Founding principles of EU law: A theoretical and doctrinal sketch

European Law Journal

Volumn 16, Issue 2, 2010, Pages 95-111

  Von Bogdandy, Armin ^a  

^a MAX PLANCK INSTITUTE FOR COMPARATIVE PUBLIC LAW AND INTERNATIONAL LAW   (Germany)

Author keywords

[No Author keywords available]

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EID: 77349106671     PISSN: 13515993     EISSN: 14680386     Source Type: Journal    
DOI: 10.1111/j.1468-0386.2009.00500.x     Document Type: Article

References (105)

1. For a seminal study, see I. Kant, Kritik der reinen Vernunft (Hartknoch, 2nd edn, 1787, Edition B), 355 et seq, esp 358.
2. See, within the extensive literature, the still prominent perspective of common or general principles: U. Bernitz and J. Nergelius (eds), General Principles of European Community Law (Kluwer Law International, 2000
3. X. Groussot, General Principles of Community Law (Europa Law Publishing, 2006)
4. T. Tridimas, The General Principles of EU Law (Oxford University Press, 2006)
5. R. Gosalbo Bono, 'The Development of General Principles of Law at National and Community Level', in R. Schulze and U. Seif (eds), Richterrecht und Rechtsfortbildung in der Europäischen Rechtsgemeinschaft (Mohr Siebeck, 2003), 99; from the perspective of constitutional principles
6. see B. Beutler, in H. von der Groeben and J. Schwarze (eds), Kommentar zum EU-/EG-Vertrag (Nomos, 2003), Art 6 EU; C. Calliess, in ibid and M. Ruffert (eds), EUV/EGV (Beck, 2007), Art 6 EU; M. Hilf and F. Schorkopf, Art 6 EU as well as I. Pernice and F. Mayer, nach Art 6 EU, both in E. Grabitz and M. Hilf, Das Recht der EU (Beck, looseleaf, last update May 2008
7. S. Mangiameli (ed), L'ordinamento Europeo: I principi dell'Unione (Giuffrè, 2006)
8. J. Molinier (ed), Les principes fondateurs de l'Union européenne (Presses Universitaires de France, 2005
9. H. Bauer and C. Calliess (eds), SIPE 4: Constitutional Principles in Europe (Sakkoulas, 2008
10. 'The TEU and the Treaty on the Functioning of the Union will not have a constitutional character', European Council, 21/22 June 2007, Presidency Conclusions (11177/1/07 REV 1), Annex I: IGC Mandate, para 3, available at http://www.consilium.europa.eu/ueDocs/cms_Data/docs/pressdata/en/ec/94932.pdf (accessed 29 January 2009). On the differences between the Treaty establishing a Constitution for Europe of 2004 and the Lisbon Treaty, see G. de Búrca, 'General Report', in H.F. Koeck and M.M. Karollus (eds), Preparing the European Union for the Future, FIDE XXIII Congress Linz 2008 (Nomos, 2008), 385, 391 et seq.
11. ibid, para 1; according to the German government this would include the symbols and the denomination 'European law', Denkschrift der Bundesregierung zum Vertrag von Lissabon vom 13 Dezember 2007 [Memoir of the Federal Government concerning the Treaty of Lisbon of 13 December 2007], cited after Bundesrat Drucksache 928/07, 133, 134.
12. On the more than 100 Austrian federal constitutional laws, see E. Wiederin, 'Grundlagen und Grundzüge staatlichen Verfassungsrechts: Österreich', in A. von Bogdandy et al (eds), Handbuch Ius Publicum Europaeum (C. F. Müller, 2007), vol I, § 7, paras 44 et seq.
13. ECJ, Case 294/83, Les Verts/Parlament, Slg [1986] ECR 1339, para 23; Opinion 1/91, Agreement relating to the creation of the European Economic Area I [1991] ECR I-6079, para 21.
