Institutions Flashcards

1
Q

EU institutions

A

Art. 13 para. 1 TEU: independent powers used to perform tasks of the EU
Art. 13 para. 4 TEU: bodies supporting and advising the Parliament, Council & Commission in the context of legislation (no own decisive power)

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2
Q

EU institutions locations

A
  1. the European Parliament (Brussels/Strasbourg/Luxembourg)
  2. the European Council (Brussels)
  3. the Council of the European Union
    (Brussels/Luxembourg)
  4. the European Commission (Brussels/Luxembourg/Representations across the EU)
  5. the Court of Justice of the European Union (Luxembourg)
  6. the European Central Bank (Frankfurt)
  7. the European Court of Auditors (Luxembourg)
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3
Q

Advisory/Auxiliary Bodies

A
  1. European Economic and Social Committee
  2. European Committee of the Regions
  3. European Investment Bank
  4. European Ombudsman
  5. European Data Protection Supervisor
  6. European Data Protection Board
  7. European Public Prosecutor’s Office
    - task of advising the institutions (the European Economic and Social Committee, the European Committee of the Regions)
    - task of ensuring that the institutions comply with EU rules and procedures (the European Ombudsman, the European Data Protection Supervisor)
    - The European External Action Service is an external policy body that supports the EU on foreign affairs matters
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4
Q

Example: European Committee of the Regions (CoR)

A
  • Compulsory consultation of the EC, Council and EP when drawing up legislation on matters concerning local and regional government such as health, education, employment, social policy, economic and social cohesion, transport, energy and climate change
  • Advisory opinions on its own initiative on the same matters
  • Members = representatives of local self-administrative bodies from the MSs
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5
Q

Decentralized agencies

A
  • „Decentralized“ because located in the various MSs, but one agency for the entire EU
  • Established by secondary legislation, reporting to the Commission
  • Punctual mandate by and within a secondary law instrument
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6
Q

Example: EBA – European Banking Authority

A
  • Regulation of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Banking Authority)
    –> Art. 1 (2) of the Regulation = the Authority shall act within
  • the scope of the powers conferred on it by this Regulation
  • and within the scope of a number of legislative acts referred to therein
  • and any other legally binding acts of the Union which confer tasks on the Authority (X e.g. the Commission)
  • Mostly individual decisions + non-binding (general) measures (‘soft law’)
  • Issue in Case C-911/19 (Fédération bancaire française):
    EBA acting “within individual authorization”? (not ultra vires)
    –> actions must be clearly linked to powers granted by EU law
    (‘Guidelines on the supervision and governance of retail banking products’ - boundary between ‘corporate governance’ and ‘product governance’?)
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7
Q

faces and persons

A

officers of an institution
- Permanent President of the Council
- High Representative for Foreign Affairs and Security Policy
- President of the Commission
- President of the Parliament

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8
Q

Guiding Principles for the Institutions

A

Art. 13 para. 1 (+2) TEU:
guiding principles for performance of tasks
- “to promote values, advance its objectives, serve its interest, those of its citizens and those of the MSs, and ensure its consistency, effectiveness and continuity of its policies and actions”
–> requirement of coherence
(among legislation and other institutional action)
–> requirement of efficiency
(within the institutions structures & process; in particular concerning open, resource-efficient and independent administration to all citizens

–> Art. 41 CFR to
right to good administration
(e.g. impartiality of the institutions, obligation to give reasons for decisions etc.)

Art. 13 para. 2 TEU:
- principle of legality (“within the elements of the powers conferred)
- principle of institutional balance (“within the elements of the powers conferred)
- horizontal loyalty requirement (“The institutions shall practice mutual sincere cooperation”)

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9
Q

The European Parliament

A
  • max 750 deputies + president
  • 5 year terms
  • direct election
    Art. 14 TEU:
  • legislation
  • supervision
  • budget
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10
Q

President of the EP

A
  • elected for 2.5 years, can be reelected
  • represents the Parliament
  • responsible for application of EP’s rules of procedure
    –> chairs all work of the Parliament and its institutions
  • part of the “administration” of the EP (bureau, conference of the presidents and Secretariat)
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11
Q

Political groups in the EP

A
  • organized according to political groups, not nationality
  • ensure their internal organization by appointing a chairman, a board and by establishing secretariat
  • seats in plenary hall according to political affiliation from left to right
  • min 23 delegates from at least 7 different MS
  • no group discipline, only internal discussions on position of the group
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12
Q

Committees in the EP

A
  • proposals for laws of the commission are delegated to corresponding committee
    (more than one: others submit opinions)
  • appoint rapporteur
    –> responsible for writing final report & official speaker in plenary session
  • transmission to the plenary after adoption
    –> details in Rules of Procedure (Art. 232 TFEU)
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13
Q

citizens and the EP

A

may petition parliament regarding its legislative or supervisory capacities and complain to the European Ombudsman about perceived maladministration

