Hostname: page-component-848d4c4894-wzw2p Total loading time: 0 Render date: 2024-05-21T18:25:17.747Z Has data issue: false hasContentIssue false

Delegation, Compliance, and Judicial Decision Making in the Court of Justice of the European Union

Published online by Cambridge University Press:  21 October 2022

Sivaram Cheruvu*
Affiliation:
University of Texas at Dallas, USA
Jay N. Krehbiel
Affiliation:
West Virginia University, USA
*
Contact the corresponding author, Sivaram Cheruvu, at sivaram.cheruvu@utdallas.edu.

Abstract

Courts regularly delegate tasks to individual or small subsets of judges. While a substantial literature addresses delegation in the context of American courts, less is known about why and how courts delegate from a comparative perspective. With many of the world’s high courts using panel systems (also known as “chambers”) by which the court delegates cases to subsets of judges, this limitation of the extant literature leaves a number of empirical and theoretical questions unanswered. We argue that the threat of noncompliance presents one factor influencing a court’s delegation of cases to panels. From our expectation that a court will not delegate cases with a greater risk for noncompliance to panels, we then derive empirical implications for case disposition and a court’s willingness to rule contrary to the legal merits in a case. We analyze panel usage at the Court of Justice of the European Union to support our account.

Type
Articles
Copyright
© 2022 Law and Courts Organized Section of the American Political Science Association. All rights reserved.

Access options

Get access to the full version of this content by using one of the access options below. (Log in options will check for institutional or personal access. Content may require purchase if you do not have access.)

Footnotes

Data and supporting materials necessary to reproduce the numerical results in this article can be found in the JLC Dataverse at https://dataverse.harvard.edu/dataset.xhtml?persistentId=doi:10.7910/DVN/JJXMZW.

