfallinthecategoryoflegalprinciples(accountability,dili-gence,impartiality,independence,objectivity,responsibility,transparency),while(human)dignityisavalue49anddiscretion,disinterest,openness,honesty,integrityandloyaltycouldalsoqualifyasvirtues.
50Furthermore,Horizon2020addresses"researchintegrity",51aswellasDirectivestatutoryaudits,whichrequiresstatutoryauditorstoadhereto"thehighestethicalstandards".
52InthecontextoftheEU'ethicsdirectives','integrity',besidesethics,wasthemostimportantkeyterm,mainlyoccurringintheeldof'accounting&nance',followedbythe'health'eld.
53Asalreadymentionedearlier,thethreenotionsof'values','principles'and'virtues'"cananddooverlap".
54WhileArt2TEUexplicitlyaddressesvalues,thesecondsentenceofthisprovisionrefersto"asociety[intheMS,]inwhichpluralism,non-discrimination,tolerance,justice,solidarityandequalitybetweenwomenandmenprevail".
Forinstance,toleranceandsolidaritycouldalsobevirtues,wherejusticeisevenacardinalvirtue.
55Alltheseexamplescanbeseentopointtowardsvirtueethics,iftheyarealsoreectedinthecorrespondingbehaviour.
Consequently,wehaveseenexamplespointingintothedirectionofallthreenormativetheories,whichanswertheabove-mentionedthreequestions.
However,asthisbookfollowsaninductiveapproach,likewise,inthefollowing,examplesreferringtominimalethics,principlismandcommunitarianismwillbeaddressed.
Minimalethicsonlydenesmoralnormsforacore,whilethisclaimdoesnotexistfortheperiphery.
45SupraSect.
3.
3.
2.
46Art245(2)TFEU.
47SeeSect.
3.
3.
2.
2atnote203.
48Thecodeofconduct(Sect.
3.
3.
2.
2note205)doesnotmention'integrity'.
49Art2,1stsentenceTEU.
50Keepinginmindthe'moralexcellenceofbehaviourandcharacter',etc.
,mentionedsuprainSect.
2.
3.
51SeeChap.
3atnote326.
52Seeatnote339.
53SeeChap.
3atnote339.
54Williams(2010,p.
257).
55Seeatnote105.
4.
1EthicalApproachIdentiedinEULegalDocuments97Themostprominentexample,inthisregard,istheeldofpatentabilityofbiotech-nologicalinventions,amuch-contestedissue,whichwehavealreadyseenatvari-oustimesthroughoutthisbook.
Thishasbeensolvedinthefollowingway:Art6ofthisdirectivedenesacoreinpara2,whereMSandtheEPwhereabletoreachacompromise;inthewordsofAGCruzVillalón:"aminimum,Union-widecon-sensusforallMemberStates".
56ThiscompromisedenedatEUlevelcomprisescloningofhumans,modicationofthegermlinegeneticidentityofhumans,usesofhumanembryosforcommercialpurposes,aswellasmodicationofthegeneticidentityofanimals.
Obviously,therewasnoconsensusconcerningotherequallysensitiveissues,hence,para1ofthisprovisiondelegatesthequestionofanswer-ingtheunpatentabilitytothenationallevel,wherethecommercialexploitationofinventionshastobeassessedagainstthenotionsof"ordrepublicormorality".
ThisapproachofaminimalethicsatEUlevelforacore,capableofconsensus,andapossibledivergentnationalapproachattheperiphery,couldserveasarolemodelforotherelds.
Thisminimumconsensusofthis1998directivehasbeenadopted,inidenticalterms,inthe2014agreementwithUkraine.
57AsimilarapproachisadoptedinHorizon2020,where,undertheheadingof'ethicalprinciples',researcheldsreminiscentof,howevernotidenticalto,Art6(2)DirectiveBiotechshallnotbenanced.
58Aminimumapproach,howeverofadifferentkind,canbeseeninaresolution,whichstatesthatincasesanctionscannot"bringaboutachangeofregimeinaparticularcountry,oratleastamajorchangeinthepolicyofthatcountry'sgovernment,theirimpositionmayalsoservesimplyasanexpressionofmoralcondemnation".
59Thisisnotatrueminimumapproachwhichachievesconsensusinacoreandleavesopenquestionsattheperiphery,rathertheprimaryobjective(i.
e.
changeofregime)hasfailed,thatiswhyonlymoralcondemnationremains.
Alltheseexamplesdisplaya'minimalethics'approach.
Suchanapproachmightbesuitableforareas,whereaconsensusamongstMS(andtheEP)canonlybeachievedina(united)core,whiletheperipheryislefttopotentiallydiversesolutionsintheMS.
Principlismdeterminesethicsinasubstantiveway(cf.
intheeldofmedicalethics,BeauchampandChildress),whereethicsisdenedbasedonacertainnumberofmoralprinciples(e.
g.
autonomy,benecence,nonmalecence,andjustice).
Asmentionedearlier,60wecandistinguishalegalandaphilosophicalunderstandingof'principles'.
Againstthebackgroundoftheheateddebatesoninvestmentprotection,Art8.
30CETA(entitled'ethics')coversthefollowingprinciplesforthemembersofthe56AGCruzVillalónopinionof17July2014,ISC,C-364/13,EU:C:2014:2104,para42.
57AgreementUkraine,Art221(5).
58RegulationestablishingHorizon2020,Art19(3).
59Resolutionembargoes,pt.
2;emphasisadded.
60SeeChap.
1atnote92.
984PhilosophicalLens(TheNormativeTheories,etc.
Continued)multilateralinvestmenttribunal.
Theindependenceofitsmembers,aswellastheavoidanceofbothadirectorindirectconictofinterest.
61The'JointInterpretativeInstrument'stresses"independenceandimpartiality,theabsenceofconictofinterest,biasorappearanceofbias".
62Likewise,theKoreaagreementalsoreferstothefollowingprinciplesinordertoachieve"ethicalpracticesbymanufacturersandsuppliersofpharmaceuticalproductsandmedicaldevicesandbyhealthcareprovidersonaglobalbasis":openness,transparency,accountabilityandnon-discriminationinhealthcaredecision-making.
63Theseprinciplesoverlapwiththosewhichhavebeenqualiedaslegalprinciplesaboveinthecontextoflobbying:accountability,diligence,impartiality,indepen-dence,objectivity,responsibility,transparency.
Again,thequestionofdistinguish-ingvirtuesfromlegalaswellasphilosophicalprinciplesremainsachallenge.
Oneofthemostcomprehensiveexamplescanbefoundintheeldofnanosciences.
Theannexofthiscodeofconduct,whichis"basedonasetofgeneralprinciples",mentionsthefollowingones.
64Meaning(whichcomprisescomprehensibilityforthepublic,respectforfundamentalrights,aswellasactingintheinterestofthewell-beingofindividualsandsociety);sustainability(referringtotheUnitedNation'sMillenniumDevelopmentGoals,aswellasavoidanceofharmorcre-ationof"biological,physicalormoralthreattopeople,animals,plantsortheenvironment,atpresentorinthefuture");precaution(basicallyreferringtotheEU'sprecautionaryprinciple65);inclusiveness(principlesofopennesstoallstake-holders,transparency,accesstoinformation,aswellasstakeholderparticipationindecision-making);excellence(alsocomprising"integrityofresearch");innova-tion;aswellasaccountability(withregardto"social,environmentalandhumanhealthimpacts[…]onpresentandfuturegenerations").
These"generalprinci-ples"addressboththelegalaswellastheethicalsphere,withoutprovidingacleardistinction.
Aswehavealreadyseenelsewhere,intheeldofbiotechnology,referenceismadetothenationallevelofMSwithinthecontextof"ethicalprinciples",66whileinthesamedirectivewendanundeterminedreferenceto"basicethicalprinciples"67forthequestionwhentheEGEcanbeconsulted.
Alltheseexamplescanbeattributedtoprinciplism.
Fromatheoreticalperspective,onecouldcriticizethefactthatitisleftopenwhethertheseprinciplesarepurelylegalones,purelyphilosophicalones,oracombinationofboth.
Yet,fromapragmatic61Itisworthmentioningthatapartfromthesesubstantiveprinciplesinpara1;paras2–4provideproceduralsafeguardsinthisrespect.
62OJ2017L11/3(4);emphasesadded.
SeealsotheStatementbytheCommissionandtheCounciloninvestmentprotectionandtheInvestmentCourtSystem('ICS'),onp.
20.
63AgreementKorea,Annex2-D,Art1(e).
64ECrecommendationnanosciences,Annex,pt.
3.
65Recently:GCBASFAgro,T-584/13;forfurtherdetails,seeFrischhutandGreer(2017,331–333).
66DirectiveBiotech,recital39:"ethicalormoralprinciplesrecognisedinaMemberState".
67DirectiveBiotech,recital44.
4.
1EthicalApproachIdentiedinEULegalDocuments99perspective,thisapproachhastobewelcomed,asthecontentofethicsismoreclearlydetermined.
Insummary,itcanbesaidthatinEUlaw'sreferencestoethics,wecanidentifynormativetheories(questionNo1),althoughonlyimplicitandnoexplicitones,cov-eringallthreeproponents(questionNo2).
