European competition soft law in European Courts: A matter of hard principles?

European Law Journal

Volumn 14, Issue 6, 2008, Pages 753-772

  Ştefan, Oana Andreea ^a  

^a UNIVERSITY COLLEGE DUBLIN   (Ireland)

Author keywords

[No Author keywords available]

Indexed keywords

EID: 65249132434     PISSN: 13515993     EISSN: 14680386     Source Type: Journal    
DOI: 10.1111/j.1468-0386.2008.00443.x     Document Type: Article

References (187)

1. Case C-322/88, Grimaldi [1989] ECR I-4407.
2. Ibid, para 18.
3. R. Baxter, 'International law in her infinite variety' (1980) 29 International and Comparative Law Quarterly 549, at 549.
4. Ibid.
5. K. Abbot and D. Sindal, 'Hard and Soft Law in International Governance' (2000) 54(3) International Organization 421, at 421-422.
6. The concept of legalisation and its dimensions were defined in K. Abbott et al, 'The Concept of Legalization' (2000) 54(3) International Organization 401. Obligation implies that the international actors are legally bound by a certain provision; precision requires unambiguity with respect to the conduct to follow; and delegation means that the implementation, interpretation, application of the rules and conflict resolution was entrusted to third parties.
7. M. Finnemore and S. Toope, 'Alternatives to "Legalization": Richer Views of Law and Politics' (2001) 55(3) International Organization 743, at 748.
8. Ibid, at 749-750.
9. Ibid, at 749.
10. K. Wellens and G. Borchardt, 'Soft Law in European Community Law' (1989) 14(5) European Law Review 267, at 280.
11. D. Trubek, P. Cottrell andM. Nance, '"Soft Law", "Hard Law", and the EU Integration' in G. de Búrca and J. Scott (eds) Law and New Governance in the EU and the US (Hart Publishing, 2006), 65.
12. F. Beveridge and S. Nott, 'A hard look at soft law', in P. Craig and C. Harlow (eds), Lawmaking in the European Union (Kluwer Law International, 1998), 285
13. L. Senden and S. Prechal ('Differentiation in and through Community Soft Law', in B. de Witte, D. Hanf and E. Vos (eds), The many faces of differentiation in EU law (Intersentia, 2001), 185) consider that only the regulations and directives can be considered hard law.
14. L. Senden, Soft Law in European Community Law (Hart Publishing, 2004), 45.
15. European Council (1992) Conclusions of the Presidency, Edinburgh, 11-12 December 1992.
16. European Commission (2001) European Governance A White Paper, Brussels, 25.7.2001 COM (2001) 428 final.
17. European Council (2000) Lisbon Summit, 23-24 March 2000.
18. See, on the OMC, for instance: S. Borrás and K. Jacobsson, 'The open method of co-ordination and new governance patterns in the EU', (2004) 11(2) Journal of European Public Policy 185
19. D. Hodson and I. Maher, 'The Open Method as a New Mode of Governance: The Case of Soft Economic Policy Co-ordination' (2001) 39(4) Journal of Common Market Studies 719
20. K. Jacobsson, 'Soft Regulation and the subtle transformation of states: the case of EU employment policy', (2004) 14(4) Journal of European Social Policy 355
21. I. Maher, 'Law and the Open method of Coordination: Towards a New Flexibility in European Policy-Making?', (2004) 2 Zeitschrift für Staats- und Europawissenscchaften 248
22. A. Schäfer, 'A new form of governance? Comparing the open method of co-ordination to multilateral surveillance by the IMF and the OECD', (2006) 13(1) Journal of European Public Policy 70
23. J. Scott and D. Trubek, 'Mind the Gap: Law and New Approaches to Governance in the European Union', (2002) 8(1) European Law Journal 1
24. D. Trubek and L. Trubek, 'Hard and Soft Law in the Construction of Social Europe: The Role of the Open Method of Co-ordination', (2005) 11(3) European Law Journal 343; etc.
25. 18 For a rationalist approach to the soft law phenomenon see Abbot and Sindal, op cit n 5 supra
26. for a constructivist approach to the soft law phenomenon see Finnemore and Toope, op cit n 7 supra.