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14
Q

Supervision (EP)

A

Appointment/Dismissal of the Commission:
Art. 17 paras. 7-8 TEU
Art. 230 TFEU
Art. 226 TFEU

  • approval of the composition of the commission
  • “election” of the president of the commission
    BUT follows suggestion of the European Council (obligated to take European elections into account)

Art. 17 para. 7 TEU
- approval of the entire College of Commissioners (if designated Commissioners fail parliamentary hearing they must be replaced)
- possibility of “vote of no confidence” against the entire Commission
Art. 17 para. 8 TEU
–> no similar rights over European Council or Council of the EU (acting as co-legislators)
–> they are elected nationally

Information rights:
Art. 230 TFEU
- oral and written question submitted to Commission,
the Council and the European Council
–> right of interpellation

Committees of Inquiry to investigate:
Art. 226 TFEU
(no legal means to enforce cooperation of
Commission or Council)
- 1/4 minority necessary

Scrutiny via the Court (CJEU):
- Challenge of procedural choices during decision making (if an institution does not follow the correct legal process when making decisions)
- Challenge of implementation decisions

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15
Q

“Spitzenkandidaten model”

A

2014 the EP declared to only confirm candidates for office who had previously run as top candidates of their political group and had a corresponding majority in the council
goal: strengthen democratic legitimacy
–> not legally binding
–> 2019 Ursula von der Leyen –> not Spitzenkandidat but preferred by MS

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16
Q

Budget - revenue (EP)

A
  • sources of revenue laid down by council based on a proposal of the Commission, parliament only consulted (Art. 311 TFEU “Own Resource Decision”)
  • three categories:
    1) import duties and taxes on sugar production
    (= “traditional own resources”)
    2) a share of the value-added taxes (VAT)
    3) MS direct contributions
  • MS consult EP as regards the size and composition of EU revenues
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17
Q

Budget - spending (EP)

A
  • fully involved in appropriation (spending) of funds (authority applicable to entire EU budget, but limited to expenditure)
    –> Multinational Financial Framework (MFF) requires parliamentary approval
    –> its annual budget implemented through the Ordinary Legislative Procedure (co-decision with the Council)
  • Budget Committee of the EP supervises practices of expenditure of the EU
  • annual discharge of the Commission granted (or refused) by EP (upon the recommendation of the Council) —> scrutiny
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18
Q

Legislation (EP)

A
  • cooperation with the Council and the Commission
    –> ordinary legislative procedure key tool
    (–> Parliament equal to the Council)
    Art. 294 TFEU
  • sometimes special legislative procedure
    –> EP less power
    Art. 289 TFEU
  • sometimes veto-right
    example: flexibility clause Art. 352 TFEU
  • no right of initiative for legislation
    (Art. 11 TEU, Art. 241 TFEU)
  • ratification of international agreements consents required
    Art. 218 para. 6 TFEU
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19
Q

Decision-making (EP)

A

Presence quorum 1/3
Regular decision-making quorum 50% +1
Art. 294 TFEU

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20
Q

European Council

A

Art. 15 TEU
–> not legislative body
Constitutes of:
- 27 Heads of state or governments of the MS (voting members)
- President of the Council (2.5ys)
- (President of the Commission)
- (High Representative FSP)
Art. 15 para. 2 TEU
- Seat: Brussels
- Not open to public
- Informally in existence since 1974; formally established with Single European Act, Institution as of Treaty of Lisbon

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21
Q

Tasks of the European Council

A

Art. 15 TEU
- Definition and review of the general political directions and priorities of the EU
–> guidelines in form of conclusions
–> Constitutional architect
- Recruiting body (e.g. recommendations for Commission President)
- identification of a violation of EU fundamental values
- development of CFSP guidelines
- Arbiter in cases of fundamental conflicts
- Council President represents the EU externally together with the High Representative

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22
Q

Decision-making (European Council)

A

Presence quorum: 2/3
regular decision-making quorum: consensus

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23
Q

Practical operation (European Council)

A
  • “Club-Behavior“: search for compromises, e.g. with long-term package deal agreements + understanding of solidarity/reciprocity in principle
  • facilitated by agreements among the „chiefs“
    –> without formal backing of national administration or legislatures; tendency towards informality

Current Problem: principal understanding of solidarity and reciprocity is disturbed due to questions regarding the quality of the state of law in some member states and corresponding legal action

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24
Q

The Council of the EU / The Council / Council of Ministers

A

Art. 16 TEU
- representatives of MS on ministerial level
.- sub-formations depending on discussed topic
–> permanent: General Affairs Council & Foreign Affairs Council
–> informal: “Euro Group”
(own presidency, enshrined in Lisbon Treaty)
- preparation: Committee of Permanent Representatives
–> diplomatic body
= Coreper I and II + specialized working groups