References

Alesina, Alberto, and Eliana La Ferrara. 2014. “A Test of Racial Bias in Capital Sentencing.American Economic Review 104 (11): 3397–433.CrossRefGoogle Scholar
Alter, Karen J. 2001. Establishing the Supremacy of European Law: The Making of an International Rule of Law in Europe. Oxford: Oxford University Press.Google Scholar
Angrist, Joshua D., and Jörn-Steffen Pischke. 2009. Mostly Harmless Econometrics: An Empiricist’s Companion. Princeton, NJ: Princeton University Press.CrossRefGoogle Scholar
Austin, Peter C., and Janet E. Hux. 2002. “A Brief Note on Overlapping Confidence Intervals.Journal of Vascular Surgery 36 (1): 194–95.CrossRefGoogle ScholarPubMed
Bailey, Michael A. 2007. “Comparable Preference Estimates across Time and Institutions for the Court, Congress, and Presidency.American Journal of Political Science 51 (3): 433–48.CrossRefGoogle Scholar
Bawn, Kathleen. 1995. “Political Control versus Expertise: Congressional Choices about Administrative Procedures.American Political Science Review 89 (1): 62–73.CrossRefGoogle Scholar
Beim, Deborah. 2017. “Learning in the Judicial Hierarchy.Journal of Politics 79 (2): 591–604.CrossRefGoogle Scholar
Beim, Deborah, Alexander V. Hirsch, and Jonathan P. Kastellec. 2014. “Whistleblowing and Compliance in the Judicial Hierarchy.American Journal of Political Science 58 (4): 904–18.CrossRefGoogle Scholar
Beim, Deborah. 2016. “Signaling and Counter-signaling in the Judicial Hierarchy: An Empirical Analysis of En Banc Review.American Journal of Political Science 60 (2): 490–508.CrossRefGoogle Scholar
Beim, Deborah, and Jonathan P. Kastellec. 2014. “The Interplay of Ideological Diversity, Dissents, and Discretionary Review in the Judicial Hierarchy: Evidence from Death Penalty Cases.Journal of Politics 76 (4): 1074–88.CrossRefGoogle Scholar
Bendor, Jonathan, Amihai Glazer, and Thomas Hammond. 2001. “Theories of Delegation.Annual Review of Political Science 4:235–69.CrossRefGoogle Scholar
Bielen, Samantha, Wim Marneffe, Peter Grajzl, and Valentina Dimitrova-Grajzl. 2018. “The Duration of Judicial Deliberation: Evidence from Belgium.Journal of Institutional and Theoretical Economics 174 (2): 303–33.CrossRefGoogle Scholar
Callander, Steven, and Keith Krehbiel. 2014. “Gridlock and Delegation in a Changing World.American Journal of Political Science 58 (4): 819–34.CrossRefGoogle Scholar
Cameron, Charles M., Jeffrey A. Segal, and Donald Songer. 2000. “Strategic Auditing in a Political Hierarchy: An Informational Model of the Supreme Court’s Certiorari Decisions.American Political Science Review 94 (1): 101–16.CrossRefGoogle Scholar
Carrubba, Clifford J. 2005. “Courts and Compliance in International Regulatory Regimes.Journal of Politics 67 (3): 669–89.CrossRefGoogle Scholar
Carrubba, Clifford J. 2009. “A Model of the Endogenous Development of Judicial Institutions in Federal and International Systems.Journal of Politics 71 (1): 55–69.CrossRefGoogle Scholar
Carrubba, Clifford J., and Tom S. Clark. 2012. “Rule Creation in a Political Hierarchy.American Political Science Review 106 (3): 622–43.CrossRefGoogle Scholar
Carrubba, Clifford J., and Matthew J. Gabel. 2015. International Courts and the Performance of International Agreements: A General Theory with Evidence from the European Union. Cambridge: Cambridge University Press.Google Scholar
Carrubba, Clifford J., Matthew Gabel, and Charles Hankla. 2008. “Judicial Behavior under Political Constraints: Evidence from the European Court of Justice.American Political Science Review 102 (4): 435–52.CrossRefGoogle Scholar
Carrubba, Clifford J. 2012. “Understanding the Role of the European Court of Justice in European Integration.American Political Science Review 106 (1): 214–23.CrossRefGoogle Scholar
Carrubba, Clifford J., and Christopher Zorn. 2010. “Executive Discretion, Judicial Decision Making, and Separation of Powers in the United States.Journal of Politics 72 (3): 812–24.CrossRefGoogle Scholar
Castro-Montero, José Luis, Edwin Alblas, Arthur Dyevre, and Nicolas Lampach. 2018. “The Court of Justice and Treaty Revision: A Case of Strategic Leniency?European Union Politics 19 (4): 570–96.CrossRefGoogle Scholar
Cheruvu, Sivaram. 2019. “How Do Institutional Constraints Affect Judicial Decision-Making? The European Court of Justice’s French Language Mandate.European Union Politics 20 (4): 562–83.CrossRefGoogle Scholar
