Legal and institutional aspects of the European Anti-Fraud Office (OLAF) : an analysis with a look forward to a European public prosecutor's office / J.F.H. Inghelram.
2011
KJE7475 .I55 2011 (Map It)
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Title
Legal and institutional aspects of the European Anti-Fraud Office (OLAF) : an analysis with a look forward to a European public prosecutor's office / J.F.H. Inghelram.
Published
Groningen : Europa Law Pub., [2011]
Copyright
©2011
Call Number
KJE7475 .I55 2011
ISBN
9789089521002 (cloth : alk. paper)
9089521003 (cloth : alk. paper)
9089521003 (cloth : alk. paper)
Description
xxi, 308 pages ; 25 cm
System Control No.
(OCoLC)696098993
Bibliography, etc. Note
Includes bibliographical references (pages 290-298) and index.
Record Appears in
Gift
Purchased from the income of the Szladits Fund
Gift
The Arthur W. Diamond Law Library
Purchased from the income of the Szladits Fund
Table of Contents
Acknowledgements
vii
Contents
ix
Abbreviations
xviii
Defined Terms
xx
Introduction
3
ch. I
The Protection of the EU's Financial Interests
1.
The Origins
7
2.
The Draft Treaty of 1976
7
3.
The Creation of UCLAF
10
4.
Case 68/88, Commission v. Greece
12
5.
The Treaty of Maastricht
13
5.1.
Article 209a TEC
13
5.2.
Judicial Cooperation in Criminal Matters
14
6.
The PFI-Convention
16
7.
The PFI-Regulation
19
7.1.
Scope and Contents
19
7.2.
Purely Administrative or (Quasi-) Criminal Penalties?
22
8.
The Treaty of Amsterdam
25
8.1.
A Specific Legal Basis for PFI-Measures
25
8.2.
Judicial Cooperation in Criminal Matters
27
8.3.
Article 280(4) TEC and the Issue of an EC Competence in Criminal Matters
28
8.3.1.
General Points
28
8.3.2.
Earlier Discussions
28
8.3.3.
Cases C-176/03 and C-440/05, Commission v. Council
30
8.3.4.
EC Competence in Criminal Law Matters in the PFI-Context
31
8.3.5.
The PFI-Convention Revisited
32
9.
The Treaty of Nice
35
10.
The Treaty of Lisbon
35
10.1.
Article 325 TFEU (ex-Article 280 TEC)
35
10.2.
Judicial Cooperation in Criminal Matters
35
10.3.
The Role of Articles 83(2) TFEU and 325(4) TFEU as a Legal Basis for Adopting Criminal Law Measures in the PFI-Context
38
10.4.
The PFI-Convention Revisited Again
41
11.
Some Intermediate Concluding Remarks
42
ch. II
The Creation of OLAF
1.
The Broader Context: The 1999 Political Crisis
47
2.
The OLAF Specific Context
51
3.
Some Intermediate Concluding Remarks
53
ch. III
OLAF Legal Instruments
1.
Decision, Regulation and Interinstitutional Agreement
57
2.
OLAF Manual
58
3.
Some Intermediate Concluding Remarks
59
ch. IV
OLAF's Competences
1.
Scope of OLAF's Investigative Competences
63
1.1.
OLAF-Decision
63
1.2.
OLAF-Regulation
63
2.
External Investigations
65
2.1.
Generally Applicable Rules
65
2.1.1.
Conduct of Investigations
65
2.1.2.
Confidentiality and Data Protection
68
2.1.3.
Transparency and Access to Documents
69
2.2.
Special Cases
70
2.2.1.
Direct Management of EU Expenditure by the Commission
70
2.2.1.1.
General Rule: No Separate Rules on OLAF's Investigative Competences where Direct Management of EU Expenditure is concerned
70
2.2.1.2.
Possible Exception to the General Rule
73
2.2.2.
Third Countries
74
2.3.
Powers of Investigation
75
2.3.1.
