The ne bis in idem principle in EU law / Bas van Bockel.
2010
KJC9698 .B63 2010 (Map It)
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Author
Title
The ne bis in idem principle in EU law / Bas van Bockel.
Published
Austin : Wolters Kluwer Law & Business, [2010]
Distributed
Frederick, MD : Sold and distributed in North, Central and South America by Aspen Publishers
Copyright
©2010
Call Number
KJC9698 .B63 2010
ISBN
9789041131560 (acid-free paper)
9041131566 (acid-free paper)
9041131566 (acid-free paper)
Description
xi, 267 pages ; 25 cm.
System Control No.
(OCoLC)653084844
Note
At head of title: Kluwer Law International.
Bibliography, etc. Note
Includes bibliographical references (pages [239]-248) and index.
Series
Record Appears in
Added Corporate Author
Table of Contents
About the Author
xiii
ch. 1
Introduction
1
1.1.
Why a study on the Ne Bis In Idem Principle in EU law?
1
1.2.
Background: Problems and Issues of Ne Bis In Idem in the EU Legal Order
2
1.2.1.
Initiatives and Proposals Aimed at Reinforcing the Application of the Ne Bis In Idem Principle within the Legal System of the EU
5
1.3.
Method and Set-Up of This Study
7
ch. 2
Introducing the Principle of Ne Bis In Idem: Sources and Concepts
9
2.1.
This Chapter
9
2.2.
Sources of the Ne Bis In Idem Principle in International Instruments
10
2.2.1.
Introduction
10
2.2.2.
Article 14(7) ICCPR
13
2.2.3.
Article 4 Protocol 7 ECHR
14
2.2.4.
Article 50 of the Charter of Fundamental Rights of the European Union
17
2.2.5.
Articles 54 et seq. CISA
19
2.2.6.
A Patchwork of Provisions, or a Core Understanding of the Ne Bis In Idem Principle?
23
2.3.
Rationale of the Ne Bis In Idem Principle
25
2.3.1.
General
25
2.3.2.
Distinction between the Functions of the Principle
25
2.3.3.
Some of the Rationale Underlying the Guarantee as an Individual's Right
26
2.3.4.
The Interests of Society as a Whole
27
2.3.5.
The Problem of Defining the Rationale of the Principle on the International Level
28
2.4.
Form and Substance of the Principle
30
2.4.1.
Raising the Question of the Principle's Origins in Roman Law
30
2.4.2.
Ne Bis in Idem Rules
30
2.4.2.1.
Prohibition of Double Prosecution (Èrledigungsprinzip')
31
2.4.2.2.
Prohibition of Double Punishment
32
2.4.2.3.
The Problem of Defining the Substance of the Guarantee
33
2.5.
Scope of Application
36
2.5.1.
Limitations to the Objective Scope of Application of the Principle
36
2.5.2.
Internationalization and ̀Territoriality'
38
2.5.3.
Subjective Scope of Application
39
2.5.4.
Scope of Application of the Provisions Ratione Materiae
39
2.6.
Elements
41
2.6.1.
The First Trial: Bis
41
2.6.2.
The Second Trial: Idem
43
2.6.3.
The Requirement of Enforcement of the Penalty
49
2.7.
Exceptions
49
2.8.
Provisional Summary
50
ch. 3
The Supranational Context: The Criminal Law Dimension of the EU
53
3.1.
This Chapter
53
3.2.
Introduction: EU Criminal Law in the Wider Sense
54
3.3.
Developments in Enhanced Cooperation
55
3.3.1.
Introduction
55
3.3.2.
The Maastricht and Amsterdam Treaties
56
3.3.3.
The Lisbon Treaty
58
3.3.4.
Mutual Recognition in an Area of Freedom, Security and Justice
59
3.4.
The Schengen Acquis
61
3.4.1.
Introduction
61
3.4.2.
The Intergration of the Schengen Acquis into the Framework of the EU
61
3.4.3.
The Functioning of the Schengen Acquis in the Framework of the EU
63
3.5.
The Necessity of a Ne Bis In Idem Principle in the Context of Enhanced Cooperation in Criminal Matters within the Union
64
3.5.1.
