Firstly, this essay will provide some general information regarding the development of the EU. In this context the concept of supremacy will briefly be overviewed, as it is closely related to the doctrine of direct effect. Subsequently, a definition of both direct effect and direct applicability will be administered. Furthermore, the relationship between direct effect and the various Community measures will be examined, focusing then on Directives for reasons which will be explained afterwards. Afterwards, the issues concerning vertical and horizontal direct effect in respect of Directives will be investigated. Finally, the essay will illustrate why and in which cases the doctrines of indirect effect and state liability become applicable. The paper will then conclude by answering the question, referring to the previous remarks, why the European Court of Justice (henceforth, ECJ) introduced the concept of direct effect.
The Treaty that established the European Economic Community (EEC) was the Treaty of Rome. It became effective on the 1st of January 1958. This moment can be regarded as a milestone in the development of the European Union. The treaty had not only the objective to prevent the outbreak of a further war between France and Germany but also to bring the Member States of western Europe together in a closer Union by extending the European integration to include general economic cooperation. Over the years, the Member States joined various treaties creating the juridical and political framework, in order to make the Community capable of cooperating on a broad range of matters. The EU organs – such as the Commission, Council, Parliament and the Court – were constituted. In different shape and occurrence, all of the above stated organs are entitled to announce measures (Regulations, Directives and Decisions) which would be targeted to the Member States. In the aftermath of this development two main questions arose. Namely, by what tool would such a measure be exercised towards the Member State(s)? The second and closely linked question was which law would prevail in the not unlikely situation of a dispute between the national law of a Member State and the European rule?
Table of Contents
1. Introduction
2. Development of the European Union
3. The Concept of Supremacy
4. Direct Effect and Direct Applicability
5. Community Measures and Direct Effect
5.1 Regulations
5.2 Decisions
5.3 Recommendations and Opinions
5.4 Directives
6. Vertical and Horizontal Direct Effect
7. Alternative Remedies: Indirect Effect and State Liability
8. Conclusion
Objectives and Topics
This essay explores the origins and development of the doctrine of direct effect within the European Union, specifically examining how the European Court of Justice (ECJ) introduced this concept to ensure the enforcement of EU law within national legal systems.
- The role of the European Court of Justice in creating legal doctrines
- Distinction between direct effect and direct applicability
- Evolution of the Van Gend en Loos criteria for legal enforcement
- Vertical versus horizontal direct effect of EU Directives
- Supplementary legal remedies: Indirect effect and State liability
Excerpt from the Book
The rule of direct effect was first raised, as mentioned above, in the Van Gend en Loos case.
The case concerned Art. 30 TFEU (at that time Art. 12, then subsequently Art. 25 pre-Lisbon) which forbad new custom rules being imposed, or existing custom rules being increased. Van Gend was trying to directly enforce the rule in Art. 30 against the Dutch government in the Dutch courts, claiming the rule enshrined a right not to be taxed in this way. Under Art. 267 TFEU the question was referred to the ECJ which stated:
“Independently of the legislation of member states, community law therefore not only imposes obligations on individuals but is also intended to confer upon them rights which become part of their legal heritage. These rights arise not only where they are expressly granted by the treaty, but also by reason of obligations which the treaty imposes (…) upon individuals as well as upon the member states and upon the institutions of the community.”
The ECJ described in its ruling the test of when a Community law measure would be directly effective. Three main points, often referred to as the ‘Van Gend en Loos-criteria’, were established by the ECJ to figure out whether or not a provision of Union law is directly effective: The provision in question must be sufficiently clear and precise (I); it must be unconditional and without any exceptions (II); it does not require any further implementation by the Member State (III).
Summary of Chapters
1. Introduction: Outlines the scope of the essay, the focus on direct effect and supremacy, and the methodology of examining case law.
2. Development of the European Union: Discusses the historical formation of the EEC and the subsequent legal questions regarding the relationship between national and European law.
3. The Concept of Supremacy: Details the ECJ's judicial development of the supremacy doctrine, emphasizing the limitation of sovereign rights upon joining the Community.
4. Direct Effect and Direct Applicability: Clarifies the definitions of these two often-confused doctrines and introduces the foundational Van Gend en Loos case.
5. Community Measures and Direct Effect: Analyzes how different legal acts (Regulations, Decisions, Directives) interact with the requirements for direct effect.
6. Vertical and Horizontal Direct Effect: Examines the distinction between enforcing EU law against the State versus between private individuals, citing key cases like Marshall.
7. Alternative Remedies: Indirect Effect and State Liability: Explores supplementary legal instruments created by the ECJ to protect individual rights when direct effect is not applicable.
8. Conclusion: Summarizes why the ECJ was compelled to invent direct effect to uphold the objectives of the collective treaties.
Keywords
European Court of Justice, Direct Effect, Supremacy, European Union Law, Direct Applicability, Van Gend en Loos, Directives, Regulations, Vertical Direct Effect, Horizontal Direct Effect, Indirect Effect, State Liability, Legal Remedies, Community Legal Order, Member States.
Frequently Asked Questions
What is the primary focus of this essay?
The essay examines the doctrine of direct effect in European Law, specifically looking at how the European Court of Justice (ECJ) developed this concept to allow individuals to invoke EU law in national courts.
What are the central themes of the work?
The core themes include the supremacy of EU law, the distinction between direct effect and direct applicability, and the judicial construction of remedies for individuals when European norms are not properly implemented.
What is the primary research question?
The paper seeks to discuss why the ECJ introduced the concept of direct effect and how it has been further developed through specific case law.
Which scientific methodology is applied?
The work utilizes a legal-analytical method, relying on the analysis of primary European Treaty articles and key jurisprudence from the European Court of Justice.
What topics are covered in the main body?
The main body covers the hierarchy of legal measures, the criteria for direct effect, the limitations regarding horizontal application, and supplementary mechanisms like indirect effect and state liability.
Which keywords characterize this work?
Essential keywords include Direct Effect, Supremacy, ECJ, Community Legal Order, Vertical and Horizontal effects, and State Liability.
How does the ECJ define the criteria for direct effect?
The ECJ established the "Van Gend en Loos-criteria," which require a provision to be sufficiently clear and precise, unconditional, and without any requirement for further implementation by the Member State.
What is the distinction between vertical and horizontal direct effect?
Vertical direct effect allows an individual to enforce an EU right against the State, whereas horizontal direct effect would allow enforcement between two private individuals. The ECJ has notably restricted the horizontal application of Directives.
- Quote paper
- Paul Unglaub (Author), 2015, The ECJ and Direct Effect. From the Treaty of Rome over Van Gend en Loos to Francovich, Munich, GRIN Verlag, https://www.grin.com/document/335302
