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FROM SPECIALITY TO A CONSTITUTIONAL SENSE OF PURPOSE: ON THE CHANGING ROLE OF THE OBJECTIVES OF THE EUROPEAN UNION
Published online by Cambridge University Press: 17 September 2014
Abstract
After the Lisbon Treaty, the objectives of the European Union are more numerous and ambitious than ever. But what is their importance and function within the ‘thickening’ legal order of the EU? Combining insights from both the law of international organizations and comparative constitutional law, the article traces the diverging role of objectives for, on the one hand, a traditional international organization marked by the principle of ‘speciality’ and, on the other, a maturing legal order increasingly exhibiting ‘constitutional’ traits. It argues that in the case of the EU, objectives and competences have developed into two related but distinct norm categories. While objectives serve to bolster arguments to shape such powers, they no longer represent a rationale in their own right for founding competences. The EU no longer justifies its existence solely by striving for a particular set of goals. Rather, these norms represent an entrenched duty to pursue these objectives through the actors, structures and procedures available, regardless of the Union's ultimate form (finalité). Today, the EU stands for certain values and has been endowed with powers, the exercise of which is guided by promoting these various aspects of the ‘common good’.
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References
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51 Thirteenth recital of the preamble TEU (Nice version).
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88 Case 126/86 Giménez Zaera v Institut Nacional de la Seguridad Social and Tesorería General de la Seguridad Social [1987] ECR 3697, para 10 (emphasis added).
89 Case 167/73 Commission v France [1974] ECR 359, para 18. The German version of the judgment uses even stronger language. It speaks of ‘vertragsprägende allgemeine Grundsätze’, ie ‘general principles which characterize the Treaty’.
90 Calliess (n 5) 85; and Pescatore (n 13) 327; see also Pollack, M, The Engines of European Integration: Delegation, Agency, and Agenda Setting in the EU (OUP 2003)CrossRefGoogle Scholar 189.
91 van Gend & Loos (n 78) para 9.
92 ibid. Hallstein, Die Europäische Gemeinschaft (5th edn, Econ Verlag 1979) 53, described the Treaties as ‘acts of creation’ (‘Schöpfungsakte’) and not just ‘a batch of rights and duties of the contracting parties’ (‘einem Bündel von Rechten und Pflichten der vertragschließenden Staaten’).
93 Case 294/83 Parti écologiste ‘Les Verts’ [1986] ECR 1339, para 23.
94 Opinion 1/91 (EEA) [1991] ECR I-6079, para 21 (emphases added).
95 ibid. See also Rosas, A and Armati, L, EU Constitutional Law: An Introduction (Hart 2010)Google Scholar 3.
96 Case 29/69 Stauder [1969] ECR 419; generally and for further case law see eg Schütze (n 74) 409–19.
97 Art 6(1) TEU (Nice version). Post-Lisbon, art 6(1) TEU refers to the Charter of Fundamental Rights, which is of the same legal rank as the Treaties, representing the detailed codification of the fundamental rights within EU primary law.
98 Note in this context the controlimiti doctrine of the Italian Constitutional Court, in particular, Corte costituzionale, Decision of 18 December 1973, Sentenza N. 183/1973 (Frontini); and the German Solange I decision, Bundesverfassungsgericht, Decision of 29 May 1974, BVerfGE 37, 271 (Solange I).
99 See eg Bundesverfassungsgericht, Decision of 22 October 1986, BVerfGE 73, 339 (Solange II); and Corte costituzionale, Decision of 5 June 1984, Sentenza N. 170/1984 (Granital). Further Kühling, J, ‘Fundamental Rights’ in von Bogdandy, A and Bast, J (eds), Principles of European Constitutional Law (2nd edn, Hart/CH Beck 2011)Google Scholar 479.
100 Case 11/70 Internationale Handelsgesellschaft [1970] ECR 1125, para 4. This was later supplemented by international sources, in particular the ECHR, see Case 4/73 Nold v Commission [1975] ECR 491, para 13.
101 The term was introduced in Bundesverfassungsgericht, Decision of 15 January 1958, BVerfGE 7, 198, 205 (Lüth), para 27.
