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PRINCIPLES OF EUROPEAN CONSTITUTIONAL LAW

While politics wrestles with the Constitutional Treaty, this volume presents

a European constitutional law—not as a mere project but as binding law.

There are good reasons to treat the European Union’s current primary law

as constitutional law: it establishes public power, legitimates legal acts, pro￾vides a citizenship, protects fundamental rights, and regulates the rela￾tionships among legal orders as well as between law and politics.

Reconstructing primary law as constitutional law yields useful insights, as

this volume seeks to demonstrate.

This volume presents European constitutional law as it stands and, on

that foundation, the Treaty establishing a Constitution for Europe. The

contributions present its theoretical and doctrinal fundamentals from the

perspective of German-speaking scholarship, reflect the state of research,

clarify methodological approaches, illuminate legal doctrines and assump￾tions, and identify research desiderata. The perspectives on offer are not

uniform, but encompass varying methodologies and differing political

approaches to integration.

Volume 8 in the Series Modern Studies in European Law

Modern Studies in European Law

1 Soft Law in European Community Law Linda Senden

2 The Impact of European Rights on National Legal Cultures Miriam Aziz

3 Partnership Rights, Free Movement and EU Law Helen Toner

4 National Remedies Before the Court of Justice Michael Dougan

5 The National Courts Mandate in the European Constitution Monica Claes

6 EU Environmental Law Maria Lee

7 European Union Law and Defence Integration Martin Trybus

8 Principles of European Constitutional Law Armin von Bogdandy and

Jürgen Bast

Principles of European

Constitutional Law

Edited by

Armin von Bogdandy

and

Jürgen Bast

Max Planck Institute for Comparative Public Law and

International Law

OXFORD AND PORTLAND, OREGON

2006

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Preface

WHILE POLITICS WRESTLES with the Constitutional Treaty as the

founding legal document de lege ferenda, this volume presents a

European constitutional law—not as a mere project but as binding,

valid law, as lex lata. Of course, no document in force carries this designa￾tion. Scholarly terminology, however, does not require the blessing of poli￾tics. There are good reasons to treat the European Union’s current primary

law as constitutional law. After all, it establishes public power, legitimates

legal acts, provides a citizenship, protects fundamental rights, and regulates

the relationships among legal orders as well as between law and politics.

Constitutional law is conceivable without a state, a nation, or an instrument

that fulfils all the traditional requirements of a constitution. Reconstructing

primary law as constitutional law yields useful insights, as this volume seeks

to demonstrate. Such an endeavour does not imply a justification of primary

law in force—rather, both achievements and deficits become apparent.

This volume presents European constitutional law as it stands and, on

that foundation, the Draft Treaty establishing a Constitution for Europe as

agreed upon by the European Convention (CONV 850/03 of 18 July 2003,

hereinafter CT-Conv) as well as the Treaty establishing a Constitution for

Europe finally adopted by the ensuing Intergovernmental Conference (CIG

87/04 of 6 August 2004, hereinafter CT-IGC). The work on the chapters

was finalised in October 2004, the book reflects the European state of

affairs of that time. The contributions present the theoretical and dogmat￾ic fundamentals of European constitutional law from the perspective of

German-speaking scholarship, reflect the state of research, clarify method￾ological approaches, illuminate legal doctrines and assumptions, and iden￾tify research desiderata. This volume brings together authors of varying

methodologies and differing political approaches to integration; they are

united by the desire to protect—and even to develop further—the existing

constitutional culture within the Union.

This project is deeply indebted to the Fritz Thyssen Stiftung, which gen￾erously financed the extensive collaboration of the authors. Stephan Bitter,

Andreas Magnusson, Julia Schwartz, Michael Rötting, Robert Stelzer,

Markus Wagner, and Joseph Windsor provided valuable assistance in the

completion of the volume.

