COMMUNICATION FROM THE COMMISSION TO THE COUNCIL AND THE EUROPEAN PARLIAMENT Updating the handling of relations with the complainant in respect of the application of Union law
Date: 2012-04-02
Institutions: European Commission
Subjects: access to EU information, complaint to the Commission

EUROPEAN COMMISSION 

Brussels, 2.4.2012  
COM(2012) 154 final 

COMMUNICATION FROM THE COMMISSION TO THE COUNCIL AND THE 
EUROPEAN PARLIAMENT 

Updating the handling of relations with the complainant in respect of the application of 
Union law 

 
 
 
 
  
 
COMMUNICATION FROM THE COMMISSION TO THE COUNCIL AND THE 
EUROPEAN PARLIAMENT 

Updating the handling of relations with the complainant in respect of the application of 
Union law 

INTRODUCTION 

The European Union is sustained by  respect for the  rule of law. Its success  in achieving its 
many goals as set out in the Treaties and in legislation depends on the effective application of 
Union law in the Member States. As guardian of the Treaties, the Commission acknowledges 
the vital role played by the complainant in helping the Commission to detect infringements of 
Union  law.  In  2002  the  Commission  set  out  the  procedures  governing  its  relations  with 
complainants  in  respect  of  infringement  of  Union  law1.  Since  then,  the  Commission  has 
improved  and  expanded  its  methods  of  registering  and  treating  correspondence  from 
complainants concerning the application of Union law by the Member States. To reflect these 
changes, the Commission has decided to revise and update its 2002 Communication. 

A  new  IT  tool  CHAP  ("Complaint  handling/Accueil  des  plaignants"),  set  up  in  September 
2009,  allows  the  Commission  to  respond  more  directly  to  the  interests  of  citizens,  business 
and  civil  society.  All  complaints  are  registered  in  this  application.  An  acknowledgement  of 
receipt is sent within fifteen working days of receipt, indicating that the correspondence has 
been  registered  as  a  complaint.  Previously,  correspondence  was  registered  only  after  an 
assessment of its content. The follow-up given to the complaint continues to be guided by the 
nature of the issue raised, the grounds on which it is based, its likely impact and the priorities 
laid  down  by  the  Commission  in  its  Communication  "A  Europe  of  results  –  Applying 
Community law" [COM(2007)502 final]. 

The entry into force of the Treaty on the functioning of the European Union (TFEU) makes it 
necessary to update certain terms of the previous Communication which have been modified 
by the Treaty. There is also a need to clarify divergences in different linguistic versions of the 
previous Communication2. 

The Commission sets out in this Communication the administrative measures for the benefit 
of the complainant with which it undertakes to comply when handling his/her complaint and 
assessing the alleged infringement in question. 

These measures for the benefit of the complainant that are the subject of this Communication 
do not alter the bilateral nature of the infringement procedure laid down by Articles 258 and 
260 TFEU and Article 106a of the EURATOM Treaty. In this respect, the Commission must 
point  out  that,  in  accordance  with  the  established  case-law  of  the  Court  of  Justice  of  the 

1 
2 

COM (2002) 141 final of 20.3.2002. 
In the amended text, the words "le cas échéant" in point 4 which had wrongly been translated by the 
words  "where  necessary"  in  the  EN  version,  are  replaced  by  the  words  "in  such  cases".  The  words 
"upon his request" in point 8 which were not translated into the EN and SE versions are brought back in 
the text. 

EN 

2 

   EN 

 
                                                 
European  Union,  it  enjoys  a  discretionary  power  in  deciding  whether  or  not3  and  when4  to 
commence  infringement  proceedings  and  whether  or  not  and  when5  to  refer  a  case  to  the 
Court. Furthermore, the Commission has a discretion which excludes the right for individuals 
to require it to adopt a specific position6.  

As the Court has had occasion to point out, "damage caused by national institutions (…) can 
only give rise to liability on the part of those institutions, and the national courts retain sole 
jurisdiction  to  order  compensation  for  such  damage"7.  It  is  appropriate  in  this  context  to 
underline  the  importance  and  possibly  strengthen  the  means  of  redress  available  at  national 
level, which enable the complainants to assert their rights more directly and more personally8.  

