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European Competition Law

A Case Commentary, Second Edition

Edited by Weijer VerLoren van Themaat and Berend Reuder

This updated second edition explains EU competition law by presenting the relevant legal provisions together with carefully selected case extracts pertaining to those provisions. The book’s unique structure enables users to quickly locate information on procedural and substantive aspects of competition law. Containing an article by article overview of EU competition law jurisprudence and concise selected extracts from judgments in key cases, this book serves as an easy to navigate resource for practitioners, academics and competition authorities themselves.
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EXTENDED TABLE OF CONTENTS

A Case Commentary, Second Edition

List of contributors

Preface

Table of cases

PART 1  TREATY ON EUROPEAN UNION (TEU), TREATY ON THE FUNCTIONING OF THE EUROPEAN UNION (TFEU) AND REGULATIONS

SECTION 1  TREATY ON EUROPEAN UNION (TEU)

1.   ARTICLE 3 TEU – OBJECTIVES OF THE UNION

2.   ARTICLE 4 TEU – RELATIONS BETWEEN THE UNION AND THE MEMBER STATES; PRINCIPLES OF SUBSIDIARITY, EQUALITY AND SINCERE CO-OPERATION

A. Duty not to jeopardise Union objectives Re. Arts 101 and 102 TFEU 2.01

B. Duty not to jeopardise Union objectives Re. Arts 107 and 108 TFEU 2.14

C. Procedural aspects 2.15

3.   ARTICLE 6 TEU – THE CHARTER AND THE ECHR

A. The Charter 3.01

B. Application of the ECHR by the EU Courts 3.03

1. The ECHR as a source of law 3.03

(a) Prior to the entry into force of the Lisbon Treaty 3.03

(b) Following the entry into force of the Lisbon Treaty but prior to accession to the ECHR 3.09

2. Direct effect 3.11

(a) In relation to EU law 3.11

(b) In relation to national law 3.12

C. Position of Poland and the UK 3.15

SECTION 2 TREATY ON THE FUNCTIONING OF THE EUROPEAN UNION (TFEU)

4.   ARTICLE 101 TFEU – CARTEL PROHIBITION

A. General  4.01

1. Direct effect  4.01

2. Ratione personae  4.03

3. Ratione materiae  4.07

(a) Coal and steel  4.07

(b) Atomic energy  4.07

(c) Agriculture  4.07

(d) Transport  4.08

(e) Books  4.10

(f) Banks  4.11

(g) Insurance  4.12

(h) Motor vehicles  4.13

(i) Postal services  4.13

(j) Social policy  4.14

(k) Sports  4.18

(l) Telecommunications  4.18

4. Ratione loci  4.19

5. Ratione temporis  4.25

6. Concepts  4.28

(a) Concept of ‘competition’  4.28

(b) Concept of ‘undertaking’  4.38

(c) Concept of ‘association of undertakings’  4.63

(d) Concept of ‘agreement’  4.68

(e) Concept of ‘concerted practice’  4.95

(f) Concept of ‘decision of associations of undertakings’  4.125

7. Relationship between national law and Article 101 TFEU  4.130

B. Restriction of competition  4.141

1. Object to prevent, restrict or distort competition  4.141

2. Effect to prevent, restrict or distort competition  4.156

3. Appreciable restriction of competition  4.165

4. Rule of reason  4.176

5. Restrictions inherent to an object of (non) economic interest  4.179

C. Effect upon trade between Member States  4.183

D. Paragraph 2: Nullity  4.201

E. Paragraph 3: Exemption  4.210

1. General  4.210

2. Four cumulative conditions  4.218

(a) Improvement of the production and distribution, promotion of technical and economic progress  4.218

(b) Direct benefit for consumers  4.228

(c) Proportionality  4.232

(d) No elimination of competition  4.237

F. Types of conduct falling under Article 101 TFEU  4.243

1. Horizontal agreements  4.243

(a) Agreements concerning prices and other trading conditions  4.243

(b) Sharing of markets  4.253

(c) Certification systems and standards  4.258

(d) Exchange of information  4.260

(e) Non-competition clauses  4.269

(f) Pay-for-delay  4.272

2. Vertical agreements  4.273

(a) General  4.273

(b) Agency  4.276

(c) Block exemption regulations  (p.130)

(d) Resale price restrictions  (p.130)

(e) Selective distribution  4.282

(f) Exclusive distribution  4.306

(g) Single branding  4.310

(h) Franchising  4.312

5.   ARTICLE 102 TFEU – ABUSE OF DOMINANCE

A. General  5.01

1. Direct effect  5.01

2. Ratione personae  (p.142)

(a) Undertaking  (p.142)

