Substantive Principles in Public Administration

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Questions and Answers

What do substantive principles emphasize in public administration?

  • The transparency of procedures
  • The speed of decision-making
  • The content of decisions (correct)
  • How decisions are made

What is one of the roles of courts in the context of substantive principles?

  • To provide advisory opinions on laws
  • To enforce the limits of governmental powers (correct)
  • To accelerate governmental procedures
  • To bypass legal frameworks

Which of the following statements least reflects the importance of the Rule of Law?

  • It aims to pursue public goals and interests.
  • It helps maintain limits on governmental powers.
  • It binds administration to act according to the law.
  • It allows administrations to act without restrictions. (correct)

Which principle suggests that there should be limitations on government power?

<p>The principle of substantive justice (B)</p> Signup and view all the answers

What is a fundamental concern of substantive principles regarding governmental decisions?

<p>They must not be incorrect, unjust, or unreasonable. (D)</p> Signup and view all the answers

What principle requires that the administration's competence to act must have a basis in legislation?

<p>Legality Principle (D)</p> Signup and view all the answers

What is a core characteristic of the Rule of Law regarding government actions?

<p>Legal limits should be placed on government actions. (C)</p> Signup and view all the answers

According to the content, who has sovereignty according to the Rule of Law?

<p>The people (D)</p> Signup and view all the answers

Which article of the TFEU outlines the jurisdiction of the Court in relation to actions taken by EU institutions?

<p>Article 263(2) TFEU (B)</p> Signup and view all the answers

What must governments refrain from violating according to the Rule of Law?

<p>Basic rights of individuals (A)</p> Signup and view all the answers

What concept is described as the notion that administration should be procedurally and substantively accountable before the courts?

<p>Rule of Law (D)</p> Signup and view all the answers

What role does legislation play in relation to the administration's powers?

<p>It sets both the powers and the limits conferred upon the administration. (C)</p> Signup and view all the answers

Which of the following best describes the responsibility of governments under the Rule of Law?

<p>They should only act within the powers granted by law. (C)</p> Signup and view all the answers

What does the principle of legal certainty require in EU law?

<p>Individuals should clearly discern their rights and obligations. (A)</p> Signup and view all the answers

What effect does the principle of legal certainty generally have on Community measures?

<p>Precludes them from taking effect before their publication. (A)</p> Signup and view all the answers

Under what condition can EU law have retroactive effect?

<p>If the legislature's intention is clear and respects legitimate expectations. (C)</p> Signup and view all the answers

Which article outlines the non-retroactive effect of EU legislative acts?

<p>Article 297(1) TFEU (A)</p> Signup and view all the answers

In which case was the necessity of clear rules for individuals emphasized?

<p>Case C-308/06 Intertanko v Secretary of State for Transport (A)</p> Signup and view all the answers

What should happen if a legislative act does not specify an entry into force date?

<p>It takes effect twenty days after its publication. (C)</p> Signup and view all the answers

Which term refers to the expectation individuals have regarding legal consequences of their actions?

<p>Legitimate expectations (C)</p> Signup and view all the answers

What must be respected for retroactive effect to be justified under EU law?

<p>The legitimate expectations of those affected. (C)</p> Signup and view all the answers

What does the principle of proportionality imply regarding the disadvantages caused by actions taken?

<p>They must not be disproportionate to the aims pursued. (D)</p> Signup and view all the answers

In what context is marginal review applied by the CJEU?

<p>In areas with wide legislative discretion. (C)</p> Signup and view all the answers

Under Article 191(2) TFEU, what is the primary focus of Union policy on the environment?

<p>Maintaining a high level of protection (D)</p> Signup and view all the answers

Which statement best describes the precautionary principle in EU law?

<p>It is a framework for managing risks with scientific uncertainty. (B)</p> Signup and view all the answers

What are the key components of risk assessment under the precautionary principle?

<p>Hazard identification, exposure appraisal, and risk characterization. (B)</p> Signup and view all the answers

What does the precautionary principle allow EU institutions to do in uncertain situations?

<p>Justify protective measures. (B)</p> Signup and view all the answers

What must measures based on the precautionary principle ensure according to their guidelines?

<p>They are non-discriminatory and proportional. (A)</p> Signup and view all the answers

The Pfizer case is a significant example concerning which aspect of EU law?

<p>Health risks related to antibiotic additives. (C)</p> Signup and view all the answers

Which principle requires that measures taken by EU institutions do not exceed necessary limits to achieve legislative objectives?

<p>Principle of Proportionality (A)</p> Signup and view all the answers

What is a key requirement for a valid cancellation or revocation of an administrative decision under the principle of legitimate expectations?

<p>Justifiable reliance on the measure (D)</p> Signup and view all the answers

According to the three-step proportionality test, what is the least restrictive means criterion focused on?

<p>Choosing the measure that imposes the least burden (A)</p> Signup and view all the answers

When can unlawful acts be revoked within EU law?