14. For a similar view, see M. Dougan, 'The Treaty of Lisbon 2007', (2008) 45 Common Market Law Review 617, 698.
15. ECJ, Cases C-402/05 P and C-415/05 P, Kadi v Council [2008] ECR I-0000, paras 285, 290.
16. Opinion 1/91, n 6 supra, para 21.
17. P. Dann, 'Überlegungen zu einer Methodik des europäischen Verfassungsrechts', in Y. Becker et al (eds), Die Europäische Verfassung - Verfassungen in Europa (Nomos, 2005), 161 at 167.
18. A separate journal has existed since 2005, the European Constitutional Law Review. Compare further the approach in international law: S. Kadelbach and T. Kleinlein, 'International Law a Constitution for Mankind? An Attempt at a Re-appraisal with the Analysis of Constitutional Principles', (2007) 50 German Yearbook of International Law 303.
19. H. Mosler, 'Der Vertrag über die Europäische Gemeinschaft für Kohle und Stahl', (1951-1952) 14 Zeitschrift für ausländisches öffentliches Recht und Völkerrecht 1 at 23 et seq.
20. H.P. Ipsen, Europäisches Gemeinschaftsrecht (Mohr, 1972), 4 et seq.
21. F. Snyder, 'General Course on Constitutional Law of the European Union', in Academy of European Law (ed), Collected Courses of the Academy of European Law (Oxford University Press, 1998), vol VI, 41 at 47 et seq; S. Douglas-Scott, Constitutional Law of the European Union (Longman, 2002).
22. Political science uses the sociological term, whereby principles encompass empiric, causal and normative axioms in a broader way, see seminally, S.D. Krasner, 'Structural Causes and Regime Consequences', (1982) 36 International Organization 185 at 186.
23. Framing the discourse, see J. Rawls, A Theory of Justice (Clarendon Press, revised edn 1999, first edn 1972), 52
24. R. Dworkin, Taking Rights Seriously (Duckworth, 1977), 22 et seq; J. Habermas, Between Facts and Norms (Polity Press, reprint 2008), 132, 168 et seq and 197.
25. Dann, op cit n 10 supra, 183 et seq.
26. Habermas, op cit n 16 supra, 211.
27. G.F. Schuppert and C. Bumke, Die Konstitutionalisierung der Rechtsordnung (Nomos, 2000), 28 at 39; concerning 'guiding visions', see U. Volkmann, 'Verfassungsrecht zwischen normativem Anspruch und politischer Wirklichkeit', (2008) 67 Veröffentlichungen der Vereinigung der Deutschen Staatsrechtslehrer 57 at 67 et seq.
28. Case 26/62, Van Gend en Loos [1963] ECR 1 at 13; Case 294/83, Les Verts v Parliament [1986] ECR 1339, para 25.
29. Cases C-6/90 and C-9/90, Francovich [1991] ECR I-5357, para 35.
30. Reference re Secession of Quebec, [1998] 2 SCR 217 (Can), to question 1; similarly, case report Entscheidungen des Bundesverfassungsgerichts 34, 269 at 287 (Soraya).
31. For more detail, see F. Müller and R. Christensen, Juristische Methodik: Bd II Europarecht (Duncker & Humblot, 2007), paras 349 et seq.
32. For more detail, see A. von Bogdandy, 'Wissenschaft vom Verfassungsrecht: Vergleich', in ibid et al (eds), Handbuch Ius Publicum Europaeum (C. F. Müller, 2008), vol II, § 39.
33. J.H. von Kirchmann, Die Wertlosigkeit der Jurisprudenz als Wissenschaft (Haufe, 1848, reprint 1990), 29, thus justifies the uselessness of jurisprudence as a science.
34. From the perspective of classic positivism, this is of course a story of decline, for a concise account, see N. Luhmann, Das Recht der Gesellschaft (Suhrkamp, 1993), 521 et seq. Further concretion is achieved through so-called 'legal artefacts', typical subjective rights or property, for instance; for more detail, see U. Mager, Einrichtungsgarantien (Mohr Siebeck, 2003), in particular 21 et seq and 98 et seq. They are quite independent from positive law; however they can hardly be found in the law of the EU. This demonstrates the operational weakness of the doctrine of EU law.