27. On the different views of contextualists and formalists see Beveridge and Nott, op cit n 12 supra, at 291-292
28. on the different views of constructivists - rationalists and the proposal to merge the two perspectives: Trubek et al, op cit n 11 supra.
29. F. Snyder, 'The Effectiveness of Europea Community Law: Institutions, Processes, Tools and Techniques', in T. Daintith (ed) Implementing EC Law in the United Kingdom: Structures for Indirect Rule (John Wiley & Sons, 1995), 64.
30. I thank Professor Snyder for suggesting this completion to his initial definition of soft law.
31. See on this point F. Snyder, 'Interinstitutional agreements: Forms and constitutional limitations', in G. Winter (ed), Sources and Categories of European Union Law: A Comparative and Reform Perspective (Nomos Verl.-Ges., 1996), 461-463.
32. Trubek et al, op cit n 11 supra 92.
33. D. Hodson and I. Maher, 'Soft law and sanctions: Economic policy co-ordination and reform of the Stability and Growth Pact' (2004) 11 Journal of European Public Policy 798, at 810.
34. A. Schäfer, 'Resolving Deadlock: Why International Organizations Introduce Soft Law', (2006) 12 European Law Journal 194, at 207
35. H. Hillgenberg, 'A fresh look at soft law', (1999) 10 European Journal of International Law 499, at 501.
36. See J. Klabbers, 'Informal instruments before the European Court of Justice' (1994) 31 Common Market Law Review 997
37. 'The Redundancy of Soft law' (1996) 65 Nordic Journal of International Law 167
38. 'The Undesirability of Soft Law' (1998) 67 Nordic Journal of International Law 381.
39. See H. Hofmann, 'Negotiated and Non-Negotiated Administrative Rule-Making: The Example of EC Competition Policy' (2006) 43 Common Market Law Review 153.
40. See on this point F. Snyder, 'Soft Law and Institutional Practice in the European Community', in S. Martin (ed), The Construction of Europe: essays in honour of Emile Noel (Kluwer, 1994).
41. F. Snyder, 'The Effectiveness of European Community Law: Institutions, Processes, Tools and Techniques', (1993) 56(1) Modern Law Review 19, at 33-36.
42. Case 1/71, Cadillon v Firma Höss [1971] ECR 351; Case 22/71, Béguelin [1971] ECR 949.
43. C. Ehlermann, 'The Modernization of EC Antitrust Policy: A Legal and Cultural Revolution' (2000) 37 Common Market Law Review 537.
44. Council Regulation (EC) No 1/2003 of 16 December 2002 on the implementation of the rules on competition laid down in Articles 81 and 82 of the Treaty, [2003] OJ L 1/1.
45. It is practically impossible, while doing a word search, to find all the cases where soft law instruments might have been applicable but they were not mentioned in the text of the judgments, orders or opinions. Even if undoubtedly interesting, these documents were not included in the scope of this research, for feasibility reasons.
46. See for instance the submissions of Advocate General Dutheillet de Lamothe in Case 1/71, Cadillon v Firma Höss [1971] CMLR 420, at 427
47. the opinion of Advocate General Warner in Cases 19-20/74, Kali und Salz AG and Kali-Chemie v EC Commission [1975] 2 CMLR 154, at 169.
48. Joined Cases 253/78 and 1-3/79, Procureur de la République and others v Bruno Giry and Guerlain SA and others [1980] ECR 2327, paras 12 and 13
49. Case 99/79, Lancôme v Etos [1980] ECR 2511, paras 10 and 11.
50. H. Cosma and R. Whish, 'Soft Law in the Field of EU Competition Policy' (2003) 14 European Business Law Review 25, at 51.
51. [2004] OJ C 101/97.
52. Senden and Prechal, op cit n 12 supra, at 181.
53. [1962] OJ 139/2921.
54. [1962] OJ 139/2922.
55. D. Goyder, EC Competition Law (Oxford University Press, 4th edn, 2003), 165.
56. Council Regulation No 17 of 6 February 1962, First Regulation implementing Articles 81 and 82(4) of the Treaty OJ 13, 21.2.1962, 204/ 62 repealed with effect from 1 May 2004.
