Introduction
In the long history of European integration, there have been several instances in which national constitutional and other supreme courts have questioned the absolute primacy of EU law and the monopoly claimed by the European Court of Justice (the Court) over the authoritative interpretation of that law and the determination of its validity. For many years, that challenge had remained largely theoretical, having at its front face the case law of the German Federal Constitutional Court, which proclaimed on various occasions its capacity to review as the ultimate arbiter both the observance of the principle of conferral and the compatibility of the acts of the EU institutions with the inalienable national constitutional identity.Footnote 1 These pronouncements also inspired the case law of other national constitutional courts, which announced their intention to operate in exceptional circumstances as an ultima ratio against transgressions of powers and violations of the national constitutional identity of the member states.Footnote 2
This situation entered a new phase when certain national constitutional and supreme courts actually started to materialise this theoretical proclamation and to refuse to give effect to specific preliminary rulings of the Court, sometimes using a rather conciliatory tone and sometimes overtly and hostilely referring to their ultra vires nature.Footnote 3 However, these cases had limited practical impact and were accordingly treated as isolated occurrences of judicial revolution that could partly be explained by the particular circumstances of the legal proceedings concerned. A climax was reached in Weiss, in which the German Federal Constitutional Court concluded that both the Secondary Markets Public Sector Asset Purchase Programme of the European Central Bank and its interpretation by the Court had violated the proportionality requirements and were therefore ultra vires.Footnote 4 The crisis that this case had ignited deescalated rapidly, following actions undertaken both by the EU institutions and the various national actors concerned.Footnote 5 However, a new challenge quickly arose because this case was viewed by certain national constitutional courts as a judicial precedent, which effectively encouraged them to abuse the ultra vires and national constitutional identity language in order to question the enforcement of entire EU policies and to preclude ordinary national courts from applying the provisions of EU law, as interpreted in the context of the preliminary reference mechanism.Footnote 6
That being said, none of these cases can compare to the nature and intensity of the assault launched by the Polish Constitutional Tribunal with its judgments in Case K 3/21 and Case P 7/20.Footnote 7 This constitutional court discarded the entire rule of law case law of the Court as being ultra vires and in violation of the national constitutional identity. Its judgments concerned primarily the interpretation given by the Court to Article 19(1) TEU and the obligations resulting therefrom for member states, therefore directly contesting the existence of any EU competence over matters of organisation of justice. However, they also concerned the principle of primacy, to the extent that they considered it as derived from the constitutional provisions and made it applicable only to EU acts that respect the constitutional requirements and the national constitutional identity, as interpreted of course by the Polish Constitutional Tribunal. It is no surprise, therefore, that these pronouncements led to the institution of infringement proceedings by the Commission, that being the first ever occasion on which a member state was considered accountable for individual decisions of a constitutional court.
Ruling on the infringement action, the Court upheld all the complaints raised by the Commission.Footnote 8 Although the judgment is certainly important from multiple points of view, this case note will confine itself to the examination of two closely interrelated issues that go well beyond the factual circumstances of the dispute. It will start by analysing the model of judicial cooperation that seems to be proposed by the Court for the assessment of ultra vires and national identity allegations, explaining whether it is indeed workable and what it means in practice for the competing claims of ultimate authority made in this respect by the Court and national constitutional courts. It will then be explained that the centralisation of the judicial review over alleged violations of the national identities of the member states is also crucial for the operation of the primacy principle, in the sense that it brings all such identity claims under the institutional umbrella of the Treaties and the systematic reading of their provisions made by the Court. The concluding section will examine what this case seems to entail for the institution of infringement proceedings for judicial breaches and the circumstances in which such an action may be brought for an individual decision of a national constitutional court.
All of these issues will be explored in turn, after first providing some basic information about the legal and factual background of the case and the judgment of the Court.