Clark, Tom S. 2008. “A Principal-Agent Theory of En Banc Review.Journal of Law, Economics, and Organization 25 (1): 55–79.CrossRefGoogle Scholar
Clark, Tom S. 2011. The Limits of Judicial Independence. Cambridge: Cambridge University Press.Google Scholar
Dashwood, A. A. 1982. “The Advocate General in the Court of Justice of the European Communities.Legal Studies 2:202–15.CrossRefGoogle Scholar
Dimitrova-Grajzl, Valentina, Peter Grajzl, Janez Sustersic, and Katarina Zajc. 2012. “Court Output, Judicial Staffing, and the Demand for Court Services: Evidence from Slovenian Courts of First Instance.International Review of Law and Economics 32:19–29.CrossRefGoogle Scholar
Epstein, David, and Sharyn O’Halloran. 1996. “Divided Government and the Design of Administrative Procedures: A Formal Model and Empirical Test.Journal of Politics 58 (2): 373–97.CrossRefGoogle Scholar
Epstein, Lee, William M. Landes, and Richard A. Posner. 2013. The Behavior of Federal Judges: A Theoretical and Empirical Study of Rational Choice. Cambridge, MA: Harvard University Press.Google Scholar
Farhang, Sean, and Gregory Wawro. 2004. “Institutional Dynamics on the U.S. Court of Appeals: Minority Representation under Panel Decision Making.Journal of Law, Economics, and Organization 20 (2): 299–330.CrossRefGoogle Scholar
Fjelstul, Joshua C. 2019. “The Evolution of European Union Law: A New Data Set on the Acquis Communautaire.European Union Politics 20 (4): 670–91.CrossRefGoogle Scholar
Gabel, Matthew J., Clifford J. Carrubba, Caitlin Ainsley, and Donald M. Beaudette. 2012. “Of Courts and Commerce.Journal of Politics 74 (4): 1125–37.CrossRefGoogle Scholar
Gailmard, Sean, and John W. Patty. 2007. “Slackers and Zealots: Civil Service, Policy Discretion, and Bureaucratic Expertise.American Journal of Political Science 51 (4): 873–89.CrossRefGoogle Scholar
Garoupa, Nuno, Marian Gili, and Fernando Gómez-Pomar. 2012. “Political Influence and Career Judges: An Empirical Analysis of Administrative Review by the Spanish Supreme Court.Journal of Empirical Legal Studies 9 (4): 795–826.CrossRefGoogle Scholar
Garrett, Geoffrey, R. Daniel Kelemen, and Heiner Schulz. 1998. “The European Court of Justice, National Governments, and Legal Integration in the European Union.International Organization 52 (1): 149–76.CrossRefGoogle Scholar
George, Tracey E. 1999. “The Dynamics and Determinants of the Decision to Grant En Banc Review.Washington Law Review 74:213–74.Google Scholar
Gibson, James L., Gregory A. Caldeira, and Vanessa A. Baird. 1998. “On the Legitimacy of National High Courts.American Political Science Review 92 (2): 343–58.CrossRefGoogle Scholar
Giles, Micheal W., Virginia A. Hettinger, Christopher Zorn, and Todd C. Peppers. 2007. “The Etiology of the Occurrence of En Banc Review in the U.S. Court of Appeals.American Journal of Political Science 51 (3): 449–63.CrossRefGoogle Scholar
Giles, Micheal W., Thomas G. Walker, and Christopher Zorn. 2006. “Setting a Judicial Agenda: The Decision to Grant En Banc Review in the U.S. Courts of Appeals.Journal of Politics 68 (4): 852–66.CrossRefGoogle Scholar
Glynn, Adam N., and Maya Sen. 2015. “Identifying Judicial Empathy: Does Having Daughters Cause Judges to Rule for Women’s Issues?American Journal of Political Science 59 (1): 37–54.CrossRefGoogle Scholar
Grossman, Guy, Oren Gazal-Ayal, Samuel D. Pimentel, and Jeremy M. Weinstein. 2016. “Descriptive Representation and Judicial Outcomes in Multiethnic Societies.American Journal of Political Science 60 (1): 44–69.CrossRefGoogle Scholar
Hall, Matthew. 2010. “Randomness Reconsidered: Modeling Random Judicial Assignment in the U.S. Courts of Appeals.Journal of Empirical Legal Studies 7 (3): 574–89.CrossRefGoogle Scholar
Hausegger, Lori, and Stacia Haynie. 2003. “Judicial Decisionmaking and the Use of Panels in the Canadian Supreme Court and the South African Appellate Division.Law and Society Review 37 (3): 635–57.CrossRefGoogle Scholar
Helmke, Gretchen. 2002. “The Logic of Strategic Defection: Court-Executive Relations in Argentina under Dictatorship and Democracy.American Political Science Review 96 (2): 291–303.CrossRefGoogle Scholar
Helmke, Gretchen. 2005. Courts under Constraints: Judges, Generals, and Presidents in Argentina. New York: Cambridge University Press.Google Scholar
