University of Warwick institutional repository: http://go.warwick.ac.uk/wrap A Thesis Submitted for the Degree of PhD at the University of Warwick http://go.warwick.ac.uk/wrap/51514 This thesis is made available online and is protected by original copyright. Please scroll down to view the document itself. Please refer to the repository record for this item for information to help you to cite it. Our policy information is available from the repository home page. UNIVERSITÉ PANTHEON-SORBONNE – PARIS I UNIVERSITY OF WARWICK THE JUDICIAL FUNCTION OF REGULATORY AUTHORITIES IN FRANCE AND IN THE UNITED KINGDOM SUMMARY TOME III 6 december 2011 Thomas Perroud Supervisors M. Gérard MARCOU, Professeur à l’Université Panthéon-Sorbonne – Paris I M. John MCELDOWNEY, Professeur à l’Université de Warwick Jury Members: Claudie BOITEAU Professor, Université Paris Dauphine Gabriel ECKERT Professor, Université de Strasbourg Mark FREEDLAND Professor, Saint John’s College, Oxford Gérard MARCOU Professor, Université Panthéon-Sorbonne – Paris I John MCELDOWNEY Professor, University of Warwick Solange MOUTHAAN Associate Professor, University of Warwick Laurent RICHER Professor, Université Panthéon-Sorbonne – Paris I 1 TABLE OF CONTENTS 1. Title: The Judicial Function Of Regulatory Authorities In England And France In The Field Of Utilities ................................................................................................................ 9 2. Why such a research ......................................................................................................... 9 3. Definitions ........................................................................................................................ 10 4. Scope: The Utilities .......................................................................................................... 11 5. The results of the Research ............................................................................................ 11 6. A brief literature review ................................................................................................. 12 7. Methodology & methods ................................................................................................. 14 8. Explanation of the structure and Preliminary Chapter Outline ................................ 16 Chapter 1: History of the regulatory remedies in the United Kingdom and France ....... 24 1.1 The development of licence enforcement in The United Kingdom and France ......... 26 1. The French case law on licence enforcement ........................................................ 26 2. The common law on licence enforcement ............................................................. 27 a. Definition of the notion of licence ..................................................................... 27 b. Enforcement powers under the common law .................................................... 29 3. The developments of administrative enforcement in relation to utilities .............. 30 1.2 Dispute resolution: the emergence of a new power ................................................ 32 1. The legal consequences of the economic revolution in the USA and its consequence in the UK ................................................................................................. 32 2. The emergence and development of a dispute resolution function on question of access in France ............................................................................................................ 35 1.3 The internationalization of regulatory remedies: an increasingly international and European power ................................................................................................................ 37 1. The role of the GATT ............................................................................................ 37 2. The role of the European Union: an increasing interest in the enforcement powers of regulatory authorities and a possible emergence of such a function at European level? ............................................................................................................................ 38 1.4 the further expansion of reguLAtory remedies in the United Kingdom and france 43 2 1. Administrative repression: dramatic expansion .................................................... 43 2. Dispute resolution: expansion and divergence between the United Kingdom and France ........................................................................................................................... 44 Chapter 2: ADministrative enforcement: the English and the French traditions and current developments ............................................................................................................. 46 2.1 Comparative perSPectives on administrative enforcement: common law v continental law traditions ........................................................................................................................ 48 2.2 French and English Administrative Law Traditions: a convergence of the solutions ... 50 1. English tradition exposed ...................................................................................... 50 2. French tradition explained ..................................................................................... 53 3. Administrative enforcement in England and France: from principle to reality, the dark side of legal administrative history ...................................................................... 54 2.2 From convergence to divergence: The French Courts’ response to the contemporary rise of regulatory enforcement powers ........................................................................................ 56 2.3 International courts and administrative enforcement ..................................................... 58 1. The ECt HR and administrative sanctions ............................................................ 58 2. The ECJ and administrative sanctions .................................................................. 59 2.4 courts and dispute resolution: the story of a silence ....................................................... 61 1. The common law position ..................................................................................... 61 2. The French position ............................................................................................... 62 Chapter 3: The Rationale for Regulatory Remedies ........................................................... 64 3.1 The shortcomings of private law (contract propErty and tort law) ................................ 65 1. Contract law and regulation: the elements of the conflicts ................................... 65 a. Regulation, contract law and the problem of power .......................................... 65 b. Regulation, contract law and the problem of refusals to deal ........................... 67 c. Regulation, contract law and the problem of determining the content of the contract ..................................................................................................................... 68 2. Tort law and regulation: inadequacies .................................................................. 70 3. Property law and regulation: contradiction, dispute resolution and new property arrangements ................................................................................................................ 72 3.2 The shortcomings of criminal law ............................................................................... 74 3.3 The shortcomings of competition law ............................................................................ 76 3 3.4 the problems inherent to civil and common law legal systems ...................................... 79 3.5 THE SHORTCOMINGS OF COURTS ......................................................................... 80 3.6 The ideological explanations: the influence of the Law & Economics movement ........ 83 Chapter 4: Definition and Scope of Regulatory enforcement decisions ............................ 86 4.1 The nature of regulatory remedies: the notion of administrative adjudication in comparative English and French administrative law ........................................................... 88 1. Administrative decisions under French administrative law .................................. 88 2. Administrative decisions under English administrative law ................................. 89 3. Comparative comments ......................................................................................... 90 4. The problem with dispute resolution decisions ..................................................... 91 4.2 The definition and scope of administrative penalties: in search of a definition ............. 93 1. Administrative penalties in French administrative law ......................................... 93 2. Administrative penalties in English administrative law: in search of a definition 93 a. The definition in other common law jurisdictions ............................................ 94 b. A definition of administrative penalties in English law .................................... 95 3. Administrative penalties under the ECHR ............................................................ 97 4.3 The definition and scope of access dispute resolution ................................................ 99 1. The existence of a dispute ..................................................................................... 99 2. A question