EUROPA INSTITUUT UNIVERSITY OF LEIDEN
JUDICIAL PROTECTION IN THE EUROPEAN COMMUNITIES FIFTH EDITION
HENRY G. SCHERMERS Professor of Law, University ...
JUDICIAL PROTECTION IN THE EUROPEAN COMMUNITIES FIFTH EDITION
HENRY G. SCHERMERS Professor of Law, University of Leiden DENIS F. WAELBROECK Lecturer, Universite Libre de Bruxelles
Kluwer Law and Taxation Publishers Deventer • Boston
Table of Contents
para.
page
List of Abbreviations
xvii
INTRODUCTION
I. Purpose of the Book II. Schema III. References A. Cases B. Books and Articles IV. Acknowledgements
§ § § § §
1 2 5 6 8
1 2 3 4 5
Chapter One THE COMMUNITY LEGAL ORDER
I.
Concept
005
12
9 11
§ 19 25 26 29 30 32 35
11 15 16 18 19 20 22
§ 42
27
§ 47 49
29 30
§ 53
32 35
§ 18
§ § § § §
005
II. Sources A. Treaty Provisions and Community Acts 1. Texts 2. Interpretation by the Court of Justice a. Literal interpretation, choice of Community language b. Historical background c. Systematic interpretation, analogy d. Teleological interpretation (i) Promotion of the objective (ii) Prevention of unacceptable results (iii) The filling of gaps B. General Principles of Law 1. Various types of general principles of law 2. Foundation of general principles in the Treaties a. Express references b. Application without reference 3. Generality a. Compelling legal principles b. Regulatory rules
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86 90 96 § 99 § 108 111 § 115 «30
«30
§
115a
52 54 56 58 63 65 68 69
§ 116 119 § 120 § 123 124
69 71 72 74 74
125 127 131 134 136 137 139 149 150
76 77 80 81 82 82 83 87 88
151 158 160 163 164 165 166 173
88 91 92 93 93 94 94 98
§
«3» «30
§ § § §
§ §
«30
VI
49 49 51
«35
D.
81a 82 85
«35
c.
(vi) Case-law of Custom
§ §
37 42
000 «35 «30
(v)
43 48 48
000
(iii) (iv)
71 79 80
«35
00
Force majeure Self-defence Necessity Public safety Public policy and public order Public morality the Court of Justice
§ § §
«30
(i)
61 63 70
005
1 ZtW ldW
§ §
36
005
4. General principles applied by the Court of Justice a. Fundamental human rights (0 The requirement of judicial control b. The right of defence (0 The right to be heard (ü) The right to be assisted by counsel (iii) The legal professional privilege (iv) The absence of an Obligation of selfincrimination c. Non bis in idem d. Nulla poena sine lege e. Legal certainty Concept (i) Time limits 09 (iii) Acquired rights (iv) Non-retroactivity (v) Immediate application of the law (vi) Legitimate expectations (vii) Use of understandable language (viii:I Patere legem quam ipse fecisti f. Equality (i) The principle of non-discrimination (ü) Reverse discrimination (iii) Discrimination as to nationality (iv) Discrimination as to sex (v) Discrimination on other grounds g- Fair application of the law (0 Equity, natural justice and fairness (ü) Proportionality (iii) Good faith (iv) Solidarity (v) Justifiable errors h. Undue payment and unjust enrichment i. Estoppel j - Continuity of Community action k. The principle of good management 1. Exceptions to the general applicability of the
§ §
III. Incorporation in the National Legal Order A. Need for Incorporation B. Traditional Systems of Incorporation 1. Duahsm 2. Mitigated dualism 3. Monism C. The Incorporation of Community Law 1. Treaty provisions 2. Attitüde of the Court of Justice 3. Attitüde of national judiciaries a. France, Greece, Luxembourg, Netherlands, Portugal and Spain b. Belgium c. Germany and Italy (i) Priority (ii) Constitutionality d. Britain, Denmark, Ireland D. Provisions Having Direct Effect 1. The notion 'direct effect' 2. Direct effect of Treaty provisions 3. Indirect effect of secondary Community law 4. Direct effect of agreements with other States
§ 174
99
§ 175
100
§ 180 § 181
103 103
§ 185 186
106 107
§ 187
107
§ 188 § 189 194 § 197
108 109 112 114
§ 201
115
§ 205 § 208 § 210
117 119 120
§ 219 § 220
123 123
§ 224 § 227
127 129
§ 228 § 232 § 237
130 133 136
239 243 253 263
138 141 148 154
§ 264
155
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E. Other Legal Orders 1. Other legal Orders as a source of Community law 2. International law a. General rules b. Treaty obligations (i) Prior treaties concluded by Member States (ii) Treaty obligations of the Community c. Binding decisions of international organizations d. Peremptory norms of international law 3. National laws of the Member States a. Express references b. Implicit references (i) General notions (ii) National legal notions (iii) Community legal notions (iv) The merger of legal notions
