Provisional text
OPINION OF ADVOCATE GENERAL
CAMPOS SÁNCHEZ‑BORDONA
delivered on 11 April 2024 (1)
Case C‑187/23 [Albausy] (i)
E. V. G.-T.
interveners:
P. T.,
F. T.,
G. T.
(Request for a preliminary ruling from the Amtsgericht Lörrach (Local Court, Lörrach, Germany))
(Preliminary-ruling proceedings – Judicial cooperation in civil matters – Regulation (EU) No 650/2012 – Issue of a European Certificate of Succession – Challenge raised in the procedure for issuing the certificate)
1. Regulation (EU) No 650/2012 (2) is aimed at the removal of obstacles to the free movement of persons who wish to exercise their rights in matters of succession having cross-border implications.
2. To that end, Regulation No 650/2012 creates a European Certificate of Succession (3) for the internal market and lays down detailed rules governing the arrangements for issuing the certificate and its effects. That certificate enables heirs, legatees, executors of a will and administrators of an estate to demonstrate easily their status as such, or their rights and powers, in any Member State.
3. This reference for a preliminary ruling has arisen because the spouse of the deceased, who considers herself to be the sole beneficiary of a testamentary succession, applied to the competent national authority for the issue of a European Certificate of Succession. In the same procedure and before the same authority, the son and grandchildren of the deceased challenged the validity of the will submitted. There is disagreement concerning how that challenge affects the issue of the certificate.
4. The Court of Justice has previously replied to other questions referred for a preliminary ruling in relation to European Certificates of Succession, (4) but none of those raised the uncertainties that have arisen here, which the Court should deal with only if it considers the reference to be admissible.
I. Legal framework. European Union law
A. Regulation No 650/2012
5. Paragraph 1 of Article 62 (‘Creation of a European Certificate of Succession’) reads:
‘1. This Regulation creates a European Certificate of Succession (hereinafter referred to as “the Certificate”) which shall be issued for use in another Member State and shall produce the effects listed in Article 69.’
6. Article 63 (‘Purpose of the Certificate’) provides:
‘1. The Certificate is for use by heirs, legatees having direct rights in the succession and executors of wills or administrators of the estate who, in another Member State, need to invoke their status or to exercise respectively their rights as heirs or legatees and/or their powers as executors of wills or administrators of the estate.
2. The Certificate may be used, in particular, to demonstrate one or more of the following:
(a) the status and/or the rights of each heir or, as the case may be, each legatee mentioned in the Certificate and their respective shares of the estate;
(b) the attribution of a specific asset or specific assets forming part of the estate to the heir(s) or, as the case may be, the legatee(s) mentioned in the Certificate;
(c) the powers of the person mentioned in the Certificate to execute the will or administer the estate.’
7. In accordance with Article 64 (‘Competence to issue the Certificate’):
‘The Certificate shall be issued in the Member State whose courts have jurisdiction under Article 4, Article 7, Article 10 or Article 11. The issuing authority shall be:
(a) a court as defined in Article 3(2); or
(b) another authority which, under national law, has competence to deal with matters of succession.’
8. Paragraph 3(l) of Article 65 (‘Application for a Certificate’) is worded:
‘The application shall contain the information listed below, to the extent that such information is within the applicant’s knowledge and is necessary in order to enable the issuing authority to certify the elements which the applicant wants certified, and shall be accompanied by all relevant documents either in the original or by way of copies which satisfy the conditions necessary to establish their authenticity, without prejudice to Article 66(2):
…
(l) a declaration stating that, to the applicant’s best knowledge, no dispute is pending relating to the elements to be certified.’
9. Article 66 (‘Examination of the application’) states:
‘1. Upon receipt of the application the issuing authority shall verify the information and declarations and the documents and other evidence provided by the applicant. It shall carry out the enquiries necessary for that verification of its own motion where this is provided for or authorised by its own law, or shall invite the applicant to provide any further evidence which it deems necessary.
