4.6 Legitimate expectations
The principle of legitimate expectations, while not explicitly mentioned in the Treaties, is a well-established general principle of EU law as elaborated by the CJEU.(1) See, for example, Case C-369/09 P ISD Polska and Others v. Commission EU:C:2011:175, para. 122; case C-107/97 Rombi and Arkopharma EU:C:2000:253, para. 65 It ensures that stakeholders (such as EU RO’s) can trust the consistent and predictable application of EU regulations. Under CJEU case law, when competent authorities provide precise and unconditional assurances, those concerned may reasonably rely on them.(2) Case C‑119/19 P and C‑126/19 P Commission and Council v Carreras Sequeros and Others EU:C:2020:676; Case C‑566/14 P Marchiani EU:C:2016:437; Joined Cases C‑182/03 and C‑217/03 Belgium and Forum 187 EU:C:2006:416; Case C‑321/09 P Greece v Commission EU:C:2011:218. Hence, EU institutions must honour the expectations that stakeholders have, arising from clear and consistent regulatory frameworks.
In the context of the mutual recognition scheme under Regulation (EC) No 391/2009, this ensures that EU ROs and other stakeholders should be able to trust that the harmonisation of standards will be applied uniformly and transparently. Significant deviations or uncertainties in the implementation of mutual recognition could undermine legitimate expectations, leading to legal uncertainties and reduced confidence in the regulatory framework.
First, established practices, EU ROs and other stakeholders have developed systems, invested in infrastructure, and trained personnel based on Article 10(1)’s current structure. Fundamental changes may erode the value of that investment and disrupt well-established practices.
Second, the global nature and long-term investments of the maritime mean the industry expects regulatory stability. Frequent or substantial amendments can impede planning and investment.
In any event, if changes are necessary, they should involve transparent processes and stakeholder consultation to respect legitimate expectations. While EU legislation may be amended, such changes must be justified, proportionate, and devised in a manner that respects all parties’ interests. Otherwise, an expansion of mutual recognition might contravene the principle of legitimate expectations.