Summary of Contents

Preface.......................................................................................................v

Contents...................................................................................................ix

Table of Cases ......................................................................................xxxi

Table of European Founding Treaties....................................................xlix

Table of National Constitutions .............................................................lxv

Table of Legislation...............................................................................lxxi

Table of International Treaties and Conventions..................................lxxv

I Defining the Field of European Constitutional Law.............................1

1 Armin von Bogdandy: Constitutional Principles ............................3

2 Stefan Oeter: Federalism and Democracy ....................................53

3 Christoph Grabenwarter: National Constitutional Law

Relating to the European Union ..................................................95

4 Robert Uerpmann-Wittzack: The Constitutional Role of

Multilateral Treaty Systems........................................................145

5 Christoph Möllers: Pouvoir Constituant—Constitution—

Constitutionalisation ..................................................................183

II Institutional Issues ...........................................................................227

6 Philipp Dann: The Political Institutions.....................................229

7 Franz C Mayer: The European Constitution and the Courts......281

8 Armin von Bogdandy and Jürgen Bast: The Vertical Order of

Competences .............................................................................335

9 Jürgen Bast: Legal Instruments ..................................................373

10 Antje Wiener: Soft Institutions...................................................419

III Individual Rights..............................................................................451

11 Stefan Kadelbach: Union Citizenship .........................................453

12 Jürgen Kühling: Fundamental Rights..........................................501

13 Thorsten Kingreen: Fundamental Freedoms...............................549

IV Constitutional Aspects of Economic Law ........................................585

14 Armin Hatje: The Economic Constitution..................................587

15 Josef Drexl: Competition Law as Part of the European

Constitution ...............................................................................633

V On Finality: Contending Legal Visions ............................................675

16 Ulrich Everling: The European Union Between Community and

National Policies and Legal Orders ...........................................677

17 Ulrich Haltern: On Finality........................................................727

18 Paul Kirchhof: The Legal Structure of the European Union as a

Union of States...........................................................................765

19 Manfred Zuleeg: The Advantages of the European

Constitution—A German Perspective.........................................803

Index .....................................................................................................827

viii Summary of Contents

Contents

Preface.......................................................................................................v

Table of Cases ......................................................................................xxxi

Table of European Founding Treaties....................................................xlix

Table of National Constitutions .............................................................lxv

Table of Legislation...............................................................................lxxi

Table of International Treaties and Conventions..................................lxxv

I Defining the Field of European Constitutional Law................................1

1 Armin von Bogdandy: Constitutional Principles .................................3

I. A THEORY OF A DOCTRINE OF PRINCIPLES ..................................3

1. Principles and Constitutional Scholarship ...............................3

2. Functions of a Doctrine of Principles ......................................5

3. Integration as a Formation of Principles .................................7

II. GENERAL ISSUES OF A EUROPEAN DOCTRINE OF PRINCIPLES .....8

1. The Subject Matter .................................................................8

2. National and Supranational Principles: On the Question

of Transferability.....................................................................9

3. Constitutional Principles in View of Varying Sectoral

Provisions..............................................................................11

III. FOUNDING PRINCIPLES OF SUPRANATIONAL AUTHORITY......12

1. Equal Liberty .........................................................................12

2. The Rule of Law....................................................................15

a) A Community of Law......................................................15

b) Principles of Protection for the Individual and of

Rational Procedure ..........................................................18

3. Democracy .............................................................................20

a) Development and Basic Features......................................20

b) The Principle of Democracy and the Institutional

Structure ..........................................................................25

c) Transparency, Participation, Deliberation and

Flexibility .........................................................................27

d) Supranational Democracy: An Evaluation .......................30

4. Solidarity................................................................................32

IV. THE FEDERAL BALANCE BETWEEN UNITY AND DIVERSITY.....34

1. Diversity in a System of Complementary Constitutions .........34

2. Principles Promoting Unity ....................................................36

a) Realisation of Goals or Integration tout

court?...............................................................................36

b) Structural Compatibility or Outright Homogeneity? .......38

c) Supranationality? .............................................................40

d) The Single and Primary Legal Order ...............................41

3. Principles Protecting Diversity................................................42

a) Doctrine of Competences.................................................43

b) A General Principle of Diversity? ....................................45

c) Protection of Diversity Through Organisation and

Procedure.........................................................................46