…
4. The issuing authority shall take all necessary steps to inform the beneficiaries of the application for a Certificate. It shall, if necessary for the establishment of the elements to be certified, hear any person involved and any executor or administrator and make public announcements aimed at giving other possible beneficiaries the opportunity to invoke their rights.
…’
10. Pursuant to Article 67 (‘Issue of the Certificate’):
‘1. The issuing authority shall issue the Certificate without delay in accordance with the procedure laid down in this Chapter when the elements to be certified have been established under the law applicable to the succession or under any other law applicable to specific elements. It shall use the form established in accordance with the advisory procedure referred to in Article 81(2).
The issuing authority shall not issue the Certificate in particular if:
(a) the elements to be certified are being challenged; or
(b) the Certificate would not be in conformity with a decision covering the same elements.
…’
11. Article 69 (‘Effects of the Certificate’) provides:
‘1. The Certificate shall produce its effects in all Member States, without any special procedure being required.
2. The Certificate shall be presumed to accurately demonstrate elements which have been established under the law applicable to the succession or under any other law applicable to specific elements. The person mentioned in the Certificate as the heir, legatee, executor of the will or administrator of the estate shall be presumed to have the status mentioned in the Certificate and/or to hold the rights or the powers stated in the Certificate, with no conditions and/or restrictions being attached to those rights or powers other than those stated in the Certificate.
3. Any person who, acting on the basis of the information certified in a Certificate, makes payments or passes on property to a person mentioned in the Certificate as authorised to accept payment or property shall be considered to have transacted with a person with authority to accept payment or property, unless he knows that the contents of the Certificate are not accurate or is unaware of such inaccuracy due to gross negligence.
4. Where a person mentioned in the Certificate as authorised to dispose of succession property disposes of such property in favour of another person, that other person shall, if acting on the basis of the information certified in the Certificate, be considered to have transacted with a person with authority to dispose of the property concerned, unless he knows that the contents of the Certificate are not accurate or is unaware of such inaccuracy due to gross negligence.
5. The Certificate shall constitute a valid document for the recording of succession property in the relevant register of a Member State, without prejudice to points (k) and (l) of Article 1(2).’
B. Implementing Regulation No 1329/2014 (5)
12. Article 1(5) provides:
‘The form to be used for the European Certificate of Succession referred to in Article 67(1) of Regulation (EU) No 650/2012 shall be as set out in Annex 5 as Form V.’
13. The final part of Form V in Annex 5 states that the authority is to certify ‘that, at the time of establishing the certificate, none of the elements contained in it were contested by the beneficiaries’.
II. Facts, procedure and questions referred for a preliminary ruling
14. P. T., a French national who was last resident in Germany, died on 15 September 2021.
15. On 23 November 2021, E. V. G.-T., P. T.’s wife at the time of his death, applied to the Amtsgericht Lörrach (Local Court, Lörrach, Germany) for a European Certificate of Succession on which she would be shown as the sole heir. (6)
16. For that purpose, she produced a joint will, signed by hand by both spouses and worded as follows:
‘Joint will
We, the spouses E. G.-T., born on …, and P. T., born on …, both residing at …, declare as follows:
(1) We are not bound by previous dispositions under inheritance law and have not made any dispositions under inheritance law. As a precautionary measure, we revoke all dispositions previously made by us, whether unilaterally or jointly.
(2) We mutually appoint each other as our sole heirs. This appointment of heirs is made reciprocally and with binding effect. The surviving spouse shall not be otherwise restricted by this disposition. He or she shall be free to organise his or her own succession, including before the death of the first spouse to die, but only for the case where he or she becomes the surviving spouse.
(3) We both reside in Germany and wish the German law of succession to apply, which we choose as the applicable law in the exercise of our choice of law as far as this is permissible. This disposition is reciprocal.
Done in R., 23 July 2020. E. G.-T. This is also my will. P. T.’