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25
Presidency - The Council of the EU
- presidency rotates among MS (1/2y): troika --> current chair, its predecessor & its successor - some possibility of Member States to push issues that are of national importance; more important role is that of facilitating the decision making.
26
Composition - The Council of the EU
- Ministers of the MS - Preparation of Council meeting through --> COREPER (Committee of Permanent Representatives) I and II - approx. 250 working groups on the level of civil servants
27
Tasks - The Council of the EU
Legislative: - internal legislation & ratification of international agreements in co-operation with the parliament - more powerful in special legislative procedures Budgetary: - in co-operation with the parliament - depend on initiative from the Commission Executive: - can exceptionally approve state aid - check MS compliance with budget & deficit rules - implement international sanctions --> in this context not dependent on Commission's proposal Political: - general coordination of policies of the MS --> soft law measures: frameworks, guidelines & recommendations - appointment to officers
28
Decision making - The Council of the EU
Presence quorum: simple majority Decision-making quorum: 1) standard quorum: = qualified majority - 55% of the MS (15 out of 27) - Represent 65% of the EU population (Art. 16(3) and (4) TEU) --> e.g. ordinary legislative procedure 2) simple majority - 50% +1 of MS (Art. 238(1) TFEU) --> e.g. procedural matters 3) super-qualified majority - 72% of MS - Represent 65 % of the EU population --> e.g. Art. 238(2) TFEU 4) Unanimity --> when the Council does not decide on a proposal of the Commission or the High Representatives --> e.g. CFSP (Art. 31(1) TEU)
29
Double Majority - The Council of the EU
1) percentage of affirmative votes 2) affirmative votes must represent 65% of the EU population BUT minimum number to form a blocking minority 4 MS (to protect smaller MS) --> only needs to be checked if less than 24 MS vote in favour
30
Ioannina Compromise
- informal compromise 1994 --> codified in Declaration No. 7 on Arts. 16 and 238 TFEU - if members of the Council represents at least 55% of the EU's population or at least 55% of the number of MS required to form a blocking minority indicate their opposition to the Council adopting an act by qualified majority --> the Council shall return to negotiations --> delay in decision making --> strengthen willingness to find a compromise
31
Emergency break Mechanisms - the Council of the EU
= suspension and referral to European Council (4 months time to decide) in matters of social security (Art. 48(2) TFEU) and criminal code (Art. 82(3) and 83(2) TFEU) of a MS
32
Reverse Qualified Majority - the Council of the EU
- seeks to facilitate adoption of controversial decisions --> useful in the context of supervisory powers (e.g. imposing sanctions on MS) - main decision-making power to the Commission --> Council only veto right that requires qualified majority --> e.g. excessive deficit procedure (Art. 126 TFEU)
33
The European Commission
Art. 17 TEU Arts. 244 et seq. TFEU - independent executive body (not dependent of MS governments) --> collegiate body --> one Commissioner per MS (no department principle) - Subdivision into (currently 33) thematic Directorates-General (DGs) --> responsibble for various policy areas (like ministries) - service departments attached to the Commission --> deal with administrative matters and support the DGs - each Commissioner entrusted with a specific policy area - term of office 5 years - seat in Brussels
34
Tasks of the Commission
- Legislative proposals - Execution (guardian of the Treaties) - Budget
35
Tasks of the Commission - Legislative proposals
--> monopoly of initiative (except when explicitly provided otherwise in the Treaties) - EP and the Council can submit proposal --> the Commission may decline - after proposal is made, the Commission supports legislative process without formally being involved in the adoption - it may amend or withdraw its proposal at any time prior to the Council's decision at first reading --> very limited right of veto
36
Tasks of the Commission - Execution
- indirect Art. 291 para. 1 TFEU --> principle of decentralized enforcement; principle of procedural autonomy of the MS) --> normally reduced to overseeing correct implementation by the MS & taking possible infringements to the CJEU) --> GUARDIAN OF THE TREATIES - direct execution an exception (has to be expressly provided in primary law) - EU pilot procedure (structured dialogue) provides opportunity for problem resolution before the first step in an infringement proceeding under Art. 258 TFEU --> only used when the Commission sees added value in terms of useful input for the MS
37
Tasks of the Commission - Budget
- right of initiative for all budgetary measures --> involved in determining priorities of the use of funds - implements budget --> responsible to the Parliament
38
democratic legitimacy - The Commission
politically independent (not like the Council, which is dependent on governments or like the EP which represents the interest of their constituents --> politically dependent and answerable to them) --> BUT reduces democratic legitimacy --> problem somewhat mitigated by Art. 17 para. 8 TFEU (Commission politically responsible to the EP) & the CFR (ties any acts of the Commission to fundamental rights guarantees) meetings not open to public!
39
Appointment of Commission
- European Council proposes President of the Commission with Qualified Majority (QM), taking into account the result of European elections (→ “Spitzenkandidaten” debate) - EP has to consent and formally elects President of the Commission - Appointment of other Commissioners at suggestion of Council with QM in consensus with designated President - Entire Commission is subject to approval by vote of the EP