<p>Provided the revocation occurs in a reasonable time and considers reliance (B)</p> Signup and view all the answers

What does the principle of legitimate expectations prioritize when there is a conflict?

<p>Protection of individual expectations over Union interests (B)</p> Signup and view all the answers

What is the focus of the appropriateness criterion in the proportionality test?

<p>The measure's effectiveness in achieving set objectives (D)</p> Signup and view all the answers

In which case was the principle of legitimate expectations recognized as a general principle of EU law?

<p>Case 111/63 Lemmerz-Werke ECR 883 (D)</p> Signup and view all the answers

What is required for the annulment of an act that is deemed unlawful under EU law?

<p>Withdrawal must consider how affected parties relied on the lawfulness (A)</p> Signup and view all the answers

Flashcards

Substantive Principles in Admin.

Focuses on the content of governmental decisions, examining if they are correct, just and reasonable, understanding the specific limits on government powers.

Rule of Law in Admin.

Administrative actions must always be constrained by laws, typically passed by legislatures or similarly legal bodies. Courts have a role checking government excesses.

Substantive Limits on Govt.

There are inherent limitations to what governments can do even if they follow correct processes (procedure).

Motivation for Challenging Decisions

Decisions made by government bodies can and should be challenged when incorrect, unjust, or unreasonable; This involves ensuring government bodies know their power limitations.

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Core Elements of Rule of Law

Common requirement across European systems: governmental actions are always bound by the law, regardless of procedural compliance.

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Rule of Law

A system where government actions are always bound by law and individuals have protected rights. Power is limited, stemming from the people.

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Legality Principle

The administration can only act if there's a legal basis for its actions. The legislature gives power and sets limits.

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Administrative Decisions

Even basic decisions made by the government must follow the rule of law and be based on the law.

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Sovereignty Lies with the People

In a democracy, ultimate power resides with the citizens, and the government can only act based on the authority given to it.

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Government Actions

Government actions must always be within the boundaries set by law. This includes all levels of decision-making.

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Legal Limits on Government

The rule of law ensures that government actions are constrained by written laws, protecting individual rights and preventing abuse of power.

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EU Rule of Law

The European Union considers the rule of law essential, with courts ensuring administrative accountability.

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Accountability

The administration must be answerable to the courts for its actions, ensuring procedural fairness and legal conformity.

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Legal Certainty Principle

A core EU law principle requiring clear and precise rules, allowing individuals to easily understand their rights and obligations.

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EU Law's Binding Effect

Legal acts published in the EU's Official Journal take effect on the specified date or 20 days after publication.

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Legal Certainty and Retroactive Effect

Generally, EU law cannot be applied retroactively, meaning it cannot affect events that happened before it was published.

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Exceptions to Retroactive Effect

There are exceptions when EU law can be applied retroactively if the purpose requires it, and it respects legitimate expectations.

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Legitimate Expectations in Retroactive Laws

When EU law is applied retroactively, individuals' rights and interests must be considered to ensure fair treatment.

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Balancing Public vs. Private Interest

In cases of retroactive effect, the public interest in the new law is balanced against the individual's interest in the existing legal situation.

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Legislative Intention in Retroactive Law

For EU law to be applied retroactively, it must be clear that the legislature intended this from the law's wording or its general scheme.

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Retroactive Effect Justification

Exceptions to retroactive application only exist if the purpose of the law demands it, and it respects legitimate expectations.

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Revocation of Lawful Acts

In general, EU laws that were validly created cannot be canceled or revoked.

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Revocation of Unlawful Acts

Invalid EU regulations can be withdrawn if done within a reasonable time and considering the reliance of those affected.

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Legitimate Expectations

EU citizens have a right to rely on valid EU laws and decisions, creating expectations that should be protected.

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Requirements for Legitimate Expectations

To prove legitimate expectations, one must show they justifiably relied on the law or decision and were directly affected by it.

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Proportionality Principle

EU actions should be no more extensive than necessary to achieve the stated goals.

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Proportionality Three-Step Test

EU actions must be (1) appropriate to the goal, (2) the least restrictive method, and (3) balanced against any negative impacts.

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Appropriateness in Proportionality

EU actions must be suitable and relevant to achieve the intended objectives.

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Least Restrictive Means in Proportionality

When multiple ways exist to achieve an EU goal, the option causing the least burden should be chosen.

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Marginal Review vs. Full Review

Two levels of judicial review. Marginal review gives more deference to the decisions of administrative bodies with wide discretion, while full review applies when the body has limited discretion or fundamental rights are involved.

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Principle of Proportionality in EU Law

The principle applies to all EU actions, ensuring that any limitations on fundamental rights are justified and necessary, and the burden imposed is proportionate to the objective sought.

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Precautionary Principle

A principle used to manage risks, especially in environmental and health matters, where scientific certainty is lacking but potential harm exists. It justifies taking protective measures even with incomplete information.

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Precautionary Principle Application

Applied in situations with scientific uncertainty. It is a 'shield' for regulators to take protective actions based on potential risks, balancing protection with economic considerations.