35. C.F. Ophüls, 'Die Europäischen Gemeinschaftsverträge als Planverfassungen', in J.H. Kaiser (ed), Planung I (Nomos, 1965), 229 at 233; Ipsen, op cit n 13 supra, 128 et seq.
36. D. Curtin, 'The Constitutional Structure of the Union', (1993) 30 Common Market Law Review 17 at 67; the term was coined by J. Habermas, Die neue Unübersichtlichkeit (Suhrkamp, 1985).
37. For an early account, see G.F.W. Hegel, Rechtsphilosophie (Frommann-Holzboog, 1821, ed Moldenhauer and Michel from 1970), § 274.
38. Case C-314/89, Rau [1991] ECR I-1647, para 17; Case C-98/91, Herbrink [1994] ECR I-223, para 9; Cases C-465/00, C-138/01 and C-139/01, ORF [2003] ECR I-4989, para 68; Case C-540/03, Parliament v Council [2006] ECR I-5769, paras 61 et seq, 104 et seq.
39. For a seminal study, see H. Kelsen, Vom Wesen und Wert der Demokratie (Scientia Verlag, 2nd reprint of the 2nd edn of 1929, 1981), 23; ibid, Der soziologische und der juristische Staatsbegriff (Scientia Verlag, 2nd reprint of the 2nd edn of 1928, 1981)
40. M. Everson, 'Is it just me, or is there an Elephant in the Room?', (2007) 13 European Law Journal 136
41. J. Murkens, 'The Future of Staatsrecht', (2007) 70 The Modern Law Review 731.
42. Concerning discourses of application, see K. Günther, Der Sinn für Angemessenheit (Suhrkamp, 1988), 300
43. Concerning the principle-orientated interpretation of primary law, see Cases C-402/05 P and C-415/05 P, above n 8, para 303; further Case C-50/00 P, Union de Pequeños Agricultores v Council [2002] ECR I-6677, para 44; Case C-354/04, Gestoras Pro Amnistía et al v Council [2007] ECR I-1579, paras 51 et seq; Case C-355/04, Segi et al v Council [2007] ECR I-1657, paras 51 et seq; concerning the principle-orientated interpretation of secondary law, see Case C-540/03, Parliament v Council [2006] ECR I-5769, paras 70 et seq; Case C-305/05, Ordre des barreaux francophones et germanophone [2007] ECR I-5305, para 28.
44. For an instructive case, see Case C-361/01 P, Kik v HABM [2003] ECR I-8283, para 82, where the ECJ rejects a principle; on this, see F.C. Mayer, 'Europäisches Sprachenverfassungsrecht', (2005) 44 Der Staat 367 at 394; this article at the same time demonstrates how legal principles can be generated by legal scholarship.
45. Eg the principle of a common market: Case 7/61, Commission v Italy [1961] ECR 317 at 329; Case 113/80, Commission v Ireland [1981] ECR 1625, para 7.
46. K. Larenz and C.-W. Canaris, Methodenlehre der Rechtswissenschaft (Springer, 1995), 175 et seq; convincing Appellate Body, WT/DS26/AB/R, WT/DS48/AB/R, EC Measures Concerning Meat and Meat Products (Hormones), para 104.
47. For more detail, see Tridimas, op cit n 2 supra, 29 et seq.
48. Schuppert and Bumke, op cit n 19 supra, 40.
49. Compared to the German Basic Law (Grundgesetz), its protection on the European level is not as far-reaching, see J.-C. Galloux, in L. Burgorgue-Larsen et al (eds), Traité établissant une Constitution pour l'Europe (Bruylant, 2005), vol II, Art II-73, para 12.
50. M. Weber, Wirtschaft und Gesellschaft (Mohr Siebeck, 1972), 825 et seq.
51. E.-W. Böckenförde, 'Demokratie als Verfassungsprinzip', in ibid (ed), Staat, Verfassung, Demokratie (Suhrkamp, 1991), 289 at 322.