Alltheexampleswehaveseencannotbeunderstoodasunconditionalreferences,butonlyaspointingtowardsthesenormativetheories(questionNo3).
Canweidentifyacertaincommonhorizontal(orratheraspecic)patterninreferringtothesetermsofethicsandmoralityWehaveseendifferentapproachesreferringtothenormativetheoriesofdeontology(puttinganemphasisonhumandignity),consequentialism(withexamplesintheeldofethicsandmorality,butalsoelsewhereinEUlaw,suchaseffetutileandimpactassess-ments),andvirtueethics(especially,butnotonlyinlobbying),aswellasminimalethics(DirectiveBiotech,etc.
),andprinciplism(lobbyingandnanosciences).
Thereisclearlynohorizontal,butaspecicapproachinaddressingdifferentneedsindifferentelds,fromindependenceofmembersofinvestmenttribunalstoresearchintegrityinnanosciences.
Hence,wecanaddressbothanethicalspiritinthesenseoftheintentionofthevariousauthorsofEUlaw,whichisreectedinalatticeofvariousdifferentprovisions,aswellasagapthatstillneedstobelled.
Sofar,theexamplescoveredthoseauthorsauthorizedtoissuebindingandnon-bindinglegalprovisions,notspecicallytaskedtodealwithethics.
Accordingly,wewillnowturntoanentitythat,while'only'havinganadvisoryfunction,isspecicallytaskedtodealwithethics.
4.
2EGEOpinionsThepracticalimpactofEGEopinionscan,amongstothers,68beseenfromtheEU'sresearchfundingprogrammeHorizon2020,wheretherelevantregulationstatesthat"[t]heopinionsofthe[EGE]shouldbetakenintoaccount".
69,70Intheeldofpatentabilityofbiotechnologicalinventions,thealreadywidelycovereddirectivestatesthattheEGE"evaluatesall[sic!
]ethicalaspectsofbiotechnology".
71Thisdirectivedatesfrom1998,hence,theyearaftertheEGE'sestablishment.
68Inaddition,severalotherregulationsanddirectives,aswellascourts,e.
g.
theCJEUandtheEuropeanCourtofHumanRights(ECtHR),aswellasAGattheCJEUhavereferredtoEGEopinions;forfurtherdetails,seePirs(2017,p.
32).
Thischapterhasbeendraftedatthesametimeasthefollowingpaper;hence,certainpartscanoverlap:PirsandFrischhut(2019,forthcoming).
69RegulationestablishingHorizon2020,recital29.
70SimilarinRegulationHorizon2020Euratom,recital18.
71Recital44andArt7.
1004PhilosophicalLens(TheNormativeTheories,etc.
Continued)4.
2.
1EGEHistory,InstitutionalStructureandOpinionsDuetorapidscienticdevelopmentsinbiotechnologyandgeneticengineeringinthelate1980sandearly1990s,therewasneedforaninstitutionalizedframeworkfacilitatingdebateandaddressingpublicconcernastoethicalimplications.
72Hence,inApril1991theECstatedthatthereisaneedfora"consultativestructureonethicsandbiotechnology".
73TheGroupofAdvisersontheEthicalImplicationsofBiotechnology(GAEIB)wascreatedon20November1991.
Aftertherstmandateoftwoyears,theECaddressedthenecessity"toclarifyfurthervalueladenissuesinrelationtosomeapplicationsofbiotechnology",henceto"reinforcetheroleofthe[GAEIB]".
74Afterthemandatehadexpiredon31July199775andthelegislativeprocessleadingto'DirectiveBiotech'wasinfullswing,76theECon16December1997decidedtoreplacetheGAEIBbytheEGE,"extendingtheGroup'smandatetocoverallareasoftheapplicationofscienceandtechnology".
77,78TheEGEwasthenestablishedinDecember1997.
79Asof2000,80theEGEwaspartofthe'BureauofEuropeanPolicyAdvisers(BEPA),aDirectorateGeneral(DG)oftheEC,reportingdirectlytotheECpresident.
81Nowadays,theEGEisdockedwithDGResearchandinnovation.
82WhileitclearlymakessensetolinktheEGEtotheeldofresearchandinnovation,itcouldalsobeseenasadowngradingoftheEGE,asthereisno72Plomer(2008,p.
840).
73EC'Promouvoirlesconditionsdelacompétitivitédesactivitésindustriellesbaséessurlabiotech-nologiedanslaCommunauté',SEC(91)629nal19.
4.
1991,p.
18:"IlestsouhaitablequelaCom-munautédisposed'unestructureconsultativesurl'éthiqueetlabiotechnologiecapabledetraiterlesquestionsd'éthiquequiseposentdanslecadredesactivitéscommunautaires.
Cettestructuredevraitpermettrel'ouvertured'undialogueoùseraientdébattusouvertementlesproblèmeséthiquesdontlesEtatsmembresoud'autrespartiesintéresséesjugeraientlasolutionnécessaire.
Elleper-mettraitégalementàdesexpertsdéléguésparlesgroupesconcernésdecontribueràl'orientationduprocessuslégislatif.
LaCommissionestimequecettedémarcheseraitunpaspositifenvued'unemeilleureacceptationdelabiotechnologieetdelaréalisationdumarchéuniquepourlesproduitsIssusdecettetechnologie.
".
74EuropeanCommission(1993,p.
103).
75EPresolutionof13June1997onthemandateoftheGroupofAdvisersontheEthicalImplicationsofBiotechnologytotheEC(B4-0484/97),OJ1997C200/258[EPresolutionGAEIB],recitalA.
76On29August1997,theEChadadoptedanamendedproposal:COM(97)446nal29.
08.
1997.
77ECdecision(EU)2016/835of25May2016ontherenewalofthemandateoftheEuropeanGrouponEthicsinScienceandNewTechnologies,OJ2016L140/21[EGEmandateV2016],recital3.
Thiscurrentmandatestartedon28.
5.
2016andlastsuntil27.
5.
2019.
78ItseemsthattheEGEfollowsabroadunderstandingoftechnology.
79ECcommunicationdeM.
lePRESIDENT,enaccordavecM.
BANGEMANN,M.
FLYNN,MmeCRESSON,MmeBJERREGAARD,M.
MONTI,M.
FISCHLERetMmeBONINO:Créationd'ungroupeEuropéend'éthiquedessciencesetdesnouvellestechnologies,SEC(97)2404nal12.
12.
1997[EGEmandateI1997].
80Thatistosay,asofthesecondmandate(seeTable4.
2),Mohretal.
(2012,p.
107).
81Plomer(2008,p.
841).
82TheEGE'swebsitecanbeaccessedviahttp://ec.
europa.
eu/research/ege/index.
cfm.
4.
2EGEOpinions101directandregularaccesstotheECpresident(Juncker).
83ForanoverviewoftheEGE'sdevelopment,seeTable4.
2.
Moreoverduetotheincreasingroleof'goodgovernance',84thealreadymentionedhorizontalrulesonthecreationandoperationofECexpertgroupsalsoapplytotheEGE;asalreadymentioned,theserulesstriveforabalancedcompositionofexpertgroupsandalsocompriserulesonconictofinterest,inorderto"ensurethehighestlevelofintegrityofexperts".
85Likewise,asforallexpertgroupsgivingadvicetotheEC,thecoreprinciplesof'quality,openness,andeffectiveness'applytotheEGE.
86Underthecurrentmandate,theEGEistasked"toadvisetheCommissiononethicalquestionsrelatingtosciencesandnewtechnologiesandthewidersocietalimplicationsofadvancesintheseelds".
87ThemembersareappointedbytheECpresident,basedonaproposalfromtheCommissionerforresearch,etc.
88TheEGE,which"shallbeindependent,pluralistandmultidisciplinary",iscomposedof15membersservinginpersonalcapacity,anddemonstrating"ahighlevelofexpertiseandpluralism";furthermore,themandatestrivestoestablishageographicalbalance,aswellasabalancedrepresentationofrelevantknow-howandareasofinterest".
89Inits1997resolutionconcerningtheGAEIB,theEPhadcriticizedthatsofar,"toomuchattentionhasbeenpaidtotheinterestsofresearchandnotenoughtothepossibleeffectsonsociety".
90Today,besidesabalanceofqualities,genderandgeographicaldistribution,thecurrentmandaterequires"independentadviceofthehighestquality","combiningwisdomandforesight",aswellas"internationallyrecognisedexperts,withatrackrecordofexcellenceandexperienceattheEuropean83ComparedtoformerpresidentBarroso,presidentJunckeralsotookadifferentapproachinanothereld,by"scrapping"theroleoftheChiefScienticAdviser(CSA);seePanichi(2015).
Nowadays,seetheEC'sScienticAdviceMechanism(SAM),alsocomprisingtheGroupofChiefScienticAdvisors;ECdecisiononthesettingupoftheHighLevelGroupofScienticAdvisors,C(2015)6946nal16.
10.
2015,asamendedbyDecisionamendingDecisionC(2015)6946onthesettingupoftheHighLevelGroupofScienticAdvisers,C(2018)1919nal5.
4.
2018.
84EC'Europeangovernance—Awhitepaper',COM(2001)428nal,OJ2001C287/1;addressingprinciplesofopenness,participation,accountability,effectiveness,andcoherence.