4. The Principle of Loyalty and the Federal Balance ..................49

V. CONCLUDING REMARKS .................................................................51

2 Stefan Oeter: Federalism and Democracy .........................................53

I. INTRODUCTION: “UNDERSTANDING THE EUROPEAN

UNION AS A FEDERAL POLITY”......................................................53

II. THE DIFFERENT FEDERALISM DISCOURSES—AN OUTLINE ......56

III. THE EUROPEAN UNION AS A MIXED SYSTEM OF A

FEDERATIVE CHARACTER ...............................................................59

IV. THE BENEFIT OF FEDERAL ANALOGIES—OR: THE CENTRAL

STATE AS A “LEITMOTIV” OF POLITICAL THEORY .....................62

1. The Question of Sovereignty.................................................63

2. “Divided Sovereignty” and the Principle of People’s

Sovereignty............................................................................65

3. People’s Sovereignty and the “Constitution” of

the European Union..............................................................67

V. THE ROLE OF THE PRINCIPLE OF DEMOCRACY IN A

FEDERAL COMMONWEALTH ..........................................................72

VI. THE CONSTRUCTION OF DEMOCRATIC RESPONSIBILITY—

EXPERIENCES OF FEDERAL SYSTEMS............................................77

VII. THE UNITED EUROPE AS A FEDERAL SYSTEM—WHERE DOES

THE FEDERAL “STAATSVOLK” COME FROM? .............................83

VIII. CONCLUSIONS: THE FEDERAL “UNION” AS A PROMISING

CONSTRUCTION ...............................................................................85

3 Christoph Grabenwarter: National Constitutional Law

Relating to the European Union .......................................................95

I. INTRODUCTION ................................................................................95

II. THE RELATIONSHIP BETWEEN UNION LAW AND NATIONAL

CONSTITUTIONAL LAW ...................................................................96

1. Full Primacy of Community Law ..........................................97

x Contents

2. Limited Primacy of Community Law over Constitutional

Law.......................................................................................98

3. Primacy of the Constitution ................................................103

4. The Situation in the Legal Systems of New

Member States ....................................................................104

5. Similarities and Differences in Justifications........................105

6. The Legal Situation According to the Constitutional

Treaty..................................................................................106

III. CONTENTS OF NATIONAL CONSTITUTIONAL LAW

RELATING TO THE EUROPEAN UNION.......................................107

1. Sovereignty and Transfer of Sovereign Rights......................108

2. Structural Safeguard Clauses................................................112

3. Federal and Decentralised Entities........................................115

4. The Position of National Parliaments ..................................122

5. Fundamental Rights .............................................................127

a) Expanding the Scope of National Guarantees of

Fundamental Rights Demanded by Community Law:

The Example of the Right to Vote in Municipal

Elections ........................................................................127

b) Increased Protection of Fundamental Rights within the

Scope of Community Law: The Example of Equal

Treatment of Men and Women ......................................130

c) Reinforcing and Changing the Effect of the European

Convention on Human Rights in the National Area......132

d) Indirect Effects of Community Law on the Scope of

National Guarantees of Fundamental Rights.................133

e) Matching National Fundamental Rights with

Increased Standards at European Level .........................136

IV. CONCLUSIONS: RELATIONSHIP BETWEEN

NATIONAL CONSTITUTIONAL LAW AND

UNION LAW ......................................................................................137

1. Bodies Acting under the Constitutional Order.....................137

2. Interdependencies Between the Constitutional Orders of

Member States .....................................................................139

3. Typology According to Substantive Orientation:

Adaptations Which are Receptive and Defensive Towards

Integration............................................................................141

4. Development Towards a Reciprocal Linking of

Constitutions........................................................................142

4 Robert Uerpmann-Wittzack: The Constitutional Role of

Multilateral Treaty Systems.............................................................145