Council Reg. No 2185/96
75
2.3.1.1.
General Points
75
2.3.1.2.
Relationship to the PFI-Regulation
76
2.3.1.3.
Relationship to the Sectoral Rules
78
2.3.1.4.
Contents
79
2.3.2.
Enforcement of Powers of Investigation
83
2.3.2.1.
Absence of Means of Enforcement for OLAF/Duty of Assistance on the Member States
83
2.3.2.2.
Extent of Member State Control over the Exercise by OLAF of its Powers of Investigation
84
2.3.3.
Fundamental Right to Privacy Issues
88
2.3.3.1.
Applicable Law
88
2.3.3.2.
Right to Respect for One's Home
90
2.3.3.3.
Right to Respect for One's Correspondence and Communications
90
3.
Internal Investigations
92
3.1.
A Multi-Level Legal Basis for Internal Investigations
92
3.2.
Treaty of Lisbon: Reinforcement of the Legal Basis for Internal Investigations by OLAF?
96
3.3.
Powers of Investigation
97
3.3.1.
Substance
97
3.3.1.1.
Access to Information and to Premises
97
3.3.1.2.
Duty to cooperate with OLAF and Duty to supply Information
98
3.3.2.
Enforcement of Powers of Investigation
100
3.3.3.
Incidence of the Protocol on Privileges and Immunities
101
3.3.4.
Fundamental Right to Privacy Issues
103
3.3.4.1.
Applicable rules
103
3.3.4.2.
Right to Respect for One's Home
104
3.3.4.3.
Right to Respect for One's Correspondence and Communications
105
4.
Forwarding of Information by OLAF to National Authorities
107
5.
Administrative or (Quasi-) Criminal Investigative Competences?
109
6.
Cooperation with...
111
6.1.
National Authorities
111
6.1.1.
Search for an Overall Concept
111
6.1.2.
Subsidiarity
111
6.1.3.
Partnership
112
6.2.
EU Institutions and Bodies
113
6.2.1.
Overview
113
6.2.2.
The ECA
113
6.2.3.
Europol
114
7.
Other OLAF Tasks
115
7.1.
Overview
115
7.2.
Importance of the Distinction between OLAF's Investigative Function and its other Tasks
117
8.
Some Facts and Figures
118
8.1.
General Points
118
8.2.
Opening Decisions
118
8.3.
Closing Decisions
121
8.4.
Judicial Follow-Up
122
8.5.
Financial Recovery
123
9.
Some Intermediate Concluding Remarks
123
ch. V
Rights of the Defence of Persons under Investigation by OLAF
1.
General Points
129
2.
Right to be Heard and Right of Access to the File
129
2.1.
Plurality of Relevant Sources
129
2.2.
External Investigations
130
2.2.1.
OLAF Manual
130
2.2.2.
National Rules on the Rights of the Defence
131
2.2.3.
The EU Fundamental Principle of the Rights of the Defence and the Charter of Fundamental Rights of the EU
131
2.2.3.1.
General Case-Law on the EU Fundamental Principle of the Rights of the Defence
131
2.2.3.2.
OLAF related Case-Law
132
2.2.3.3.
The Double Meaning of the Notion of "Measure adversely affecting" a Person
132
2.2.3.4.
The Fact that OLAF Investigative Acts result in Reports
133
2.2.3.5.
The Fact that a Decision is taken subsequently by another Authority
134
2.2.3.6.
The Consequences of being under Investigation...
134
2.2.3.7.
...versus the Effectiveness of the Investigation
136
2.2.3.8.
The Charter of Fundamental Rights of the EU
137
2.2.3.9.
The Right to be Heard under the Charter
137
2.2.3.10.
The Right of Access to the File under the Charter
140
2.2.3.11.
OLAF Revisited
142
2.2.3.12.
Consequences of a Violation of the Rights of the Defence
145
2.3.
Internal Investigations
146
2.3.1.
Decision adopted by each EU Institution or Body
146
2.3.2.