57. Case 243/83, SA Binon & Cie v SA Agence et messageries de la presse [1985] 3 CMLR 800, at 809.
58. Case T-14/93, Union internationale des chemins de fer v Commission [1995] ECR II-1503, paras 38 and 39.
59. For example, Commission Notice of 27 May 1970 concerning agreements, decisions and concerted practices of minor importance which do not fall under Article 85(1) of the Treaty establishing the European Economic Community [1970] OJ C 64/1.
60. Judgments, orders of the European Courts and opinions of the Advocates General.
61. See on this point, for instance, F. Snyder, New Directions in European Community Law (Weidenfeld and Nicolson, 1990), 14-30.
62. Case T-54/99, max.mobil Telekommunikation Service GmbH v Commission [2002] ECR II-313, para 48
63. Case T-177/01, Jégo-Quéré et Cie SA v Commission [2002] ECR II-2365, para 42.
64. Compiled by the author from the ECR.
65. Source: The 'Statistics of the Judicial Activity of the Court of Justice', available at http://curia.europa.eu/en/instit/presentationfr/ index.htm (accessed 11 April 2008; data for the year 2007 was not included in the table as the final version of the Annual Report was not yet available).
66. Compiled by the author from the ECR.
67. Source: The 'Statistics of the Judicial Activity of the Court of First Instance', available at http://curia.europa.eu/en/instit/presentationfr/ index.htm (accessed 11 April 2008; data for the year 2007 was not included in the table as the final version of the Annual Report was not yet available).
68. Guidelines on the method of setting fines imposed pursuant to Article 15(2) of Regulation No 17 and Article 65(5) of the ECSC Treaty, [1998] OJ C 9/3.
69. Commission Notice on the non-imposition or reduction of fines in cartel cases [1996] OJ C 207/4.
70. Commission Notice on agreements of minor importance which do not fall within the meaning of Article [81](1) of the [EC] Treaty [1970], [1986], [1997], [2001].
71. Commission Notice on the definition of relevant market for the purposes of Community competition law [1997] OJ C 372/5.
72. Notice on cooperation between national courts and the Commission in applying Articles 85 and 86 of the EEC Treaty [1993] OJ C 39/16.
73. First mention of the Guidelines on fines in Opinion of Advocate General Mischo in Case C-298/98, Metsä-Serla Oyj v Commission [2000] ECR I-10065, para 14
74. first mention of the Leniency Notice in Joined Cases T-202/98, T-204/98 and T-207/98, Tate & Lyle and Others v Commission [2001] ECR II-2035, paras 157 et seq.
75. Commission notice - Guidelines on Vertical Restraints [2000] OJ C 291/1.
76. Council Regulation 19/65/EEC of 2 March 1965 on application of Article 85(3) of the Treaty to certain categories of agreements and concerted practices [1995] OJ 36/533 ammended by Council Regulation (EC) 1215/1999 of 10 June 1999 amending Regulation No 19/65/EEC on the application of Article 81(3) of the Treaty to certain categories of agreements and concerted practices [1999] OJ L 148/1.
77. Senden, op cit n 13 supra, at 23
78. Cosma and Whish, op cit n 36 supra, at 25
79. W. Mattli and A. M. Slaughter, 'Revisiting the European Court of Justice', (1998) 52(1) International Organization 177.
80. A. Stone Sweet and T. Brunell, 'The European Court and the national courts: A statistical analysis of preliminary references, 1961-1995', (1998) 5(1) Journal of European Public Policy 66.