II. Judicial Review of Community Acts A. What Acts Are Susceptible to Judicial Review? 1. Binding acts contemplated by the Treaties a. ECSC Art. 14 and EEC Art. 189 b. The distinction between general and individual acts (i) Distinguishing criteria (ii) Individual provisions in general rules (iii) Acts which are general for some parties but individual for others (iv) Individual nature of decisions addressed to States c. The budget 2. The problem of non-existent acts 3. Acts not contemplated by the Treaties 4. Letters 5. Oral decisions 6. Recommendations, resolutions and opinions 7. Internal directives 8. Acts of others 9. Treaties 10. Evaluation of a Situation 11. Parts of acts 12. Groups of acts 13. Preliminary acts 14. Interpretations and confirmations 15. Withdrawal of acts 16. Acts confirmed by Treaty 17. Failure to act B. Grounds of Illegality 1. Lack of competence a. Delegation of powers b. Implied powers c. Jurisdiction beyond the territory of the Common Market 2. Infringement of an essential procedural requirement a. Consultation b. Statement of reasons (i) Why is reasoning needed? (ii) When is reasoning needed? (iii) What constitutes reasoning? (iv) How extensive should reasoning be? (v) Acts which may require less reasoning (vi) Consequences of insufficient reasoning
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212 213 216
§ 378 § 379 § 385
217 218 221
§ 388
222
§ 392
224
§ 395
226
§ 396
226
§ 399
227
§ 402
229
§ § § §
403 404 407 424
230 231 234 244
§ 431
247
§ 433 § 437 438 439 440
248 250 251 252 253
§ 443 § 445
254 255
§ 450
257 257 258
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§ 368 § 370 § 376
«30 «35 005 005
c. The relationship between consultation and reasoning d. Publication and notification 3. Infringement of the Treaty 4. Infringement of any rule of law relating to the application of the Treaty 5. Misuse of powers C. Ways of Challenging Community Acts 1. The action for annulment a. Scope of the action for annulment b. Capacity to bring the action (i) Actions by Member States and institutions (ii) Actions by private parties under the ECSC a. Acts which may be challenged by private parties ß. Undertakings entitled to bring an action under ECSC y. Actions against general decisions under ECSC 6. Actions against individual decisions under ECSC (iii) Actions by private parties under EEC and Euratom a. Actions challenging regulations ß. Actions challenging decisions (iv) Actions by civil servants 2. The action against failure to act a. Purpose of the action against failure to act b. Preconditions of the action against failure to act (i) Obligation to act (ii) Calling upon the institution to act (iii) Reply of the institution (iv) Ground of illegality c. Time limits d. Capacity to bring the action (i) Actions by Member States and by other institutions (ii) Actions by private parties e. Borderline between the action for annulment and the action against failure to act (i) Admissibility of actions by States (ii) Admissibility of actions by private parties
451 454
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260
§ 459
261
§ 460 § 461
262 262
§ 462 § 463
263 263
§ 465
264
§ 469
266
§ 477 § 479
268 270 271
480
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482 484
272 272 273
§ 491
277
§ § § § §
494 495 498 503 504
279 280 281 283 284
§ § § §
506 513 515 517
286 289 290 291
§ § § § § §
518 520 522 523 524 525
292 293 296 297 297 297
§ 483 005
III. Judicial Review of Acts of Member States A. Introduction B. Review Procedure Initiated by the Commission 1. Scope of the review a. Survey of Treaty provisions (i) Supervision by the Commission (ii) ECSC Article 88 (iii) EEC and Euratom provisions b. Number of cases c. Time involved 2. Prerequisites for Court action a. The existence of a breach (i) Act causing the breach (ii) Breach of obligations (iii) When must the breach exist? b. Formal discussions c. The reasoned opinion (i) Designation of the breach (ii) Grant of an opportunity for rectification (iii) Legal Status of the reasoned opinion 3. Alleged justifications for breaches a. Statement of reservation b. Autonomy of the State
§ 457
«35