17. It is established that there was an older will, handwritten and signed by the testator, which stated:
‘I, P. M. J. T., born on … in A., residing in … Spain, revoke all previous dispositions mortis causa. I bequeath the disposable share of my estate to my two grandchildren, the sons of P., N. A. J. T., born on …., and J. N. J. T., born on … They will share in equal parts the disposable share of my estate. I appoint my son P., and him alone, to arrange my funeral service with a Gregorian Mass and my burial in … Spain. Done in A., 31 May 2001. This is my will. P. T.’
18. E. V. G.-T. considers herself to be P. T.’s sole heir under the will of 23 July 2020. However, P. T.’s son and grandchildren submit that that will is invalid, on the grounds that the testator was not capable of making a will when it was drawn up and the signature is not his own.
19. According to the referring court, the testator was still capable of making a will (7) and the will presented contains his signature. (8)
20. Against that background, the Amtsgericht Lörrach (Local Court, Lörrach) takes the view that the issuance of the certificate depends on the interpretation of Regulation No 650/2012, and therefore it stayed the proceedings (9) and referred the following questions to the Court of Justice for a preliminary ruling:
‘(1) Must point (a) of the second subparagraph of Article 67(1) of the Succession Regulation be interpreted as meaning that it also refers to challenges raised in the procedure for issuing the European Certificate of Succession itself, which the court is not permitted to examine, and that it does not refer only to challenges raised in other proceedings?
(2) If the answer to Question [1] is in the affirmative: Must point (a) of the second subparagraph of Article 67(1) of the Succession Regulation be interpreted as meaning that a European Certificate of Succession may not be issued even if challenges have been raised in the procedure for issuing the European Certificate of Succession, but they have already been examined in the proceedings for the issuance of a certificate of inheritance under German law?
(3) If the answer to Question [1] is in the affirmative: Must point (a) of the second subparagraph of Article 67(1) of the Succession Regulation be interpreted as covering any challenges, even if they have not been substantiated and no formal evidence is to be taken of that fact?
(4) If the answer to Question [1] is in the negative: In what form must the court state the reasons that led it to reject the challenges and to issue the European Certificate of Succession?’
III. Procedure before the Court of Justice
21. The request for a preliminary ruling was received at the Registry of the Court on 23 March 2023.
22. Written observations were lodged by the German and Spanish governments and the European Commission. All those parties and E. V. G.-T. attended the hearing held on 31 January 2024.
IV. Analysis
23. The referring court has expressed doubts concerning the role of the authority which issues European Certificates of Succession, and concerning the scope of that authority’s powers, within the framework of Article 67 of Regulation No 650/2012.
A. Admissibility of the reference for a preliminary ruling
24. The Spanish Government argues that the reference is inadmissible because the issue of a European Certificate of Succession does not involve the exercise of a judicial function, as required by Article 267 TFEU. (10)
25. The admissibility of a request for a preliminary ruling depends on whether that request comes from a ‘court or tribunal’ – within the meaning of Article 267 TFEU – which is acting in a judicial capacity. (11)
26. In order to establish whether a particular body satisfies that twofold condition, the Court examines, inter alia other factors, ‘in what specific capacity it is acting within the particular legal context in which it seeks a ruling from the Court, in order for it to be ascertained whether there is a case pending before it and whether it is called upon to give judgment in proceedings intended to lead to a decision of a judicial nature’. (12)
27. If those conditions are not met, the referring body, even if it satisfies the other conditions laid down in the Court’s case-law, cannot be regarded as exercising a judicial function. (13)
28. The plea of inadmissibility may be justified in the light of the information which Regulation No 650/2012 provides in relation to the European Certificate of Succession and the activities involved in its production. For the reasons that I shall set out below, it can be inferred from that information that, even where it is a court or tribunal, the authority which issues a certificate in accordance with Article 67 of Regulation No 650/2012 does not adopt a decision at the end of proceedings which conclude with a judicial decision.