(b) Economic activity  (p.142)

3. Ratione materiae  5.03

(a) Agriculture  5.03

(b) Transport  5.03

4. Ratione loci (Territorial jurisdiction)  5.04

B. Dominance  5.07

1. General  5.07

2. Market definition  5.12

(a) Relevant product market  5.13

(b) Relevant geographic market  5.22

(c) Temporal markets  5.26

3. Market power  5.27

(a) Market share  5.27

(b) Barriers to entry  5.34

(c) Vertical integration  5.44

(d) Unavoidable trading partner  5.45

(e) Countervailing buyer power  5.48

4. Collective dominance  5.49

C. Substantial part of the internal market  5.57

D. Abuse  5.60

1. The objective concept of abuse  5.60

2. Capability of restricting competition  5.66

3. Categories of abuses  5.70

(a) General  5.70

(b) Exclusive dealing  5.71

(c) Tying and bundling  5.84

(d) Predatory pricing  5.88

(e) Refusal to supply  5.92

(f) Margin squeeze  5.113

(g) Unfair conditions  5.116

(h) Price discrimination  5.124

(i) Limitations on trade between Member States  5.129

(j) Lack of transparency  5.132

(k) ‘Sham action’  5.133

4. Abuse on secondary markets  5.134

5. Abuse of collective dominance  5.136

6. Justification  5.137

(a) General  5.137

(b) Objective necessity  5.139

(c) Protecting commercial interests  5.141

(d) Efficiencies  5.145

(e) Contestable market  5.147

(f) Intellectual property rights  5.148

(g) State action defence  5.149

E. Effect on trade between Member States  5.150

F. Relation to Articles 101 and 106 TFEU  5.152

1. Article 101 TFEU  5.152

(a) Application of Art. 101(3) does not preclude applicability of Art. 102  5.152

(b) Individual exemption under Art. 101(3) does not preclude applicability of Art. 102  5.154