102 Art 2 TEU.
103 Mangiameli, S, ‘Article 2 [The Homogeneity Clause]’ in Blanke, HJ and Mangiameli, S (eds), The Treaty on European Union (TEU): A Commentary (Springer 2013)Google Scholar 114 (original emphases omitted).
104 Treaty of Amsterdam art 1(8); subsequently art 6 TEU (Nice version). On the detailed genesis of this provision see Mangiameli (n 103) 110–15.
105 Art 49(1) TEU.
106 Art 7(2) TEU.
107 Art 7(3) TEU.
108 Internationale Handelsgesellschaft (n 100) para 4 (emphasis added).
109 In this context J d'Aspremont and F Dopagne, ‘Two Constitutionalisms in Europe: Pursuing an Articulation of the European and International Legal Orders’ (2008) 68 ZaöRV 939, 943–50, distinguish between ‘substantive’ constitutionalism, ie value-based, and ‘systemic’ constitutionalism, eg direct effect and primacy.
110 von Bogdandy, A, ‘Founding Principles of EU Law: A Theoretical and Doctrinal Sketch’ (2009) 16 ELJ 95, 99Google Scholar.
111 ibid. He sees the replacement of the former ‘specific objectives’ of Articles 2 and 3 EC by current art 3 TEU as evidence for this.
112 (In the original: ‘Fluchtpunkt und Legitimationstitel allen Gemeinschaftshandelns, zugleich Ausdruck fehlender Kompetenz-Kompetenz der Gemeinschaften’) Reimer (n 5) 992. He writes with regard to the (then) looming Constitutional Treaty. His findings can, overall, be transferred to the primary law as amended by the Lisbon Treaty.
113 (In the original: ‘Schicksals- und Wertegemeinschaft’) ibid.
114 ibid 993, also 1009, referring to the failed Constitutional Treaty.
115 Case 8/57 Groupement des hauts fourneaux et aciéries belges v High Authority [1958] ECR English special edition 245, para 8.
117 Joined Cases 6 and 7/73 Istituto Chemioterapico Italiano S.p.A. and Commercial Solvents Corporation v Commission [1974] ECR 223, para 32. See also eg Case 53/81 Levin [1982] ECR 1035, para 15; and Case 15/81 Gaston Schul Douane Expediteur BV v Inspecteur der Invoerrechten en Accijnzen [1982] ECR 1409, para 33. In this vein also A Dashwood et al., Wyatt & Dashwood's European Union Law (6th edn, Hart 2011) 24.
118 eg Case C-130/10 Parliament v Council [2012] OJ C295/2, paras 61–65 (concerning the proper legal basis for certain counterterrorism measures, in which the objectives of the AFSJ and the CFSP were invoked by the parties); Case C-202/11 Anton Las v PSA Antwerp NV [2013] OJ C164/3, paras 26–27 (concerning the free movement of workers and the objective of preserving the linguistic diversity in the EU according to art 3(3) TEU); and Joint Cases C-274/11 and C-295/11 Spain and Italy v Council [2013] OJ C164/3, para 48 (stressing that enhanced cooperation is to further the ‘objectives of the Union’ according to art 20(2) TEU); and Case C-137/12, Commission v Council (ECJ, 22 October 2013) para 56 (concerning scope of the Common Commercial Policy).
119 See eg Case C-268/94 Portugal v Council [1996] ECR I-06177, para 23; and Case C-166/07 Council v Parliament (International Fund for Ireland) [2009] ECR I-07135, para 45.
120 See eg Case C-268/94 Portugal v Council [1996] ECR I-06177, para 37.
121 Case 112/80 Dürbeck [1981] ECR 01095, para 44.
122 The clarification of competences, until then provided by rather scattered Treaty provisions and through ECJ case law, had been a major issue on the agenda ever since the Nice Treaty. To which extent this cataloguing in the TFEU was a success is, however, debateable. See Piris (n 54) 74–8; Tridimas, T, ‘Competence after Lisbon: The Elusive Search for Bright Lines’ in Ashiagbor, D, Countouris, N and Lianos, I (eds), The European Union after the Treaty of Lisbon (CUP 2012)Google Scholar 47; and rather sceptically Schütze, R, ‘Lisbon and the Federal Order of Competences: A Prospective Analysis’ (2008) 33 ELRev 709Google Scholar.