Other Sources
148
2.3.2.1.
OLAF Manual
148
2.3.2.2.
National Rules on the Rights of the Defence
148
2.3.2.3.
The EU Fundamental Principle of the Rights of the Defence and the Charter of Fundamental Rights of the EU
149
3.
The Right to be Informed
150
3.1.
General Sources
150
3.2.
OLAF Legal Instruments
151
3.3.
Comparison with Competition Law
152
4.
Other Article 6 ECHR related Rights of the Defence
154
4.1.
Right to Assistance of a Legal Counsel
154
4.1.1.
General Sources
154
4.1.2.
OLAF Legal Instruments
156
4.2.
The Presumption of Innocence
158
4.3.
The Right not to incriminate oneself and the Right to remain silent
159
4.4.
The Reasonable-Time Requirement
160
4.4.1.
Overview
160
4.4.2.
Consequences of a Violation of the Reasonable-Time Requirement
162
4.4.2.1.
On the EU Level
162
4.4.2.2.
On the National Level
164
4.5.
Impartiality
165
5.
Some Intermediate Concluding Remarks
166
ch. VI
Organisation and Institutional Position of OLAF
1.
Director
171
2.
Supervisory Committee
173
3.
The Position of OLAF as a Commission Service
174
3.1.
Hybrid Structure
174
3.2.
Positive Effects
174
3.3.
Questions...
175
3.3.1.
...in relation to Delegation: of Authority or of Powers?
175
3.3.1.1.
General Points
175
3.3.1.2.
Delegation of Authority?
175
3.3.1.3.
Delegation of Powers?
176
3.3.1.4.
Focal Point Supervision
178
3.3.2.
...in relation to Judicial Review
179
3.3.3.
...in relation to the Delimitation of Powers and Responsibilities
181
3.4.
Possible Alternative Structures
182
3.4.1.
General Points
182
3.4.2.
OLAF as a Satellite Agency
183
3.4.3.
OLAF as a part of the ECA
183
3.4.4.
OLAF as a body mentioned in the Treaty
184
3.5.
Challenges raised by an Independent OLAF
184
4.
Some Intermediate Concluding Remarks
185
ch. VII
Supervision of OLAF
1.
Relevance of the Issue
189
2.
Tentative Criteria for Adequate Supervision
191
3.
Existing Forms of (Non-Judicial) Supervision of OLAF
192
3.1.
The Supervisory Committee
192
3.1.1.
Independence of OLAF v. Supervision of OLAF: Balance in favour of the Former
192
3.1.2.
Case-law
192
3.1.3.
Expressions of Discomfort
193
3.1.4.
Proposals for a Change of the Current Situation
194
3.2.
Other Forms of (Non-Judicial) Supervision
195
3.2.1.
The European Parliament, the Council and the Commission
195
3.2.2.
The ECA
196
3.2.3.
The European Ombudsman
197
3.2.4.
The European Data Protection Supervisor
197
3.2.5.
The President or Secretary-General of an EU Institution or Body
198
3.2.6.
The Review Adviser
198
4.
Some Intermediate Concluding Remarks
200
ch. VIII
Judicial Review of OLAF Investigative Acts
1.
General Points
203
2.
Direct Judicial Review
203
2.1.
Action for Annulment
203
2.1.1.
General Trend: Inadmissibility of an Action for Annulment against an OLAF Investigative Act
203
2.1.2.
Tentative Exception to the General Trend
206
2.1.3.
Some Further Reflections
208
2.1.3.1.
Comparison with Competition Law
208
2.1.3.2.
Fundamental Rights
210
2.1.3.3.
Protocol on Privileges and Immunities
214
2.1.4.
Preceding Administrative Procedure
215
2.1.5.
The Action for Annulment and the Issue of Adequate Supervision
216
2.2.
Action for Damages
217
2.2.1.
General Points
217
2.2.2.
Preceding Administrative Procedure
218
2.2.3.
The Action for Damages and the Issue of Adequate Supervision
220
2.3.