(c) Simultaneous application of Arts 101 and 102 TFEU  5.155

2. Article 106 TFEU  5.157

6.   ARTICLE 103 TFEU – REGULATION REGARDING THE APPLICATION OF ARTS 101 AND 102  

7.   ARTICLE 104 TFEU – COMPETENCE OF AUTHORITIES IN MEMBER STATES  

8.   ARTICLE 105 TFEU – APPLICATION OF ARTS 101 AND 102 BY THE COMMISSION  

9.   ARTICLE 106 TFEU – PUBLIC UNDERTAKINGS

A. Article 106(1): Obligations of Member States regarding public undertakings  9.01

1. General  9.01

2. Examples of (prohibited) measures  9.11

B. Article 106(2) TFEU: Exceptional derogation from Treaty rules  9.26

1. General  9.26

2. Definition of ‘undertakings entrusted with the operation of services of general economic interest’  9.31

3. Proportionality test  9.36

C. Article 106(3) TFEU: Commission powers  9.46

D. Relation to Article 107 TFEU  9.55

10.  ARTICLE 107 TFEU – GENERAL RULE: PROHIBITION OF AID

A. Criteria: Art. 107(1)  10.01

1. Granted by a Member State or through State resources  10.01

(a) State resources  10.01

(b) Imputability  10.12

(c) Trade association governed by public law  10.17

2. Advantage  10.19

(a) Market economy investor principle  10.19

(b) Services of general economic interest  10.30

3. Selectivity  10.36

(a) General  10.36

(b) Regional selectivity  10.40

(c) Selectivity in the context of taxation  10.41

4. Distortion of competition  10.54

5. Effect on trade between Member States  10.58

(a) General  10.58

(b) Amount of aid/de minimis  10.65

(c) No effect on trade between Member States – examples  10.67

B. Direct effect  10.71

C. Article 107(1) in relation to other Treaty provisions  10.75

1. General  10.75

2. Free movement of goods  10.80

3. Competition rules  10.81

4. Social measures  10.82

D. Form in which the aid is provided  10.83

1. Aim of the measure  10.83

2. Margin of appreciation  10.85

3. Concept of ‘subsidy’  10.89

4. Capital injections  10.91

5. Debt arrangement  10.102

6. Loans  10.103

7. Guarantees  10.104

8. Cross-subsidisation  10.105

9. Operating aid  10.106

10. Sale of land  10.107

11. Privatisation  10.114

(a) General  10.114

(b) Privatisation by tendering  10.114

12. Reductions and non-payment of social security  10.115

13. Fiscal measures  10.116

14. Non-financial regulatory measures  10.121

15. Minimum retail prices  10.123

16. Fixing of tariffs by Member State  10.124

17. Compensation for damages  10.125

E. Article 107(2): ‘Shall be compatible with the internal market’  10.126

F. Article 107(3): ‘May be considered to be compatible with the internal market’  10.127

1. Article 107(3)(a)  10.131

2. Article 107(3)(b)  10.138

(a) Financial crisis  10.141

3. Article 107(3)(c)  10.142

4. Article 107(3)(d)  10.145

11.  ARTICLE 108 TFEU – PROCEDURE BEFORE THE COMMISSION: NOTIFICATION OF AID

A. Article 108(1): Constant review and appropriate measures  11.01

1. New aid and existing aid  11.01

(a) Existing aid  11.04

(b) New aid  11.12

2. ‘Appropriate measures’  11.16

B. Article 108(2): Formal investigation  11.18

1. Formal investigation procedure  11.18

(a) Obligation on Commission to initiate the formal investigation procedure  11.18

(b) The concept of ‘serious difficulties’  11.24

(c) Procedure between the Commission and the Member State granting the aid  11.32

(d) Decision to initiate the formal investigation procedure  11.35

2. Interested parties  11.39

(a) The concept of ‘interested party’  11.39

(b) The rights of interested parties  11.44

(c) Limited role of interested parties  11.48

(d) Obligation of Commission to address complaints parties  11.51

C. Article 108(3): Requirement to notify and standstill obligation  11.52

1. Notification  11.52

(a) Only in case of State aid  11.52

(b) In case of alterations to existing aid  11.55

(c) Notification of aid and the method of financing the aid (taxes)  11.56

(d) Obligation of the Member State  11.60

(e) When to notify  11.62

(f) Notification after the implementation of the aid measure  11.63

2. Examination of unlawful aid  11.68

3. Standstill obligation  11.70

(a) Only in case of State aid  11.70

(b) Scope of the standstill obligation  11.72

(c) Injunction to suspend  11.73

4. Direct applicability of Article 108(3) TFEU  11.74

5. Preliminary examination  11.75

(a) Request for information  11.75

(b) Assessment of the aid measure  11.76

6. The role of the national courts  11.77

(a) No ruling on the compatibility of the aid  11.89

(b) Deggendorf-doctrine  11.90

D. Other subjects  11.91

1. Action for annulment (Art. 263 TFEU)  11.91

(a) Admissibility  11.91

(b) Assessment by the Union courts  11.96

2. Recovery of aid  11.100

(a) Objective of recovery  11.108

(b) Recovery in accordance with national law  11.110

(c) Duty of genuine cooperation  11.111

(d) Absolutely impossible  11.113

(e) Legitimate expectations  11.116

(f) Recovery and bankruptcy  11.121

3. Complaints received by the Commission  11.123

12.  ARTICLE 109 TFEU – DETERMINATION OF REGULATIONS REGARDING THE APPLICATION OF ARTS 107 AND 108

SECTION 3 REGULATIONS

13.  REGULATION (EC) NO 1/2003 ON THE IMPLEMENTATION OF THE RULES ON COMPETITION

Article 1 – Application of Articles 81 and 82 of the Treaty (p.332)

Article 2 – Burden of proof (p.333)

A. Burden and standard of proof  13.01

1. General  13.01

2. Undertaking publicly distancing itself from agreement or concerted practice  13.06

3. Limitation defence/duration  13.10

B. Nature of evidence  13.12

C. Single and continuous or repeated infringement  13.16

1. General  13.16

2. Continuous vs. repeated infringement  13.19

Article 3 – Relationship between Articles 81 and 82 of the Treaty and national competition laws 13.21

Article 4 – Powers of the Commission (p.347)

Article 5 – Powers of the competition authorities of the Member States 13.23

Article 6 – Powers of the national courts (p.350)

Article 7 – Finding and termination of infringement 13.25

Article 8 – Interim measures (p.353)

A. Prima facie case  13.26

B. Threat of irreperable damage  13.27

Article 9 – Commitments (p.355)

A. Period of validity of commitment decisions  13.29

B. Proportionality  13.30

Article 10 – Finding of inapplicability (p.358)

Article 11 – Cooperation between the Commission and the competition authorities of the Member States (p.359)

Article 12 – Exchange of information 13.33

Article 13 – Suspension or termination of proceedings (p.362)

Article 14 – Advisory Committee (p.363)

Article 15 – Cooperation with national courts 13.34

Article 16 – Uniform application of community competition law 13.36

Article 17 – Investigations into sectors of the economy and into types of agreements (p.369)