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Precautionary Principle Components

It involves a thorough risk assessment, including hazard identification, characterization, exposure appraisal, and risk characterization. This process must be based on sound scientific data and be transparent.

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EU Actions and Precautionary Principle

Measures taken based on the precautionary principle must be proportionate, non-discriminatory, and consistent. They should also balance societal risks and economic impacts, prioritizing public health.

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Precautionary Principle: Case Example

The Pfizer case involved antibiotic additives in animal feed, highlighting the precautionary principle's use in managing potential health risks despite incomplete scientific certainty.

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Study Notes

Substantive Principles

  • This week's focus is on the content of decisions, not how they are made.

Procedural and Substantive

  • Last week covered Good Administration, Duty to Give Reasons, and Transparency.
  • This week shifts to the substance: the actual content of decisions.

Procedural and Substantive (continued)

  • Very few people believe governments should be unchecked
  • Governments have limits on what they can do, even if following procedures.
  • Rule of law means courts act as a check on government overreach.

Substantive Principles: Motivation

  • It's important to challenge unreasonable government decisions.
  • Decision-makers must understand limits of governmental power.

Quotes

  • "Public administration must respect the purposes and limits set down in laws...into the arbitrary action of tyrannical despots. The task of courts is to enforce those limits." (Bignami)
  • "All persons and authorities within the state...should be bound by and entitled to the benefit of laws...publicly administered in the courts." (Lord Bingham)

Rule of Law

  • Governments' powers are derived from the people.
  • Governmental actions must be within legal limits.
  • Legal powers extend to basic administrative decisions.

Rule of Law (continued)

  • Administration operates within bounds set by the legislature.
  • Legal basis for administrative action is required. (Legality Principle)
  • Legislation establishes the limits of administrative power.

Rule of Law: EU

  • Administration should be accountable through courts in both procedural and substantive matters. (Paul Craig)
  • Article 263(2) TFEU: Courts can rule on issues of competence, process, treaty compliance, or misuse of power in EU cases.
  • Article 19(2) TEU: European Court of Justice ensures treaties are correctly applied.
  • EU law requires clear, precise rules allowing individuals to easily understand their rights/obligations.
  • Case C-308/06, The Queen... emphasizes clear rules for individuals.
  • Cases such as Case C 55/91 highlight the importance of legal certainty in EU law.
  • EU law must not be retroactive unless legitimate and in public interest (Exceptions exist).
  • Article 297(1) TFEU: Legislative acts published; are enforced on specified dates (no retroactive effect).
  • Legitimate expectations should be respected in cases of exceptionally needed retroactive effect.
  • Case 98/78 Racke: Exceptions are possible.
  • Case T-357/02 emphasizes a balancing test.

The Rule of Law – EU

  • Revoking lawful acts is unusual. (Principle of Stability)
  • Revoking unlawful acts within a reasonable timeframe, and with consideration for affected individuals is permissible.
  • Cases such as Lagardere and Canal+ v Commission highlight exceptions and the balancing act needed,

The Principle of Legitimate Expectations

  • A general principle in EU law, vital when admin decisions change or are invalidated.
  • Justifiable reliance by individuals is essential (established cases).
  • Affected interests must be considered, given that a priority.

Principle of Proportionality

  • Article 5(4) TEU: EU action should not exceed what’s necessary for Treaty objectives.
  • CJEU recognized proportionality before formalization.
  • EU Institutions, Member States, etc, use proportionality.
  • Measures balancing public good and individual rights/interests are required (wide use by courts).

Principle of Proportionality (continued)

  • The three-step test: Appropriateness, Least Restrictive Measure, Balancing.
  • Case examples: (C-260/89 ERT v DEP), (C-343/09 Afton Chemical).

Principle of Proportionality (Judicial Review)

  • Marginal review examines broad legislative discretion. (focus on manifest errors)
  • Full review is used in cases with limited discretion. (cases impacting fundamental freedoms or member state laws are subject to stricter review)

Precautionary Principle

  • Becoming prominent, particularly in environmental and public health contexts
  • Addressing risk when scientific certainty is still lacking but harm potential is high.
  • Applies in legal cases like Pfizer & Artegodan.
  • Legal cases show the application goes beyond environmental policy, potentially relevant to various areas.

Precautionary Principle (continued)

  • EU action review for protective measures (when risks are unknown).
  • Scientific assessments for balancing protection and economics are used.
  • Risk assessments are through; data-driven and transparent.
  • The cases Pfizer & Artegodan demonstrate cases.

Precautionary Principle (Risk Assessment)

  • Incorporates hazard identification, characterization, exposure appraisal, and risk characterization.
  • Ensures data-driven decision-making; transparency.
  • Impacts from measures must be proportional and consistent.
  • Prioritizes public health over the potential economic effects.

Precautionary Principle (Case Examples)

  • Pfizer concerned antibiotic additives in animal feed.
  • Artegodan concerned withdrawal of unsafe medicinal products.
  • Monsanto involved regulating genetically modified foods.

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