(iii) Substitution of the action for annulment by the action against failure to act 3. The plea of illegality a. Scope of the plea of illegality b. In what proceedings can the plea be invoked? (i) Actions for annulment (ii) Actions against failure to act (iii) Actions against treaty violations by Member States (iv) Proceedings before national courts c. Against what kind of acts can the plea be used? 4. Preliminary rulings on the validity of acts a. Competence of national courts b. Grounds for illegality (i) Validity versus legality (ii) Grounds applied c. Importance of the review of validity d. Preliminary rulings on the validity of a failure to act 5. The action for damages D. Effect of Judicial Review
298 299 299 300 302 302
§ 537 § 538 538a 539 544
304 304 305 305 308
549 § 550 § 551 § 554
311 312 313 315
§ 555
316
§ 556
317
§ 561 § 562 § 565
321 321 323
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567
327
§ 569 § 571 572 573 § 574 575 § 576 § 578 § 579
328 329 330 330 330 331
§ 580 § 581 582
333 333 334
«3»
§ 526 § 528 529 § 530 § 533 534
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Absence of interest Absence of fault Exceptional circumstances Invalidity of the infringed rule Availability of local remedies Fault committed by others Contradiction with prior declarations of the Commission j - Direct effect of directives k. Existing proposals of harmonization 4. Identity of the defaulter 5. Discretion of the Commission 6. The; decision of the Court and its application a. Content b. Execution c. Effect C. Review Initiated by Other Member States D. Review Initiated by Individuais 1. Direct actions 2. Preliminary rulings a. Use of preliminary rulings against national Iegislation b. Effect of vigilance of individuals (i) Attention to minor breaches (ii) Possibility of enforcement c. Need for support by national courts
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c. d. e. f. gh. i.
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Chapter Three OTHER TASKS OF THE COURT OF JUSTICE
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Unlimited Jurisdiction A. Limited Versus Unlimited Jurisdiction B. Suits ifor Damages 1. Expediency 2. Wrongful Acts a. Civil wrongs b. Abusive application of powers c. Non-performance of obligations d. Inadequate organization of the administration e. Inadequate supervision f. Erroneous information g- Unlawful termination of staff contracts h. Insufficient protection of rights of staff members i. Breach of internal rules j - Infringement of a superior rule of law
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I.
331 332 332
XI
584 585
335 336
588
337
§ 591
339 344 345 346 346
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600 § 601 § 604 605
§ 613 § 617 § 619
351 352 353
§ 624 § 628 § 629 § 630 § 634 § 637 § 638
356 359 361 361 363 365 365 366 368
000
610
348 349 349
607
§ 609 000 C0O C
§ 639 644
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XII
334
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II. Other Tasks of the Court of Justice A. Arbitration 1. Domestic 2. International B. Non-judicial Opinions of the Court of Justice C. Miscellaneous Tasks of the Court of Justice 1. Authorization to enforce a garnishee order 2. Other tasks
§ 583 «30 OOO
k. Breaches of the duty of confidentiality and the duty to warn the applicant 3. Liability for legislative acts a. The principle of liability for legislative acts b. Severability of the wrongful act c. Actions for damages caused by acts which could have been challenged d. Actions for damages caused by acts which could not have been challenged e. The ground for illegality of a legislative act (i) The ground of illegality (ii) The acts involved 4. Liability for valid acts 5. The conditions for admissibility a. The suitor b. Suits against the Communities c. Suits against civil servants d. Suits against Member States (i) Court where the suit must be brought (ii) Basis for Community liability (iii) Shared liability 6. Damages a. The Submission of the claim b. Immaterial damages c. Lost profit d. Proof 7. Causal link C. Suits Brought by Civil Servants D. Actions Against Penalties 1. Procedure before the Commission 2. Procedure before the Court 3. Penalties a. Nature of penalties b. Special provisions c. Amount of the penalties d. Limitation periods e. Effect
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§ 654 655
370 371 372 374 374
§ 656 § 657 § 658
375 376 376
§ 668
381 382
§ 647 § 650 § 652
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Chapter Four OTHER COURTS APPLYING COMMUNITY LAW
International Courts
§ 670 § 673
383 384
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I.