Article 18 – Requests for information (p.370)

A. General  13.38

B. Paragraph 1: Powers of the Commission to request information 13.39

C. Paragraph 3: Information request by decision  13.42

D. Paragraph 4: Obligation to cooperate  13.44

Article 19 – Power to take statements (p.377)

Article 20 – The Commission’s powers of inspection (p.378)

A. General  13.46

B. Paragraph 2: Legal privilege  13.51

1. General  13.51

2. Documents other than privileged correspondence between lawyer and client  13.53

3. Procedure protection confidentiality  13.55

4. Limitation of legal privilege for in-house lawyers  13.57

C. Paragraphs 3 and 4: Choice between investigation by authorisation and investigation ordered by decision  13.58

D. Paragraph 4: Motivation inspection decision  13.59

E. Paragraphs 5 to 8: Granting assistance to Commission officials  13.61

Article 21 – Inspection of other premises (p.392)

Article 22 – Investigations by competition authorities of Member States (p.393)

Article 23 – Fines (p.394)

A. General  13.62

B. Paragraph 1: Fines for incorrect or misleading information etc.  13.66

C. Paragraph 3: Fixing the amount of the fine  13.68

1. General  13.68

2. Legal framework  13.71

3. Guidelines on the method for setting the fine  13.76

4. Factors of assessment  13.82

(a) General  13.82

(b) Repeat infringements  13.85

(c) Turnover  13.88

(d) Market share  13.103

(e) Size of geographic market  13.105

(f) Gravity of the infringement  13.107

(g) Duration of the infringement  13.113

(h) Consequences of the infringement  13.116

(i) Deterrence  13.120

5. Mitigating circumstances  13.123

6. Aggravating circumstances  13.138

7. Principle of proportionality  13.146

(a) Profit derived from (illegal) practices  13.146

(b) Assessment conduct undertaking in relation to gravity infringement  13.148

(c) Relation fine undertakings involved in the same infringement  13.154

(d) New calculation method for fine  13.158

8. Equality of treatment  13.159

9. Ne bis in idem  13.164

10.  Leniency  13.171

11.  Ablility to pay  13.175

D. Paragraph 4: Associations of undertakings  13.177

1. Calculation turnover associations of undertakings 13.177

E. Liability  13.178

1. General  13.178

2. Imputability of infringement on parent company/companies  13.181

3. Joint and several liability  13.189

4. Legal and economic links  13.194

5. Legal and economic continuity  13.197

6. Representation in administrative procedure  13.204

7. Vertical relation  13.206

Article 24 – Periodic penalty payments (p.447)

Article 25 – Limitation periods for the imposition of penalties (p.448)

A. Applicable limitation periods  13.207

B. Principle of legal certainty  13.211

C. Burden of proof: Single and continuous infringement  13.213

D. Paragraph 3: Interruption of limitation period  13.215

E. Paragraph 6: Proceedings pending before the Court of Justice  13.217

Article 26 – Limitation period for the enforcement of penalties 13.218

Article 27 – Hearing of the parties, complainants and others (p.456)

Article 28 – Professional secrecy 13.232

Article 29 – Withdrawal in individual cases (p.464)

Article 30 – Publication of decisions 13.234

Article 31 – Review by the Court of Justice (p.469)

A. General  13.240

B. Exercise of unlimited jurisdiction  13.247

C. No unlimited jurisdiction in appeal  13.249

Article 32 (p.474)

Article 33 – Implementing provisions (p.475)

Article 34 – Transitional provisions 13.251

Article 35 – Designation of competition authorities of Member States 13.252

Article 36 – Amendment of Regulation (EEC) No 1017/68 (p.479)

Article 37 – Amendment of Regulation (EEC) No 2988/74 (p.480)

Article 38 – Amendment of Regulation (EEC) No 4056/86 (p.481)

Article 39 – Amendment of Regulation (EEC) No 3975/87 (p.483)

Article 40 – Amendment of Regulations No 19/65/EEC, (EEC) No 2821/71 and (EEC) No 1534/91 (p.484)

Article 41 – Amendment of Regulation (EEC) No 3976/87 (p.485)

Article 42 – Amendment of Regulation (EEC) No 479/92 (p.486)

Article 43 – Repeal of Regulations No 17 and No 141 (p.487)

Article 44 – Report on the application of the present regulation (p.488)

Article 45 – Entry into force (p.489)

14.  REGULATION (EC) NO 139/2004 ON THE CONTROL OF CONCENTRATIONS BETWEEN UNDERTAKINGS

Article 1 – Scope (p.500)