I. A CONSTITUTIONAL QUESTION: THE EXPOSURE OF A

LEGAL ORDER TO INTERNATIONAL LAW................................145

Contents xi

II. ACCESSION.......................................................................................149

1. WTO ..................................................................................149

a) Art 300(7) EC as a Starting Point..................................150

b) The Theory of Direct Effect...........................................151

c) Interconnecting Different Jurisdictions ..........................154

d) The Principle of Reciprocity...........................................156

e) Unilateral Council Action ..............................................159

f) Internal Effect Short of Direct Effect.............................160

g) Monism and Dualism Revisited .....................................162

2. ECHR ..................................................................................164

III. LEGAL SUCCESSION BY VIRTUE OF FUNCTIONAL

SUCCESSION .....................................................................................166

1. Legal Succession in International Law.................................166

a) GATT 1947 ...................................................................166

b) ECHR............................................................................167

aa) The Member States’ Responsibility to Guarantee

the Observance of Human Rights by the European

Community.............................................................167

bb) Legal Succession in a Narrower Sense ....................168

cc) Direct Responsibility of EC Member States............169

2. Legal Succession under Community Law .............................171

IV. EXPRESS INCORPORATION IN PRIMARY LAW—IN

PARTICULAR ART 6(2) EU.........................................................172

V. GENERAL PRINCIPLES OF LAW................................................174

VI. ASSESSMENT AND PERSPECTIVES ...........................................175

1. The Status Quo....................................................................175

2. Constitutional Perspectives...................................................178

a) The Constitutional Treaty ..............................................178

b) Anticipating the Constitution.........................................180

5 Christoph Möllers: Pouvoir Constituant—Constitution—

Constitutionalisation.......................................................................183

I. CONSTITUTIONAL RHETORIC: LEVELS OF MEANING ...........183

II. THEORETICAL PREREQUISITES: TWO TYPES OF

CONSTITUTIONS ..............................................................................184

1. Founding of a New Order: Constitution as Politicisation

of Law.................................................................................185

a) Foundation of a New Political Order ............................185

b) Normativity, Supremacy and Written Form of the

Constitution ...................................................................187

c) Result.............................................................................188

2. Shaping of the Powers: Constitution as Juridification of

Politics.................................................................................188

a) Limiting Powers by Legalisation of Government...........189

b) Restricted Normativity of the Constitution....................190

xii Contents

c) Result.............................................................................191

d) In Particular: Constitutional Treaties.............................192

3. The Traditions Correlated: Constitution as Coupling of

Politics and Law..................................................................193

III. BASIC POSITIONS IN THE CONSTITUTIONAL

DISCUSSION—A CRITICAL INVENTORY ..................................194

1. Assignment of the Constitution to the Nation-State............195

2. Constitutional Elements—Constitutional Functions............196

3. Heteronomy or Autonomy of EU Law................................199

4. Limited Relevance of the Discussion Fronts........................202

IV. THREE CONCEPTS OF THE CONSTITUTION IN EUROPE .........202

1. Pouvouir Constituant—the Criterion for Equal Freedom....203

2. Constitution: The European Treaties as a Formal

Constitution for the Union..................................................208

a) The Treaties in Written Form.........................................209

b) Supremacy of the Treaties..............................................212

aa) Constitution as a Legal Argument—the ECJ and

Hierarchies within the Treaties ...............................212

bb) Supremacy of the Treaty Law .................................213

c) The Treaties as a Formal Constitution: Supranational

Over-juridification and Intergovernmental

Politicisation ..................................................................215

3. Constitutionalisation............................................................215

a) Common European Constitutional Law—Establishing

Principles .......................................................................217

b) Charter of Fundamental Rights......................................218

c) Administrative Constitutionalisation..............................218

d) The Legitimacy of Evolutionary

Constitutionalisation......................................................220

V. EUROPEAN CONSTITUTIONAL LAW—A LEGAL FIELD

AND ITS ACADEMIA........................................................................220

VI. EPILOGUE: THE CONSTITUTIONAL TREATY .............................223

1. Constitutional Deliberation: Convention and

Intergovernmentalism..........................................................223

2. Constitutional Moments: The Political Remaining

Outside................................................................................224

3. Constitutional Honesty: The Constitutional Treaty as a

Semantic Constitution .........................................................226

II Institutional Issues .............................................................................227

6 Philipp Dann: The Political Institutions..........................................229

I. INTRODUCTION AND PURPOSE ...................................................229

II. PAST RESEARCH AND RECURRENT QUESTIONS.......................231

Contents xiii

1. To Council and Commission Through Principles and

Procedures...........................................................................231

