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CONSTITUTIONAL LAWOFTHE
EUROPEAN UNION
Second Edition
by
KOEN LENAERTSProf essor ofEuropean Law, Katholieke Universiteit Leuven,Judge ofthe Court of Justice ofthe European Communities
and
PIET VAN NUFFELLégal secretary at the Court of Justice ofthe European Communities
Prof essor at the Collège of Europe, Natolin
ROBERT BRAY, EDITORPrincipal administrator, European Parliament
THOMSON
SWEET & MAXWELL
CONTENTS
PréfaceForeword to the First EditionIntroduction to the source materialList of AbbreviationsNumerical Table of European cases
European Court of JusticeEuropean Court of First InstanceEFTA CourtEuropean Court ofHuman Rights
Alphabetical Table of European casesTable of national casesTable of EU and EC Treaties, Protocols and DéclarationsTable of European Union and Community Acts
RégulationsDirectivesCouncil Décisions and Décisions of ReprésentativesofMember StatesRules of ProcédureInterinstitutional Agreements
Table of Conventions and Agreements concluded by the EC or EUUK LégislationNon-UK Législation
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PART I: THE EUROPEAN UNION: DIFFERENTPATHS TOWARDS INTEGRATION
1. THE COMMUNITY INTEGRATION PATH
I. The ECSC Treaty 3II. The EEC Treaty and the EAEC Treaty 6
CONTENTS
III. The organisational unity of the Community Treaties 10IV. The supranational character of Community Law 11V. The enlargement of the Communities (and the European
Union) 18
2. THE NON-COMMUNITY INTEGRATION PATH
I. The establishment of the Council of Europe 23II. Proposais for further collaboration between the Member
States of the Communities 27III. Intergovernmental co-operation between the Member
States 33A. European monetary co-operation 33B. European political co-operation 35C. Police and judicial co-operation 36D. The European Council 39E. Décisions of the governments of the Member States 39
3. BRINGING TOGETHER THE PATHS OF INTEGRATIONINTO ONE EUROPEAN UNION
I. Proposais for a European Union 41II. The Single European Act 43III. The Treaty on European Union 46
A. The Intergovernmental Conférences held in 1990-1991 46B. The establishment of the European Union 49C. Rétention of différent paths towards intégration 52D. A single institutional framework 55
IV. The Treaty of Amsterdam 57V. The Treaty of Nice 62
4. TOWARDS A "CONSTITUTION FOR EUROPE"
I. The Convention on the Future of Europe 67II. The Intergovernmental Conférence of 2003-2004 69III. The Treaty establishing a Constitution for Europe 70IV. Will the European Union be endowed with a
Constitution? 74
CONTENTS
PART II: JURISDICTION OF THE EUROPEAN UNION
5. SUBSTANTIVE SCOPE OF THE COMMUNITYTREATIES
I. Principles 80A. Objectives and tasks of the Community 81B. The powers of the Community 86
1. Need for a légal basis 862. Powers differ depending on the légal basis 90
a. Powers conferred expressly or impliedly by theTreaty 90
b. Supplementary compétence to achieveCommunity objectives (EC Treaty, Art. 308) 94
3. Exclusive and non-exclusive compétence 95C. The principle of subsidiarity 100
1. Rôle played by the principle 1002. The requirements of subsidiarity 1033. Application of the principle of subsidiarity 1054. The principle of subsidiarity in the EU
Constitution 107D. The principle of proportionality 109
1. Rôle played by the principle 1092. The requirements of proportionality 1113. Application of the principle of proportionality 1124. The principle of proportionality in the EU
Constitution: protection of national sovereignty? 114E. The principle of sincère co-operation or co-operation
in good faith 1151. Rôle played by the principle 1152. The requirements of the duty of sincère
co-operation 117a. Supplementary requirements 117b. Derogatory requirements 122
F. The principle of equal treatment 1231. Field of application 123
a. Prohibition of discrimination on grounds of thenationality of a Member State 125
b. Prohibition of discrimination on grounds ofsex/gender 129
c. Other prohibited forms of discrimination 132
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2. Content 135a. Substantive discrimination 135b. Direct and indirect discrimination 135c. Reverse discrimination 137
II. The common/internal market 139A. Establishment of a common/internal market 139
1. Scope of the common market 1392. From common market to internai market 1413. The internai market in the EU Constitution 147
B. The Treaty provisions on free movement 1471. Free movement of goods 149
a. The customs union 151(1) Prohibition of customs duties on imports
and exports and charges having équivalenteffect 152
(2) Permissible charges 153(3) The Common Customs Tariff 156(4) Customs co-operation 157