Factual and legal background
Following the seminal Portuguese Judges case, it has been established that every member state is obliged under Article 19 TEU to ensure that any court within its judicial system that may rule on the application and interpretation of EU law, must meet the requirements of effective judicial protection. In order for that protection to be ensured, it is essential to maintain judicial independence.Footnote 9 That conclusion became of central importance in the wake of the rule of law backsliding in Poland.Footnote 10 In a considerable number of cases decided under the preliminary reference procedure and in the context of infringement actions, it was established that in the exercise of their competence over the organisation of justice, member states are required to comply with their obligations deriving from EU law and in particular with those stemming from Article 2 TEU and Article 19 TEU.Footnote 11 It was further concluded that the successive legislative amendments made by the Polish Government to the national system of justice were liable to undermine the independence of national courts and to influence their decisions, while they also had the effect of unlawfully precluding the exercise of judicial review over the appointment of judges and the observance of the relevant effective judicial protection requirements.Footnote 12
In a clear attempt to prevent the enforcement of that case law in the national legal order and to impede national courts from exercising their recognised jurisdiction to review the lawfulness of procedures for the appointment of judges and to rule on whether those procedures are defective, the Polish Constitutional Tribunal was asked by the Prime Minister to rule on whether provisions of the Treaties that this case law was based upon were in conformity with the Polish Constitution.Footnote 13 That constitutional court was further asked to rule on the constitutionality of the interim measures that had been imposed by the Court in relation to the new disciplinary regime for judges, which was also specifically meant to preclude the exercise of review over the legality of judicial appointments in the light of the requirements of EU law.Footnote 14 Although the Tribunal itself lacked the requirements of being an independent and impartial tribunal previously established by law, the Polish Constitutional Tribunal proclaimed the primacy of the Constitution, as interpreted under its own case law, and the incompatibility with its requirements of the Treaty provisions concerned, as interpreted by the Court.Footnote 15 It considered in essence that the case law of the Court and the interim measures adopted by it imposed ultra vires obligations in relation to the organisation and jurisdiction of the national courts and the procedures before them, which is an area that is within the competence of the member states. That case law and those interim measures thus violated the Polish constitutional identity and could not produce any effects in the national legal order. All national public bodies were therefore obliged not to implement them, as a result of the legally binding nature of the judgments of the Polish Constitutional Tribunal.
The judgment of the court
The infringement action contained three complaints. The first and the second complaints concerned the interpretation of the Constitution made in the judgments at issue by the Polish Constitutional Tribunal. The Commission considered in the first place that in the light of this interpretation Poland had failed to fulfil its obligations under Article 19(1) TEU. It further considered that by virtue of these judgments Poland had also violated its obligations under the principles of autonomy, primacy, effectiveness and the uniform application of EU law, as well as under the principle of the binding effect of the judgments of the Court. The third complaint alleged that Poland had failed to ensure that the Polish Constitutional Tribunal satisfies the requirement of an independent and impartial tribunal previously established by law, within the meaning of Article 19(1) TEU, read in conjunction with Article 47 of the Charter.
As regards the first complaint, the Court reiterated its rule of law case law and concluded that the judgments at issue amounted to a manifest violation of that case law and of the Treaty provisions this was based upon. In K 3/21, the interpretation of the Polish Constitution by the Polish Constitutional Tribunal prevented the requirements arising from Article 19(1) TEU, as interpreted by the Court, from being able to produce their effects in Poland and ensure the full effectiveness of that provision. More specifically, that judgment ruled out completely the jurisdiction of national courts to review both the lawfulness of resolutions proposing the appointment of candidates to judicial office and, in general, the legality of the procedures for the appointment of judges. National courts were precluded, therefore, from the ability to implement, for matters within their jurisdiction, any measure necessary to ensure the observance of the right of individuals to effective judicial protection in the fields covered by EU law.Footnote 16 In P 7/20, the violation consisted in the declaration as ultra vires, by the Polish Constitutional Tribunal, of the interim measures adopted by the Court in order to preserve the right to effective judicial protection under Article 19(1) TEU and to ensure that there is no lacuna in the application of that provision. More specifically, that pronouncement aimed at precluding the enforcement of those interim measures at national level and the recognition of their binding effect.Footnote 17 As a result, the interpretation of the Polish Constitution made by the Polish Constitutional Tribunal – that the Treaties do not confer any competence as regards the organisation of justice and the procedures before national courts – amounted to a clear rejection of the very principle that Poland was required to comply with its obligations under Article 19(1) TEU.