Finally, in the area of infringement proceedings, the Commission applies the rules on access 
to  documents  laid  down  by  Parliament  and  Council  Regulation  (EC)  No  1049/2001  of  the 
European Parliament and of the Council of 30 May 2001 regarding public access to European 
Parliament, Council and Commission documents9, as implemented by the provisions set out in 
the  Annex  to  Commission  Decision  2001/937/EC,  ECSC,  Euratom  of  5  December  2001 
amending its rules of procedure10 and as interpreted by the Court11. 

3 

4 

5 
6 

7 

8 

9 
10 
11 

See in particular: judgment of 6 December 1989 in Case C-329/88, Commission v Greece [1989] ECR 
4159;  judgment  of 27  November 1990  in  Case  C-200/88, Commission  v  Greece  [1990]  ECR  I  4299; 
judgment of 21 January 1999 in Case C-207/97, Commission v Belgium [1999] ECR I 275; judgment 
of 25 November 1999 in Case C 212/98 Commission v Ireland [1999] ECR I 8571; Judgment of 6 July 
2000 in Case C-236/99, Commission v Kingdom of Belgium, [2000] ECR I-05657. Judgment of 14 May 
2002 in Case C-383/00, Commission v Federal Republic of Germany, [2002] ECR I-04219.  
See judgment of 1 June 1994 in Case C-317/92, Commission v Germany [1994] ECR I 2039; judgment 
of 10 May 1995 in Case C-422/92, Commission v Germany [1995] ECR I 1097. 
See judgement of 6 October 2009 in Case C-562/07, Commission v Spain [2009] ECR I-9553. 
See  judgement  of  14  September  1995  in  Case  T-  571/93;  Lefebvre  and  others  v  Commission  [1995] 
ECR II 2379. 
See judgement of 26 February 1986 in Case 175/84, Krohn & Co. Import – Export Gmbh & Co. KG v 
Commission [1986] ECR 753. 
See also further proposals in this context in Communication "Improving the delivery of benefits from 
EU  environmental  measures:  building  confidence  through  better  knowledge  and  responsiveness," 
[COM(2012)95 final] of 7.3.2012. 
OJ L 145, 31.5.2001, p. 43. 
OJ L 345, 29.12.2001, p. 94. 
See in that respect: judgment of 5 March 1997 in Case T-105/95, Commission v WWF UK,[1997] ECR 
II–313; judgment of 11 December 2001 in Case T-191/99, Commission v Petrie and others [2001] ECR 
II-3677; judgment of 21 September 2010, Sweden and others / API and Commission (C-514/07 P, C-
528/07 P and C-532/07 P). 

EN 

3 

   EN 

 
                                                 
1. Definitions and scope 

“Complaint” shall mean any written approach made to the Commission pointing to measures, 
absence of measure or practices of a Member State contrary to Union law. 

"Complainant" shall mean any person or body who files a complaint with the Commission. 

“Infringement  proceedings”  shall  mean  the  pre  litigation  phase  of  the  procedures  for  non 
compliance  lodged  by  the  Commission  on  the  basis  of  Article  258  of  the  Treaty  on  the 
functioning  of  the  European  Union  (TFEU)  or  Article  106a  of  the  Treaty  establishing  the 
European Atomic Energy Community (Euratom Treaty). 

The  approach  described  here  shall  apply  to  relations  between  complainants  and  the 
Commission  in  connection  with  measures  or  practices  which  could  fall  under  the  scope  of 
article  258  TFEU.  They  shall  not  apply  to  complaints  relating  to  other  Treaty  provisions, 
particularly  complaints  regarding  state  aid  covered  by  Articles  107  and  108  TFEU  or  by 
Council Regulation (EC) No 659/199912. 

2. General principles 

Anyone  may  file  a  complaint  with  the  Commission  free  of  charge  against  a  Member  State 
about any measure (law, regulation or administrative action), absence of measure or practice 
by a Member State which they consider incompatible with Union law.  

Complainants do not have to demonstrate a formal interest in bringing proceedings; neither do 
they have to prove that they are principally and directly concerned by the measure, absence of 
measure or practice complained of.  