40
Political leadership - the Commission
- President of the Commission sets policy guidelines for entire Commission --> strategic direction of Commission policy & internal organisation - non voting member of the European Council - assisted by several Vice-Presidents --> hierarchy (e.g. the High Representative) - Commissioners supported by Cabinets (5-7 persons; multi- national)
41
Decision making - The Commission
- decisions made jointly in the College Presence quorum: 50% +1 Decision-making quorum: - Simple majority of constituent members (not just those present) BUT usually consensus (votes only when requested)
42
High Representative
High Representative for the CFSP (Common Foreign and Security Policy) holds hybrid office as both the member of the Council & the Commission - one of the (voting) Vice Presidents of the Commission ex officio - Commissioner for external relations - permanent (but non-voting) chairperson of the Council of Foreign Ministers --> High Representative for the CFSP & Commissioner combined since Lisbon Treaty --> intend: consolidate the EU's external representation & improvement of coordination main tasks: - direct & implement the CSFP --> right of proposal for initiatives in the area of CFSP but no monopoly of initiative - chairs the EU's diplomatic service (European External Action Service)
43
EU Agencies
departments for specific tasks - not part of EU's institutional structure under primary law --> assigned limited powers by institutions --> must not involve autonomous discretion in decision-making --> most of them satellite agencies (operate independently & located in scattered location across the MS) executive agencies: - under the umbrella of the Commission (rank of DG) - established for a limited period - tasked with the management of special EU procedures --> e.g. European Research Council Executive Agency (ERCEA)
44
Satellite agencies - characteristics
1) established on secondary legal basis --> subject to EU law 2) own legal personality 3) financial & administrative autonomy + independence from having to follow instructions from other bodies 4) predominantly financed by the EU budget 5) permanent base of operations 6) primarily located outside of Brussels 7) sometimes empowered to adopt acts with legal effect for third parties & individuals --> subject to an action for subsequent annulment under Art. 263 TFEU with the adopting agency as the defendant (must defend its decisions before the CJEU)
45
Economic and Monetary Union and its Bodies
- introduced by the Maastrich Treaty - Art. 119 to 144 TFEU coordination of economic and fiscal policies + common monetary policy with the Euro as the common currency (19 MS Euro) - complements the internal market by removing exchange rate fluctuations --> improves comparability of costs and prices within the Eu - relies on expert bodies --> e.g. ECB (= European Central Bank; rank of an institution under Art. 13 TEU)
46
Budgetary Monitoring
MS have the obligation to maintain sound public finances and a sustainable baöance of payments (Art. 119 para. 3 TFEU) --> MS have to avoid excessive budget deficits --> MS budgetary self-reliance ensured by - prohibition of monetary state financing in Art. 123 TFEU (central banks must not take actions that would directly finance government spending) - "no bailout" clause in Art. 126 TFEU (no liability of the EU and other MS for commitments of an individual MS) + Art. 126 TFEU: prevention & correction of excessive deficits (key player the Commission) --> MS have duty to annually report, Commission reviews plans and proposes binding recommendations for the next 12-18 months to be adopted be the Council = European Semester --> MS excessive budget deficits may be subjected to sanctions, including fines
47
Budgetary Support
- MS' budgetary self-reliance (prohibition of monetary state financing & the "No bailout" clause") do not exclude mutual (voluntary) MS lending nor loan restructuring - Art. 136 para. 3 TFEU allows mutual MS financial assistance euro area: European Stability Mechanism (ESM) (legal personality under pil but not an agency of the EU) - funded by contributions from euro area MS - grants loans & credits in exchange for compliance eith strict economic & budgetary policy requirements ECB stabilizes financial markets by way of various purchasing programmes targeting securities & government bonds - e.g. 2010 it purchased bonds from MS particularly affected by the Euro crisis --> ECJ has found this policy to be in line with the ECB's mandate --> German Federal institution court declared it incompatible with TFEU & domnestic law
48
Banking Union
- Banking Union (BU) created as a response to the financial and Euro crisis --> all euro area MS members, others can join by entering into close cooperation with the ECB - 3 pillars, ensuring that: 1) banks are sufficiently robust to withstand future financial crises 2) non-viable banks undergo resolution without recourse to taxpayers' money and within minmal economic impact 3) harmonised financial sector rules ensure a leve lplaying field for banks in the EU - 2013 Regulation for the Single Supervisory Mechanism (SSM) --> makes the ECB responsible for the direct dupervision of the largest banking groups in the EU --> checks compliance with EU's harmonised rules for financial institutions = Single Rulebook 1) capital requirement for banking institutions 2) guarantee schemes for client deposits 3) rules for prevention of bank failures, the recoery of ailing bank and, if necessary, their resolution - for systemically significant institutions that are subject to the SSM, recovery and resolution is covered by the special rules of the Single Resolution Mechanism (SRM) --> if a large bank fails despite the supervision of the SSM, the SRM allows for resolution with minimal costs --> hands managment over to the Single Resolution Board to manage process & Single Resolution FUnds to cover insolvency costs - Single Resolution Board is an (executive) EU agency and owns and manages the funds --> currently backed up by the ESM, eventually fully financed by contributions from the banking sector - BU accompianied and complented by 3 more EU agencies: --> EBA (specific supervisory agency for some banks) --> ESMA (specific supervisory agency for internal markets) --> EIOPA (specific supervisory agency for the insurance sector)