b. Prohibition of non-tariff restrictions 158(1) Prohibition of quantitative restrictions and
measures having équivalent effect 159(2) Exceptions 161
(i) Article 30 of the EC Treaty 162(ii) The rule of reason 165(iii) Rules governing selling arrangements 168
c. Common commercial policy 1712. Free movement of persons 171
a. General scope 171b. Beneficiaries 173
(1) Nationals of a Member State 173(2) Qualifying workers 174(3) Self-employed persons and companies
qualifying 176(4) Connection with Community law 177
c. Substance of the free movement of persons 179(1) Right to enter, leave and réside 179(2) Prohibition of discriminatory and
non-discriminatory obstacles 181(3) Primary and secondary right of
establishment 188d. Permitted restrictions on the free movement of
persons 191(1) Restrictions on grounds of public policy,
public security and public health 191xii
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(2) Employment in the public service andexercise of public authority 194
(3) Restrictions arising on other justificatorygrounds 196
e. Harmonisation and récognition of professionalrules 198
f. Social security and the free movement of persons 203g. Judicial co-operation in civil matters 206h. Administrative co-operation in connection with
free movement of persons 211i. Movement of nationals of third countries 212
(1) Rights to free movement 212(2) Access to and résidence in the territory:
frontier controls, visas, immigration andasylum 213(i) Rules regarding access to the
territory and establishment of an areaof freedom, security and justice 213
(ii) Measures relating to border checks 215(iii) Measures relating to asylum 217(iv) Measures relating to immigration
policy 219(v) Particular rules relating to
Community policy pursuant to TitleIV of the EC Treaty 220
(vi) Incorporation of the Schengen acquis 221(vii) Exceptional status of Denmark,
Ireland and the United Kingdom 223(3) The area of freedom, security and justice in
the EU Constitution 2253. Freedom to provide of services 227
a. Définition and beneficiaries 227b. Substance of the freedom to provide services 231c. Permitted restrictions on freedom to provide
services 233(1) Restrictions pursuant to Arts 45 and 46 of
the EC Treaty 233(2) Restrictions based on the rule of reason 234
d. Services and the common commercial policy 2384. Free movement of capital and payments 238
a. Définition and substance 238b. Permitted restrictions on the free movement of
capital and payments 240C. Agriculture and fisheries 243
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D. Transport 248E. Compétition 250
1. Rules for undertakings 252a. Article 81 of the EC Treaty 252b. Article 82 of the EC Treaty 256c. Control of concentrations 257d. Public undertakings and services of gênerai
interest 2592. State aid 262
F. Harmonisation of national législation 2671. The impact of Community harmonisation measures 2682. Harmonisation under Arts 94 and 95 of the EC
Treaty 2713. New approach to Community harmonisation 2764. Powers to harmonise in the EU Constitution 277
III. Economie and Monetary Policy 279A. Préparation of économie and monetary union 280B. Introduction of économie and monetary union 282C. Economie policy 287D. Monetary policy 292E. Position of Member States not belonging to the Euro
Zone 296IV. Other Areas of Community Policy 298
A. Social policy and employment 299B. Education, vocational training, youth and sport 305C. Culture 308D. Public health 311E. Consumer protection 314F. Trans-European networks 315G. Industry 316H. Economie, social and territorial cohésion 317I. Research and technological development 318J. Environment 319K. Development co-operation and other forms of
co-operation with third countries 322L. Energy, tourism and civil protection 322M. Administrative co-operation 324N. Implementation of the solidarity clause 324
6. SUBSTANTIVE SCOPE OF TTTLES V AND VI OF THEEU TREATY
I. Principles 325
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II. The Common Foreign and Security Policy (Title V) 326III. Police and Judicial Co-operation in Criminal Matters
(Title VI) 328A. Co-operation in criminal matters and création of an
area of freedom, security and justice 328B. Police co-operation 329C. Judicial co-operation in criminal matters 331D. Alignment of national criminal provisions 333E. Spécifie rules for police and judicial co-operation in
criminal matters 334F. Police and judicial co-operation in criminal matters in
the EU Constitution 336
7. TEMPORAL SCOPE OF THE TREATIES
I. Entry into effect of the Treaties 339IL Duration of the Treaties 340III. Amendment of the Treaties 341