As regards the second complaint, the Court recalled the autonomous nature of the EU legal order and its essential characteristics. It referred to its previous case law confirming the absolute nature of the primacy principle and the existence of legally binding obligations resulting from the principles giving concrete expression to the shared values of Article 2 TEU, in their capacity as part of the very identity of the Union.Footnote 18 It focused then on the judgments of the Polish Constitutional Tribunal and noted that both are based on an interpretation of the Polish Constitution that rejects the application of the primacy principle over national constitutional rules. That interpretation in K 3/21 had the effect of preventing the requirements arising from Article 2 and Article 19(1) TEU, as interpreted by the Court, from producing legal effects in the national legal order. In the same vein, the interpretation of the Constitution in P 7/20 was liable to deprive of their binding effect any interim measures seeking to preserve the right to effective judicial protection before an independent tribunal under Article 19(1) TEU.Footnote 19 As concerns the argument of the Polish Constitutional Tribunal that the interpretation of the relevant Treaty provisions made by the case law of the Court was contrary to various constitutional principles and undermined the national constitutional identity, it was concluded that it could not validly be argued that respect for values and principles forming part of the identity of the Union is liable to affect the Polish constitutional identity.Footnote 20 As a result, the interpretation of the Constitution made by the Polish Constitutional Tribunal manifestly undermined the primacy of the Treaty provisions enshrining those values and principles. By unilaterally preventing the national public authorities from applying those provisions, the judgments at issue were also manifestly in breach of the principles of autonomy, effectiveness and the uniform application of EU law.Footnote 21
As regards the alleged breach of the principle of the binding effect of its case law, the Court noted that the judgments at issue had considered its relevant rule of law case law and the interim measures adopted in order to preserve the right to effective judicial protection as violating the national constitutional identity, because they were ultra vires acts. It referred then to the allocation of jurisdiction between itself and the national courts laid down in the Treaties and reiterated its exclusive prerogative to declare an EU act invalid and to provide a definitive and binding interpretation of EU law.Footnote 22 Whenever, therefore, a question is raised before a national court relating to the scope of the EU competences and to the legality of an act of secondary law, that national court is bound, where that question relates to the interpretation of EU law, and irrespective of the ground of invalidity relied on, to respect the exclusive jurisdiction of the Court, which is a fundamental characteristic of the judicial system of the EU. Consequently, that national court cannot unilaterally determine the existence of an ultra vires act and autonomously establish a violation of the national identity clause of Article 4(2) TEU, but it must make use in such circumstances of the preliminary reference procedure. That is also case if it considers that the interpretation given by the Court to the provisions of EU law violates the national identity of the member state concerned.Footnote 23 By interpreting the Polish Constitution as conferring on the Polish Constitutional Tribunal the competence to declare the decisions of the Court as ultra vires, based on the need to protect the national constitutional identity, the judgments at issue had also breached the binding effect of that case law.Footnote 24
As regards finally the third complaint, it was concluded that the Polish Constitutional Tribunal was not an independent and impartial tribunal previously established by law, owing to a number of grave irregularities and external interventions in the appointment of its members. That conclusion was based, inter alia, on previous pronouncements on that matter by the European Court of Human Rights, but also on the relevant provisions of the Polish Constitution, as interpreted in the past by the Polish Constitutional Tribunal itself. Poland had, therefore, violated its obligation to ensure that those requirements would be met.Footnote 25
Centralising judicial review of ultra vires and national identity claims
At first reading, the judgments of the Polish Constitutional Tribunal and the infringement proceedings instituted by the Commission seem to concern the principle of primacy of EU law and its operation in relation to the Constitution. Primacy is certainly a central issue, since the judgments at issue are based on the premise that the constitutional norms prevail over the provisions of EU law, including those enshrined in the Treaties. However, this is not the only principle concerned. Closer inspection reveals that the Polish Constitutional Tribunal contests, on the basis of its own interpretation of the Constitution, the obligations imposed on member states by the provisions of the Treaties, as interpreted by the Court, therefore directly questioning the institutional privileges of the latter. The case is thus about legal primacy but it is even more about judicial primacy and the determination: (i) of the body that may decide as the ultimate arbiter on the scope and content of legal primacy; and (ii) of the institutional framework in which such an examination should also take place as regards alleged violations of the principle of conferral and of the national identities of the member states. It directly concerns the competing claims of ultimate authority over these issues made by the Court and national constitutional courts.
Rejecting the traditional model of constitutional pluralism in the assessment of ultra vires and national identity claims
Following the development of the ultra vires doctrine by the German Federal Constitutional Court, scholars began to have recourse to the theory of constitutional pluralism in an attempt to reconcile the competing claims of ultimate authority over the determination of the validity of EU law made by the Court and that national constitutional court.Footnote 26 According to the doctrine of constitutional pluralism, the EU and the national legal orders are contemplated as operating in a heterarchy without either one being normatively superior to the other and without the existence of an ultimate authority, since each legal system retains the final word within its respective area. As a result, any arising conflicts are settled through mutual accommodation; national constitutional courts are not subordinated to the judicial authority of the Court but rather operate as counterbalancing actors to it.Footnote 27 They have thus the jurisdiction to examine ultra vires and national constitutional identity allegations in their capacity as the apex courts in their national legal order, although they must exercise this competence in a spirt of cooperation with the Court.