1. Purpose and effects of the European Certificate of Succession
29. Regulation No 650/2012 creates a European Certificate of Succession for which it lays down a legal regime that is uniform and autonomous as compared with similar national certificates. That regime also differs from the regime laid down by the regulation for the recognition of judicial decisions and authentic instruments. (14)
30. The European Certificate of Succession is for use by those who, as heirs, legatees, executors of wills or administrators of the estate, need to invoke, in another Member State, their status or to exercise the rights or powers derived from that status. (15) However, use of the certificate is not mandatory. (16)
31. To meet that need, the certificate produces the following effects, which are identical throughout the European Union: (17)
– It acts as proof (18) of the elements contained in it. (19) By producing the certificate, its holder is entitled to invoke his or her rights or powers in any Member State, without it being possible to require the holder to provide any additional proof. It is presumed that the status mentioned in the certificate, and the rights or powers that it indicates are held, are enjoyed as stated therein. (20)
– It protects a third party who transacts with a person named in the certificate and who, in the light of the information recorded in the certificate, makes payments, passes on property, acquires or receives succession property, ‘unless he knows that the contents of the Certificate are not accurate or is unaware of such inaccuracy due to gross negligence.’ (21)
– It is valid for the recording of succession property in the relevant register, subject to the limits laid down in Regulation No 650/2012 and as interpreted by the Court. (22)
32. The certificate does not, in itself, have any other consequences: in particular, it does not have the binding legal effect associated with a judgment. (23) Furthermore, Recital 71 of Regulation No 650/2012 makes clear that the certificate is not an enforceable title.
33. The lack of binding legal effect is also clear in the rules on the circulation of the certificate in Member States other than the issuing State. Chapter VI of Regulation No 650/2012 does not provide that it may or should be ‘recognised’. (24) Under Article 69(1), the certificate ‘shall produce its effects’ without any procedure. (25) There are no grounds for objection to circulation of the certificate in the wording of the regulation. (26)
2. Activities of the authority which issues the certificate under Article 67 of Regulation No 650/2012.
34. Pursuant to the first subparagraph of Article 67(1) of Regulation No 650/2012, the authority must issue the certificate without delay ‘when the elements to be certified have been established …’ The certificate is issued following the examination (of the application) provided for by Article 66 of the regulation.
35. In accordance with that article, the authority must verify the information and declarations, and the documents and other evidence provided by the applicant. (27)
36. To that end, Article 66: i) refers to powers which that authority has, which are granted by its own law; (28) ii) grants it other powers; (29) and iii) imposes on it directly the duty to take steps to make public (limited to specific recipients) the application for a certificate. (30)
37. In connection with that duty, the authority must ‘hear any person involved and any executor or administrator and make public announcements aimed at giving other possible beneficiaries the opportunity to invoke their rights’ if it considers it necessary in order to confirm aspects which it is requested to certify. (31)
38. If, after an examination of all those matters, the authority considers that the elements to be included in the certificate have been established, it must issue the certificate ‘without delay’ in accordance with Article 67(1) of Regulation No 650/2012.
39. However, if the issuing authority has doubts about those elements it must not issue the certificate. The certificate’s contents will not have been established and therefore it will not be capable of producing the effects provided for in Article 69 of the regulation. Further, in accordance with point (a) of the second subparagraph of Article 67(1) of Regulation No 650/2012, the authority must not issue the certificate if the elements to be certified are being challenged. (32)
40. The role of the issuing authority is not merely passive: it does not consist of receiving declarations of facts or expressions of wishes which are to be mechanically transferred to a form for that purpose. The authority is required to confirm the truth of the applicant’s assertions, in the light of the evidence produced by the applicant and, where applicable, of other information which the authority itself gathers or which is notified to it by other persons having an interest in the succession. (33)
41. However, it is not for the authority to which the application for the certificate is made to grant or determine the rights and powers of those seeking to benefit from or having an interest in the succession, resolving possible disputes between them concerning substantive matters.
42. That is so because the provisions of Chapter VI (‘European Certificate of Succession’) of Regulation No 650/2012 do not grant that power (34) to national authorities which issue the certificate. Further, it is not possible to conclude that, in the context of Article 67, national legal systems have been given the option to supplement the regulation by allocating the task of dispute resolution to those authorities. The allocation of that task without any accompanying procedural rules would be inconsistent with the intention of creating an autonomous and uniform regime for the issue of the certificate. (35)
43. If the issuing authority were to have that power (to decide on disputes), its activities would lead to a ‘decision’ within the meaning of Article 3(1)(g) and Chapter IV of Regulation No 650/2012. However, in line with the EU legislature’s intention, the certificate does not have the binding legal effects that are typical of a judicial decision.