674 676 677
384 386 386
§ 679
387 389
II. Foreign Courts
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«35
682 684
§ 687 «30
390 393 394 396 397
§ 695 § 696 699 700 702 704
400 401 404 404 405 406
§ 707
408
§ 708
409
§ 709
409
§ 712
411
§ 716 § 718
413 414
§ 720
416
§ 722
417
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689 691 § 692
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III. National Courts of Member States ^ A. Task of National Courts 1. Application of Community law 2. Community law and overlapping national law a. Exclusive competence of the Community b. Parallel competence of the Community and the Member States 3. National experience with parallel judicial Systems B. Preliminary Rulings 1. Treaty provisions 2. Function of preliminary proceedings 3. Relationship between national and Community courts a. Co-operation b. Division of competence c. Refusal to render a ruling 4. Jurisdiction to refer for a preliminary ruling a. Jurisdiction attributed by the treaty b. Qualification as a court c. Reference by the legislature d. Reference by foreign and international courts e. Reference by arbitral tribunals f. Reference by courts in interim cases g. Reference by courts in non-contentious proceedings 5. Obligation to refer for a preliminary ruling a. The Obligation on lower courts b. The Obligation on the highest court (i) Highest court in the case, or highest court in the country? (ii) Highest courts whose decisions may sometimes be appealed (iii) Highest courts granting interim injunctions c. Sanctions against breach of the Obligation 6. Discretion not to refer for a preliminary ruling a. Discretion of lower courts b. Necessity of interpretation (i) Lower courts
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425 429
§
737 744 748 749 751 756 758 762
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769
445
§ § § § § §
771 772 776 778 781 782
447 448 450 451 453 453
§ § § § § § § § §
785 786 787 788 789 790 791 793
454 455 455 455 456 456 456 456 456
§ 794 § 795 § 797 799
457 457 459 460
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419 420 422 425
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«35
§ § «30
§ «30
9. 10. 11.
§ 726 § 727 731 736
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7. 8.
(ii) Highest courts c. Acte clair d. Previous rulings Formulation of references Jurisdiction of the Court of Justice a. Issues susceptible to preliminary rulings (i) Community law (ii) International law (iii) National law b. Interpretation of the request c. Application of Community law d. Requests which have been appealed Effects of preliminary rulings Role of the litigants Role of the Commission, of the European Parliament and of the Member States
432 433 434 437 439 442
Chapter Five STRUCTURE AND OPERATION OF THE COURT OF JUSTICE
I.
Composition of the Court of Justice
A. The Judges
1. Number of Judges 2. Nationality 3. Requirements 4. Appointment 5. Special provisions B. The Advocates-General C. Staff 1. The Registry 2. Legal secretaries 3. Lecteur d'arrets 4. Research department 5. Library 6. Computer 7. Language department 8. Further staff D. Seat
XIV
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II. Organization of the Court A. Sessions B. The President C. Chambers D. Judge Rapporteur
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462 463 464 465
§ 809 § 810
467
§ 812 § 813 § 817 818 821 § 823
469 469 472 472 474 475
§ 830 834 836
479 482 483
§ 837 840 § 841 § 843 843a 844
484 488 488 489 489 490
«30 «30
845 847
490 491
850 § 851 853
492 493 494
854 § 856 857
«30
494 495 496
«30 005 «30
499 501 502
«30
«30
«30 «30
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801 § 802 § 806 807
000
005 «30 «50
000
005
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III. Procedure A. Preliminary Points 1. Representation a. The Communities b. Parties before the Court of Justice 2. Legal aid 3. Language of the case 4. Time limits a. Nature b. Duration c. Commencement of the period (i) Regulations (ii) Decisions (iii) Non-contractual liability d. Running of time e. Termination of the period 5. Interim measures B. Written Proceedings 1. Application a. Direct actions b. Preliminary rulings 2. The joining of cases 3. Intervention a. In direct actions b. In preliminary rulings 4. Preliminary objections 5. Defence, reply and rejoinder 6. Default 7. End of written proceedings C. Preparatory Inquiries 1. General 2. Proof D. Oral Procedure 1. Report of the Judge Rapporteur 2. Oral submissions 3. Observations for preliminary rulings E. Decision 1. Character 2. Deliberation and voting 3. Dissenting opinions 4. Costs a. Direct actions b. Preliminary rulings c. Interventions 5. Publication 6. Correction
860 862 863 864 865
468
502 503 XV
TABLE OF CONTENTS
7. 8. 9. 10.
Interpretation Enforcement Third party proceedings Revision
§ § § §
866 869 871 872
503 505 507 507
§ 873
509
§ 875
510
§ § § §
876 878 879 881
510 511 511 512
§ 887
513
§ 889 § 893 § 895 § 898
514 515 516 517 517
Chapter Six THE EUROPEAN COURT OF FIRST INSTANCE
I.
Introduction
II. Structure and Organization of the Court A. Seat and Staff B. Composition 1. The Judges 2. The President 3. The Advocates-General III. Tasks
OOO
IV. Procedure A. Procedure before the Court of First Instance B. Appeals 1. Right of appeal 2. Grounds of appeal 3. Reply 4. Procedure before the Court of Justice 5. Effect of an appeal
899
TABLES
I. II. III. IV. V.
XVI
Table Table Table Table Index
of of of of
Cases - Alphabetical Cases - By Number Citations of Treaty Articles Authors