The defenders of constitutional pluralism have also attempted to make a distinction between cases of constructive and abusive opposition by national constitutional courts.Footnote 28 They have proposed in this respect a legitimacy test, the satisfaction of which should lead to the conclusion that the invocation of the ultra vires and protection of the national constitutional identity doctrines by the constitutional court concerned has been warranted.Footnote 29 While there are some variations as regards the applicable criteria under this test, their common denominator seems to be that the assessment should take place contextually on the basis of three principal considerations: first, the circumstances of the case and whether these lead to the conclusion that the opposition comes from a truly independent judicial body that exercises its functions in accordance with the rule of law requirements and the values that are common to the member states; second, the quality of the legal reasoning employed and whether it corresponds to the legitimate objectives that a loyal judicial opposition would normally be expected to serve; third, the existence of judicial dialogue and whether the constitutional court takes account in good faith of the interests of the other member states and of their equality before the Treaties and therefore makes restrictive use of its reserved powers.
However, the Court has never endorsed the idea of constitutional pluralism and it has consistently confirmed that national courts do not unilaterally have the authority to declare the invalidity of the acts of the EU institutions.Footnote 30 That is all the more so when the allegation is that the Court itself has exceeded its jurisdiction by issuing a certain preliminary ruling.Footnote 31 This case law is emphatically reiterated as regards the judgments of the Polish Constitutional Tribunal. It is stressed in this respect that a national court cannot validly hold, on the basis of its own interpretation of the provisions of EU law, that the Court has adopted a decision which disregards the limits of the jurisdiction conferred on the EU and violates the constitutional identity of a certain member state. That national court is, therefore, not allowed to refuse to enforce that decision and to prohibit the public authorities of the member state concerned from complying with it and from applying the provisions of EU law, as interpreted by the Court.Footnote 32 Hence, it is for the Court alone to determine the extent of the competences conferred on the EU and the compliance with their limits.Footnote 33 It is further only the Court that may assess the validity of the provisions of secondary EU law in the light of Article 4(2) TEU and take account of the requirements stemming from it when interpreting the obligations of the member states under other provisions of primary law.Footnote 34
The reasoning employed by the Court is not focused on the specific circumstances of the case at issue but seems to exclude completely any ideas of shared judicial competence over the issues under consideration. Indeed, the Court referred very forcefully to the nature and the characteristics of the judicial system established by the Treaties and to the clear delimitation of powers that this entails between itself and the national courts.Footnote 35 It further reiterated that the organisation of this judicial system aims at ensuring the unity and autonomy of the EU legal order and ultimately the particular nature of the law established by the Treaties.Footnote 36 It also emphasised its exclusive jurisdiction to provide the definitive and binding interpretations of the Treaty provisions and to review compliance with the principle of conferral and observance of the obligation to respect the national identities of the member states.Footnote 37 And while the Court itself is under a duty to observe the principle of conferral and to determine that an obligation imposed by EU law does not undermine the national identity of a member state, any claims that it has failed to do so can only be addressed under the institutional mechanisms provided for by the Treaties, to the exclusion of any unilateral actions at national level.Footnote 38
These general statements made by the Court will disappoint the advocates of constitutional pluralism, who would surely prefer a decision focusing closely on the particularities of the composition and operation of the Polish Constitutional Tribunal. But even if one were to overlook for a moment the risks arising from the decentralisation of the review over the observance of the principle of conferral and the protection of the national identity of the member states and to accept that this assessment could indeed be performed in some cases by national constitutional and other supreme courts, despite their variable perceptions and legal backgrounds, it would still be necessary to determine the cases in which this review power has been exercised legitimately. However, the legitimacy test that has been proposed in this respect only works well in very clear-cut cases of patently abusive judicial conduct, such as that of the Polish Constitutional Tribunal. However, in most cases the determination will not be similarly unequivocal. Consider, for example, the decision in Weiss. Some of the proponents of the legitimacy test classify it as an example of constructive – and thus permissible – judicial opposition.Footnote 39 Others believe that it has mixed characteristics that place it on the borderline between legitimate and illegitimate judicial conduct.Footnote 40 At the same time, many scholars have criticised the interpretation that the German Federal Constitutional Court adopted in relation to the operation of the principle of proportionality and its failure to honour the outcome of the preliminary reference it had previously made.Footnote 41