3. Comparison with certificates provided for in other instruments on judicial cooperation
44. The European Certificate of Succession is not comparable to the certificates provided for in other instruments on judicial cooperation in civil and commercial matters, in relation to which other references for a preliminary ruling were submitted to and resolved by the Court of Justice, once any uncertainties regarding their inadmissibility were ruled out.
45. In connection with the European enforcement order, (36) the Court held that ‘the procedure for the certification of a court decision as a European Enforcement Order appears … not as a procedure which is distinct from the earlier judicial procedure, but as the final phase of that procedure, necessary in order to ensure that it is fully effective, by allowing the creditor to proceed with the recovery of his debt.’ (37)
46. The certification of a court decision as a European Enforcement Order is a judicial act and the national court responsible for issuing it ‘is entitled to refer questions to the Court for a preliminary ruling’. (38)
47. The same applies to the certificate provided for by Article 53 of Regulation (EU) No 1215/2012, (39) which ensures the circulation of the judicial decision of one Member State in other Member States. The task of the court which issues the certificate ‘is continuing the previous judicial proceedings by guaranteeing the full effectiveness thereof, to the extent that, in the absence of certification, a judgment is not capable of circulating freely within the European judicial area’. (40)
48. The procedure for the issue of a certificate under Article 53 of Regulation No 1215/2012 is judicial in character, and a national court ruling in the context of such a procedure is entitled to refer questions to the Court for a preliminary ruling. (41)
49. On the other hand, as I have explained, the issue of a European Certificate of Succession does not involve the exercise of judicial power or result in a decision of that nature (judicial) with binding legal force.
50. The situation is no different where the certificate reproduces the contents of a (prior) judgment on the substance of the succession. Even in that case, the certificate is not a further stage of the judicial proceedings in which the decision on the substance was given.
51. Finally, the European Certificate of Succession is not the document in which a decision of the courts of one Member State is transmitted, like a passport for circulation in other Member States, with a view to its recognition and, if necessary, enforcement. With that aim in mind, the EU legislature provided for the attestation referred to in Article 46(3)(b) of Regulation No 650/2012, using a form for that purpose (Form I, set out in Annex 1 to Implementing Regulation No 1329/2014). (42)
52. In summary, the certificate takes effect in Member States other than the issuing State without the need for any procedure and without any right of challenge or scrutiny. If the decision given in a dispute were included, that decision would benefit, through the certificate, from a procedure for recognition which not only differed from that laid down in Chapter IV, but was also privileged, the parallel existence of which is not referred to anywhere and is not justified. (43)
4. Effects of the characteristics of the European Certificate of Succession on the admissibility of the reference for a preliminary ruling
53. An authority which issues a certificate under Article 67 of Regulation No 650/2012 records in that certificate certain matters relating to the succession, once it has conducted the examination required by Article 66 of the regulation.