85ECdecisionexperts,recital3,Art2(4),Art11.
86ECcommunicationonthecollectionanduseofexpertisebytheCommission:principlesandguidelines—"Improvingtheknowledgebaseforbetterpolicies",COM(2002)713nal11.
12.
2002,p.
1.
87EGEmandateV2016,Art2.
88EGEmandateV2016,Art4(3).
Since'EGEmandateIII2005'(seeTable4.
2),theECpresidenthasofciallyappointedthemembers.
However,sincethecreationoftheEGEin1997,"thePresidentoftheCommissionhasbeenauthorisedbytheCommissiontoappointtheEGEmembers",hence'EGEmandateIII2005'"hastherefore[only]formalisedthissituation".
Source:responseofformerECpresidentBarrosoonaparliamentaryrequest('Criteriaandmethodsfortheselectionofthemembersofthe[EGE]',P6_RE(2006)0430,answerfrom17.
3.
2006);seealsoEGEmandateI1997,p.
4.
Besidesthis,theselectionprocessshallbeoverseenbyanew'IdenticationCommittee';EGEmandateV2016,Art4(3)and(4).
89EGEmandateV2016,Art4(1),(2)and(4).
90EPresolutionGAEIB,pt.
3.
1024PhilosophicalLens(TheNormativeTheories,etc.
Continued)Table4.
2OverviewEGETermTimeframeEstablishedbyNumberofmembers|termofyearsOpinions(totalnumber)Chairperson;additionalinformationGAEIB1991–1997EC6pers.
;9pers.
asof1994;|2years1–10(10)MarcelinoOreja;followedbyNolleLenoirEGE1stmandate1998–2000(SEC(97)2404a12pers.
|3years11–15(5)NolleLenoir2ndmandate2000–2005(C(2001)691b12pers.
|4years16–20(5)GranHermerén('president')|New:partofBEPA3rdmandate2005–2010ECDecision2005/383/ECc15pers.
|4years21–25(5)GranHermerén|New:appointedbyECpresident4thmandate2010–2015ECDecision2010/1/EUd15pers.
|5years26–29(4)JulianKinderlerer5thmandate2016–2019ECDecision(EU)2016/835e15pers.
|2.
5years30(1)fChristianeWoopen|New:proposalfromCommissionerforresearch,etc.
,'IdenticationCommittee';partofDGResearchandInnovationaEGEmandateI1997bECnotepourlesmembresdelaCommission'Groupeeuropéend'éthiquedessciencesetdesnouvellestechnologies(GEE)—modicationdumandat',C(2001)691nal26.
3.
2001[EGEmandateII2001]cECdecision2005/383/ECof11May2005ontherenewalofthemandateoftheEuropeanGrouponEthicsinScienceandNewTechnologies,OJ2005L127/17[EGEmandateIII2005];ECdecision2009/757/ECof14October2009ontheextensionofthemandateoftheEuropeanGrouponEthicsinScienceandNewTechnologiesandoftheperiodofappointmentofitsmembers,OJ2009L270/18[EGEextensionofmandateIII2009]dECdecision2010/1/EUof23December2009ontherenewalofthemandateoftheEuropeanGrouponEthicsinScienceandNewTechnologies,OJ2010L1/8[EGEmandateIV2010]eEGEmandateV2016fThisopinionNo30waspublishedinDecember2018,henceafterthemanuscriptofthisbookwasnished.
Forfurtherdetails,seePirsandFrischhut(2019,forthcoming)4.
2EGEOpinions103andgloballevel".
91Furthermore,oneofthecriteriamentionedismembershipinnationalethicscouncils,92inordertoestablishthisverticallinkbetweentheEGEandnationalethicscommittees.
93Thisnetworkingisalsorelatedtotheinternationallevel,inparticulartheWorldHealthOrganisation(WHO),theUnitedNationsEducational,ScienticandCulturalOrganisation(UNESCO),andtheCouncilofEurope.
Thisnetworkingisimportantintermsofexchangeofbestpractice(ineitherdirection).
Mostimportantintermsofqualication,themandaterequiresthefollowing94:TheMembersshallreectthebroadcross-disciplinaryscopeofthegroup'smandate,embrac-ingphilosophyandethics;naturalandsocialsciences;andthelaw.
However,theyshallnot[!
]perceivethemselvesasrepresentativesofaparticulardiscipline,worldview,orlineofresearch;theyshallhaveabroadvisionwhichcollectivelyreectsanunderstandingofimpor-tantongoingandemergingdevelopments,includinginter-,trans-,andmulti-disciplinaryperspectives,andtheneedforethicaladviceattheEuropeanlevel.
Thisrequirement,moreprecisely,thisrejectionofthepossibilityofsendingrep-resentativesofacertainpoliticalorideologicaldirectionmustalsobeseeninthelightofthecriticismthatin2005,manymembersweretoocloselylinkedtotheCatholicchurch.
95Intermsoftheinter-institutionalrole,beforethetransitionfromtheGAEIBtotheEGE,theEPhadcalledforanincreasingroleonthecompositionofthenewmembers.
96ThesetensionsmustbeseenagainstthebackgroundoffundamentalquestionsabouttheroleofmoralityinEUlaw,precisely"thecontentofanyputativeEuropeanmoralnormsandtheinstitutionalmechanismsthroughwhichmorallychargedEUpolicyshouldbedecided",aswellastheEP'svetoagainsttherstdraftof'DirectiveBiotech'.
97However,asmentionedabove,theEGE'staskistoadviseoneinstitution,namelytheEC.
98TheEPandtheCounciloftheEUonlyhavean'indirectaccess'totheEGE,as"theCommissionmaydrawtheGroup'sattentiontoissuesconsideredbytheParliamentandtheCounciltobeofmajorethical91EGEmandateV2016,Art4(6)(a)and(b).
92EGEmandateV2016,Art4(6)(e).
93In2005,EGEalsobeganformallytonetworkwithnationalethicscommittees;Mohretal.
(2012,p.
107).
See,forinstance,theabove-mentioned(preface)'MeetingoftheNationalEthicsCouncils(NEC)Forumandthe[EGE]'on17&18September2018inVienna,organisedundertheAustrianPresidencyoftheCounciloftheEU.
94EGEmandateV2016,Art4(6)(c);emphasesadded.
95Plomer(2008,p.
844).
96EPresolutionGAEIB,pt.
4.
97Plomer(2008,p.
842).
98QuotingformerECpresidentJacquesSanter,inliterature(Mohretal.
2012,p.
107)theEGEwasreferredtoas"theservantof'Europeandecision-makers',notsolelytheCommission";however,informaltermsitisclearlyattachedtotheEC.
1044PhilosophicalLens(TheNormativeTheories,etc.
Continued)importance".
99Onceanopinionhasbeenadopted,besidesthegeneralpublication,theopinionhastobetransmittedtotheEPandtheCouncil.
100Intermsoftheintra-institutionalrole,thecurrentmandatestates"theEGEshallestablishcloselinkswithCommissiondepartmentsconcernedbyissuestheGroupisworkingon",101hence,amoreprescriptiveandlessaspirational('may')language,asthiswasthecaseearlier.
102LinkswithexternalrepresentativeshavetobeagreedwiththeCommission'srepresentative,103whilepreviouslythiswasaprerogativeoftheEGEitself.
104,105Finally,asPlomerhasemphasized,106theEGEdoesnothavea'president',buta'chairperson'only;whiletherstmandatehadreferredtoachairperson,thesecondmandate'upgraded'thisjobtoanEGE'president',withmandatesNo3to5againonlyreferringtoachairperson.
107Whilelegallyspeakingthismightnotchangealot,oneshouldneverunderestimatethesymbolicmeaningofsuchwording.
108TheEGEdevelopstheiropinionsandstandpointsinacollaborativeway,seekingconsensusamongstitsmembers,whileleavingopenthepossibilityofdissentingopinions,109whereasthediscussionsarecondential.
110Sofar,theEGEhasdeliv-99EGEmandateV2016,Art3.
However,theEGEhasalsoacceptedrequestsbyotherinstitutions(especiallyincaseofapoliticalstandstill),followedbyanofcialrequestoftheEC(e.
g.
incaseofEGEopinionNo27,onenergy).
100EGEmandateV2016,Art5(8).
101EGEmandateV2016,Art5(7);emphasisadded.
HavingaccessalsotootherDGscanbeimportantintermsoftheimpactoftheEGE'sactivities.
102Plomer(2008,p.
846).
103EGEmandateV2016,Art5(7).
104SeeFootnote102.
105However,itseemsthattheEGEfacesnoprobleminestablishingtheselinks,ifsodesired.
106SeeFootnote102.
107EGEmandateI1997,pt.
7;EGEmandateII2001,pt.
7;EGEmandateIII2005,Art4(1);EGEmandateIV2010,Art4(1);EGEmandateV2016,Art5(2).
108ItseemsthattheEGEhasalwaysenjoyedsufcientindependenceinitswork.
GranHermerén,pastpresidentandchairpersonoftheEGE"[does]notrecollectanyattemptfromBEPAortheCommissiontointerferewithourwork,nortosuggestorputpressureonustochangesomethinginadraftEGEreport"(personalcommunication).