Subject  to  the  exceptions  listed  under  point  3,  the  Commission  will  register  the 
correspondence as a complaint according to the indications of its author as they appear from 
the correspondence. 

The Commission may decide whether or not further action should be taken on a complaint. 

3. Recording of complaints 

Any complaint about the application of Union law by a Member State shall be recorded in the 
central  application  for  the  registration  of  complaints  on  the  application  of  Union  law  by  a 
Member State (hereafter referred to as "the application"). 

Correspondence  shall  not  be  investigable  as  a  complaint  by  the  Commission,  and  shall 
therefore not be recorded in the application, if: 

it  is  anonymous,  fails  to  show  the  address  of  the  sender  or  shows  an  incomplete 

– 
address; 

12 

OJ L 83, 27.3.1999, p. 1. 

EN 

4 

   EN 

 
 
                                                 
it fails  to refer, explicitly or implicitly,  to a  Member State  to which  the  measures or 

– 
practice contrary to Union law may be attributed; 

– 
it denounces the acts or omissions of a private person or body, unless the measure or 
complaint  reveals  the  involvement  of  public  authorities  or  alleges  their  failure  to  act  in 
response  to  those  acts  or  omissions.  In  all  cases,  the  Commission  shall  verify  whether  the 
correspondence discloses behaviour that is contrary to the competition rules (Articles 101 and 
102 TFEU); 

– 

it fails to set out a grievance; 

it  sets  out  a  grievance  with  regard  to  which  the  Commission  has  adopted  a  clear, 

– 
public and consistent position, which shall be communicated to the complainant; 

– 

it sets out a grievance which clearly falls outside the scope of Union law. 

4. Acknowledgement of receipt 

The  Commission  shall  issue  an  acknowledgement  of  all  complaints  within  fifteen  working 
days  of  receipt.  This  acknowledgement  shall  state  the  registration  number,  which  must  be 
quoted in any correspondence. 

Where  a  number  of  complaints  are  lodged  in  relation  to  the  same  grievance,  individual 
acknowledgements may be replaced by a publication in the Official Journal of the European 
Union and on the Union's Europa server. 

Where the Commission decides not to register the correspondence in the application, it shall 
notify the author to that effect by ordinary letter setting out one or more of the reasons listed 
in the second paragraph of point 3. 

In such a case, the Commission will inform the complainant of any possible alternative forms 
of  redress,  such  as  recourse  to  national  courts,  the  European  Ombudsman,  a  national 
ombudsman or any other national or international complaints procedure. 

5. Methods of submitting a complaint 

In order to be registered in the application, complaints must be submitted in writing, by letter, 
fax or email. 

They shall be written in one of the official languages of the Union.  

To speed up the processing of complaints, it is recommended to use the standard complaint 
form,  as  published  in  the  Official  Journal  of  the  European  Union13  and  available  from  the 
Commission  on  request  or  on  the  Commission's  website,  on  the  European  Union's  server 
(EUROPA) at the following address: 

http://ec.europa.eu/eu_law/your_rights/your_rights_forms_en.htm. 

13 

OJ C 119, 30.4.1999, p. 5. 

EN 

5 

   EN 

 
                                                 
There  is  an  annex  to  the  form  which  sets  out  the  general  principles  of  infringement 
proceedings  and  stresses  that  any  finding  of  an  infringement  by  the  Court  of  Justice  has  no 
effect on the rights of the complainant. Complainants are also invited, in the annex, to use the 
means of redress available at national level. 

Written complaints about the application of Union law by a Member State may be sent to the 
Commission Secretariat General by post at the address "1049 Brussels, Belgium" or by email 
at  SG-PLAINTES@ec.europa.eu,  or  lodged  with  one  of  the  Commission’s  offices  in  the 
Member States. 

6. Protection of the complainant and personal data 

Disclosure of complainants' identities and information submitted by them to the Member State 
concerned  is  subject  to  their  prior  agreement  and  must  comply,  inter  alia,  with  European 
Parliament and Council Regulation (EC) No 45/2001 of 18 December 2000 on the protection 
of  individuals  with  regard  to  the  processing  of  personal  data  by  the  Community  institutions 
and bodies and on the free movement of such data14. 