Introduction
64
3.5.2.
Article 54 CISA
65
3.5.3.
Further Initiatives
65
3.5.4.
Article 54 CISA and Mutual Recognition
67
3.6.
Eurojust, the EJN, and Europol
69
3.8.
Harmonization of Criminal Law
70
3.8.1.
Introduction
70
3.8.2.
EU Competences
70
3.8.3.
Competences of the Former Community
70
3.9.
EU Competition Law
72
3.9.1.
Introduction
72
3.9.2.
The Nature of Competition Law
72
3.9.3.
The S̀ingle Market Imperative'
75
3.10.
The Enforcement of EU Competition Law
76
3.10.1.
Introduction
76
3.10.2.
Regulation 17/62
77
3.10.3.
Developments that Led to the Modernization of the System of Enforcement of EU Competition Law
81
3.10.4.
Modernization and Decentralization through Regulation 1/2003
82
3.10.5.
The Regulation of the Relationship between the Treaty Provisions and National Competition Laws in Article 3 of Regulation 1/2003
83
3.10.6.
Concurrent Jurisdiction and the Allocation of Cases
88
3.10.7.
The Absence of a Ne Bis In Idem Provision from Regulation 1/2003
91
3.10.8.
Fining in Competition Law: Fines Imposed by the European Commission
94
3.10.9.
Fining in Competition Law: Fines Imposed by NCA's
97
3.10.10.
Leniency
99
3.10.11.
Settlements in EU Competition Law
102
3.10.12.
Criminalization' of Competition Law?
103
3.10.13.
Private Damages
104
3.11.
The International Dimension of EU Competition Law
106
3.11.1.
Introduction
106
3.11.2.
Extraterritoriality
107
3.11.3.
Convergence
108
3.11.4.
Multilateral Initiatives
109
3.11.5.
Bilateral Cooperation Agreements between the US and the EU
114
ch. 4
The Case Law of the European Court of Justice on the Ne Bis In Idem Principle
119
4.1.
This Chapter
119
4.2.
The Role of the Case Law of the European Court of Human Rights in the Case Law of the European Court of Justice
119
4.3.
The Substance of the Prohibitions
122
4.3.1.
Introduction
122
4.3.2.
The Substance of the Ne Bis In Idem Principle in the Case Law of the European Court of Justice
123
4.4.
Rationale of the Guarantees
129
4.4.1.
Introduction
129
4.4.2.
The Rationale of the Anrechnungsprinzip in the Case Law of the European Court of Justice
130
4.4.3.
The Rationale of the Erledigungsprinzip in the Case Law of the European Court of Justice
131
4.5.
Objective Scope of Application of Guarantees
132
4.5.1.
Introduction
132
4.5.2.
The Case Law of the European Court of Justice Concerning the Objective Scope of Application of the Anrechnungsprinzip in Community Law
133
4.5.3.
The Case Law of the European Court of Justice Concerning the Objective Scope of Application of the Erledigungsprinzip in EU Law
140
4.6.
Subjective Scope of Application of the Guarantees
144
4.6.1.
Introduction
144
4.6.2.
The Subjective Scope of Application of the Guarantees in the Case Law of the European Court of Justice
144
4.7.
Scope of Application Ratione Materiae of the Guarantees
146
4.7.1.
Introduction
146
4.7.2.
The Case Law of the European Court of Justice Concerning the Scope of Application Ratione Materiae of the Guarantees
147
4.8.
Scope of Application Ratione Temporis of the Guarantees
151
4.8.1.
Introduction
151
4.8.2.
The Case Law of the European Court of Justice Concerning the Scope of Application Ratione Temporis of the Guarantees
151
4.9.
Finality (Res Iudicata)
153
4.9.1.
Introduction
153
4.9.2.
The Case Law of the European Court of Justice Concerning the Finality of the Outcome of Proceedings
155
4.10.
Ìdem': The Same Act or Offence
160
4.10.1.
Introduction
160
4.10.2.
The Case Law of the European Court of Justice Concerning the Interpretation of the Element of Idem
161
4.10.3.