A. General  (p.501)

B. Extraterritorial application  14.01

C. Competence of the European Commission in case of an amendment of the proposed concentration  14.02

D. Notion of ‘undertakings concerned’  14.03

Article 2 – Appraisal of concentrations (p.503)

A. General  (p.504)

B. General considerations for appraisal of concentrations  14.04

1. Standard of proof  14.04

2. Parallel notifications  14.08

3. Counterfactual in case of change from joint to sole control  14.11

C. Paragraphs 2 and 3: Substantive analysis  14.14

1. Relevant market  14.14

(a) Trade patterns  14.15

(b) Price differences  14.17

(c) (National) preferences  14.18

(d) Transportation costs and distances  14.20

(e) Regulatory differences and other trade barriers  14.24

(f) Chain of substitution  14.27

2. Horizontal mergers  14.29

(a) Non-coordinated effects  14.29

(b) Coordinated effects  14.56

(c) Countervailing buyer power  14.61

3. Non-horizontal mergers  14.62

(a) Vertical mergers  14.62

(b) Conglomerate mergers  14.64

4. Failing firm defence  14.70

5. Efficiency defence  14.74

D. Paragraphs 4 and 5: Assessment of coordinated effects JV  14.78

E. Procedural aspects  14.79

1. Liability of the European Commission in case of annulment of a decision  14.79

Article 3 – Definition of concentration (p.541)

A. General  (p.542)

B. Paragraphs 1 and 2: Concentration as a result of a structural change in control  14.82

1. De facto control  14.82

2. Sole control  14.88

(a) General  14.88

(b) Negative sole control  14.92

3. Joint control  14.95

4. Interrelated transactions  14.99

5. Acquisition of control by the State  14.109

6. Scope of ‘undertakings concerned’ in case of acquisition of control by state-owned enterprises (SOE)  14.111

7. No control/concentration  14.113

8. Lasting structural change  14.120

C. Paragraph 4: The creation of a joint venture  14.121

D. Paragraph 5: Credit institutions, financial institutions or insurance companies  14.127

Article 4 – Prior notification of concentrations and pre-notification referral at the request of the notifying parties (p.566)

A. General  (p.568)

B. Paragraph 1: ‘Suspensive effect’ and ‘gun jumping’  14.128

C. Paragraph 2: Good faith intention to conclude agreement  14.129

Article 5 – Calculation of turnover (p.570)

A. General  (p.572)

B. Geographic allocation of turnover  14.130

C. Paragraph 2: Consecutive acquisitions  14.132

D. Paragraph 4: Attribution of turnover  14.136

Article 6 – Examination of the notification and initiation of proceedings (p.576)

A. General  (p.577)

B. Paragraph 1: Investigation by the Commission  14.139

C. Commitments  14.141

D. Ancillary restraints  (p.581)

Article 7 – Suspension of concentrations (p.582)

A. General  14.148

B. Derogation  14.149

Article 8 – Powers of decision of the Commission (p.585)

A. General  14.153

B. Article 102 TFEU versus remedies  14.154

C. Paragraph 1: Assessment of ancillary restraints  14.155

D. Paragraphs 4 and 5: Restorative measures  14.156

1. General  14.156

2. Meaning of ‘Implementation’  14.160

Article 9 – Referral to the competent authorities of the Member States (p.591)

A. General  14.161

B. Paragraph 2: Significant effect within a Member State  14.162

C. Paragraph 3: Commission decision regarding request for referral  14.163

Article 10 – Time limits for initiating proceedings and for decisions (p.597)

A. General  (p.598)

B. Paragraph 2: Time-limit for clearance decision  14.169

C. Paragraph 4: Exceptional circumstances for suspension  14.170

Article 11 – Requests for information (p.600)

Article 12 – Inspections by the authorities of the Member States (p.602)

Article 13 – The Commission’s powers of inspection (p.603)

Article 14 – Fines (p.605)

A. General  (p.606)

B. Paragraph 1: Providing incorrect or misleading information  14.173

C. Paragraph 2: Failure to notify a concentration  14.176

Article 15 – Periodic penalty payments (p.609)

Article 16 – Review by the Court of Justice 14.178

Article 17 – Professional secrecy (p.612)

A. Paragraph 1: Use of incidentally gained information  14.180

B. Paragraph 2: Scope of non-disclosure obligation  14.181

Article 18 – Hearing of the parties and of third persons (p.614)

A. Statement of objections  14.182

B. Right to be heard  14.187

C. Access to files  14.189

Article 19 – Liaison with the authorities of the Member States (p.620)

Article 20 – Publication of decisions (p.622)