49
Court of Justice of the EU
= CJEU Art. 19 TEU (Art. 251 et seq. TFEU) - EU's judicial body subdivided into two judicial tribunals - Court of Justice (ECJ) - General Court (GC) --> Art. 256 TFEU (areas of jurisdiction described by way of an exception to a general rule of ECJ jurisdiction
50
"specialized courts"
- additional tribunals under Art. 257 TFEU for specific subject matters with particular high numbers of proceedings --> thus far only established 2004-2016 for civil service matters (dissolved in favour of a more general solution to the workload issue at the GC --> Art. 257 -type models weaken the paramount role of the ECJ --> follow -on appeal to the ECJ is excluded)
51
attribution of jurisdiction between the GC and the EJC
Art. 256 TFEU + Art. 51 CJEU Statute - ECJ competent for all proceedings that are not specifically assigned to the GC --> i.e. particularly the preliminary ruling procedure (Art. 267 TFEU), infringement proceedings (Arts. 258 et seq, TFEU) & opinions on international agreements (Art. 218 para. 11 TFEU) + others (e.g. provided for in ART. 269, 71 and 273 TFEU) --> vertical (EU vs. MS and conformity of MS' actions with primary law) competences --> horizontal (between EU institutions) competences - GC primarily responsible for the protection of individual rights vis-à-vis EU institutions --> i.e. primarily actions of annulment (Art. 263 TFEU), actions for failure to act (Art. 265 TFEU), actions for damages (Art. 268 TFEU) and arbitration proceedings (Art. 272 TFEU) --> may be broadly understood as EU's administrative courts --> constitutional matters remain with the ECJ --> actions for annulment concerning the conformity of EU legislation with primary law filed by MS or institutional actors reserved for ECJ --> Art. 51 CJEU Statute - ECJ has jurisdiction to hear appeal against judgments and orders of the GC under Art. 256 para. 1 TFEU --> limited to questions of law (not facts) --> only have a review of the decision of the GC as their objective --> if appeal is well-founded, ECJ sets aside GC's ruling and decides the dispute itself
52
formation of the CJEU
- ECJ and GC - formations are chambers of three, five (extended composition) or 15 judges (Grant Chamber) --> cases assigned depending on their importance and complexity --> GC also single-judge formation for exceptionally simple matters (not proper courts --> quasi-judicial) full court: (plenary, all judges from the ECJ) --> for removals of judges & cases of exceptional importance general meeting: (all judges from the ECJ and the Advocates General) - Art. 25 ECJ Rules of Procedure --> for important procedural and administrative issues, e.g. what chamber is assigned a given case - no subject matter specialization among CJEU's chambers or judges --> rotating
53
composition of the courts
- ECJ 27 judges (one per MS) and 11 Advocates General - GC 54 judges (two per MS) --> no Advocates General, a judge may be entrusted with that function case-by-case if necessary - judges & Advocates Generals appointed for (renewable term of six years) --> enjoy full judicial guarantees - each of the ECJ's and GC's tribunals presided over by a president --> directs judicial activity --> important role in several procedural
54
Advocates General
- support and advise judges in the decision making process by preparing "Opinions" on each case --> "Opinions" analyse the legal issue for each case and assess various solutions in a neutral manner --> non-binding recommendations
55
Dual System of Legal Protection - CJEU's jurisdictional monopoly
Art. 19 para. 1 TEU confers on the CJEU sole and ultimate jurisdiction (jurisdictional monopoly) in all matters of interpretation and application of EU law, including the validity of legislation --> backbone of the autonomy vis-à-vis from third sources (national law & pil) --> all cases with EU law-based claims must (at least potentially) be able to reach the CJEU at some point --> Art. 19 para. 1 TEU guarantees effective remedies + provides for both direct (actions directly heard by the CJEU) and indirect (preliminary ruling = Vorabentscheidung) legal recourse to the CJEU to satisfy guarantee of an effective remedy for all EU law-based claims, CJEU not required to hear all cases --> instead principle of decentralized enforcement of EU law: - courts of MS normally enforce EU law --> EJC's role limited to offering guidance regarding interpretation and application of EU law by means of preliminary rulings --> however, national courts of last instance must seek that guidance in the abstence of an acte clair or acte éclairé and are bound to ECJ's answer
56
Dual System of Legal Protection - CJEU and MS' courts