52. Concerning common law, see P. Atiyah and R. Summers, Form and Substance in Anglo-American Law (Clarendon, 1991), 141 et seq.
53. A. Bickel, The Least Dangerous Branch (Bobbs-Merrill, 1962); for a study of comparative law, see U., Haltern, Verfassungsgerichtsbarkeit, Demokratie und Misstrauen (Duncker & Humblot, 1998); on the ECJ from an internal perspective, see K.-D. Borchardt, 'Richterrecht durch den Gerichtshof der Europäischen Gemeinschaften', in A. Randelzhofer et al (eds), Gedächtnisschrift für Professor Dr. Eberhard Grabitz (Beck, 1995), 29.
54. On judicial development of the law by the ECJ, see the case report Entscheidungen des Bundesverfassungsgerichts 75, 223 at 243.
55. However exactly in those cases where the denial of a proposed judicial development of the law seemed to suit the court well, Opinion 2/94, EMRK [1996] ECR I-1759, para 30 and Case C-50/00 P, n 33 supra, para 44; Case C-263/02 P, Commission v Jégo-Quéré [2004] ECR I-3425, para 36.
56. L. Siedentop, Democracy in Europe (Allen Lane, 2000), 100.
57. For a seminal study, see E. Stein, 'Lawyers, Judges and the Making of a Transnational Constitution', (1981) 75 Americal Journal of International Law 1.
58. On the different formations of discourses see Habermas, op cit n 16 supra, 159 et seq.
59. P. Pescatore, Le droit de l'intégration (Sijthoff, 1972), 70 et seq; H. Lecheler, Der Europäische Gerichtshof und die allgemeinen Rechtsgrundsätze (Duncker & Humblot, 1971
60. P. Pescatore, 'Les principes généraux du droit en tant que source du droit communautaire', in ibid (ed), Études de droit communautaire européen 1962-2007 (Bruylant, 2008), 691
61. J.A. Frowein, 'Die Herausbildung europäischer Verfassungsprinzipien', in A. Kaufmann et al (eds), Rechtsstaat und Menschenwürde (Klostermann, 1988), 149; J. Gerkrath, L'emergence d'un droit constitutional pour l'Europe (Editions de l'Universite de Bruxelles, 1997), 183 et seq; J.H.H. Weiler, 'European Neo-Constitutionalism', (1996) 44 Political Studies 517
62. F. Snyder, 'Editorial: Dimensions and Precipitates of EU Constitutional Law', (2002) 8 European Law Journal 315
63. K. Lenaerts, 'In the Union We Trust', (2004) 41 Common Market Law Review 317.
64. E. Denninger, 'Freiheitsordnung - Wertordnung - Pflichtordnung', in ibid (ed), Der gebändigte Leviathan (Nomos, 1990), 143 at 149. Illuminating the comparison with the US debate concerning rights theory versus moral conventionalism, see P. Brest, 'The Fundamental Rights Controversy', (1981) 90 Yale Law Journal 1063.
65. The term 'authors of the Treaties' characterises the Member States as a collective under Art 48 EU. On the term 'founding authority of the Community', see Case T-28/03, Holcim v Commission [2005] ECR II-1357, para 34; Case T-172/98, Salamander et al v Parliament and Council [2000] ECR II-2487, para 75.
66. For more detail, see R. Alexy, Theorie der Grundrechte (Suhrkamp, 2006), 75 et seq.
67. European Concil, Opnion of the Legal Service, Council Doc 11197/07, see further F. Mayer, 'Die Rückkehr der Europäischen Verfassung?', (2007) 67 Zeitschrift für ausländisches öffentliches Recht und Völkerrecht 1141 at 1153; concerning primacy as a principle, see M. Niedobitek, 'Der Vorrang des Unionsrechts', in ibid and J. Zemánek (eds), Continuing the European Constitutional Debate (Duncker & Humblot, 2008), 63 at 65 et seq.
68. A. Jakab, 'Prinzipien', [2006] Rechtstheorie 37.
69. Settled case-law; cf Cases 117/76 and 16/77, Ruckdeschel [1977] ECR 1753, para 7.
70. For more detail, see C. Hilson, 'Rights and Principles in EU Law', (2008) 15 Maastricht Journal of European and Comparative Law 193 at 215.