109EGEmandateV2016,Art5(6)and(8),"asa'minorityopinion'".
SeeforinstancethedissentingopinionofGünterVirtonthecontroversialissueofpatentingofhumanembryonicstemcells,inEGEopinionNo16(EuropeanGrouponEthicsinScienceandNewTechnologies(2002,p.
19)).
110EGEmandateV2016,Art5(10).
TheseinternalEGEdocumentscannotbeaccessed,"evenfromwithintheCommission";Mohretal.
(2012,p.
109).
4.
2EGEOpinions105ered30opinions,aswellasstatements111andreports.
112EGEopinions113havebeenmentionedinseveralEUlegaldocuments.
114Theyshallincludeasetofrecom-mendationsandshallbebasedonanoverviewofthestateoftheartofsciencesandtechnologiesconcerned,aswellasathoroughanalysisoftheethicalissuesatstake.
115Theopinionsareusuallystructuredinthefollowingthreeparts116:therstpartconsistsofrecitalsofthereferencetexts,whichformthestartingpoint(e.
g.
requestbyECpresident,relevantEUlaw,relevantinternationallaw,primaryscientictexts,relevantpreviousEGEopinions,expertreportsandroundtablehearings).
Thesec-ondpartconsistsofthreesections,whichprovidethescientic,legalandethicalbackgroundstotheopinion,andthethirdpartpresentstheopinionwithrecommen-dations.
117Sincethebeginning,EGEopinionshaveincreasedinbothscope(frombioethicstosciencesandnewtechnologies)andsize(fromsixpagestotypicallyaround100pages).
118WhilesomearguethattheoreticallytheEGEisnotformallyboundtotheCFR,119therearevariousreferencesinEGEopinionstothiskeyhumanrightsdocument,aswewillalsoseeinthefollowing.
4.
2.
2KeyFindingsAsitistheEGE'sspecictask"toadvise[…]onethicalquestions",itremainstobeseenhowmanyofthegapsconcerningtheEU'sethicalspiritwithinthelatticeidentiedsofarcanbelledbasedonthendingsfromtheEGE'sopinions.
Thus,inasimilarwayasSect.
4.
1,thischapterisdedicatedtoobjective4,whichistosaytoanswerthequestionwhethertheEGEsubstantiatesitsethicalreasoningononeofthethreenormativetheories.
111Statementsorotherformsofanalysescanbeproduced,ifoperationalcircumstancesrequirethatadviceonaparticularsubjectshouldbegivenmorequicklythanincaseoftheadoptionofanopinion(thisshouldbefollowed,ifnecessary,byafulleranalysisintheformofanopinion);EGEmandateV2016,Art5(9).
112AccordingtoBusbyetal.
(2008,p.
840),theEGEwasaskedtogiveanopinionontheCFR,howeverdeclinedtodosoand,instead,gavethefollowingreport:EuropeanGrouponEthicsinScienceandNewTechnologies(2000).
113Foradetailedanalysisoftheirimpactonthelegislativeprocedure,seeBusbyetal.
(2008)(concerningopinions2,3,8,11,12,15,19and22)andMohretal.
(2012)(concerningopinion19).
114E.
g.
DirectiveBiotech,recital19(GAEIB);ECrecommendationnanosciences,recital6;Regu-lationadvancedtherapy,recital28;Directivetissuesandcells,recital33.
115EGEmandateV2016,Art5(5).
116EuropeanGrouponEthicsinScienceandNewTechnologies(2005,p.
10).
117Therearestrongindicationsthat,notverysurprisingly,lawyersdraftthelegalparts,philosopherstheethicalones,andscientiststhescienticones.
118Cf.
Pirs(2017,27,A7).
119Wilms(2013,p.
293).
1064PhilosophicalLens(TheNormativeTheories,etc.
Continued)Thischapterisbasedonaresearchproject,wheretheresearchdesignhasbeendevelopedbytheauthor,theresearchitselfconductedaswellastheresearchdesignfurtherspeciedbyMatthiasPirs,120andhisMasterthesishavingbeensupervisedwithinthe'IntegrityResearchGroup'byLorenzoPasculli(now:CoventryUniver-sity)andtheauthor.
Withregardtothemethodology,121thisprojectalsotookaninductiveapproach,coding122the1205pagesofthe29EGEopinionswiththeaimofderiving'rulesofprediction'inanexplorativeway.
123Thecategorieswereformedbasedonalatentanalysis,the'interpretativereading'ofthetext,sotospeak.
Theopinionswherethenscreened,usingtheMAXQDAsoftware,whichmoreoverallowstoeliminatecoderedundancies.
124Asmentionedabove,forthersttime,thethirdmandateoftheEGE(2005–2010)wasbasedonaformaldecision,henceincreasingEGE'slegitimacy.
Theresearchhasrevealedthatstartingfromthesecondhalfofthismandate,theEGEreferstoourthreenormativetheories,thatistosaymainlysinceopinionNo23(issuedon16.
01.
2008),untilopinionNo29(issuedon13.
10.
2015).
125Besidesthenew(andformallystrengthened)mandate,theEGEleftitsinitialturfofbiotechnologyandbioethics,andmovedontoneweldsoftechnologicaldevelopmentsinagriculture,energy,informationandcommunicationtechnologies(ICT),securityandsurveil-lance,andcitizenparticipationinnewhealthtechnologies.
126Inquantitativeterms,127thetotalreferencestodeontologyprevail(37),followedbyvirtueethics(12)andconsequentialism(10),withEGEopinionsNo25on'syn-theticbiology'andNo28on'securityandsurveillancetechnologies'exhibitingthelargestaccumulationofhintstooneormoreofthesethreenormativetheories,18120Pirs(2017).
121Forfurtherdetailsonthemethodologyandthelimitations,seePirs(2017,pp.
40–45).
Concerningtheseopinions(inEN),thisprojectappliedaqualitativecontentanalysis(QCA)andtookamixedqualitative(assigningcodecategoriesintherelevantmaterials)andquantitative(analysingandinterpretingcategoryfrequencies)approach.
Concerningthefootnotereferencestopotentialschoolsofthought,theQCAmainlyconsideredthose,"whichwereprimarilyreferredtointhemainlineofreasoning(in-textcitationordirectreferences)intheopinions".
Inotherwords,theQCAexcludedstandalonefootnotereferences,iftheycouldnotberelatedtooneofthenormativetheories;Pirs(2017,p.
44).
122Thecodingprocesscontainedthefollowingsteps:readingopinions,inductivecoding,lexicalsearch,reningcategories,classication,andnallynarrowingdowntotheresults,presentedinthefollowing;forfurtherdetails,seePirs(2017,pp.
43–44).
123TheauthorwouldliketothankNils-EricSahlinforpointingtothefactthataninductivemethodcannotleadtoatheory.
124Pirs(2017,p.
42).
Asmentionedabove(Table4.
2),foropinionNo30seePirsandFrischhut(2019,forthcoming).
125OpinionNo30isonthe'futureofwork'.
126Pirs(2017,p.
49).
127Ithastobeemphasizedthatsometimesitcouldbethecasethat,forinstance,threehitsoccuronthesamepageofthesameopinion,whileinothercasesthreehitsoccurindifferentpartsofthesameopinion,orintotalthreehitsinthreedifferentopinions.
Thatiswhythesenumbersshallnotbeoverestimated.
4.
2EGEOpinions107and16respectively(seeTable4.
3).
Intermsofphilosophers,JohnRawlsaccountsformosthits(10128),followedbyHugoGrotius(7),ThomasHobbesandHansJonaswith5each,HannahArendt(4),JeremyWaldron,JeremyBentham,JohnStuartMill,PeterSinger,MichelFoucaultandAristotlewith3each,JohnLockewith2,aswellasImmanuelKantandJean-JacquesRousseauwithoneeach,tonamebutafew.
129Overall,130thequalitativecontentanalysis(QCA)revealedthatthinkersinadeon-tologicaltraditionofthoughtdominatethereasoningintheEGE(seeTable4.
3).
131Initsopinion(No24)on'ethicsofmoderndevelopmentsinagriculturetechnolo-gies',theEGEreferredtojustice,asthe"institutionaldimensionofethics".
132Whenbroachingissuesofglobalaswellasintergenerationaljustice,theEGEreferredtoHarvardphilosopherJohnRawls(1921–2002)133andhis'originalposition',whereeveryonedecidesquestionsofjusticefrombehinda'veilofignorance;hence,onewouldadopt"a'maximin'strategywhichwouldmaximisethepositionoftheleastwell-off".
134Fortheglobaljusticediscourse,theEGEreferstothisquestionofdistributivejustice,whichdealswiththequestionofwhichgoodsasocietyoracollectivegroupshalldistributeamongitsindividualmembers.
Thisgeographicaldimensionaddressessimilarquestionsasalongthetimeline(i.
e.
'justicebetweengenerations'),where"futureorpastgenerationscanbeviewedasholdinglegitimateclaimsorrightsagainstpresentgenerations,whointurnbearcorrelativedutiestofutureorpastgenerations".
135Itisworthmentioningthatthisinvolvesnotonlytheperspectiveofrights,butalsoofduties,similartothediscussiononhumanrightsandhumanrightsobligations.