54. The issuing authority’s conclusion concerns the truth of the information stated by the applicant and its compatibility with the legislation applicable to the succession. However, as I pointed out above, that authority is not vested with the power, in that context, to settle any disputes which may arise in connection with the substance of the succession. (44)
55. If the issuing authority is unable to grant rights or powers in proceedings leading to a decision having binding legal effect, it is not acting in a judicial capacity in that connection. (45)
56. The foregoing is not precluded by the fact that, as Article 64 of Regulation No 650/2012 states, the body issuing the certificate may be a ‘court’ within the meaning of Article 3(2), and also another authority competent to deal with successions under its national law. (46)
57. The fact that the authority which issues a European Certificate of Succession may be a court does not mean that that court is acting in a judicial capacity when it issues the certificate. A court of a Member State may, independently of its strictly judicial functions, exercise other functions of a non-judicial nature. In the context of the latter, that court is not entitled to refer questions to the Court of Justice for a preliminary ruling. (47)
58. The reference to that ‘other’ authority seems to me to indicate that the issue of a European Certificate of Succession (under Article 67 of Regulation No 650/2012) does not involve the exercise of judicial power. Otherwise, the separate reference to that authority would be unnecessary, for Article 3(2) of Regulation No 650/2012 already classifies authorities that are not formally part of the judiciary as courts where they are exercising judicial functions. (48)
59. The fact that Article 64 (‘Competence to issue the Certificate’) of Regulation No 650/2012 refers to Articles 4, 7, 10 and 11 of the regulation should not be misleading. The reference to competence does not define the (judicial or non-judicial) nature of the actions of the issuing authority: (49) it merely clarifies where and to whom the application for the certificate should be made. (50)
60. Finally, my view is borne out by the judgment of 16 November 2023, (51) in which the Court rejected the argument that Spanish notaries exercise official authority acting as courts because they issue European Certificates of Succession. (52)
61. In the light of the above, I believe that the reference for a preliminary ruling should be declared inadmissible. However, in case the Court does not agree with that view, I shall propose answers to the questions which have been referred to it.
B. Question 1
62. The referring court requests an interpretation of point (a) of the second subparagraph of Article 67(1) of Regulation No 650/2012 in order to determine, in short, whether it refers to challenges raised in a procedure other than the procedure for the issue of the certificate or whether it also covers challenges which, as a result of the application for the certificate itself, are raised by persons having an interest in the succession. In the latter case, the referring court seeks to ascertain whether the issuing authority has competence to examine those challenges.
63. The question has been referred for a preliminary ruling in a case in which, as already stated, the testator’s son and grandchildren have raised a challenge to a key element of the succession (the validity of the will itself). In my view, that challenge means that point (a) of the second subparagraph of Article 67(1) of Regulation No 650/2012 applies and that it is not possible to issue the certificate.
64. That it is not possible to issue the certificate is confirmed by the fact that, on the form which has to be used for the European Certificate of Succession in accordance with Implementing Regulation No 1329/2014, the issuing authority is mandatorily required to declare that none of its elements have been challenged.
65. I accept that it is not possible to give an unequivocal answer to the first question merely in the light of the wording of the text, since it does not specify the authority before which the elements to be certified (53) must be challenged, and the language versions are open to different interpretations:
– some suggest that the challenge (dispute) is underway at the time when the application for the certificate is made, which would indicate that the challenge has been raised in different proceedings; (54)
– others suggest that the challenge is raised after the application for the certificate and in the same court. (55)
66. A systematic analysis sheds some more light. A combined reading of point (a) of the second subparagraph of Article 67(1) and Article 65(3)(l) of Regulation No 650/2012 suggests that the former provision covers, from the outset, the disputes to which Article 65 refers, that is disputes pending in another court. (56)
67. Point (b) of the second subparagraph of Article 67(1), which refers to decisions external to the proceedings for production of the certificate, leads to the same conclusion. It is reasonable to conclude that those decisions may include decisions covering elements relating to the subsequent certificate of succession.
68. In the light of the first subparagraph of Article 67(1) of Regulation No 650/2012, I am inclined to the view that point (a) of the second subparagraph must also cover challenges brought before the issuing authority, since, otherwise, it would be possible for that authority to issue a certificate containing elements ‘which have not been established’, contrary to the requirements of that provision. (57)
69. A comparison of the wording of Article 65(3)(l) of Regulation No 650/2012 (which stipulates that there must be ‘no dispute … pending relating to the elements to be certified’) with that of point (a) of the second subparagraph of Article 67(1), which uses, in general, broader terms, seems to me to be an additional argument to that effect. (58)
70. In addition, the aim of Regulation No 650/2012, in general, and the purpose of the European Certificate of Succession, in particular, support an interpretation of point (a) of the second subparagraph of Article 67(1) to the effect that it includes challenges raised in the course of the procedure for the issue of the certificate.