Article 21 – Application of the Regulation and jurisdiction (p.623)

A. General  (p.624)

B. Paragraph 1: Exclusive competence for the Commission  14.190

1. General  14.190

2. European merger control without prejudice to separate assessment under State aid rules  14.191

C. Paragraph 3: Applicability of national competition law  14.192

D. Paragraph 4: Competences of Commission v. Member States  14.193

Article 22 – Referral to the Commission (p.628)

A. General  14.196

B. Paragraph 1: Influence of trade between Member States  14.197

Article 23 – Implementing provisions (p.631)

Article 24 – Relations with third countries 14.200

Article 25 – Repeal (p.633)

Article 26 – Entry into force and transitional provisions (p.634)

Annex (p.635)

15.  REGULATION (EU) NO 330/2010 ON VERTICAL AGREEMENTS

Article 1 – Definitions (p.642)

Article 2 – Exemption (p.645)

Article 3 – Market share threshold (p.647)

Article 4 – Restrictions that remove the benefit of the block exemption – hardcore restrictions (p.649)

A. General  (p.650)

B. Resale price clauses  15.04

C. Resale price clauses in vertical agreements for petroleum products  15.05

D. De facto prohibition on sales via internet in selective distribution agreements  15.06

1. General  15.06

2. Integrity of selective distribution system  15.07

3. Territorial restrictions  15.08

Article 5 – Excluded restrictions (p.655)

A. General  15.13

B. Non-compete and exclusivity clauses in vertical agreements for petroleum products  15.14

Article 6 – Non-application of this Regulation (p.658)

Article 7 – Application of the market share threshold (p.659)

Article 8 – Application of the turnover threshold (p.660)

Article 9 – Transitional period 15.19

Article 10 – Period of validity (p.662)

16.  REGULATION (EU) NO 461/2010 ON VERTICAL AGREEMENTS IN THE MOTOR VEHICLES SECTOR

Article 1 – Definitions (p.669)

Article 2 – Application of Regulation (EC) No 1400/2002 (p.672)

Article 3 – Application of Regulation (EU) No 330/2010 (p.674)

Article 4 – Exemption 16.02

Article 5 – Restrictions that remove the benefit of the block exemption – hardcore restrictions 16.09

Article 6 – Non-application of this Regulation (p.679)

Article 7 – Monitoring and Evaluation Report (p.680)

Article 8 – Period of validity (p.681)

17.  REGULATION (EU) No 1308/2013 ESTABLISHING A COMMON ORGANISATION OF THE MARKETS IN AGRICULTURAL PRODUCTS AND REPEALING COUNCIL REGULATIONS

Article 206 (p.684)

A. Scope of Regulation No 1184/2006 vs. Regulation No 1308/2013 and Regulation No 1379/2013  17.01

B. Scope of Articles 206 and 209  17.03

1. General  17.03

2. Article 1A Regulation No 1184/2006  17.04

Article 209 (p.688)

A. Paragraph 1: Farmers, Farmers’ Associations  17.05

B. Division of competence in Article 2(2) of Regulation No 1184/2006  17.14

Article 210 (p.695)

Article 222 (p.697)

PART 2 EUROPEAN CONVENTION ON HUMAN RIGHTS (ECHR) AND CHARTER OF FUNDAMENTAL RIGHTS OF THE EUROPEAN UNION (CHARTER)

SECTION 1 EUROPEAN CONVENTION ON HUMAN RIGHTS

18.  ARTICLE 1 ECHR – OBLIGATION TO RESPECT HUMAN RIGHTS

A. General  (p.703)

B. The ECHR: A supra-national human rights treaty  18.01

C. Methods of interpretation  18.02

1. General  18.02

2. The ECHR as a living instrument  18.04

3. The Vienna Treaty on the Law of Treaties, Sens Clair and Purposive Construction  18.06

4. Member State practice  18.12

5. Other sources of International Law  18.13

D. No direct binding effect vis-à-vis the EU prior to accession  18.15

1. No binding effect vis-à-vis the EU as such  18.15

2. No binding effect vis-à-vis the EU as holder of powers which have been deferred to it by the Member States  18.16

E. EU Member State responsibility when deferring powers to the EU  18.17

1. General  18.17

2. Equivalent guarantees  18.21

(a) General  18.21

(b) Two-step test: General level and protection in the individual case concerned  18.22

(c) Finding of equivalence  18.23

(d) In relation to the grant of an exequatur for a Commission Decision imposing a fine  18.24