81. A. Stone Sweet, Governing with Judges: Constitutional Politics in Europe (Oxford University Press, 2000), 165.
82. Klabbers, 'The Redundancy of Soft Law', op cit n 26 supra, at 182.
83. Snyder, op cit n 29 supra, at 33 et seq.
84. Senden, op cit n 13 supra, at 266-267.
85. Case C-301/04, Commission v SGL Carbon [2006] ECR I-5915 on the Guidelines on fines.
86. Case T-201/04, Microsoft Corp v Commission (2007) not yet published, para 484 and Case T-61/99, Adriatica di Navigazione v Commission [2003] ECR II-5349, para 34 on the Notice on the definition of the relevant market
87. Case C-91/95, Tremblay and others v Commission [1996] ECR I-05547, para 41 on the Notice on the cooperation between the national courts and the Commission
88. Case T-59/99, Ventouris v Commission [2003] ECR II-5257, para 169 on the de minimis notice.
89. Opinion of the Advocate General Tesauro in Case C-70/93, Bayerische Motorenwerke [1995] ECR I-03439, footnote 13 on the Notice on exclusive distribution and exclusive purchasing agreements
90. Opinion of Advocate General Jacobs in Case C-7/97, Oscar Bronner [1998] ECR I-07791, footnote 18 on the Notice on the definition of the relevant market.
91. Joined Cases C-189, 202, 205, 208 and 213/02, Dansk Rørindustri and others v Commission [2005] ECR I-05425, para 209
92. Case C-167/04, JCB Service v Commission [2006] ECR I-8935, para 207.
93. Case C-167/04, JCB Service v Commission [2006] ECR I-8935, para 207.
94. A word search on http://www.curia.europa.eu revealed four hits, opinions of three Advocates General and one Court of First Instance judgment. One of the opinions is in the field of state aid: The Community Guidelines on State aid for small and medium-sized enterprises are designated by the term 'soft law' (Opinion of Advocate General Jacobs in Case C-91/01, Italy v Commission [2004] ECR I-4355, para 38).
95. Joined Cases C-189, 202, 205, 208 and 213/02, Dansk Rørindustri and others v Commission [2005] ECR I-05425, paras 207 and 208
96. Case T-9/99, HFB Holding and others v Commission [2002] ECR II-1487, para 418
97. Case T-329/01, Archer Daniels Midland v Commission [2006] ECR II-1487, para 19
98. Case C-3/06, Groupe Danone v Commission (2007) not yet published, para 23.
99. Case T-114/02, BaByliss v Commission [2003] ECR II-1279, para 143; Case T-119/02, Royal Philips Electronics v Commission [2003] ECR II-1433, para 242
100. Case T-329/01, Archer Daniels Midland v Commission [2006] ECR II-1487, para 279.
101. Joined Cases T-71/03, T-74/03, T-87/03 and T-91/03, Tokai Carbon v Commission [2005] ECR II-10, para 157
102. Joined Cases C-189, 202, 205, 208 and 213/02, Dansk Rørindustri and others v Commission [2005] ECR I-05425, para 252
103. Joined Cases T-236/01, T-239/01, T-244/01 to T-246/01, T-251/01 and T-252/01, Tokai Carbon v Commission [2004] ECR II-1181, para 157.
104. Case C-266/90, Soba [1992] ECR I-287, para 19 (dealing with agriculture).
105. Case T-9/92, Peugeot v Commission [1993] ECR II-493, para 44 confirmed on appeal Case C-322/93, Peugeot v Commission [1994] ECR I-02727
106. Case C-226/94, Grand garage albigeois and others [1996] ECR I-651, para 21
107. Case C-309/94, Nissan France [1996] ECR I-00677, para 22.
108. Case T-9/99, HFB Holding and others v Commission [2002] ECR II-1487, para 446
109. Case T-65/99, Strintzis Lines Shipping v Commission [2003] ECR II-5433, para 168
110. Case T-213/00, CMA CGM and others v Commission [2003] ECR II-913, para 262
111. Joined Cases C-189, 202, 205, 208 and 213/02, Dansk Rørindustri and others v Commission [2005] ECR I-05425, para 261.
112. Senden, op cit n 13 supra 373.
113. Case C-308/04, SGL Carbon v Commission [2006] ECR I-05977, para 106
114. Case C-407/04, Dalmine v Commission of the European Communities [2006] ECR I-5977, para 142.
115. Joined Cases C-189, 202, 205, 208 and 213/02, 0 Rørindustri and others v Commission [2005] ECR I-05425, para 223.
116. Case T-31/99, ABB Asea Brown Boveri v Commission [2002] ECR II-1881, paras 257 and 258
117. Case T-44/00, Mannesmannröhren-Werke v Commission [2004] ECR II-2223, para 213.
118. Case T-23/99, LR af 1998 A/S v Commission [2002] ECR II-1705, para 233
119. Case C-397/03, Archer Daniels Midland v Commission [2006] ECR I-4429, para 19.
120. Case T-322/01, Roquette Frères v Commission [2006] ECR II-3137, paras 223 and 224.
121. Case 5/69, Frans Völk v Vervaecke [1969] ECR 295.
122. Submissions of Advocate General in Case 1/71, Cadillon v Firma Höss [1971] CMLR 420, at 427.
123. Opinion of Advocate General in Cases 19-20/74, Kali und Salz AG and Kali-Chemie v EC Commission [1975] 2 CMLR 154, para 169.