- any actions not assigned directly to the CJEU by the TFEU fall within the jurisdiction of the courts of the MS (catch all character) --> principle of complete system of remedies (everything is always covered by one of the two halves) - broadly speaking, MS' courts cover everyday life pof individuals --> functionally act as EU courts (i.e. courts of the second half of the EU judicial system as laid down by Art. 19 TEU) --> details covered by principle of procedural autonomy --> MS may autonompusly regulate its courts' organisation, their remedies and their procedures --> failure to provide effective remedies & procedures for the enforcement of EU rules = breach of EU law
57
principle of equivalence and effectiveness
derived from Art. 19 and Art. 4 para. 3 TEU - requires all MS courts to interpret their domnestic procedural provisions in conformity with EU law --> e.g. restrictive preconditions for bringing claims
58
Dual System of Legal Protection - preliminary ruling procedure
preliminary ruling procedure connects the two halves --> even in proceedings heard by MS courts, jurisdictional monopoly of the CJEU must remain safeguarded --> its understanding of EU law is applied thoufhout the EU --> if unclear may or must ask the ECJ for clarification --> system of cooperation --> EU law-based claims must not be removed from the jurisdiction of national courts (and thus from the CJEU) by handing them over to international law-based tribunals
59
Outline of Proceedings before the CJEU
procedural rules for the ECJ and the GC in CJEU Statute & Rules of Procedure procedure normally consists of - a written phrase --> application, response of the other party, reply of the applicant + rejoinder if the defendant desire so, submission of evidence and document + possibly statements from third parties, concluded by preliminary report (decided if oral hearing will take place) - if necessary an oral phase with public hearing 1) except in case of references for a preliminary ruling, proceedings are initiated upon application 2) - judge-rapporteur appointed by the President - Advocate General appointed by the presiding Advocate General (= First Advocate General) public notified through the Official Journal of the EU (OJ) 3) oral hearing - parties submit their submissions in open court (may be asked questions by judges and Advocate General) - Advocate General presents opinion (no counterstatement to Advocate General's opinion) 4) judge-rapporteur prepares draft judgement to be discussed by the chamber (strict secrecy) --> only judges who have taken part in oral deliberations may take part in the decision --> principle of immediacy judgments passed by simple majority of votes in the chamber and must be reasoned out - judgments of the CJEU directly enforceable in the MS - interpretation of EU law given by the CJEU has immediate effect on any pending or subsequent proceedings involving the same or similar legal question --> erga omnes-effect - EU's 24 official languages available as language of proceedings - representation by an advocate is obligatory - proceedings at the CJEU free of charge
60
Actions for Infringements
Did a MS fail to fulfil obligations under EU law? 1) regularly applied type under Art. 258 TFEU - Commission initiates the proceedings 2) less frequent applied type under Art. 259 TFEU - a MS takes another MS to the ECJ 3) Art. 260 TFEU stipulates that MS are obliged to follow rulings of the ECJ - if failed to do so, fines may be imposed --> ECJ fist and final instance
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Actions for Infringements - subject-matter
object and aim of infringement action: declaratory judgment, finding that a MS breached an obligation under the Treaties (incl. lower-ranking provisions deriving from them) --> declaration basis of subsequent legal consequences --> e.g. imposition of findes under Art. 260 TFEU if infringement is not remedied following the judgment - national provision found to be a breach of EU law must be disapplied vis-à-vis everybody & in any context and pro futuro & retroactively --> erga omnes-effect --> relevant beyond the context of specific case; but for every case with similar facts where that provision is applied
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Actions of Infringement - admissibility
requirements: 1) submission of the application to the ECJ as the tribunal competent for this type of action 2) only the Commission (Art. 258 TFEU) or a MS (Art. 259 TFEU) are entitled to sue 3) only MS are suitable defendants 4) object of action must relate to a measure falling within the sphere of responsibility of the defendant MS 5) a preliminary procedure must have been conducted (& remained unsuccessful in terms of resolving the infringement) before the action is brought - in case of Art. 258 TFEU, Commission send defendant a letter of formal notice requesting comments and further information regarding the potential infringement --> if Commission concludes that infringement exists & persists it issues a "reasoned opening" (includes Commissions's concerns, requests the MS to bring its law into conformity with EU law and marks formal initiation of infringement procedure, a deadline to end alleged infringement) --> after deadline (normally two months) legal action can be taken - in case of Art. 259 TFEU the applicant MS is obliged to refer the matter to the Commission --> if Commission doesn't issue reasoned opinion of deems no infringement has occurred, MS can file action (otherwise Commission takes over) 6) general formal requirements for applications (e.g. information on the parties, the subject matter of the dispute, the pleas etc.) must be complied with (Art. 21 CJEU Statute) - in practice before Commission's letter of formal notice, communication with MS in question --> EU Pilot procedure (a structured exchange of information to resolve problems --> quicker resolution) - applicant does not need to prove a personal disadvantage (= grievance) caused by the defendant Member State’s measure for the case to be admissible