7. Communication with complainants 

Following registration, a complaint can be examined further in cooperation with the Member 
State concerned. The Commission will inform the complainant thereof in writing. 

If  subsequently  infringement  proceedings  are  launched  on  the  basis  of  a  complaint,  the 
Commission  will  contact  complainants  and  inform  them  in  writing,  of  each  procedural  step 
(formal notice, reasoned opinion, referral to the Court or closure of the case). 

Where a number of complaints are lodged in relation to the same grievance, individual letters 
may be replaced by a publication in the Official Journal of the European Union and on the 
European Union’s Europa server. 

At  any  point  during  the  procedure  complainants  may  ask  to  explain  or  clarify  to  the 
Commission, on the spot and at their own expense, the grounds for their complaint. 

8. Time limit for investigating complaints 

As  a  general  rule,  the  Commission  will  investigate  complaints  with  a  view  to  arriving  at  a 
decision to issue a formal notice or to close the case within not more than one year from the 
date of registration of the complaint. 

Where  this  time  limit  is  exceeded,  the  Commission  will  inform  the  complainant  in  writing 
upon his request. 

9. Outcome of the investigation of complaints 

After investigating the complaint, the Commission may either issue a formal notice opening 
proceedings against the Member State in question, or close the case definitively. 

14 

OJ L 8, 12.1.2001, p. 1. 

EN 

6 

   EN 

 
                                                 
The  Commission  will  decide  within  its  margin  of  discretion  on  opening  or  terminating  an 
infringement procedure. 

Complainants  will  be  informed  in  writing  of  the  decision  taken  by  the  Commission  in 
connection with their complaint and any subsequent Commission decisions on the matter. 

Where a number of complaints are lodged in relation to the same grievance, individual letters 
may be replaced by a publication in the Official Journal of the European Union and on the 
European Union's Europa server. 

10. Closure of the case 

Unless there are exceptional circumstances requiring urgent measures, where it is envisaged 
that  no  further  action  shall  be  taken  on  a  complaint,  the  Commission  will  give  the 
complainant  prior  notice  thereof  in  a  letter  setting  out  the  grounds  on  which  it  is  proposing 
that the case be closed and inviting the complainant to submit any comments within a period 
of four weeks. 

Where a number of complaints are lodged in relation to the same grievance, individual letters 
may be replaced by a publication in the Official Journal of the European Union and on the 
European Union's Europa server. 

Where  the  complainant  does  not  reply,  or  where  the  complainant  cannot  be  contacted  for 
reasons  for  which  he/she  is  responsible,  or  where  the  complainant’s  observations  do  not 
persuade the Commission to reconsider its position, the case will be closed. 

Where  the  complainant’s  observations  persuade  the  Commission  to  reconsider  its  position, 
investigation of the complaint will continue. 

The  complainant  will  be  informed  in  writing  of  the  decision  of  closure  taken  by  the 
Commission. 

11. Publicising infringement decisions 

Commission decisions on infringement cases are published within one week of their adoption 
on the Secretariat General’s Internet site at the following address: 

http://ec.europa.eu/eu_law/infringements/infringements_decisions_en.htm  

Decisions to deliver a reasoned opinion to a Member State or to refer a case to the Court of 
Justice  will  also  be  publicised  by  means  of  a  press  release,  unless  the  Commission  decides 
otherwise. 

EN 

7 

   EN 

 
 
12. Access to documents on infringement cases 

Access to documents on infringement cases is governed by Regulation (EC) No 1049/2001, as 
implemented by the provisions set out in the Annex to Commission Decision 2001/937/EC, 
ECSC, Euratom15. 

13. Complaint to the European Ombudsman 

Where a complainant considers that, in handling his/her complaint, the Commission has been 
guilty of maladministration by failing to follow any of the above measures, he/she may refer 
the matter to the European Ombudsman under Articles 24 and 228 TFEU. 

15 

OJ L 345, 29.12.2001, p. 94. 

EN 

8 

   EN