The Requirement of Enforcement of the Penalty
170
4.10.4.
The Case Law of the European Court of Justice Concerning the Requirement of Enforcement of the Penalty
170
Chapter Summary
170
ch. 5
The Case Law of the European Court of Human Rights on the Ne Bis In Idem Principle in Art 4 of Protocol 7 ECHR
173
5.1.
This Chapter
173
5.2.
The Substance of the Rules Contained in Article 4P7 ECHR
173
5.2.1.
Introduction
173
5.2.2.
The Substance of the Ne Bis In Idem Principle in the Case Law of the European Court of Human Rights
174
5.3.
The Rationale of the Guarantees Laid Down in Article 4P7 ECHR
177
5.3.1.
Introduction
177
5.3.2.
The Case Law of the European Court of Human Rights Concerning the Rationale of the Guarantees Laid Down in Article 4P7 ECHR
177
5.4.
The Scope of Application Ratione Materiae of Article 4P7 ECHR
178
5.4.1.
Introduction
178
5.4.2.
The Case Law of the European Court of Human Rights Concerning the Scope of Application Ratione Materiae of Article 4P7 ECHR
179
5.5.
The Scope of Application Ratione Temporis of Article 4P7 ECHR
183
5.5.1.
Introduction
183
5.5.2.
The Case Law of the European Court of Human Rights Concerning the Scope of Application Ratione Temporis of the Guarantees
183
5.6.
Finality
184
5.6.1.
Introduction
184
5.6.2.
The Case Law of the European Court of Human Rights Concerning the Finality of the Outcome of the First Proceedings
185
5.7.
Idem
190
5.7.1.
Introduction
190
5.7.2.
The Case Law of the European Court of Human Rights Concerning the Interpretation of ̀the Same Offence' in Article 4P7 ECHR
191
5.8.
Exceptions
201
5.8.1.
Introduction
201
5.8.2.
The Case Law of the European Court of Human Rights Concerning Article 4(2)P7 ECHR
201
Chapter Summary
202
ch. 6
Analysis: The Ne Bis In Idem Principle in the Legal Order of the EU
205
6.1.
A Single Ne Bis In Idem Principle Within the EU Legal Order?
205
6.1.1.
General
205
6.1.2.
Evidence from the Case Law
206
6.1.3.
Will anything Change now that the Charter has become Binding?
207
6.1.4.
Findings: A Single, Autonomous, and Uniformly Applicable General Principle of EU Law
209
6.2.
The Substance of the Ne Bis In Idem Principle
209
6.2.1.
Introduction
209
6.2.2.
Analysis
209
6.2.3.
Findings
211
6.3.
Objective Scope of Application of the Guarantees in EU Law
212
6.3.1.
Introduction
212
6.3.2.
Analysis
213
6.3.3.
Findings
217
6.4.
Subjective Scope of Application of the Guarantees
219
6.4.1.
Introduction
219
6.4.2.
Analysis
219
6.4.3.
Findings
220
6.5.
The Scope of Application Ratione Materiae of the Guarantees
221
6.5.1.
Introduction
221
6.5.2.
Analysis
221
6.5.3.
Findings
222
6.6.
The Scope of Application Ratione Temporis of the Guarantees
223
6.6.1.
Introduction
223
6.6.2.
Analysis
223
6.6.3.
Findings
224
6.7.
Finality (Res Iudicata)
224
6.7.1.
Introduction
224
6.7.2.
Analysis
225
6.7.3.
Findings
228
6.8.
Idem (the same)
230
6.8.1.
Introduction
230
6.8.2.
Analysis
231
6.8.3.
Findings
233
6.9.
The Requirement of Enforcement
233
6.9.1.
Introduction
233
6.9.2.
Analysis
234
6.9.3.
Findings
234
6.10.
Exceptions
235
6.10.1.
Introduction
235
6.10.2.
Analysis
235
6.10.3.
Findings
236
6.11.
A Final Note on the Development of the Ne Bis In Idem Principle Across Different National, International and Supranational Èuropean' Legal Orders
236
Bibliography
239
Table of Cases
249
Index of Legal Provisions
259
Index
261