Interim Relief
220
2.3.1.
General Points
220
2.3.2.
Interim Relief in the Framework of Actions for Annulment
221
2.3.3.
Interim Relief in the Framework of Actions for Damages
222
2.3.4.
Interim Relief and the Issue of Adequate Supervision
225
3.
Indirect Judicial Review
225
3.1.
General Points
225
3.2.
Indirect Judicial Review by an EU Court
225
3.3.
Indirect Judicial Review by a National Court
226
3.3.1.
The Preliminary Ruling Procedure: Cooperation between National Courts and the ECJ
226
3.3.2.
Interpretation of an OLAF (-related) Act
227
3.3.3.
Validity of an OLAF (-related) Act
227
3.3.4.
Indirect Judicial Review by a National Court and the Issue of Adequate Supervision
229
4.
The Fundamental Right to an Effective Remedy
230
5.
Some Intermediate Concluding Remarks
230
ch. IX
A Look Forward to a European Public Prosecutor's Office
1.
General Points
237
2.
Brief Historical Overview
238
2.1.
The Corpus Juris
238
2.2.
The Committee of Independent Experts
239
2.3.
The Commission's Proposal for the Treaty of Nice
240
2.4.
The Commission's Green Paper
240
2.5.
The Treaty establishing a Constitution for Europe
241
2.6.
The Treaty of Lisbon
242
2.7.
The Stockholm Programme
243
3.
The Step to an EPPO: Eurojust
243
3.1.
The Creation of Eurojust
243
3.2.
Treaty Provision and Legal Instruments
245
3.2.1.
Article 85 TFEU
245
3.2.2.
The Eurojust-Decision
245
3.2.2.1.
Overview
245
3.2.2.2.
Possible effects of the Eurojust-Decision in the National Legal Order: Obligation of Conforming Interpretation?
245
3.3.
Competences
247
3.3.1.
Overview
247
3.3.2.
Absence of Power to Investigate
248
3.3.3.
Legal Effect on Member States
248
3.4.
Organisation
249
3.5.
Supervision
250
3.6.
Judicial Review
251
3.6.1.
National Courts
251
3.6.2.
EU Courts
252
3.7.
Relationship with OLAF
253
3.7.1.
Cooperation between Eurojust and OLAF
253
3.7.2.
OLAF Investigative Competence in Relation to Eurojust
254
4.
Relevance of OLAF for an EPPO
256
4.1.
General Points
256
4.2.
Legal Instruments defining the Investigative Competences of an EPPO
256
4.3.
Investigative Competences of an EPPO
257
4.3.1.
Extent
257
4.3.2.
Enforcement
259
4.4.
Rights of the Defence of Persons under Investigation by an EPPO
259
4.5.
Organisation of an EPPO
261
4.5.1.
Decentralised Structure
261
4.5.2.
Legal Personality?
261
4.5.3.
An EPPO and the Relationship between the EU and the Member States
262
4.6.
Supervision of an EPPO
263
4.7.
Judicial Review of (Investigative) Measures of an EPPO
263
4.7.1.
Uncontested Principle
263
4.7.2.
Possible Competent Court(s)
264
4.7.2.1.
Special (chamber of an) EU Court?
264
4.7.2.2.
National Court?
265
4.7.2.3.
Judicial Review under the Current EU Courts' System?
267
4.7.3.
Some Hypothetical Examples
268
4.7.3.1.
House Search
268
4.7.3.2.
Committal for Trial
270
5.
Relevance of an EPPO for OLAF
270
5.1.
General Points
270
5.2.
An EPPO as a Supervisor of OLAF
271
5.3.
An EPPO Absorbing OLAF
271
6.
Some Intermediate Concluding Remarks
273
Conclusion
1.
OLAF's Characteristics
277
2.
A Short-Term Approach
279
3.
A Long-Term Approach
279
Table of Cases
282
Bibliography
290
Index
300
Nederlandstalige samenvatting
305