136Aswehaveseenearlier,conictofinterestisakeyissueinethics.
Likewise,inthiscontext,byagainreferringtoRawls,theEGEemphasizesthat"ifthereisanintergenerationalconictofinterests,considerationsofjusticecouldplaceanobliga-tiononpresentgenerationsnottopursuepoliciesthatcreatebenetsforthemselvesbutattheexpenseofthosewhowillliveinthefuture".
137Oneyearlater(in2009),theEGEpickedupthesameideasofRawlsonjusticeinitsopinionon'syntheticbiology'.
138128FiveinEGEopinionNo24('agriculturaltechnologies')andveinEGEopinionNo25('syn-theticbiology').
129Foradetailedoverview,seePirs(2017,p.
50).
130Inthefollowing,somekeyndingswillbepresented;forfurtherdetailsseePirs(2017,pp.
52–64),respectivelytheabove-mentionedopinions,andPirsandFrischhut(2019,forthcoming).
131Asfaraspossible,thedifferentphilosophershavebeencategorizedaccordingtothethreenor-mativetheories.
132EGEopinionNo24,p.
48.
133Rawls(1971).
134EGEopinionNo24,pp.
51–52.
135EGEopinionNo24,p.
52;emphasesadded.
136SeeWe(2010,pp.
258–259);Assmann(2018).
137EGEopinionNo24,p.
52;emphasesadded.
138EGEopinionNo25,p.
45.
1084PhilosophicalLens(TheNormativeTheories,etc.
Continued)Table4.
3EGEopinionsnormativetheories(quantitativeanalysis)aEGEopin-ions/normativetheoriesNo23animalcloning1/2008bNo24agriculture12/2008cNo25syntheticbiology11/2009dNo26ICT2/2012eNo27energy1/2013fNo28securityandsurveillancetechnologies5/2014gNo29healthtechnologiesandcitizenparticipation10/2015hIntotalDeontology05170312037Consequentialism710002010Virtueethics,andrelatedi001402512Intotal76184316559aThistabledoesnotmentionreferencesthatcannotbeassignedtooneofthethreenormativetheories.
Inthefollowing,opinionswillbecitedasfollows:EGEopinion[No],[page].
Sourceandfurtherdetails:Pirs(2017,p.
48);foropinionNo30,seePirsandFrischhut(2019,forthcoming)bEuropeanGrouponEthicsinScienceandNewTechnologies(2008a)cEuropeanGrouponEthicsinScienceandNewTechnologies(2008b)dEuropeanGrouponEthicsinScienceandNewTechnologies(2009)eEuropeanGrouponEthicsinScienceandNewTechnologies(2012)fEuropeanGrouponEthicsinScienceandNewTechnologies(2013)gEuropeanGrouponEthicsinScienceandNewTechnologies(2014)hEuropeanGrouponEthicsinScienceandNewTechnologies(2015)iWhiletheirclassicationtoanormativetheoryisdebatedinliteratureandclearlychallenging,FoucaultandArendtarecoveredherein'virtueethics,andrelated'.
TheauthorwouldliketothankJohanBrnnmarkforaddressingthefactthatFoucaultismoreaboutsocialtheorythannormativetheory;thereasonwhyhewasaddressedbytheEGEintheeldofsurveillancemightbethatheisarelevantsourcebecauseofhisworkondiscipliningandgovernmentality4.
2EGEOpinions109HansJonas(1903–1993),aphilosopherfocussingonrelationshipofmantonatureandhishandlingoftechnology,hasalsohighlightedthisresponsibilitytowardsfuturegenerations.
BasedonKant's'categoricalimperative',139inhis1979book"DasPrinzipVerantwortung",hedevelopedan'ecologicalimperative',whichstatesasfollows:"Actsothattheeffectsofyouractionarecompatiblewiththepermanenceofrealhumanlifeonearth".
140Thedevelopmentofthisdeontologicalconcepthastobeseenagainstthehistoricalbackground,wherehesawtheneedtodevelopanewconceptofethics,sinceinthepasttechnologydidnothavesuchrangesofactioninspaceandtime.
InopinionNo27onenergy,theEGEhasreferredtoJonas,statingthathisapproach"isechoedinpartintheimplementationofthe'precautionaryprinciple'inthelegalEUframework,whichreversestheburdenofproof—theargumentforthegreateroverallbenetofanaction—incasesofexpectedharmsorriskofenvisionedtechnologies".
141Likewise,theEGElinksJonas'ideasofobligationstowardsfuturegenerationstothe'principleofsustainability'withrespecttotheimpactofpresentactionsonfuturegenerations.
142Inthisregard,theEGEreferstothevaluesofhumandignity(andhumanrights),justice(includingdistributive,social,political,andintergenerationaljustice),aswellassolidarity(thesharedresponsibilityandconcernforEUandglobalwelfare).
Theseoverarchingrightsandvaluesshall"guidethedevelopmentofanethicsframeworkorientedataresponsibledesignoftheEUenergypolicy".
143Theaforementionedvalueofhumandignityisanotherdeontologicalconcept,whichtheEGEinitsopinionon'syntheticbiology'seesas"thecoreoftheethicsframeworkforsyntheticbiology".
144AlthoughtheEGEonlyreferstoitas"[o]nesuchattempt"todenehumandignity,itquotesthefollowingdenitionofmedicalexpertWilliamP.
Cheshire145:Theexaltedmoralstatuswhicheverybeingofhumanoriginuniquelypossesses.
Humandignityisagivenreality,intrinsictohumansubstance,andnotcontingentuponanyfunc-tionalcapacitieswhichvaryindegree.
[…]Thepossessionofhumandignitycarriescertainimmutablemoralobligations.
Theseinclude,concerningthetreatmentofallotherhumanbeings,thedutytopreservelife,liberty,andthesecurityofpersons,andconcerninganimalsandnature,responsibilitiesofstewardship.
Thisdeontologicalconceptofthe'intrinsicvalue'comprises,accordingtothe"Kantianunderstandingofhumandignity[which]emphasisesmoralresponsibili-ty",aprohibitionof"treatinghumanbeingsasmere'objects'oftheinterestsofothers".
146AccordingtotheEGE,thisisespeciallyimportantincaseofvulnera-139Seesupra,Sect.
2.
1.
140Jonas(1979,p.
36);translatedwithDeepL.
ThisbookisalsoquotedinEGEopinionNo25,p.
16.
141EGEopinionNo27,p.
49.
142SeeFootnote141.
143EGEopinionNo27,p.
50.
144EGEopinionNo25,p.
39;emphasisadded.
145Cheshire(2002,p.
10);emphasesadded.
146EGEopinionNo25,p.
39.
1104PhilosophicalLens(TheNormativeTheories,etc.
Continued)blehumanbeings,147referringtoanideaaddressedbyBeyleveld&Brownswordintheirseminalwork'HumanDignityinBioethicsandBiolaw'.
Basedon"thenotionofdignityasavirtue",theideaofresponsiblebehaviour,accordingtothem,shouldbetakenseriously;inthatregard,theresponsibilitythatunderliesthenotionofdignity,isa"responsibilitythatgoestoquestionsofcharacterasmuchastotheappearance".
148Thentheycontinuewiththepartthatwas(partially)quotedbytheEGE149:"Specically,itistheideaofdignityasaparticularpracticalattitudetobecultivatedinthefaceofhumannitudeandvulnerability(and,concomitantly,thenaturalandsocialadversitythatcharacterizesthehumancondition)".
150Hence,fortheEGE,dignity"isthebasisformorespecicprinciples,rightsandobligations,andiscloselyconnectedtotheprincipleofjusticeandsolidarity".
151ThiscorrespondstohumandignityenshrinedinArt1CFRandArt2TEU(EU'scommonvalues),aswellastheabove-mentionedemphasisnotonlyonrights,butalsoonobligations.
Withregardtopatentabilityofbiotechnologicalinventions,theEGEaddressesthedangerofcommercialexploitation('commodication'),whichcanoffendhumandignity,thusproposingthreetypesofcategoriesofinventions.
First,that"whichiscommontoallhumankind,andshouldnotbepatentableordirectlyexploitedforcommercialgain",second,that"which,foravarietyofreasons,shouldbeplacedinthepublicdomainforalltouseandexploit(the'commons')",andnally,inventionsthatcanbeprotected"attheinventor'sdiscretion".
152Insummary,itcanbesaidthatbasedontheEGE'semphasisonhumandignity,deontologyplaysanimportantroleinbioethics.
153Alsointheeldof'securityandsurveillancetechnologies',theEGEemphasizedthathumandignity"isattheheartofethicsandisalsoofcrucialimportanceregardingthedebate"inthiseld.
154Againstthebackgroundofdebatesofincreasingsecuritybylimitingfreedom,theEGEmakesaclearstatement:"HumandignityisthecoreprincipleoftheEuropeanmoralframework,andassuchitcannotbe'tradedoff'".
155However,accordingtotheEGE,"dignityisintimatelyassociatedwithfreedomandresponsibility",andhereabalanceneedstobestruckbetweenthosetwo.