(e) In relation to the preliminary reference procedure  18.25

SECTION 2 CHARTER OF FUNDAMENTAL RIGHTS OF THE EUROPEAN UNION

19.  ARTICLE 7 CHARTER – RESPECT FOR PRIVATE AND FAMILY LIFE

A. Explanation relating to Article 7 Charter  (p.716)

B. Scope of application  19.01

1. Respect for the home  19.01

(a) Eur. Court H.R.  19.01

(b) EU Courts  19.05

2. Respect for correspondence  19.09

3. Respect for privacy of telephone calls  19.11

C. Interference  19.12

D. Justification for the interference  19.14

1. General  19.14

2. In accordance with the law  19.17

(a) General  19.17

(b) In accordance with national laws  19.19

(c) Accessible  19.22

(d) Foreseeable  19.23

(e) Compatible with the rule of law  19.24

3. Legitimate aim  19.29

4. Necessary in a democratic society  19.31

(a) General  19.31

(b) Adequate safeguards  19.33

(c) Two-step test  19.35

(d) Importance of prior judicial authorisation  19.37

(e) Disproportionate national systems  19.39

(f) Proportionate national systems  19.48

5. Assessment of the EU System  19.53

E. Legal privilege  19.56

1. Eur. Court H.R.  19.56

2. EU Courts  19.57

F. Exclusionary rule  (p.754)

20.  ARTICLE 16 CHARTER – FREEDOM TO CONDUCT A BUSINESS

A. Explanation relating to Article 16 Charter  (p.755)

B. General  20.01

21.  ARTICLE 17(1) CHARTER – RIGHT TO PROPERTY

A. Explanation relating to Article 17(1) Charter  (p.757)

B. General  21.01

22.  ARTICLE 20 CHARTER – EQUALITY BEFORE THE LAW

A. Explanation relating to Article 20 Charter  (p.759)

B. General  22.01

C. In relation to the finding of an infringement  22.02

D. In relation to a leniency rebate  22.03

E. In relation to the calculation of a fine by the European Commission  22.04

F. In relation to the review of a fine by the EU Courts  22.05

23.  ARTICLE 41 CHARTER – RIGHT TO GOOD ADMINISTRATION

A. Explanation relating to Article 41 Charter  (p.763)

B. Reasonable period  23.01

1. General  23.01

2. Test  23.02

3. Assessment in respect of administrative proceedings  23.07

4. Consequences of a failure to adopt a decision within a reasonable period  23.09

(a) EU Courts  23.09

(b) EFTA Court  23.09

C. Rights of the defence  23.10

1. Applicability to preliminary inquiries  23.13

2. Right to be heard  23.14

3. Statement of objections  23.16

4. Access to the file  23.25

24.  ARTICLE 47 CHARTER – RIGHT TO AN EFFECTIVE REMEDY AND TO AN IMPARTIAL TRIBUNAL

A. Explanation relating to Article 47 Charter  (p.778)

B. General  24.01

1. Relationship between the principles of effective remedy (para. 1) and fair trial (para. 2)  24.01

2. General principles  24.02

(a) European Court of Human Rights (Eur. Court H.R.)  24.02

(b) European Union (EU) Courts  24.03

C. Scope of application of Articles 47 Charter and Articles 6 and 13 ECHR  24.07

1. General applicability of Article 47 Charter  24.07

2. Civil rights and obligations within the meaning of Article 6 ECHR  24.08

3. Criminal charge within the meaning of Article 6 ECHR  24.14

(a) Concept  24.14

(b) Distinction between hard core criminal law and other criminal charges  24.22

(c) Moment when the charge is brought  24.23

D. Independent and impartial tribunal  24.28

1. Concept of ‘Tribunal’  24.28

(a) European Court of Human Rights  24.28

(b) European Union Courts  24.32

2. Independence  24.35

(a) European Court of Human Rights  24.35

(b) European Union Courts  24.36

3. Impartiality  24.37

(a) General  24.37

(b) Objective and subjective test  24.38

(c) Following remandment  24.40

E. Full jurisdiction  24.43

1. Legal standard  24.43

2. Assessment  24.46

(a) Insufficiency of a pure constitutionality review  24.46

(b) Insufficiency of a review restricted to points of law  24.47

(c) Insufficiency in case of deference of the court to decisions of the executive  24.49

(d) Full review of sanctions by an administrative court  24.51

F. Access  24.57

1. General  24.57

2. Effet utile  24.58

3. Restrictions  24.60

G. Effective remedy  24.62

1. Legal standard  24.62

2. In relation to dawn raids  24.63

(a) European Court of Human Rights  24.63

(b) European Union Courts  24.65

H. Fair trial  24.66

1. Applicability to pre-trial proceedings  24.66

(a) European Court of Human Rights  24.66

(b) European Union Courts  (p.810)