Helmke, Gretchen, and Steven Levitsky. 2004. “Informal Institutions and Comparative Politics: A Research Agenda.Perspectives on Politics 2 (4): 725–40.CrossRefGoogle Scholar
Hermansen, Silje Synnøve Lyder. 2020. “Building Legitimacy: Strategic Case Allocations in the Court of Justice of the European Union.Journal of European Public Policy 27 (8): 1215–35.CrossRefGoogle Scholar
Huber, John D., and Nolan McCarty. 2004. “Bureaucratic Capacity, Delegation, and Political Reform.American Political Science Review 98 (3): 481–94.CrossRefGoogle Scholar
Kastellec, Jonathan P. 2011. “Hierarchical and Collegial Politics on the U.S. Courts of Appeals.Journal of Politics 73 (2): 345–61.CrossRefGoogle Scholar
Kastellec, Jonathan P. 2013. “Racial Diversity and Judicial Influence on Appellate Courts.American Journal of Political Science 57 (1): 167–83.CrossRefGoogle Scholar
Kastellec, Jonathan P. 2016. “Race, Context, and Judging on the Courts of Appeals: Race-Based Panel Effects in Death Penalty Cases.” Justice System Journal (2020): 1–20.Google Scholar
Kelemen, R. Daniel. 2012. “The Political Foundations of Judicial Independence in the European Union.Journal of European Public Policy 19 (1): 43–58.CrossRefGoogle Scholar
Kenney, Sally J. 1998. “The Members of the Court of Justice of the European Communities.Columbia Journal of European Law 5:101–33.Google Scholar
Kenney, Sally J. 2000. “Beyond Principals and Agents: Seeing Courts as Organizations by Comparing Référendaires at the European Court of Justice and Law Clerks at the U.S Supreme Court.Comparative Political Studies 33 (5): 593–625.CrossRefGoogle Scholar
Koremenos, Barbara, Charles Lipson, and Duncan Snidal. 2001. “The Rational Design of International Institutions.International Organization 55 (4): 761–99.CrossRefGoogle Scholar
Krehbiel, Jay N. 2016. “The Politics of Judicial Procedures: The Role of Public Oral Hearings in the German Constitutional Court.American Journal of Political Science 60 (4): 990–1005.CrossRefGoogle Scholar
Krehbiel, Jay N., and Sivaram Cheruvu. 2022. “Can International Courts Enhance Domestic Judicial Review? Separation of Powers and the European Court of Justice.Journal of Politics 84 (1): 258–75.CrossRefGoogle Scholar
Larsson, Olof, and Daniel Naurin. 2016. “Judicial Independence and Political Uncertainty: How the Risk of Override Affects the Court of Justice of the EU.International Organization 70 (2): 377–408.CrossRefGoogle Scholar
Larsson, Olof, Daniel Naurin, Mattias Derlén, and Johan Lindholm. 2017. “Speaking Law to Power: The Strategic Use of Precedent of the Court of Justice of the European Union.Comparative Political Studies 50 (7): 879–907.CrossRefGoogle Scholar
Lax, Jeffrey R., and Charles M. Cameron. 2007. “Bargaining and Opinion Assignment on the US Supreme Court.Journal of Law, Economics, and Organization 23 (2): 276–302.CrossRefGoogle Scholar
Linden, Ariel, Maya B. Mathur, and Tyler J. VanderWeele. 2020. “Conducting Sensitivity Analysis for Unmeasured Confounding in Observational Studies Using E-Values: The evalue Package.Stata Journal 20 (1): 162–75.CrossRefGoogle Scholar
Malecki, Michael. 2012. “Do ECJ Judges All Speak with the Same Voice? Evidence of Divergent Preferences from the Judgments of Chambers.Journal of European Public Policy 19 (1): 59–75.CrossRefGoogle Scholar
Maltzman, Forrest, and Paul J. Wahlbeck. 2004. “A Conditional Model of Opinion Assignment on the Supreme Court.Political Research Quarterly 57 (4): 551–63.CrossRefGoogle Scholar
Mathur, Maya B., Peng Ding, Corinne A. Riddell, and Tyler J. VanderWeele. 2018. “Web Site and R Package for Computing E-Values.Epidemiology 29 (5): e45–e47.CrossRefGoogle Scholar
Mitsopoulos, Michael, and Theodore Pelagidis. 2007. “Does Staffing Affect the Time to Dispose Cases in Greek Courts?International Review of Law and Economics 27:219–44.CrossRefGoogle Scholar
Moe, Terry. 1990. “Political Institutions: The Neglected Side of the Story.Journal of Law, Economics, and Organization 6:213–53.CrossRefGoogle Scholar
Pellegrina, Lucia Dalla, and Nuno Garoupa. 2013. “Choosing between the Government and the Regions: An Empirical Analysis of the Italian Constitutional Court Decisions.European Journal of Political Research 52 (4): 558–80.CrossRefGoogle Scholar