156Inthiscontext,theEGEdrawsonJeremyWaldron(1953–),aNewZealandprofessoroflawandphilosophy,whousestherespectforthedignityofcitizensasanargument147SeeFootnote146.
148BeyleveldandBrownsword(2001,p.
2).
149SeeFootnote146.
150SeeFootnote148.
151EGEopinionNo25,p.
39;emphasesadded.
152EGEopinionNo25,pp.
45–46;emphasesadded.
Forfurtherdetailsonthenotionof'commonheritage'andGrotius,seePirs(2017,pp.
57–59).
153Cf.
alsoPirs(2017,p.
56)withfurtherdetails.
154EGEopinionNo28,p.
71.
155EGEopinionNo28,p.
77;emphasisadded.
156EGEopinionNo28,p.
77.
4.
2EGEOpinions111foramoralentitlementto"transparencyorthereasonswhy[thecitizens]shouldapplycertainlaws".
157Thisrelationshipofcitizensandthestate(rulersandtheruled)isalsobroadlyaddressedintermsof'socialcontracttheories'.
158,159Startingfromfamousphiloso-pherssuchasThomasHobbes(1588–1679)andthelike,160theEGEreectsonsecurityand"themoraljusticationoftheabsolutepowerofthestateandoftheciti-zens'limitationoffreedom",161basedonHobbes'1651book'Leviathan'.
162Whiletheoreticallytheelectedrepresentativesareboundbythe'people'swill'(andcanbeheldaccountable),"thishasturnedouttobeachallengeunderthenewsecuritypolicies".
163Pirsarguesthatinthiseldofsecurityandsurveillancetechnologies,theEGEapplies"amoresubtleapproachtowardsadeontologicalunderstandingofhumandignity",whererightsarebalancedbasedontheprinciplesofproportionalityandeffectiveness.
164Accordingtotheabove-mentionedqualitativecontentanalysis,therewereclearlyfewerreferencesinEGEopinionstoconsequentialism(seeTable4.
3).
165Thisnormativetheoryplaysarolewhenassessingtheconsequencesthatarisefromdevelopmentsintheeldofscienceandnewtechnologies,i.
e.
theEGE'sturf.
Inthecontextofriskassessment,theseconsequencesrelatetopossiblebenetsversuspossiblerisks.
Anthropocentricapproaches,placinghumansinthecentreoftheuniverse,focus"onconsequentialconsiderationsandissuesrelatedtopotentialconsequencesfromtheuseofsyntheticbiologyforhumanbeings(riskassessmentandmanagementandhazardconsiderations[…])".
166Theanalysisofriskcomprisesthethreeelementsofriskassessment,riskmanagementandriskcommunication,wherethealreadymentionedprecautionaryprinciple167isparticularlyrelevantforriskmanagement.
168SuchriskassessmentisemphasizedbytheEGE"inordertoprotect157EGEopinionNo28,p.
78.
158TheEGEprovidesthefollowingdenition:"social(orpolitical)contractargumentsclassicallypositthatindividualshaveconsented,eitherexplicitlyortacitly,tosurrendersomeoftheirfreedomsandsubmittotheauthorityofthesovereign(ortothedecisionofamajority)inexchangeforprotec-tionoftheirremainingrights".
Thesetheoriescanbedistinguishedbetweensomethatareconcernedwiththeoriginofthestate,whileothersfocuson"thecontract—themodusvivendi—betweentheruler(s)andtheruled";EGEopinionNo28,p.
62.
159EGEopinionNo28,pp.
61–68.
160JohnLocke(1632–1704),mentionedtwice,andJean-JacquesRousseau(1712–1778)mentionedonce(inEGEopinionNo28,pp.
61,64).
161EGEopinionNo28,p.
61.
162Cf.
Hobbes(2008).
163EGEopinionNo28,p.
66.
164Pirs(2017,p.
60).
165TheauthorwouldliketothankGranHermerénforaddressingthefactthat,whereaconse-quentialistapproachwas(also)calledfor,theEGEoftendiscussedproportionality;onthelatter,seeHermerén(2012).
166EGEopinionNo25,p.
42;emphasesadded.
167Seesupraatnote141.
168EC'Ontheprecautionaryprinciple',COM(2000)1nal2.
2.
2000,p.
2.
1124PhilosophicalLens(TheNormativeTheories,etc.
Continued)humandignityandtheautonomyofpersons",inasimilarwayastheimportanceoftheprecautionaryprinciple.
169Hence,linkingthisconsequentialistapproachtohumandignity,asmentionedaboveinthecontextofdeontology.
Moreover,aconsequentialistapproachisappliedbytheEGEinthecontextof'animalcloningforfoodsupply'.
Here,theEGEtakesamorebio-centricattitude,170comprisingethicalconcernsfortheclonedanimals,forhumans,fortheenvironment,aswellasforsociety.
171JeremyBentham(1748–1832)isconsideredasthefounderofmodernutilitarianism,themostprominentformofconsequentialism.
Asalreadymentioned,utilitarianismisegalitarian(asthewell-beingofeachpersonisofequalvalue),andeventhefeelingsofanimalscanbetakenintoaccount.
172ThatiswhyBenthamisoftenregardedasoneoftheearliestproponentsofanimalrights.
TheEGEreferstoBentham,JohnStuartMill(1806–1876)andPeterSinger(1946–),etc.
,inordertoargue'themoralstatusofanimals',as"actionscausingpaininsentientanimalsaremorallyunacceptable,sinceanimalsareconsideredmoralsubjects".
173Atthesametime,theEGEalsoreferstoadeontologicallineofargumentation,basedonthe'intrinsicvalueargument',referringespeciallytoliteraturefocusingonanimals'intrinsicvalue174andintegrity.
175Insummary,theEGEconcludesthatit"hasdoubtsastowhethercloningforfoodisjustied",and"doesnotseeconvincingargumentstojustifytheproductionoffoodfromclonesandtheiroffspring".
176Accountingforslightlymorehintsthanconsequentialism(i.
e.
10),theresearchofPirsidentied12referencesinEGEopinionsto[3.
]virtueethics(seeTable4.
3),whichhasbeendenedas"[a]napproachtobothunderstandingandlivingthegoodlifethatisbasedonvirtue".
177Whatdoesthisconceptof'humanourishing'implyfortoday'spotentialdangersarisingfromthecorrodingofprivacyduetotheintro-ductionofnewICTtoolsThis'goodlife'isaddressedintheopiniononethicsofICTinthesensethat"givingupprivacywoulddeterminetheourishingofapersonalandsocialvirtue[…]basedonpeople'sfreedomtointroduceandsharewhateverdataontheirownlivestheydesire".
178Intheend,theEGEcallsforbuilding"astrongerandmorecoherentdataprotectionframework".
179Inthiscontext,theEGEalsoreferstoHannahArendt(1906–1975),oneofthemostimportantphilosophers169EGEopinionNo25,p.
42.
170ItisworthmentioningthatfromtheperspectiveofArt37CFR('environmentalprotection'),weshallapplyabroadunderstanding,asaccordingtoRudolf(2014,558–559,562),thenotionof'environment'comprisesair,soil,water,oraandfauna,humansandtheenvironmentcreatedandshapedbyhumansandanimals(butnopets).
171EGEopinionNo23,p.
32.
172SupraSect.
2.
2.
173EGEopinionNo23,p.
33;emphasesadded.
174Doletal.
(1999).
175Doletal.
(1997).
176EGEopinionNo23,p.
45.
177Chara(2002,p.
915);emphasesadded.
178EGEopinionNo26,p.
45;similarinEGEopinionNo28,p.
73.
179Ibid.
ThisopinionwasdeliveredfouryearsbeforetheadoptionofRegulationGDP.
4.
2EGEOpinions113ofthe20thcentury,as"oneoftherstscholarstoobservethepoliticalimportanceofprivacy".
TheEGEstatesthat"Arendt'sdefenceoftheimportanceoftheprivatespherewarnsaboutdangersarisingfromtheerosionoftheprivate,asituationwhichsomeconsiderasderivingfromtheuseofICTascommunicationtools".
180Alsointhecontextofnewhealthtechnologiesandcitizenparticipation,theEGEreferstoArendt181whenaddressingthedangerof"downgradingofindividualrightsinpursuitofthecollectivegood".
182Afamousrepresentativeofvirtueethics,Aristotle(384–322B.
C.
),ismentionedinthecontextofethicsinICT,wheretheEGEreectsonhis"friendshipasmutualcarebetweenequals"againstthebackgroundofthe"ethicallyimportantchange"inthewayinwhichsocialnetworksshapetheconceptoffriendshipandcommunity.
183Hence,wecanseevariousexamplesofoldconceptsbeingappliedtocurrentaswellasfuturechallenges.
However,despitetheseexamples,itisimportanttoemphasizethattheEGE"doesnotclearlystipulateanynormativeethicalguidanceonthebasisofvirtueethicsinthisregar[d]".
184Oneexceptioncanbefoundin'securityandsurveillancetechnologies'.
There,theEGErefersto'virtuousbehaviour'inthecon-textofthetensionbetweenprivacyandnewtechnologies,whichhasbeenaddressedwithregardtofourinstruments:technology,education,self-regulationandthelaw;intermsofthethirdone,accordingtotheEGE,"[s]elf-regulatorygovernanceworkstopromote(virtuous)behaviourbyinvolvingstakeholdersandestablishingbottom-upsoftregulations".