A. Procédure for amending the Treaties 3421. General amendment procédure 3422. Spécial procédures for spécifie Treaty amendments 345
B. Limits to the possibility to amend the Treaties 347
TERRITORIAL SCOPE OF THE TREATIES
I. Territorial application 351IL Accession of Member States 357
A. Conditions for accession to the European Union 358B. Procédure for acceding to the European Union 360
III. Member States leaving the Union 363
9. EXCEPTIONS TO THE APPLICATION OF THETREATIES
I. Safeguard Clauses 365IL Differentiated Scope of the Treaties 368
A. Grant of exceptional status to a Member State 368B. Enhanced co-operation between Member States 372
III. Suspension of Treaty Rights and Obligations 377
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CONTENTS
PART III: THE ACTORS OF THE EUROPEAN UNION
10. THE INSTITUTIONS AND BODIES OF THE UNION
I. The European Council 384IL The institutions of the Union 389
A. The European Parliament 3891. Powers 390
a. Nature 390b. Survey of powers 391
(1) Provision of advice 391(2) Participation in decision-making 392(3) Involvement in external relations 393(4) Budgetary authority 393(5) Supervision of other institutions and bodies 394
2. Composition 3993. Opération 4054. Internai organisation 4075. Changes proposed in the EU Constitution 409
B. The Council 4091. Powers 410
a. Decision-making 410b. Co-ordination 410c. Implementation 411d. Représentation 411e. Relationship to other institutions and bodies 411
2. Composition 4123. Opération 4154. Internai organisation 4225. Changes proposed in the EU Constitution 425
C. The Commission 4271. Powers 427
a. Supervision 427b. Participation in decision-making 430c. Implementation 431d. Représentation 431
2. Composition 4313. Opération 4364. Internai organisation 4385. Changes proposed in the EU Constitution 439
D. The Court of Justice and the Court of First Instance 4411. Jurisdiction 443
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2. Composition 4503. Procédure 4534. Internai organisation 4535. Changes proposed in the EU Constitution 454
E. The Court of Auditors 4551. Powers 4562. Composition 4563. Opération 4574. Internai organisation 458
IL Bodies established by or pursuant to the CommunityTreaties 458A. Advisory committees 458
1. The European Economie and Social Committee 4582. The Committee of the Régions 4603. Other committees 462
B. The European Central Bank 464C. The European Investment Bank 468D. The European Ombudsman 469E. Other Community Bodies 472
III. Other bodies of the Union 477IV. Administrative organisation 478
A. The position of the Union/Communities under thedomestic légal Systems of the Member States 478
B. The budget of the Union 4811. Content of the budget 482
a. General principles 482b. Revenue 485c. Expenditure 487
2. Adoption of the budget 4903. Implementation of the budget 4964. Budgetary control 497
C. The seats of the institutions and bodies 502D. Status of members of institutions and bodies 504E. Status of officiais and other servants 507F. Rules governing languages 510G. Transparency and access to documents 516H. Protection of personal data 520
11. THE MEMBER STATES OF THE UNION
I. The Member States as constituent authority 521IL The Member States as actors in decision-making 522
A. The rôle of the national governments 522
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B. The rôle of the national parliaments 523III. The Member States' Rôle in implementing Treaty
provisions and acts 530IV. Resolution of disputes in the Member States in connection
with the implementation and enforcement of treatyprovisions and acts 531
V. The rôle played by devolved authorities 532
12. THE CITIZENS OF THE UNION
I. The légal subjects of the Community 539IL Citizenship of the Union 541
A. The relationship between the Union and its citizens 541B. Définition of citizenship 544C. Substance of citizenship 545
III. The status of nationals of non-member countries 554
13. THE RELATIONSHIP BETWEEN THE ACTORS
I. Relationship between the institutions of the Union and theMember States 557
IL Représentation of interests through institutions andMember States 558
III. Balance between the institutions 560IV. The allocation of the classical fonctions of a State 563
PART IV: THE DECISION-MAKING PROCESSWTTHIN THE EUROPEAN UNION
14. COMMUNITY DECISION-MAKING
I. The distinction between législation and theimplementation of législation 569
IL Législation 572A. Basic outline 572B. Decision-making power 574C. Right of initiative 577D. Rôle of the European Parliament 584
1. No uniform input from the Parliament 5842. Survey of procédures 586
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CONTENTS