124. Opinion of Advocate General Jean-Pierre Warner in Case 19/77, Miller [1978] 2 CMLR 334, at 342.
125. Joined Cases C-189, 202, 205, 208 and 213/02, Dansk Rørindustri and others v Commission [2005] ECR I-05425.
126. Case T-7/89, Hercules Chemicals v Commission [1991] ECR II-01711, paras 53 and 54.
127. European Commission (1983) Twelfth Report on Competition Policy - 1982.
128. Case C-51/92, Hercules Chemicals v Commission [1999] ECR I-04235.
129. Case T-23/99, LR af 1998 A/S v Commission [2002] ECR II-1705, para 245
130. Case T-31/99, ABB Asea Brown Boveri v Commission [2002] ECR II-1881, para 258.
131. On this point see also Senden, op cit n 13 supra 448.
132. See Case C-308/04, SGL Carbon v Commission [2006] ECR I-05977, paras 46-47
133. Case T-210/01, General Electric v Commission [2005] ECR II-05575, para 519.
134. T-36/05, Coats Holdings Ltd (2007) not yet published, para 218
135. Case T-15/02, BASF v Commission [2006] ECR II-497, para 180.
136. Joined Cases C-189, 202, 205, 208 and 213/02, Dansk Rørindustri and others v Commission [2005] ECR I-05425, para 209.
137. Opinion of the Advocate General in Case 319/82, Societe de Vente de Ciments et Betons de l'Est [1985] 1 CMLR 511.
138. Case T-25/99, Colin Arthur Roberts v Commission [2001] ECR II-01881, para 120
139. Case T-368/00, General Motors Nederland and Opel Nederland v Commission [2003] ECR II-4491, para 188
140. Opinion of Advocate General Jacobs in Case C-167/04, JCB Service v Commission [2005] ECR I-8935, para 141.
141. Case T-49/02, Brasserie nationale v Commission [2005] ECR II-3033, para 170.
142. Case C-310/99, Italian Republic v Commission [2002] ECR I-2289, para 52. This is a state aid case that does not make part of the object of the current research. However, it seems necessary to quote it at this point, since the way in which it treats the guidelines of the Commission in this sector is practically identical to the way in which the 'antitrust' guidelines are treated in the judgments and opinions analysed.
143. Joined Cases 253/78 and 1-3/79, Procureur de la République and others v Bruno Giry and Guerlain SA and others [1980] ECR 2327, para 13 and Case 99/79, Lancôme v Etos [1980] ECR 2511, para 11.
144. Opinion of Advocate General Van Gerven in Case C-234/89, Stergios Delimitis v Henninger Bräu [1991] ECR I-00935, para 22.
145. Case C-322/88, Grimaldi [1989] ECR I-4407, para 18.
146. A. Arnull, 'The Legal Status of Recommendations', (1990) 15(4) European Law Review 318
147. D. Chalmers et al, European Union Law Texts and Materials (Cambridge University Press, 2006), 388.
148. See on this point the debate in Senden, op cit n 13 supra, at 387-393.
149. [1993] OJ C 39/6.
150. Opinion of Advocate General Darmon in Case C-393/92, Municipality of Almelo [1994] ECR I-01477, para 135.
151. Commission Notice on remedies acceptable under Council Regulation (EEC) No 4064/89 and under Commission Regulation (EC) No 447/98 [2001] OJ C68/ 3.
152. Guidelines on the assessment of horizontal mergers under the Council Regulation on the control of concentrations between undertakings [2004] OJ C 31/5.