Peritz, Lauren. 2018. “Obstructing Integration: Domestic Politics and the European Court of Justice.European Union Politics 19 (2): 427–57.CrossRefGoogle Scholar
Pop, Valentina. 2015. “ECJ President on EU Integration, Public Opinion, Safe Harbor, Antitrust.” Wall Street Journal, October 14. https://blogs.wsj.com/brussels/2015/10/14/ecj-president-on-eu-integration-public-opinion-safe-harbor-antitrust/.Google Scholar
Rosenberg, Gerald N. 1991. The Hollow Hope: Can Courts Bring About Social Change? 2nd ed. Chicago: University of Chicago Press.Google Scholar
Rosendorff, B. Peter. 2005. “Stability and Rigidity: Politics and Design of the WTO’s Dispute Settlement Procedure.American Political Science Review 99 (3): 389–400.CrossRefGoogle Scholar
Rosendorff, B. Peter, and Helen V. Milner. 2001. “The Optimal Design of International Trade Institutions: Uncertainty and Escape.International Organization 55 (4): 829–57.CrossRefGoogle Scholar
Roussey, Ludivine, and Raphael Soubeyran. 2018. “Overburdened Judges.International Review of Law and Economics 55:21–32.CrossRefGoogle Scholar
Schnakenberg, Keith E. 2015. “Expert Advice to a Voting Body.Journal of Economic Theory 160:102–13.CrossRefGoogle Scholar
Segal, Jeffrey A., and Harold J. Spaeth. 2002. The Supreme Court and the Attitudinal Model Revisited. New York: Cambridge University Press.CrossRefGoogle Scholar
Staton, Jeffrey K. 2006. “Constitutional Review and the Selective Promotion of Case Results.American Journal of Political Science 50 (1): 98–112.CrossRefGoogle Scholar
Staton, Jeffrey K. 2010. Judicial Power and Strategic Communication in Mexico. Cambridge: Cambridge University Press.CrossRefGoogle Scholar
Staton, Jeffrey K., and Georg Vanberg. 2008. “The Value of Vagueness: Delegation, Defiance, and Judicial Opinions.American Journal of Political Science 52 (3): 504–19.CrossRefGoogle Scholar
Stein, Eric. 1981. “Lawyers, Judges, and the Making of a Transnational Constitution.American Journal of International Law 75 (1): 1–27.CrossRefGoogle Scholar
Stone Sweet, Alec, and Thomas L. Brunell. 1998. “Constructing a Supranational Constitution: Dispute Resolution and Governance in the European Community.American Political Science Review 92 (1): 63–81.CrossRefGoogle Scholar
Stone Sweet, Alec. 2012. “The European Court of Justice, State Noncompliance, and the Politics of Override.American Political Science Review 106 (1): 204–13.CrossRefGoogle Scholar
Tiller, Emerson H., and Pablo T. Spiller. 1999. “Strategic Instruments: Legal Structure and Political Games in Administrative Law.Journal of Law, Economics, and Organization 15 (2): 349–77.CrossRefGoogle Scholar
Tridimas, George, and Takis Tridimas. 2004. “National Courts and the European Court of Justice: A Public Choice Analysis of the Preliminary Reference Procedure.International Review of Law and Economics 24:125–45.CrossRefGoogle Scholar
Turner, Ian R. 2017. “Working Smart and Hard? Agency Effort, Judicial Review, and Policy Precision.Journal of Theoretical Politics 29 (1): 69–96.CrossRefGoogle Scholar
Vanberg, Georg. 2001. “Legislative-Judicial Relations: A Game-Theoretic Approach to Constitutional Review.American Journal of Political Science 45 (2): 346–61.CrossRefGoogle Scholar
Vanberg, Georg. 2005. The Politics of Constitutional Review in Germany. Cambridge: Cambridge University Press.Google Scholar
VanderWeele, Tyler J., and Peng Ding. 2017. “Sensitivity Analysis in Observational Research: Introducing the E-Value.Annals of Internal Medicine 167 (4): 268–74.CrossRefGoogle ScholarPubMed
Wahlbeck, Paul J., James F. Spriggs, and Forrest Maltzman. 1998. “Marshalling the Court: Bargaining and Accommodation on the United States Supreme Court.American Journal of Political Science 42 (1): 294–315.CrossRefGoogle Scholar
Weiler, J. H. H. 1994. “A Quiet Revolution.Comparative Political Studies 26 (4): 510–34.CrossRefGoogle Scholar
Westerland, Chad, Jeffrey A. Segal, Lee Epstein, Charles M. Cameron, and Scott Comparato. 2010. “Strategic Defiance and Compliance in the U.S. Courts of Appeals.American Journal of Political Science 54 (4): 891–905.CrossRefGoogle Scholar
Zhang, Angela Huyue. 2016. “The Faceless Court.University of Pennsylvania Journal of International Law 38 (1): 71–136.Google Scholar
Supplementary material: File

Cheruvu and Krehbiel supplementary material
Download undefined(File)
File 396.3 KB