71. For a seminal study, see Dworkin, op cit n 16 supra, 24 et seq; Alexy, op cit n 56 supra, 72 et seq; on the debate, see R. Guastini, Distinguendo: Studi di teoria e metateoria del diritto (Giappichelli, 1996), 115 et seq; M.L. Fernandez Esteban, The Rule of Law in the European Constitution (Kluwer Law International, 1999), 39 et seq; M. Koskenniemi, 'General Principles', in ibid (ed), Sources of International Law (Dartmouth, 2000), 359
72. On the term 'principe fondateur', see Molinier, op cit n 2 supra, 24; for a similar view, see Dworkin, op cit n 16 supra, 22.
73. For more detail, see H. Dreier, in ibid (ed), Grundgesetz-Kommentar (Mohr Siebeck, 2006), vol II, Art 20 (Einführung), paras 5, 8; F. Reimer, Verfassungsprinzipien (Ducker & Humblot, 2001), 26 et seq.
74. The ECJ too speaks of constitutional principles of the EC Treaty: Cases C-402/05 P and C-415/05 P, n 8 supra, para 285. Cf on this the reflections in the introduction.
75. Beutler, in von der Groeben and Schwarze (eds), op cit n 2 supra, para 1; P. Cruz Villalón, La constitución inédita (Editorial Trotta, 2004), 73, 143; H.W. Rengeling and P. Szczekalla, Grundrechte in der Europäischen Union (Heymanns, 2004), paras 92 et seq.
76. Art 6(1) EU is slowly becoming operative; on the principle-orientated interpretation of primary law, see Cases C-402/05 P and C-415/05 P, n 8 supra, para 303.
77. Molinier, op cit n 2 supra, 29; cf the principles discussed by Tridimas and Groussot, op cit n 2 supra.
78. On the difficulty related to the concept of 'values', see section II C.
79. Compare the third recital of the preamble to the EU Treaty and Art 6(1) EU with Art 2 TEU-Lis and the second recital to the preamble to the EU Charter for Fundamental Rights.
80. G. della Cananea, 'Il diritto amministrativo europeo e i suoi principi fondamentali', in ibid (ed), Diritto amministrativo europeo (Giuffrè, 2006), 1 at 17 et seq.
81. Case C-36/02, Omega [2004] ECR I-9609, para 12; Case C-49/07, MOTOE [2008] ECR I-0000, para 12. Occasionally, an Advocate General uses this term for the law of the EU, AG Kokott in Cases C-387/02, 391/02 and 403/02, Berlusconi [2005] ECR I-3565, para 163.
82. Cases C-402/05 P and C-415/05 P, n 8 supra, para 285.
83. Cases C-46/93 and C-48/93, Brasserie du pêcheur [1996] ECR I-1029, para 27; Case C-255/02, Hailfax [2006] ECR I-1609, para 92; Case C-438/05, International Transport Workers' Federation [2007] ECR I-10779, para 68; Case C-162/07, Ampliscientifica [2008] ECR I-0000, para 25.
84. See section II C.
85. Kadelbach and Kleinlein, op cit n 11 supra.
86. Case C-162/96, Racke [1998] ECR I-3655, paras 45-51.
87. Note the refusal of direct effect concerning the UN Convention on the Law of the Sea in Case C-308/06, Intertanko [2008] ECR I-0000, paras 42 et seq.
88. See Cases C-402/05 P and C-415/05 P, n 8 supra, para 316.
89. J. d'Aspremont and F. Dopagne, 'Two Constitutionalisms in Europe', (2008) 68 Zeitschrift für ausländisches öffentliches Recht und Völkerrecht 903.
90. A. Haratsch, C. König and M. Pechstein, Europarecht (Mohr Siebeck, 2006), paras 79, 83; in the same vein, see also the case report Entscheidungen des Bundesverfassungsgerichts 113, 273 at 301.