153. On this point see for instance the lengthy argumentation in the recent judgment in Case T-282/06, Sun Chemical (2007) not yet published, paras 133-142.
154. See for instance Case T-230/00, Daesang v Commission [2003] ECR II-2733, paras 121-145
155. Case T-26/02, Daiichi Pharmaceutical v Commission [2006] ECR II-00713, paras 175-184.
156. Case T-15/02, BASF v Commission [2006] ECR II-497, para 541.
157. See for instance Case C-3/06, Groupe Danone v Commission (2007) not yet published, para 23
158. Case T-119/02, Royal Philips Electronics v Commission [2003] ECR II-1433, para 242
159. Joined Cases T-71/03, T-74/03, T-87/03 and T-91/03, Tokai Carbon v Commission [2005] ECR II-10, para 157
160. Case T-16/99, Lögstör Rör [2002] ECR II-01633, para 344 (French version only).
161. W. Hummer, 'From "Interinstitutional Agreements" to "Interinstitutional Agencies/Offices"?', (2007) 13(1) European Law Journal 47, at 64.
162. Joined Cases C-189, 202, 205, 208 and 213/02, Dansk Rørindustri and others v Commission [2005] ECR I-05425, para 211.
163. Opinion of Advocate General Bot in Case C-76/06, Britannia Alloys v Commission (2007) not yet published, para 142.
164. Case T-16/99, Lögstör Rör [2002] ECR II-01633, para 344.
165. Case T-224/00, Archer Daniels Midland v Commission [2003] ECR II-2597, paras 197 and 198.
166. Case C-397/03, Archer Daniels Midland v Commission [2006] ECR I-4429, para 93.
167. Case T-64/02, Dr Hans Heubach v Commission [2005] ECR II-05137, para 35.
168. Case T-23/99, LR af 1998 A/S v Commission [2002] ECR II-1705, para 274
169. Case T-9/99, HFB Holding and others v Commission [2002] ECR II-1487, para 418.
170. Opinion of Advocate General Antonio Tizzano in Joined Cases C-189, 202, 205, 208 and 213/02, Dansk Rørindustri and others v Commission [2004] ECR I-05425, paras 54 et seq and Joined Cases C-189, 202, 205, 208 and 213/02, ibid, at para 236.
171. Joined Cases C-189, 202, 205, 208 and 213/02, Dansk Rørindustri and others v Commission [2004] ECR I-05425, paras 206-214.
172. Ibid, para 222.
173. Case C-3/06, Groupe Danone v Commission (2007) not yet published, paras 92 and 93
174. Joined Cases T-109/02, T-118/02, T-122/02, T-125/02, T-126/02, T-128/02, T-129/02, T-132/02 and T-136/02, Bolloré v Commission (2007) not yet published, paras 408 and 409.
175. Wellens and Borchardt, op cit n 10 supra, at 291.
176. T. Tridimas, The General Principles of EU Law (Oxford University Press, 2nd edn, 2006), Chapter 1
177. Ibid.
178. Case T-374/00, Verband v Commission [2003] ECR II-02275, para 79
179. Case T-241/01, Scandinavian Airlines v Commission [2005] ECR II-02917, para 64
180. Case T-15/02, BASF v Commission [2006] ECR II-497, para 250.
181. Case C-397/03, Archer Daniels Midland v Commission [2006] ECR I-4429, paras 89-94.
182. Case 11/70, Internationale Handelsgesellschaft [1970] ECR 1125, para 4.
183. Case 4/73, Nold v Commission [1974] ECR 491, para 13.
184. Case C-6/90, Francovich and Bonifaci [1991] ECR I-5357, para 35.
185. On this point see also A. Arnull, The EUand its Court of Justice (Oxford University Press, 1999), 190 et seq.
186. Abbot and Sindal, op cit n 5 supra.
187. As mentioned in section II of this article, the results of this research are confined to the case-law dealing with the guidelines and notices enacted in the competition law sphere. Different judicial solutions should be envisaged for cases involving instruments such as the Notice on the application of Article 10a of Council Regulation (EEC) No 3030/93 concerning a textiles specific safeguard clause [2005] OJ C 101/02. The Introduction of this notice states that it does not produce legitimate expectations and it does not constitute a legal instrument.