In the same vein, most would concur that there is clear evidence of abuse in the reliance made by the Romanian Constitutional Court on the national constitutional identity in order to prohibit ordinary courts from examining the compatibility with EU law of national provisions that have already been declared constitutional and from giving effect, therefore, to the rule of law case law of the Court, which provides them with such jurisdiction.Footnote 42 But there are still some that see this case as simply an excessive reaction of that constitutional court to the manifestly erroneous interpretation of EU law made by a preliminary ruling.Footnote 43 Similarly, the case law of the Hungarian Constitutional Court has been accused of serving the will of the previous government by abusively relying on the protection of the constitutional identity in order to legitimise the refusal to enforce the common asylum policy in this member state.Footnote 44 But this constitutional court has been careful not to challenge overtly the relevant case law of the Court. There are also no judicial decisions directly contesting its status as an independent and impartial tribunal previously established by law, despite several reports that it has been packed with loyalists to the former governing majority. That being so, its defenders could always argue that its case law simply raises legitimate constitutional concerns.
Centralising the judicial review of ultra vires and national identity claims seems therefore the only workable solution to prevent legal disparity and to reduce the likelihood of an abusive reliance on these concepts. But the question remains. How are national constitutional and other supreme courts supposed to be convinced not to exercise a reserve power that they have repeatedly proclaimed they possess? And how will it be possible in such an event to have an emergency brake mechanism if the Court makes an incorrect interpretation of EU law that unlawfully extends the limits of the conferred EU competences and violates the national identity of a member state? Ruling on the illegality of the conduct of the Polish Constitutional Tribunal, the Court also describes a model of judicial cooperation based on the preliminary reference procedure, which is very reminiscent of the Taricco II case law. But the fact that it is still reluctant to refer explicitly to that case as an actual example of judicial dialogue that has led to the qualification of a contestable previous preliminary ruling, in the light of the persuasive arguments presented by a national constitutional court, considerably obscures the clarity of this verbally conveyed message.
Proposing the application of the Taricco II model of judicial cooperation with national constitutional courts
After having established that the Polish Constitutional Tribunal was not entitled to consider that its decisions disregarded the national constitutional identity of that member state and to disapply, on that ground, the provisions of EU law, as interpreted by its case law, the Court then explained what the constitutional court should have done under the Treaty framework. It made in this respect a distinction between provisions of primary and secondary EU law. As regards the latter, it stressed that a national constitutional court, which considers that such a provision – as interpreted by the Court – violates the obligation to respect the national identity of the member state concerned, is required to make a preliminary request, in order for the Court to assess its validity in the light of the national identity clause enshrined in the Treaty.Footnote 45 As regards primary law, it noted in the first place that its case law takes into account the requirements stemming from Article 4(2) TEU when interpreting the obligations of the member states under other provisions of primary law.Footnote 46 But if a national court is still doubtful whether the interpretation by the Court of such a provision fails to comply with the requirements of the national identity clause, it should make a preliminary reference, in order to enable the Court to assess any effect on that interpretation of the need to take into account the national identity of the member state concerned.Footnote 47
This is the second time that the Court has admitted, albeit only conceptually and without further substantiation by references to specific relevant examples from its previous case law, that it may itself make a mistake when interpreting the provisions of EU law in the light of the requirements of Article 4(2) TEU.Footnote 48 But this is the very first time that it has acknowledged that this mistake may also concern the interpretation of the provisions of primary law, although it does insinuate that this is highly unlikely. Rather surprisingly, the Court did not make a similar reference as regards its interpretation of the principle of conferral. It merely underlined the obligation of the national courts to make a preliminary request if they are uncertain as to the extent of the EU competences in a certain area and consider that an act of EU law exceeds the sphere of these competences.Footnote 49 There does not seem any reason not to believe that the pronouncements made in relation to the protection of the national identity are equally valid in relation to the observance of the principle of conferral. That is all the more so since the Court expressly recalled that it is itself obliged to act within the limits of the powers conferred on it by the Treaties.Footnote 50 That logically presupposes its obligation to correct any errors that it may have made in previous rulings, as to the interpretation of the boundaries of the conferred EU competences. And yet, the absence of an explicit reference on this point brings back to the stage the jurisdictional conflict that arises in particular as regards the vertical division of competences, where the claim of the Court to rule, as the ultimate arbiter, on this issue, as a matter of EU law, collides with the assertion of national constitutional courts to exercise control over the determination of the competences that can be validly conferred under the relevant constitutional provisions and to ascertain whether the constitutional limits imposed on the transferrable powers have been respected.Footnote 51