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Actions of Infringement - Merits
an infringement action is well-founded in substance (i.e. the applicant's claim is upheld) if... 1) the submitted facts alleging the infringement are correct 2) the defendant MS' conduct violates EU law 3) the measure in question is attributable to the defendant MS --> may be questionable if e.g. the measure originated from private actors
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Actions of Infringement - Judgment
declaratory judgment - imposes, pursuant to Art. 260 para. 1 TFEU, an obligation on the MS to remedy the infringement found & to refrain from repeating it in the future - erga-omnes effect (thus for all MS) --> beyond individual case
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Actions of Infringement - fines
non-compliance with the obligation to remedy an identified infringement and refrain from repeating it in the future can be sanctioned with fines --> subsequent (seperate) ECJ proceding under Art. 260 TFEU --> only Commission can bring the action two types of fines: 1) lumps sums to sanction worngfulness of past infringements 2) penalty payments directed towards the future (incentive for the MS to bring infringement to an end quicker) --> amount specified by the Commission in the action exception: Art. 260 para. 3 TFEU in the case of complete non-implementation of a directive (does not notify any transportation measures to the Commission) - considered such a blatant disregard of its obligations under EU law --> fines as part of first infringement action under Art. 258 TFEU
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Actions for Annulment and Failure to Act
--> unlawful conduct of an EU institution Actions for Annulment Art. 263 - act performed by an institution is presumed unlawful Actions for Failure to Act Art. 265 - inaction of an EU institution despite having an obligation to act GC first instance BUT matters reserved to EJC under Art. 51 CJEU Statute excluded from GC jurisdiction --> actions filed by privileged applicant (e.g. MS or institutions) --> constitutional level review of acts (or inaction) i.e. legislative acts infringing primary law or other infringements pertaining to the horizontal distribution of competences
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Actions for Annulment and Failure to Act
action for annulment: - aim: establish nullity of a measure (regulation, directive or decision) adopted by an institution or any other body, office or agency of the EU - seeks judgment for modification of rights or status - direct impact on legal relations and obligations based on the annulled act --> BUT no suspensive effect (Art. 278 TFEU) action for failure to act: - seeks declaratory judgment that defendant institution was under duty to act
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Actions for Annulment and Failure to Act - admissibility
1) submission to the tribunal responsible (generally GC BUT Art. 51 CJEU Statute) 2) all EU institutions, the MS and individuals are entitled to sue (have standing) - privileged vs non-privileged applicants --> non-privileged applicant: evidence must be provided for the concern (grievance, disadvantage) caused to the the applicant --> privileged: not required 3) only EU entities can be defendant 4) subject matter of the action must be directed against or towards a legally binding act of the defendant institution 5) the institution concerned has two months to react to the applicant's request to act --> after two months (without action) two months to lodge the application with the CJEU (Art. 265 TFEU) 6) general formalities for applications to the CJEU mus be complied with
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Actions for Annulment and Failure to Act - merits
action for annulment: - grounds for annulment set out in Art. 263 TFEU 1) infringements of higher-ranking EU law by lower-ranking acts ("infringement of Treaties or of any rule of law relating to their application) 2) lack of competence of the acting body 3) infringement of essential procedural requirements 4) misuse of power action of failure: - obligation to act was imposed on the EU institution
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Actions for Annulment and Failure to Act - judgments
annulment proceedings: - judgment makes ruling on the validity of nullity of the act issued --> judgment for modification of rights or status of the applicant - contested act +its legal affects are generally repealed ex tunc - erga omnes effect --> GC judgment can only annul the legal act but not replace it with a decision (defendant institutions responsibility if necessary) proceedings for a failure to act: - issued on the absence or presence of a duty to act --> declaratory judgment - action must be subsequently taken by the defendant institution --> finding of a failure to act may give rise to tortious liability of the EU pursuant to Art. 340 TFEU --> to be pursued through action for damages under Art. 268 TFEU
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Actions for Annulment and Failure to Act - privileged applicants
fully privileged applicants: - no proof of legal interest necessary - listed in Art. 263 TFEU (MS, the Council, the Commission & EP) semi-privileged applicants: (only for actions for annulment) - Court of Auditors, the ECB & the Committee of the Regions - require simple proof of some kind that has bearing on the contested act --> showing that their intervention is "for the purpose of protecting their prerogatives" non-privileged applucants: - all others -->
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non-privileged applicants