71. The certificate was created in the interests of enabling ‘a succession with cross-border implications … to be settled speedily, smoothly and efficiently’. (59) It therefore contributes to the removal of ‘obstacles to the free movement of persons who currently face difficulties in asserting their rights in the context of a succession having cross-border implications.’ (60)
72. In order to achieve those aims, the EU legislature attributed to the certificate the legal effects described above, which apply in Member States other than the issuing State without the need for any procedure or scrutiny.
73. In my opinion, the importance of those effects, which are associated not only with enabling persons having a direct interest to take steps relating to a cross-border succession but also with the protection of third parties and the security of legal transactions throughout the European Union, precludes an interpretation of point (a) of the second subparagraph of Article 67(1) of Regulation No 650/2012 which limits it to pending disputes that are unconnected with the procedure commenced for the issue of the certificate.
74. That being the position, the difficulty is not whether the authority required to apply Article 67 of Regulation No 650/2012 is entitled to examine any challenges raised by other possible beneficiaries of the succession, (61) but rather what that authority is required to do if those challenges are such that, in fact, they cast doubt on essential elements of the succession (as has occurred in this case, since other possible heirs have challenged the validity of the handwritten will on which the application for the certificate is based).
75. I have already pointed out that, in that situation, it is simply not possible for the national authority to issue the certificate. (62) It should be stressed that the same conclusion is reached in the light of the wording of Form V, laid down in Annex 5 to Implementing Regulation No 1329/2014, in which the issuing authority must declare that none of the elements of the certificate have been challenged.
76. Article 66 of Regulation No 650/2012 provides that, in the context of the examination preceding the issue of the certificate, the issuing authority must inform certain persons about the application and must hear those persons if it considers this necessary for the purposes of establishing that which it has been requested to certify.
77. If the option of hearing those interested parties results in the denial by those parties (as has occurred in this case) of the validity of an essential element of the certificate, the issuing authority may not issue that certificate. Naturally, and I shall say this in my analysis of the third question, there must be some basis for that denial in order to have the preclusive effect provided for in point (a) of the second subparagraph of Article 67(1) of Regulation No 650/2012. (63)
C. Question 2
78. The referring court asks whether the issuing authority may issue a European Certificate of Succession ‘even if challenges have been raised in the procedure for issuing the European Certificate of Succession, but they have already been examined in the proceedings for the issuance of a certificate of inheritance under German law’.
79. In my view, the answer can be derived from point (b) of the second subparagraph of Article 67(1) of Regulation No 650/2012, which prohibits the issue of a certificate where it ‘would not be in conformity with a decision covering the same elements [those which are to be certified]’.
80. Under that provision, the competent authority must reject the application for a certificate if it would have to include in that certificate statements that are incompatible with what has been ordered or declared by an earlier decision. On the other hand, if that incompatibility is not present, the earlier decision does not preclude the issuance of the certificate. (64)
81. In view of the categorical nature of the rule, and its position in the scheme of the regulation, the ‘decision’ to which point (b) of the second subparagraph of Article 67(1) of Regulation No 650/2012 refers is an act the provisions of which are binding on the issuing authority. (65) In other words, the issuing authority may not go against any elements relating to the contents of the certificate which have already been decided on in an earlier decision covering those elements.
82. The decision to which that provision refers takes precedence, therefore, over the issuing authority’s view concerning the matters to be included in the certificate.
83. In their written observations to the Court, the German Government and the Commission point out that the decision to which point (b) of the second subparagraph of Article 67(1) of Regulation No 650/2012 refers must be final under national law. (66)
84. That provision does not expressly stipulate that the decision must be final. However, I believe that this requirement can be inferred from other details:
– point (a) of the same article prohibits the certificate from being issued in relation to elements that are being challenged; and
– the requirement laid down in Article 65(3)(l), to the effect that the application for the certificate must contain a declaration stating that no dispute is pending in relation to elements to be certified.