91. M. Pechtsein, in R. Streinz (ed), EUV/EGV (Beck, 2003), Art 6 EU, para 2 et seq.
92. Concerning the uniformity of standards, see Case C-303/05, Advocaten voor de Wereld (European Arrest Warrant) [2007] ECR I-3633, para 45.
93. For more detail, see A. von Bogdandy, 'The Legal Case for Unity', (1999) 36 Common Market Law Review 887; along similar lines, see H.-J. Blanke, in Calliess and Ruffert (eds), op cit n 2 supra, Art 3 EU, paras 1, 3; C. Stumpf, in J. Schwarze (ed), EU-Kommentar (Nomos, 2008), Art 3 EU, para 1.
94. For more detail, see K. Lenaerts and T. Corthaut, 'Towards an Internally Consistent Doctrine on Invoking Norms of EU Law', in S. Prechal and B. van Roermund (eds), The Coherence of EU Law (Oxford University Press, 2008), 495; T. Giegerich, 'Verschmelzung der drei Säulen der EU durch europäisches Richterrecht', (2007) 67 Zeitschrift für ausländisches öffentliches Recht und Völkerrecht 1. However, the ECJ occasionally describes EU and EC law as 'integrated but separate legal orders', see Cases C-402/05 P and C-415/05 P, n 8 supra, para 202.
95. For more detail, see F. Chirico and P. Larouche, 'Conceptual Divergence, Functionalism, and the Economics of Convergence', in Prechal and van Roermund (eds), ibid, 463.
96. R. Streinz et al, Der Vertrag von Lissabon zur Reform der EU (Beck, 2008), 33 et seq.
97. For suggestions on how to deal with this situation, see M. Dougan, op cit n 7 supra, 665 et seq; it is not that exceptional, see A. Hanebeck, 'Die Einheit der Rechtsordnung als Anforderung an den Gesetzgeber', (2002) 41 Der Staat 429.
98. A similar concern can be found in Art 23(1) of the German Basic Law which secures the structural integrity.
99. A. von Bogdandy, 'The Prospect of a European Republic', (2005) 42 Common Market Law Review 913 at 934 et seq.
100. Thus labelled in the Treaty establishing a Constitution for Europe; on this, see C. Calliess, in ibid and M. Ruffert (eds), Verfassung der Europäischen Union (Beck, 2006), Art I-1 VVE, paras 47 et seq; on the community method, see J. Bast, 'Einheit und Differenzierung der Europäischen Verfassung', in Becker et al (eds), op cit n 10 supra, 34 at 52 et seq.
101. In the same vein, see Case C-133/06, Parliament v Council [2008] ECR I-0000, para 63 concerning the new differentiation between parliamentary (co-) legislation and bare law-making; pathbreaking K. Lenaerts, see for instance Sénat et Chambre des représentants de Belgique (eds), Les finalités de l'Union européenne (Conseil, 2001), 14 at 15.
102. Opinion 2/94, n 45 supra, paras 10 et seq; Case C-376/98, Germany v Parliament and Council [2000] ECR I-8419.
103. J.C. Piris, The Constitution for Europe (Cambridge University Press, 2006), 59. This certainly does not exclude streamlining and abstractions at many points, see B. de Witte, 'Too Much Constitutional Law in the European Union's Foreign Relations?', in M. Cremona and ibid (eds), EU Foreign Relations Law (Hart, 2008), 3 at 7.
104. In the tradition of critical legal studies, such an approach is suspected of being Ideology, on this, see G. Frankenberg, 'Der Ernst im Recht', [1978] Kritische Justiz 281; ibid, 'Partisanen der Rechtskritik', in S. Buckel et al (eds), Neue Theorien des Rechts (Lucius & Lucius, 2006), 97; D. Kennedy, Critique of Adjudication (Harvard University Press, 2003); ibid, 'The Structure of Blackstone's Commentaries', (1979) 28 Buffalo Law Review 209
105. R.M. Unger, 'The Critical Legal Studies Movement', (1983) 96 Harvard Law Review 563.