123 Starting with Case 22/70 Commission v Council (ERTA) [1971] ECR 263; clarified in Opinion 1/03 (Lugano Convention) [2006] ECR I-1145; see further Cremona, M, ‘External Relations and External Competence of the European Union’ in Craig, P and de Búrca, G, The Evolution of EU Law (2nd edn, OUP 2011) 217–68Google Scholar.
124 Art 3(2) TFEU; art 216(1) TFEU.
125 Art 3b(1) EC (1992 consolidated version) (emphasis added). Note also art 3b(3) EC (1992 consolidated version): ‘Any action by the Community shall not go beyond what is necessary to achieve the objectives of this Treaty.’ These formulations remained also after the Amsterdam and Nice revisions. The ECJ endorsed this formulation in Opinion 2/94 [1996] ECR I-1759, para 23.
126 Art 5(2) TEU (emphases added).
127 This conclusion challenges the position maintained by some authors that acts beyond the objectives of the Union would have to be considered ultra vires, rather than looking at competence norms. See Müller-Graff (n 5) marginal no 179; similarly Reimer (n 5) 992–3; but cf P Craig, ‘The ECJ and ultra vires action: A conceptual analysis’ (2011) 48 CMLRev 395, who defines EU action ultra vires in terms of competences alone rather than drawing on objectives.
128 Art 3(6) TEU (emphasis added).
129 Azoulai, L, ‘Introduction: The question of competence’ in Azoulai, L (ed), The Question of Competence in the European Union (OUP 2014)CrossRefGoogle Scholar 1, 11.
130 ibid 12.
132 Art 352(1) TEU. Note also Declarations No 41 and 42 on art 352 of the Treaty on the Functioning of the European Union, attached to the Lisbon Treaty.
133 See eg Case 8/73 Massey-Ferguson [1973] ECR 897, para 4; Case 242/87 Commission v Council (Erasmus) [1989] ECR 1425; Joined Cases C-402/05 P and C-415/05 P Kadi and Al Barakaat [2008] ECR I-6351, para 235. See further Douglas-Scott, S, Constitutional Law of the European Union (Longman 2002) 155–63Google Scholar; Lenaerts and Van Nuffel (n 65) 122–4.
135 Opinion 2/94 [1996] ECR I-1759, para 29.
136 ibid para 35. See also Declaration No 42 on Article 352 of the Treaty on the Functioning of the European Union, which reiterates this idea.
137 Dashwood et al. (n 117) 110.
138 Art 352(2) TFEU. Art 352(3) states in addition that the clause cannot be used to the effect of harmonizing Member State laws or regulations ‘in cases where the Treaties exclude such harmonisation’.
139 Art 352(4) TFEU.
140 Schermers and Blokker (n 17) 766.
141 See Rosas and Armati (n 95) 12–17 on the State-like and non-State like features of the Union. On the former, they conclude that these features ‘are not normally associated with intergovernmental organisations, or, if they are, they are to be seen as exceptions or even anomalies’ (14). Similarly, Douglas-Scott (n 133) 260, who concludes that ‘even if the EEC did conform to the status of international organisation in its early days (which is unlikely) it has now moved well beyond that.’
142 Jurisdiction of the European Commission of the Danube (n 21) 64.
143 See also, commenting on the general objectives of the failed Constitutional Treaty, Azoulai, L, ‘Article I-3’ in Burgorgue-Larsen, L, Levade, A and Picod, F (eds), Traité établissant une Constitution pour l'Europe (Bruylant 2007) vol 1, 60, 62Google Scholar: ‘On ne saurait, reconnaissons-le, être plus généreux et moins sélectif dans la promesse de bienfaits sublunaires.’ Similarly, Piris (n 54) 73, states that the objectives of art 3 TEU, ‘when compared with the past Treaties, go in the direction of respecting human values and caring for the well-being of the people’.