2. Imposition of fines by an administrative body  24.69

(a) An administrative body may impose a sanction, provided that such sanction is open to appeal  24.69

(b) Except in relation to serious charges  24.73

(c) Lawfulness of having one and the same body investigate and fine  24.74

(d) No obligation to remand to a different body following annulment  24.75

3. Principle of adversarial proceedings  24.76

(a) General  24.76

(b) Applicability when the court applies grounds of its own motion  24.84

(c) Exceptions  24.87

4. Equality of arms  24.88

(a) General  24.88

5. Access to the file in criminal proceedings  24.92

6. Exclusionary rule  24.95

7. Obligation to state the grounds of a judgment  24.97

8. Waiver of rights  24.100

I. Reasonable period  24.102

1. General  24.102

(a) European Court of Human Rights  24.102

(b) European Union Courts  24.103

2. Relevant period  24.104

(a) Start  24.104

(b) End  24.104

3. Legal standard  24.108

4. Assessment  24.110

5. Consequences of a failure to adjudicate within a reasonable period  24.113

(a) European Court of Human Rights  24.113

(b) European Union Courts  24.115

J. Public hearing  24.118

K. Access to a lawyer  24.119

1. General  24.119

2. During an interrogation  24.121

3. Legal privilege  (p.837)

L. Legal aid  24.126

1. Scope  24.126

2. Assistance by a lawyer and dispensation of the cost of proceedings  24.127

3. Grant procedure  24.128

4. Availability to a legal person  24.129

25.  ARTICLE 48 CHARTER – PRESUMPTION OF INNOCENCE AND RIGHTS OF THE DEFENCE

A. Explanation relating to Article 48 Charter  (p.841)

B. Presumption of innocence  25.01

1. General  25.01

(a) Eur. Court H.R.  25.01

(b) EU Courts  25.09

2. In relation to parental liability  25.15

3. n relation to the causal link in case of a concerted practice  25.18

4. In relation to participation in a meeting with an anti-competitive character  25.21

C. Rights of the defence – General  25.22

D. Privilege against self-incrimination and right to remain silent  25.25

1. Intrinsic to the concept of ‘fair trial’  25.25

2. Scope  25.28

3. Test  25.30

4. Right to remain silent stricto sensu  25.33

5. Order to submit information or documents  25.36

(a) Eur. Court H.R.  25.36

(b) EU Courts  25.40

6. Inferences which may be drawn from the exercise of the right to remain silent  25.44

E. Obligation to mention the privilege against self-incrimination and the right to remain silent  25.46

F. Access to legal assistance and legal aid  (p.856)

26.  ARTICLE 49 CHARTER – PRINCIPLES OF LEGALITY AND PROPORTIONALITY OF CRIMINAL OFFENCES AND PENALTIES

A. Explanation relating to Article 49 Charter  (p.858)

B. Legality principle  26.01

1. Eur. Court H.R.  26.01

2. EU Courts  26.05

C. Concept of ‘penalty’  26.08

D. Non-retroactivity of criminal sanctions  26.09

E. Retroactivity of the more lenient sanction  26.11

1. Eur. Court H.R.  26.11

2. EU Courts  26.12

F. Foreseeability  26.13

1. Eur. Court H.R.  26.13

2. EU Courts  26.15

G. Proportionality  26.19

H. Principle of personal liability  26.24

27.  ARTICLE 50 CHARTER – RIGHT NOT TO BE TRIED OR PUNISHED TWICE IN CRIMINAL PROCEEDINGS FOR THE SAME CRIMINAL OFFENCE

A. Explanation relating to Article 50 Charter  (p.876)

B. Principle  27.01

C. Criminal proceedings  27.03

D. Same offence  27.06

E. Final acquittal or conviction in the first proceedings  27.07

F. Tried or punished again  27.09

28.  ARTICLE 51 CHARTER – FIELD OF APPLICATION

A. Explanation relating to Article 51 Charter  (p.882)

B. Applicability to the Member States when they are implementing Union law  28.01

C. Ability of the Member States to apply national fundamental rights  28.02

29.  ARTICLE 52 CHARTER – SCOPE AND INTERPRETATION OF RIGHTS AND PRINCIPLES

A. Explanation relating to Article 52 Charter  (p.886)

B. Exceptions  29.01

C. Explanations  29.04

30.  ARTICLE 53 CHARTER – LEVEL OF PROTECTION

A. Explanation relating to Article 53 Charter  (p.891)

B. General  30.01

Annex

Index