185Asmentionedabove,basedontherstformalmandate(in2005),since2008(i.
e.
OpinionNo23)theEGEhasstartedtorefertonormativetheories,especiallyviatheirproponents.
Inthisregard,itisfascinatingtoseeasimilardevelopmentinthelegalsphere.
AsofOpinionNo16(patentingofhumanstemcellsinventions,May2002),whichfallsinthe2ndmandate,186theEGEhasalsoincreasingly(9hits)startedtorefertoEUandinternationaldocuments,mainlyintheeldofhumanrights(seeFig.
4.
1).
Thenumberbecamedouble-digit(14hits)withOpinionNo17(clinicalresearchindevelopingcountries,February2003),54hitsinOpinionNo25(syntheticbiol-ogy,November2009),withamaximumof80hitsinOpinionNo28(securityandsurveillancetechnologies,May2014).
Fromthesedocuments,theCFRranksrstwith142hits,followedbytheEuropeanConventionfortheProtectionofHumanRightsandFundamentalFreedoms(ECHR)with79hits,theOviedoconvention(61180TheEGEreferstothersteditionin1958;seenowadays:Arendtetal.
(2018).
181Arendt(1951).
182EGEopinionNo29,p.
41.
Inthiscontext,theEGEalsoreferstoMichelFoucault(1926–1984);p.
40.
183EGEopinionNo26,p.
42;AristotlewasalsomentionedinEGEopinionNo25,p.
11,andEGEopinionNo28,p.
64.
184Pirs(2017,p.
63).
185EGEopinionNo28,p.
59.
1862000–2005;here,theEGEbecamepartofBEPA.
1144PhilosophicalLens(TheNormativeTheories,etc.
Continued)InternationalEthicalFramework-mainreferencesCharterofFundamentalRights(CFR)EuropeanConventiononHumanRights(ECHR)ConventiononHumanRightsandBiomedicine(Oviedo)UniversalDeclarationontheHumanGenomeandHumanRightsInternationalCovenantonEconomic,SocialandCulturalRights(ICESC)WMADeclarationofHelsinkiUniversalDeclarationonBioethicsandHumanRightsConventionfortheProtectionofAutomaticProcessingUniversalDeclarationofHumanRights1948InternationalDeclarationonHumanGeneticDataInternationalCovenantonCivilandPoliticalRights(ICCPR)SUMss000000000000Opinionno.
02humanbloodorhumanplasmaproducts000000000000Opinionno.
03biotechnologydirective010000000001Opinionno.
04genetherapy000000000000Opinionno.
05foodlabellingmodernbiotechnology000000000000Opinionno.
06prenataldiagnosis000000000000Opinionno.
07geneticmodificationofanimals000000000000Opinionno.
08patentinghumanorigininventions000000000000Opinionno.
09cloningtechniques000100000001Opinionno.
105thresearchframeworkprogramme001101000003Opinionno.
11humantissuebanking001100000002Opinionno.
12humanembryoFP5research003100000004Opinionno.
13healthcareintheinformationsociety021100030007Opinionno.
14dopinginsport000100000001Opinionno.
15humanstemcellresearchanduse302100000006Opinionno.
16patentinghumanstemcellsinventions511200000009Opinionno.
17clinicalresearchindevelopingcountries2120090000014Opinionno.
18genetictestingintheworkplace101000000002Opinionno.
19umbilicalcordbloodbanking103100000005Opinionno.
20ICTimplantsinthehumanbody15054011110028Opinionno.
21nanomedicine200712398024101040Opinionno.
22hESCFP7researchprojects20132012202024Opinionno.
23animalcloningforfoodsupply200000000002Opinionno.
24modernagriculturaltechnologies7000300020012Opinionno.
25syntheticbiology1621116053001054Opinionno.
26informationandcommunicationtechnologies19011001101024Opinionno.
27research,productionanduseofenergy24200600000032Opinionno.
28securityandsurveillancetechnologies284410200030280Opinionno.
29NHTandcitizenparticipation523601721010156SUM1427961412821128753407Fig.
4.
1EGEreferencestokeydocuments.
SourcePirs(2017,A37);N.
B:thisoverviewofPirscontinueswithsevenotherdocumentsonpageA38;foropinionNo30,seePirsandFrischhut(2019,forthcoming)4.
2EGEOpinions115hits),theUniversalDeclarationontheHumanGenomeandHumanRights187with41hits,theInternationalCovenantonEconomicSocialandCulturalRights(ICESC)with28hits,andtheHelsinkideclarationwith21hits.
188Thistendencygoeshandinhandwiththeincreaseinnumberofpages,around20pagesuntilOpinionNo19(March2004),toaround100startingwithOpinionNo21(January2007).
189Overall,wecanobserveanextensionnotonlyinpages,inreferencestonormativetheoriesaswellastotheseEUandinternationaldocuments,butalsoinscope,asthegrouphasmovedfrompurelybioethicsalsotobroaderprinciplesofhumanrights,aswellasanincreaseingroupmembers.
Therehasalsobeenanincreaseofthedurationofthemandates,exceptforthelastone.
190AsweknowfromthejobofthepresidentoftheEuropeanCouncil,newlycreatedbytheLisbonTreaty,191anappointmentfortwotimes2.
5yearsallowsformorecontrol,comparedtoanappointmentforveyears.
Apartfromthenormativetheoriescoveredinthischapterandbasedontheterminologicaldelimitation,192theEGEhasreferredtovalues(humandignity,justice,freedom,solidarity,etc.
),tohumanrights,aswellastoprinciples(privacy,informedconsent,non-discrimination,equity,precaution,sustainability,etc.
).
4.
3ConclusionItisevident,thatbothinEUlegaldocuments(Sect.
4.
1)aswellasincaseoftheEGE(Sect.
4.
2),ethicsentersthesceneinsensitiveareas.
ThiswasthecasewithCETA(investmentprotectionandthefearthatbigcompaniescan'buyjustice'),aswellastheKoreaagreement(inappropriateinuenceofthepharmaindustry).
InadditionwecannamethesavingofIslandicbanksinthecontextofEFTA(taxpayers'moneyandmoralhazard),scepticismwithregardto(regulationof)thenancialworldingeneral(cf.
ethicscommitteesintheeldofECBandEIB),andlobbying(thefearthatbigcompaniescan'buylaw'),tonamebutafew.
IncaseoftheEGE,onereasonforitsestablishmentwasalsotoaddresspublicconcernonthenewchallengesraisedbynew(bio-)technologies.
193Inthefollowing,thequestionsmentionedatthebeginning194willbeansweredinmoredetail,astheresultsofSect.
4.
2ontheEGEwillsupplementthoseofSect.
4.
1.
Withregardtothepossibleidenticationofnormativetheories(i.
e.
questionNo1),wehaveseenimplicitreferencesinEUlegaldocuments,implicitaswellasexplicitonesinEGEopinions.
Thelatterhavemainlyreferredtoseveralproponentsof187Datingfrom11.
11.
1997.
188Source:Pirs(2017,A37);mentioningtwelveotherdocumentsindescendingorder.
189Pirs(2017,A7).
190SeesupraTable4.
2.
191Art15(5)TEU.
192SeesupraSect.
1.
5.
193Cf.
Plomer(2008,p.
840).
194SeesupraSect.
1.
2(objectives).
1164PhilosophicalLens(TheNormativeTheories,etc.
Continued)thesenormativetheories,buthavealsoexplicitlyaddressedthesenormativetheories.
ImplicitreferencesinEGEopinionsespeciallyaddresseddeontologicalideasviatheEUvalueofhumandignity.
QuestionNo2canclearlybeansweredintermsofaddressingseveralnormativetheories,althoughthesethreetheoriesarenotequallyrepresented.
InEGEopinions,deontologyclearlyprevails,andwendlessexamplesofvirtueethics.
195However,itisimportanttoemphasizethatoftentheEGEreferstoonenormativetheory,byemphasizingtheconsequencesifthedecision-makersoptforthistheory,besidespointingtoanothernormativetheory,alsoemphasizingtheconsequencesforthisothertheory.
Hence,whiletherearemostreferencestodeontology,thisdisclaimerhastobekeptinmind.
Itwasalsoremarkabletoseejusticeasthe"institutionaldimensionofethics".
196Justiceoccurredbothintermsofdistributivejustice(Rawls),aswellaswithregardtofuturegenerations(Jonas).
Humandignity,inWaldron'sinterpretation,alsohasaninstitutionalcomponent,intermsofcitizens'entitlementtotransparencyinthedecision-makingprocess.
InbothEUlegaldocuments,aswellasinEGEopinions,humandignityplaysaparamountrole.
Itwasaddressedtobeatthe'core'ofsyntheticbiology,atthe'heart'ofethicsintheeldofsecurityandsurveillancetechnologies,andwasevenaddressedasthe"coreprincipleoftheEuropeanmoralframework".
197ThisEUvalueclearlyhasadeontologicalconnotation,whenreferringtotheintrinsicvalueofhumans,withsimilarideasexpressedwithregardtoanimals.