action for annulment: Art. 263 TFEU natural or legal persons are entitled to bring action if.. 1) the act is formally addressed to them 2) the act affects them de facto - direct concern --> inevitable legal effects for the applicant --> immediately and in fact (not potentially!) - individual concern --> affects applicant because of certain personal characteristics/circumstances that distinguish them from everyone else --> individualizes them in a similar way as the addressee of a decision --> may be a group ("closed class") --> also if act infringes specific rights 3) actions is directed against a regulatory act = any non-legislative act in the sense of Art. 289 TFEU. (not Art. 288!!) (a) not a legislative act (but tertiary or administrative) (b) general and abstract scope (c) not require further implementing measures --> all three met, only direct (not individual concern is required) action for failure to act: - obligation must have existed specifically vis-à-vis them - would have affected applicant directly & individually --> standards are high because of legitimate discretion (precludes a duty to act vis-à-vis individuals)
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Preliminary Ruling Procedure
link between the two halves of the dual system - cooperation between the ECJ and the MS courts to ensure homogeneous application of EU law --> characterized by the ECJ as a mutual dialogue to devise cooperative solutions to concrete problems of application protects individual rights by ensuring correct application by national courts --> interlocutory procedure during national court proceedings --> its object is a concrete question from the national court concerning the interpretation or validity of EU law --> final decision in the main dispute drawn by national court from the given answers
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Preliminary Ruling Procedure - admissibility
1) reference for preliminary ruling submitted to the ECJ as the competent tribunal 2) request originates from court or tribunal --> interpreted autonomously by the ECJ (entitled to refer questions) --> cannot be based on PIL or belong to the international judicial sphere) 3) referred question is on EU law --> concerns a matter on the interpretation or validity 4) direct link between the question and the dispute (no hypothetical questions) 5) formal requirements --> clear and complete (no specific structure)
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Indicators for or against an entity's status as a court
- legal basis in statutory law - permanent character - compulsory jurisdiction - binding legal decisions - formal procedural rules - independence of the body --> exclusion of court-like bodies Art. 267 TFEU
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entitlement vs obligation to refer
courts of lower vs. last instance --> determined functionally lower instance: - entitled to submit references - exception concerning validity, then obliged last instance: - general obligation to refer all questions - CILFIT-doctrine 3 exceptions: 1) same question has already been answered (acte éclaire I; para. 14 first part) 2) question not identical but very similar to a question answered --> answer clear (acte éclaire II; para. 14 second part) 3) no (identical or similar) pre-exisitng case but correct interpretation is obvious --> no room for doubt (acte clair; para. 16)
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case 283/81 CILFIT, 1982
- two wool importer had a legal sidpute with the Italian health ministry over the payment of a fixed inspection fee --> wool an animal product under EU law? --> is the national court obliged to refer this legal question to the EJC under Art. 267 TFEU?
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Preliminary ruling - judgment
binding opinion on EU Law - resembles declaratory judgment & interlocutory judgment (scope of a provision is determined & only clarifies specific aspect of the main proceeding) --> only to a limited extend comparable --> judgment sui generis effect on legal dispute from which it originates + erga omnes-effeect --> includes obligation for MS to change their legal provisions if they must deemed incompatible with EU law following CJEU judgment in a similar case --> if not liable for damages ex tunc if not stated otherwise --> regarding invalidation of EU law sometimes ex nunc
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Preliminary ruling procedure - absence of an individual right to a reference
no individual right to request or prevent reference - only suggestion allowed to national court --> national court must examine suggestion and provide reason if not followed -MS liable for damages if it does not follow its obligation to request a preliminary ruling - in Austria considered violation of the right to a lawful judge --> judgment may be revoked
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preliminary ruling procedure - expedited proceedings
expedite proceedings in urgent cases urgent preliminary procedure: - shortening of deadlines, limitation of intervener's right to submit observations or waivers for the involvement of an Advocate General or if extremely urgent for the written procedure - limited to cases arising in the field of AFSJ (area of freedom, security & justice; police, visas, asylum, immigration etc.) - conduct mandatory expedited preliminary procedure: - urgent cases not concerning the AFSJ - shortening deadlines, giving priority) - in exceptional cases application inaudita altera parte, i.e. before the opposing party has the opportunity to comment --> only to prevent serious and irreparable damages --> opposing party heard after measure been issued, interim order may be modified accordingly