85. It is for the referring court to determine whether, in this case, the procedure for issuing the national certificate of succession is such that it leads to a ‘decision’ for the purposes of point (b) of the second subparagraph of Article 67(1) of Regulation No 650/2012. (67)
D. Question 3
86. In the event that the reply to the first question is in the affirmative, the referring court asks the Court whether any challenge, even if it has not been substantiated, justifies a refusal to issue the certificate under point (a) of the second subparagraph of Article 67(1) of Regulation No 650/2012.
87. That provision is silent regarding the importance of such a challenge. It may be deduced, therefore, that, in principle, the issuing authority is required to examine any challenge to elements of the certificate raised by interested parties or beneficiaries of the succession.
88. If there is no serious basis for the challenge and it therefore lacks any cogency under the applicable law, it can hardly prevent the issuing authority from considering that the elements it is required to certify have been established for the purposes of Article 67(1) of Regulation No 650/2012.
89. Refusal to issue the document because an essential element of the certificate has been challenged, without the slightest basis for that challenge having been put forward, would be liable to frustrate the proceedings without any real grounds, thereby unfairly depriving the heirs, legatees, executors of the will or administrators of the estate of an effective instrument for the settlement of a succession having cross-border implications.
90. However, it is possible that the challenge is such that, as a result, the issuing authority feels that subsequent enquiries are necessary, pursuant to Article 66(1) of the regulation, in order to confirm the information and declarations of the applicant. Whether or not that is the case can only be answered in the light of the circumstances of each case.
E. Question 4
91. The referring court has submitted its fourth question in the event that the reply to the first question is in the negative. Should the Court, in line with what I propose, answer the first question in the affirmative, it will not need to reply to the fourth question. In any event, I shall examine that question.
92. The referring court asks about the form in which it must state the reasons that led it to reject the challenges and to issue the European Certificate of Succession.
93. It should be recalled that the issuing authority must use Form V, provided for in Annex 5 to Implementing Regulation No 1329/2014. (68) The use of that form enables a European Certificate of Succession issued in one Member State to be identified immediately as such in any other Member State.
94. Article 68 of Regulation No 650/2012 provides for information which, transferred to the corresponding sections of the form, must be included in the certificate. The contents of the certificate may vary depending on the purposes for which it is issued. (69)
95. Form V does not provide for an indication of the reasoning on which the issuing authority bases its view that the elements which it certifies have been established. The EU legislature did not consider it necessary for the certificate to set out that reasoning in order for its objective to be fulfilled. (70)
96. Heirs, legatees, administrators or executors of the estate who use the certificate must not (and, in fact, may not) (71) attach any other documents to the form. (72)
97. Those rules are consistent with the activities which precede the issue of the certificate and with the effects that it produces in relation to the administration of a succession with cross-border implications. In accordance with Articles 66 and 67 of Regulation No 650/2012, the issuing authority does not decide on the substance of the succession, adopting a reasoned decision which it includes in the European Certificate of Succession so that it may be recognised in other Member States. (73)
V. Conclusion
98. In the light of the foregoing considerations, I propose that the Court of Justice declare that the request for a preliminary ruling from the Amtsgericht Lörrach (Local Court, Lörrach, Germany) is inadmissible.
In the alternative, I propose that the Court reply to that court in the following terms:
Point (a) of the second subparagraph of Article 67(1) of Regulation (EU) No 650/2012 of the European Parliament and of the Council of 4 July 2012 on jurisdiction, applicable law, recognition and enforcement of decisions and acceptance and enforcement of authentic instruments in matters of succession and on the creation of a European Certificate of Succession
must be interpreted as meaning that an authority required to issue a European Certificate of Succession must examine any challenges raised in the procedure for issuing the certificate by persons having an interest in the succession, in order to establish the elements to be certified by it.
It is not possible to issue a European Certificate of Succession which includes elements that are inconsistent with an earlier final judgment.
It is not possible to issue a European Certificate of Succession where a challenge to a key element of the succession, such as the validity of the will, has been raised in the procedure for issuing that certificate, if that challenge has been substantiated to the minimum degree required under the applicable law.
An issuing authority is not required to set out in a European Certificate of Succession the reasons which led it to issue that certificate.