ThroughoutEUlaw,humandignityhasbeenanargumentagainst'commodication'ofthehumanbody,basedontheKantianideaofnottreatinghumansasmereobjects.
Forthesamereason,ithasbeenemphasizedthattherecanbenotrade-offs.
198Humandignityhasbeenemphasizedespeciallyincaseofvulnerablegroups,whichalsolinksittosolidarity.
This'coreprinciple',inmorecorrecttermsonewouldhavetospeakof'corevalue',isthebasisforfurtherrights,principlesandobligations,aswecanalsoobserveitintheCFR.
199ConsequentialismhasbeenaddressedbytheEGEinthecontextofriskassess-ment.
Apartfromethics,inEUlawingeneralwehaveseenthatimpactassessmentplaysanimportantroleinEUdecision-making,aswellasthe'effetutile'principleinCJEUcase-law,bothofwhichalsohaveaconsequentialistconnotation.
Utilitar-ianphilosophershavebeenaddressedwhentakingamorebio-centricapproach,inparticularwithregardtoanimals.
ItisworthmentioningthattheEGEbothincaseofriskassessmentandwithregardtoanimalshasalsotakenadeontologicalapproach,195Giventheinformationavailable,itremainsunfortunatelyachallengetoaddressthequestion"whyandwhen"acertainapproachhasbeenapplied.
196EGEopinionNo24,p.
48.
197EGEopinionNo28,p.
77.
198However,thiswaspossibleincaseoffreedomandresponsibility.
199The'ExplanationsrelatingtotheCharterofFundamentalRights',OJ2007C303/17,stateasfollows:"Thedignityofthehumanpersonisnotonlyafundamentalrightinitselfbutconstitutestherealbasisoffundamentalrights.
".
4.
3Conclusion117asithasemphasizedtheimportancetoprotecthumandignityandtheautonomyofpersons(incaseofriskassessment),andhasalsoreferredtotheintrinsicvalueofanimals,asmentionedabove.
Socialcontracttheorieshavebeenaddressedintermsofsecurityandsurveillancetechnologies.
Althoughdraftedduringtheageofenlightenmenttolegitimatetheauthorityofthestate,thisconceptisstillofrelevanceandwasappliedtothesenewchallenges.
BothforEUlegaldocuments,aswellasfortheEGEopinions,alltheexampleswehaveseencannotbeunderstoodasunconditionalreferencestooneormorenormativetheory(ies),butonlyaspointingtowardsthem(questionNo3).
TheEGEoftenreferstoseveralviews,forinstancetodeontologyandtoconsequentialism,200withoutexplicitlyfavouringtheone,orrejectingtheotherview.
Inotherwords,incaseofexplicitreferencestonormativetheories,theEGEcontrastsdifferentphilosophicalviews;hence,itisnotpossibletoassigntheEGEexclusivelytooneofthesethreenormativetheories.
Anotherquestionwas,whetherwecanidentifyacertaincommonhorizontal(orratheraspecic)pattern,whenreferringtothesetermsofethicsandmoralityinEUlegaldocuments(Sect.
4.
1),respectivelywhenaddressingthesenormativetheories(Sect.
4.
2).
AswehaveseenabovewithregardtoEUlegaldocuments,thereisclearlynohorizontal,butaspecicapproachinaddressingdifferentnormativetheoriesindifferentelds.
Deontologyplaysaroleinordertorefertogeneralprinciplesofmorality,consequentialismtoaddresseffectsoftheethicalchallengeathand,andvirtueethicsisaddressedinthecontextof'pursuingagoodlife'.
201Againstthebackgroundofthediversetopicsofthe30opinionssofar,theEU'svalueswiththeircornerstoneofhumandignity,adeontologicalconcept,canbeseenasthemosthorizontalapproachinthisregard.
Havingnowanalysedthedifferent'layers'(inthesenseofthehierarchy)andthedifferent'areas'(inthesenseofthe'separationofpowers')ofEUlaw,thenalquestion(i.
e.
objective4),astowhetherwecanidentifyanethicalspiritofEUlaw,canbeansweredasfollows.
Asstatedabove,inthisbook,thenotionofspiritisunderstoodas"theintentionoftheauthorsofalegalsystem,whichisreectedinalatticeofvariousdifferentprovisions".
InSect.
4.
1withregardtoEUlegaldocuments,wehavealreadyidentiedbothanethicalspirit,aswellasagapthatstillneedstobelled.
ThendingsofSect.
4.
2pointinasimilardirection,furtheremphasizingthepredominantroleoftheEU'scommonvaluesandthecornerstoneofhumandignity.
ApartfromexplicitlyreferringtotheseconceptsfromalegalangleasthevaluesenshrinedinArt2TEU,thedeontologicalnormativeargumentsaddressedintheEGE'sopinionsalsopointinthesamedirection,hencefurtherclosingthegapaddressedearlier.
Havingidentiedthis'lattice'ofethicsinthedifferentlayersandareas,bothbindinglegalprovisionsandsoft-law,includingtheEGE'sopinion,thisdoesnotmeanthatwehavereachedanalposition.
Thisanalysisisvalidasof2018,mighthoweverbedifferentinthefuture,andwasclearlylesselaboratedinthepast.
200EGEopinionNo12,p.
8.
201Lucivero(2016,p.
15).
1184PhilosophicalLens(TheNormativeTheories,etc.
Continued)OneexampleinthisregardisOpinionNo12,onethicalaspectsofresearchinvolv-ingtheuseofhumanembryointhecontextofthefthframeworkprogramme,fromNovember1998.
TheEGEappropriatelystatesthattheEUhasnopropercompetenceinmedicine,hencesuchprotectionfallswithinnationalcompetence.
Nonetheless(i.
e.
rstlimitation),EUauthorities"shouldbeconcernedwithethicalquestionsresultingfrommedicalpracticeorresearchdealingwithearlyhumandevelopment".
202How-ever,(limitationtotherstlimitation),indoingso,EUauthoritieshavetotakeintoaccount"themoralandphilosophicaldifferences,reectedbytheextremediversityoflegalrulesapplicabletohumanembryoresearch",as"becauseoflackofconsen-sus,itwouldbeinappropriatetoimposeoneexclusivemoralcode".
203Thequestionremains,ifthisdiversitystipulatedin1998withregardtoembryo-relatedquestionsisstillvalidtoday,havinginmindthegrowingimportanceofEUvalues,especiallysince2009.
Tosumup,thisethicalspiritisinstatunascendi,aswecanalsoseefromthe'unitedindiversity'approachwehaveseenincaseofEUprimarylaw.
Addressingtheseelementsofconstantdevelopmentonatimeline,itisworthmentioningthatalsothestatusquo,asviewedfromtoday,hasaddressedretrospectiveelements(thehistoricalresponsibilityforclimatechangeandthemoralobligationtoassistACPcountries),204aswellastheobligationswithregardtofuturegenerations(nanosciences,HansJonas,etc.
).
TheethicalspiritofEUlawidentiedinthisbookissubjecttothefollowinglimitation.
ItonlyappliestoEUlaw.
Hence,thisdoesnotcoveralltheexampleswherereferenceismadetothenationalorlocallevel(e.
g.
"compliancewithlocalcodesofethics"205).
Inthosesituations,theethicalspiritofEUlawcanonlyhaveanindirectinuence,especiallyviatheEU'scommonvalues.
Thisissimilarto'morality'beingdeterminedbythedifferentMS,butconstrainedbytheEU'sproportionalityprinciple(especiallytherequirementof'coherence'),aswellastheprohibitionofdoublemorality,etc.
,asstatedintheCJEU'scase-law.
Onenalwordaboutthejustaddresseddifferenceinterminology,i.
e.
ethicsversusmorality.
Thereasonwhythisbookhasnotcoinedthetermofthe'moralspiritofEUlaw'isprimarilyduetothereasonthatthenotionof'publicmorality'hasessentiallybeenusedasaprotectionshield,inEUprimarylaw(called'rea-sonofjustication'),ininternationalagreements(called'exceptionclause'),aswellasinEUsecondarylaw.
206Besidesthis,'publicmorality'isalegaltermwhileethicsisatermofpracticalphilosophy.
Intermsofmorality,'publicmorality'isacollectiveterm,whilewehavealsoseenalotofvariationsofmorality:'moral202EGEopinionNo12,p.
10.
203Ibid.
;emphasesadded.
204SupraSect.
3.
2.
1(atnote74).
205SupraSect.
3.
2.
1(atnote56).
206Oneexceptiontothisstatementisthe"competenceofMemberStatesasregardsethicalissues",wehaveseeninthecontextofGMOs;supraSect.
3.
3.
3.
3.
4.
3Conclusion119support',207'moralcondemnation',208'moraldevelopment',209a'highmoralstand-ing',210'moralsafety',211'moralresponsibility',212aswellastheeconomictermof'moralhazard'.
213Thenotionof'ethics',214ontheotherhand,hasnotbeenusedinsuchacollectiveway.
215Ithastheadvantagesofnotbeingalegalterm(althoughusedinlegaltexts)andithasnotbeenusedasa'protectionshield'.
216Nowthatwehaveexaminedthe'ethicalspiritofEUlaw'fromaphilosophicalpointofview,weturntothelegalperspective.
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