144 Art 3(1) TEU.
145 Pescatore (n 13) 327.
146 See eg Joerges, C, Meny, Y, Weiler, JHH (eds), What Kind of Constitution for What Kind of Polity? Responses to Joschka Fischer (European University Institute 2000)Google Scholar, which also reproduces Joschka Fischer's speech at the Humboldt University in Berlin on 12 May 2000 entitled ‘From Confederacy to Federation: Thoughts on the Finality of European Integration’ (19–30); Walker, N, ‘After Finalité? The Future of the European Constitutional Idea’ in Amato, G, Bribosia, H and de Witte, B (eds), Genèse et destinée de la Constitution européenne (Bruylant 2007)Google Scholar 1245; also Walker (n 69) 100; and Follesdal, A, ‘Towards a stable finalité with federal features? The balancing acts of the Constitutional Treaty for Europe’ (2005) 12 JEPP 572Google Scholar.
147 (In the original: ‘Grundnorm des Integrationsprogramms’) Ruffert (n 65) marginal no 1.
148 ibid, marginal no 2.
149 Calliess (n 5) 91; referring to Joined Cases 80 and 81/77 Société Les Commissionnaires Réunis SARL v Receveur des douanes [1978] ECR 927, para 36: ‘Any prejudice to what the Community has achieved in relation to the unity of the market moreover risks opening the way to mechanisms which would lead to disintegration contrary to the objectives of progressive approximation of the economic policies of the Member States set out in Article 2 [TEC]’.
150 Calliess (n 5) 85.
151 Rosas and Armati (n 95) 16 stress that the principle of conferral ‘is not unknown in the constitutions of certain federal states and it is therefore open to debate whether the principle of conferral amounts to a state or a non-state feature’. See further on the federalist paradigm in EU law, Schütze, R, From Dual to Cooperative Federalism: The Changing Structure of European Law (OUP 2009)CrossRefGoogle Scholar; and Cloots, E, De Baere, G and Sottiaux, S (eds), Federalism in the European Union (Hart 2012)Google Scholar.
152 Walker (n 146) 1253, who points out the rather diverse positions that have been connected to finalité.
153 ibid 1254.
154 Müller-Graff, P-C, ‘Verfassungsziele der EG/EU’ in Dauses, M (ed), Handbuch des EU-Wirtschaftsrechts (loose-leaf commentary, 27th edn, CH Beck, October 2010)Google Scholar marginal no 119. However, the current edition does not include this distinction anymore, Müller-Graff (n 5). Also Dollat, P, Droit européen et droit de l'Union européenne (3rd edn, Sirey 2010)Google Scholar 113 speaks of ‘objectifs politiques internes de l'intégration de l'Union’.
155 Art 2 EC. Note that art 3(3), third subpara TEU uses a slightly different formulation (‘economic, social and territorial cohesion, and solidarity among Member States’).
156 Art 1(3) EC; this formulation is not reiterated in the post-Lisbon Treaties.
157 First recital of the preamble TEC; in the Lisbon version, it is referred to in the preambles of both the TEU and TFEU, as well as in the operative part in art 1(2) TEU.
158 The term ‘effective’ is used here in the sense of ‘goal attainment’, drawing on the definition elaborated by Young, O, International Governance: Protecting the Environment in a Stateless Society (Cornell University Press 1994) 144–5Google Scholar.
159 Ruffert (n 65) marginal no 3.
160 Art 5(1) TEU.
161 Alexy (n 84) 47.
162 Art 21(2)(h) TEU. On the additional conundrums that this raises, see Larik, J, ‘Entrenching Global Governance: The EU's constitutional objectives caught between a sanguine world view and a daunting reality’ in Van Vooren, B, Blockmans, S and Wouters, J (eds), The EU's Role in Global Governance: The Legal Dimension (OUP 2013)Google Scholar 7.
163 In this respect, de Búrca (n 66) 36.
164 ‘From war to peace: A European tale’, Nobel Peace Prize Lecture on behalf of the European Union by Herman Van Rompuy, President of the European Council and José Manuel Durão Barroso, President of the European Commission, Oslo, 10 December 2012.
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