2. European Parliament: the Pet Object...................................234

3. Changing Tides: Institutional Research in the 1990s ..........235

III. CONCEPTUAL FRAMEWORK: THE SYSTEM OF EXECUTIVE

FEDERALISM ....................................................................................237

IV. THE INSTITUTIONAL SETTING .....................................................239

1. Council of Ministers............................................................239

a) Form Follows Function: Members, Organisation and

Competences..................................................................239

b) Mode of Decision-taking: Consensus and its

Reasons..........................................................................243

2. European Parliament...........................................................245

a) Co-Elector: Appointment Power and Negative

Competence ...................................................................247

b) Oversight Function: Control via Organisation...............250

c) Co-Legislator: Law-making by Co-operation and

Consensus-building ........................................................252

3. European Commission ........................................................255

a) The Problem of Leadership............................................255

b) Organisational Structure: the Outlook of a Consensual

Government...................................................................256

c) Functions: Agenda-setter, Mediator and Guardian.........257

aa) Agenda Setting........................................................258

bb) Mediating Interests .................................................258

cc) Federal Voice and Guardian ...................................259

d) Conclusion and an Unresolved Problem of

Leadership .....................................................................260

4. European Council ...............................................................261

a) Composition and Form: The Ideal of the “Fireside

Chat” .............................................................................261

b) Functions .......................................................................263

aa) Steering Committee.................................................264

bb) Final Arbiter and Co-ordinator...............................264

cc) Treaty Negotiator and Constitutional

Motor......................................................................265

c) Conclusions....................................................................266

aa) An Institution Out of the Cookbook of Executive

Federalism...............................................................266

bb) European Council and European Commission as

Twofold Gubernative ..............................................267

d) A Threefold Gubernative? The Constitutional Treaty

and the New Foreign Minister .......................................268

V. LEGITIMACY OF THE INSTITUTIONAL SYSTEM ........................269

xiv Contents

1. Parliamentary Democracy ...................................................269

a) The Dilemma of the National Parliaments.....................270

b) The EP and its Representational Limits.........................272

2. Consensual Democracy .......................................................275

3. Conclusion and Proposal: a Semi-parliamentary

Democracy ..........................................................................276

VI. SUMMARY AND PROSPECTS: THE CONSTITUTIONAL

TREATY AND ITS IMPLICATIONS .................................................277

7 Franz C Mayer: The European Constitution and the Courts...........281

INTRODUCTION ..................................................................................281

I. TAKING STOCK: THE ECJ AND THE HIGHEST NATIONAL

COURTS—CONFLICT OR CO-OPERATION? ................................282

1. Adopting a Procedural Perspective: The Duty to Make

Preliminary References under Art 234(3) EC ......................284

a) Supreme National Courts and the Duty to Make

References from the Perspective of European Law ........284

b) The Preliminary Reference Practice of Supreme

National Courts.............................................................287

c) The National Supreme Courts’ Reference Practices—

A Mixed Bag? ................................................................290

2. Adopting a Substantive Perspective on the Courts’

Relationship ........................................................................291

a) The Perspective of the ECJ ............................................291

b) The Perspective of the Highest National

Courts............................................................................294

aa) The German BVerfG...............................................294

(1) Fundamental Rights: The Solange I and

Solange II Decisions (1974/1986) ......................295

(2) Powers and Competences: The German

Maastricht Decision (1993)................................296

(3) The Consistency of the BVerfG’s Case-law:

Controlling the Bridge .......................................300

bb) Other High Courts .................................................301

cc) The Highest Courts in the New and Prospective

Member States ........................................................304

3. Interim Summary ................................................................305

II. ADOPTING AN ANALYTICAL AND A THEORETICAL

PERSPECTIVE....................................................................................306

1. Dealing with the Question of Ultimate Jurisdiction ............306

2. Adopting a Theoretical Perspective .....................................311

a) Existing Approaches ......................................................311

b) Embedding the Problem into a Modern Concept of

Constitutionalism...........................................................313

Contents xv