ArchiS Architektur des Sicherheitsrechts Mehmet Arslan Procedural Guarantees for Criminal and Administrative Criminal Sanctions A Study of the European Convention on Human Rights BEITRÄGE ZUM SICHERHEITSRECHT Procedural Guarantees for Criminal and Administrative Criminal Sanctions A Study of the European Convention on Human Rights Mehmet Arslan Freiburg im Breisgau 2019 Contributions to Security Law/4 (Beiträge zum Sicherheitsrecht/4) Edited by Marc Engelhart The series entitled “Contributions to Security Law” is a venue that provides open access to important research findings for a broad spectrum of professionals. The findings are the results of projects, including ongoing projects, that emerged from the Otto-Hahn-Group on the “Architecture of Security Law” (ArchiS) or are projects of individual group members. The papers are available both online in PDF format on the websites of the Max Planck Institute for Foreign and International Criminal Law (https://www.mpicc.de) and the re- search group (https://criminallaw.science) as well as in print. Bibliografische Information der Deutschen Nationalbibliothek Die Deutsche Nationalbibliothek verzeichnet diese Publikation in der Deutschen National- bibliografie; detaillierte bibliografische Daten sind im Internet über http://dnb.d-nb.de abrufbar. Alle Rechte vorbehalten © 2019 Max-Planck-Gesellschaft zur Förderung der Wissenschaften e.V. c/o Max-Planck-Institut für ausländisches und internationales Strafrecht, Forschungsgruppe „Architektur des Sicherheitsrechts“ (ArchiS) Günterstalstraße 73, 79100 Freiburg i.Br. Umschlagbild: © (v.l.n.r.) kyolshin, iStock; Flying Colours Ltd., Getty Images; tirc83, iStock [obere Reihe]; NSA, www.nsa.gov; mthaler, iStock [untere Reihe] Satz und Layout: Dorothea Borner-Burger Druck: Stückle Druck und Verlag, Stückle-Straße 1, 77955 Ettenheim ISBN 978-3-86113-780-1 DOI https://doi.org/10.30709/archis-2019-4 Contents Introduction....................................................................................................................... 5 I. Sanctioning regimes subject to procedural guarantees under the criminal limb of Art. 6 ECHR................................................................ 6 A. Ratione materiae: criminal and administrative criminal sanctions within the meaning of Art. 6 ECHR ................................................................... 6 1. General concept.......................................................................................... 6 2. Engel-criteria in the area of administrative sanctioning regimes ............... 6 a) Classification of administrative offenses by national law.................. 7 b) Nature of the administrative offense .................................................. 8 c) Nature and severity of the administrative sanction .......................... 12 B. Ratione personae............................................................................................... 17 C. Ratione temporis............................................................................................... 17 II. Procedural Guarantees........................................................................................... 19 A. Institutions and actors....................................................................................... 19 1. Investigation, prosecution, and sanctioning of criminal offenses by the administrative authority................................................................. 19 a) General concept................................................................................ 19 b) Tribunal within the meaning of Article 6 (1) ECHR........................ 20 aa) Mere administrative or governmental bodies........................... 20 bb) Subsequent judicial review ...................................................... 21 2. Independent administrative bodies as tribunal within the meaning of Article 6 (1) ECHR .............................................................................. 25 a) General concept................................................................................ 25 b) Examples.......................................................................................... 26 aa) Merger of investigating and deciding body ............................. 26 bb) Lack of distinction between prosecuting and deciding body .................................. 26 cc) Clear and strict separation of powers....................................... 27 3. Simplification of criminal proceedings .................................................... 27 a) Penal order proceedings ................................................................... 28 b) Trial without prosecutor................................................................... 29 aa) Lack of a prosecution party...................................................... 29 bb) Absence of the prosecutor........................................................ 29 B. Status of the defendant in criminal proceedings............................................... 30 1. Right against self-incrimination ............................................................... 30 2. The scope of application........................................................................... 31 3. The scope of protection ............................................................................ 33 4. The applicability of Article 6 (1) ECHR .................................................. 34 a) In general.......................................................................................... 34 b) In non-criminal administrative proceedings..................................... 35 5. Corporations and other legal entities........................................................ 38 a) Former Commission......................................................................... 38 b) The Court ......................................................................................... 40 C. General procedural safeguards ......................................................................... 42 1. Presumption of innocence ........................................................................ 42 a) General concept................................................................................ 42 b) Specific requirements....................................................................... 42 aa) Prosecution............................................................................... 42 bb) Trial court................................................................................. 44 cc) Legislature................................................................................ 46 2. Right to prepare the defense..................................................................... 47 a) General concept................................................................................ 47 b) Access to the files............................................................................. 48 c) Restrictions on the right to prepare the defense in criminal and administrative criminal proceedings ....................... 49 aa) Non-defense related documents ............................................... 49 bb) Short time for inspection of the court files............................... 50 cc) Expeditious proceedings .......................................................... 50 3. Right to be heard and oral hearing ........................................................... 50 a) General concept................................................................................ 50 b) Restrictions on the right to an oral hearing in various contexts ....... 52 aa) Hearing before regulatory and supervisory administrative bodies ............................................................... 52 bb) Subsequent review for the imposition of an administrative criminal sanction by the regulatory authorities....................... 53 cc) Subsequent review for the imposition of the administrative criminal sanction by the police ................................................ 54 Summary.......................................................................................................................... 54 Appendix.......................................................................................................................... 56 Judgments on Art. 6 ECHR............................................................................................... 56 Judgments on the Privilege against Self-Incrimination..................................................... 58 Bibliography .................................................................................................................... 59 List of Abbreviations ........................................................................................................ 61 Introduction As early as 1981, the Council of Europe expressed its concern over the growing rate of economic crime in the Member States resulting from increased economic activities within and between States. For an effective control of economic crime, the Council recommended Member States to prefer preventive and flexible strate- gies to customary criminal law, notably measures of administrative law consisting in regulating, inspecting, and supervising respective economic areas.1 The Council of Europe triggered a similar shift in crime control to the administrative bodies in the course of the so-called acceleration and simplification of criminal justice in minor and mass offenses, in particular traffic offenses.2 The growing trend to use administrative sanctioning