a. Optional consultation 586b. Compulsory consultation 587c. Co-operation (EC Treaty, Art. 252) 590d. Co-decision (EC Treaty, Art. 251) 592e. Assent 599f. Other conciliation procédures 599g. Information 600
E. Rôle of the social partners 601F. Input from other bodies and groups 604
III. The implementation of législation 606A. Implementation by the Member States 607B. Implementation by institutions or bodies of the
Communities 6111. Implementation by the Commission or the Council 611
a. General principles 611b. Supervision of implementation by the
Commission: "comitology" 6142. Implementation by other bodies 619
IV. Decision-making restricted to particular Member States 624A. Application of Title IV of the EC Treaty 625B. Economie and Monetary Union 627C. Enhanced co-operation 629
15. NON-COMMUNITY DECISION-MAKING
I. Decision-making under the Common Foreign and SecurityPolicy (CFSP) 631A. Policy-making in the CFSP 631B. Implementation of the CFSP 635C. Enhanced co-operation in the CFSP 638D. Decision-making under the EU Constitution 639
IL Decision-making relating to Police and JudicialCo-operation in Criminal Matters (PJCC) 640A. Policy-making with respect to PJCC 640B. Implementation of the PJCC 642C. Enhanced co-operation with respect to PJCC 644D. Decision-making under the EU Constitution 645
III. Conventions concluded between Member States 647IV. Other décisions of Member State governments 648
16. LEGITIMACY OF DECISION-MAKING
I. Efficiency of decision-making 649
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II. Démocratie content of decision-making 650A. Substance of démocratie legitimacy 650B. Participation in and supervision of decision-making 653
1. Transparency of the division of powers 6532. Rôle of parliamentary bodies 6543. Transparency of decision-making 6594. Easier access to législation 660
PART V: SOURCES OF LAW OF THE EUROPEAN UNION
17. COMMUNITY LAW
I. Forms of Community Law 665IL Effect in the national légal Systems 665
A. The Principles of the primacy and full effectiveness ofCommunity law 6661. Formulation on the basis of Community law 666
a. The principle of primacy of Community law 666b. The principle of interprétation in conformity
with Community law 667c. Duty to set aside conflicting national rules 668d. Liability of the Member State for damage arising
out of a breach of Community law 6742. Incorporation in the Member States' légal Systems 678
a. Original Member States 679(1) Belgium 679(2) France 681(3) Germany 683(4) Italy 686(5) Luxembourg 687(6) The Netherlands 688
b. Member States having acceded subsequently 688(1) Ireland, the United Kingdom and Denmark 688(2) Greece 691(3) Portugal and Spain 692(4) Austria, Finland and Sweden 693(5) The Member States having acceded in 2004 694
B. The direct effect of Community law 700III. Sources of Community law 703
A. Hierarchy of sources of law 703B. Primary Community law 705
1. Status of primary Community law 705
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2. Survey of primary Community law 706C. General principles of Community law 711
1. General principles of law 711a. Status 711b. Survey 713
2. Fundamental rights 719a. Status 719
(1) Fundamental rights as gênerai principles ofCommunity law 719
(2) Protection vis-à-vis Community institutions 723(3) Protection vis-à-vis Member States 723(4) Strengthening the protection of
fundamental rights 726b. Survey 734
D. International law 7391. International agreements concluded by the
Community 739a. Légal force and direct effect of international
agreements 739b. Légal force and direct effect of décisions
adopted by organs set up by internationalagreements 743
c. Status of agreements concluded within theframework of GATT/WTO 744
d. Interprétation and reviewing the legality ofinternational agreements 748
2. International agreements concluded by MemberStates with non-member countries 749a. Agreements concluded after the Community
Treaties entered into force 749b. Agreements concluded before the Community
Treaties entered into force 7503. Other rules of international law 753
a. Customary international law and gêneraiprinciples of law 754
b. Obligations in connection with the UnitedNations 755
E. Autonomous measures adopted by institutions andbodies 7571. Formai requirements 758
a. Manner in which acts come into being 758b. Statement of reasons 759c. Publication or notification — entry into effect 760d. Enforcement 762
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2. Acts of the institutions 762a. Survey 762b. Régulations 763c. Directives 766
(1) The transposition of directives into nationallaw 766
(2) The direct effect of provisions of anunimplemented or incorrectly implementeddirective 769
(3) Other effects of an unimplemented orincorrectly implemented directive 774
d. Décisions 780e. Recommendations and opinions 782f. Other acts 782g. The EU Constitution and the introduction of a
distinction between législative acts andimplementing acts 787
3. Interinstitutional agreements 7904. Acts of other Community bodies 792
F. The case law of the Court of Justice and the Court ofFirst Instance 793
18. NON-COMMUNITY ACTS OF THE UNION
I. Forms of non-Community acts 795IL Légal force of non-Community acts 796
A. General appraisal 796B. Conventions concluded between the Member States 798C. Other acts of Member State governments 803D. Acts of the European Council and the Council
pursuant to the CFSP and PJCC 804E. International agreements concluded by the Union in
connection with the CFSP and PJCC 810
PART VI: THE EXTERNAL RELATIONS OFTHE EUROPEAN UNION
19. THE POSITION IN INTERNATIONAL LAW OF THECOMMUNITIES AND THE UNION
I. International légal personality 815
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IL International représentation 819A. Diplomatie relations of the Union 819B. Représentation of the Communities 820C. Représentation of the Union in connection with its
non-Community action 822D. Représentation of the Union under the EU
Constitution 824
20. THE EXTERNAL POWERS OF THE COMMUNITIESAND THE UNION
I. The Common Commercial Policy 828A. Scope 828B. Autonomous measures 835C. Trade agreements and co-operation agreements 838D. Participation in GATT and the World Trade
Organisation 8401. The Community and GATT 8402. The Community and the World Trade Organisation 841
IL Association 843A. The overseas countries and territories 843B. Article 310 of the EC Treaty 844
1. Scope 8442. Association agreements 846
a. Survey 846b. The ACP-EC Partnership Agreement 848
III. Development Co-operation and Humanitarian Aid 851IV. Economie, Financial and Technical Co-operation with
Non-member Countries 855V. Other Community Powers 856
A. External aspects of internai rules 856B. International agreements based on internai powers 857C. Relationship to the Member States' international
powers 860VI. The Common Foreign and Security Policy (CFSP) 864
A. Objectives and scope of the CFSP 864B. Substance of the Common Foreign and Security Policy 866C. The European Security and Defence Policy (ESDP) 870D. Spécial Status of certain Member States 873
VIL Economie Sanctions 875
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21. THE COMMUNITY AND NON-COMMUNITYPROCEDURES FOR CONCLUDING AGREEMENTS
I. Field of application of the Community procédure 881IL Community procédure for the negotiation and conclusion
of agreements 882A. Negotiations 883B. Conclusion of agreements 885
1. Initialling and signature 8852. Power to conclude agreements 8863. Involvement of the European Parliament 887
a. Consultation 887b. Assent 889
C. Changes to the procédure for the conclusion ofagreements provided for in the EU Constitution 891
III. Mixed agreements 892IV. Non-Community procédure for the conclusion of
agreements 894V. Opinion of the Court of Justice 895
22. CONSISTENCY BETWEEN THE COMMON FOREIGNAND SECURITY POLICY AND COMMUNITY ACTIONON THE PART OF THE UNION
I. Consistency between the Common Foreign and SecurityPolicy and the Communities 899A. Principle 899B. Guarantees of consistency 900
1. Objectives of the Union 9002. A single institutional framework 9013. External supervision 902
C. Relationship between the Common Foreign andSecurity Policy and the Communities 903
IL Consistency between the external action of the Union andthat of the Member States 905
23. RELATIONS BETWEEN THE EUROPEAN UNION ANDTHE OTHER EUROPEAN STATES
I. Relations with Member Countries of the European FreeTrade Association 907A. Historical interprétation 907B. The European Economie Area 908
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1. Origins 9082. Substantive scope 9113. Institutional opération 913
a. Institutions 914b. Decision-making procédure 915c. Surveillance procédure, settlement of disputes
and consistent interprétation 917IL Relations with Central and Eastern European Countries 921
A. Unilatéral trade measures 921B. Bilatéral relations with central and eastern European
countries 9241. Trade and co-operation agreements 9242. Europe Agreements with central European
countries 926a. Substantive aspects 927b. Institutional dimension 929c. Aims 929
3. The pre-accession strategy with Turkey 9314. The stabilisation and association agreements with
the south-eastern European countries 9325. Partnership and co-operation agreements with
eastern European countries 933
Index 937
TheAuthors 971
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