The Court also specified the mechanism through which it may be called upon to reconsider its previous interpretation of the EU law requirements, that is the preliminary reference procedure. Hence, there is no need for a national court to resort to the constitutional instruments since the Treaty already provides an effective institutional mechanism to address any relevant concerns. This statement has two seemingly opposite implications. On the one hand, it can be seen as an invitation to ordinary courts to handle any concerns they may have in a case pending before them through the Treaty framework and not by referring the matter to the constitutional courts.Footnote 52 This operates to the detriment of those latter courts and their institutional privileges, since they are effectively bypassed in the resolution of the dispute.Footnote 53 At the same time, though, it can also be seen as a conciliatory gesture towards constitutional courts. Indeed, the latter are reminded of their ability to influence institutionally the case law of the Court by raising legitimate concerns and by pointing out to it potentially overlooked consequences stemming from its previous interpretations of the principle of conferral and Article 4(2) TEU. And although the Court does not explicitly state it, one could expect it to pay due attention to any substantiated and constructive observations coming from a constitutional court.
It could be thus maintained that the Court is actually proposing a model of judicial cooperation similar to the one in Taricco II.Footnote 54 The legal and factual background of those proceedings is well known and equally well documented.Footnote 55 Suffice it only to recall therefore that in that case the Italian Constitutional Court made a preliminary reference expressing serious reservations about the interpretation of EU law adopted in a previous preliminary ruling, which effectively imposed the obligation to prosecute criminal proceedings even after the expiry of the national period of limitation.Footnote 56 However, that interpretation contravened the overriding principle of the Italian constitutional legal order that criminal offences and penalties must be established by precise rules, which cannot be applied retroactively. When the case was brought before it, the Italian Constitutional Court lodged a request for a new preliminary ruling on the matter. In its preliminary reference, it noted that the requirements of legislative clarity and foreseeability had not been examined in that previous preliminary ruling and asked for its clarification. It further implied that it would activate its constitutional counter-limits should the original interpretation of EU law remain the same.Footnote 57
The Court decided the case on the basis that the principle of legality of criminal offences and penalties forms part of the constitutional traditions common to the member states.Footnote 58 Its strategy, therefore, was to rely on those common traditions, in order to disassociate the claim from Italian constitutional law and to bring it within the scope of EU law. This move was actually facilitated by the Italian Constitutional Court itself, which had also relied in its reference on those common constitutional traditions alongside the invocation of the national conception of the principle of legality as part of the national constitutional identity. In its follow-up judgment, that constitutional court considered that, in the light of the clarification thus provided by the Court, the constitutionality questions referred to it were unfounded.Footnote 59 And although in its reasoning it went further than simply accepting unconditionally the effect of that new preliminary ruling, the ultimate outcome of this amicable judicial dialogue was to resolve an evolving crisis that could otherwise have resulted in the exercise by that court of its constitutional counter-limits.
Apparently, the Taricco II model could not have been useful in the case of the Polish Constitutional Tribunal because it presupposes an appetite for cooperation on the basis of legal principles rather than the pursuit of judicial confrontation. But in cases involving truly independent and rule of law-based constitutional courts, it could operate as a pressure relief valve and a means of avoiding unnecessary tensions, as Taricco II itself proves. Consider again the legal proceedings in Weiss and the events that followed the ultra vires ruling of the German Federal Constitutional Court. The European Central Bank reacted by releasing a number of unpublished documents to the Bundesbank, including the minutes of its meetings held before the launching of its quantitative easing policy.Footnote 60 Those meetings concerned the prospects of buying sovereign bonds from the secondary markets and the effects that such a programme could entail. The European Central Bank also published the official account of its last monetary policy meeting. In that meeting, its board members debated over the effectiveness of its currently applicable monetary policy instruments and their potential side effects on the area of economic and financial policy.Footnote 61 This information was then forwarded to the Federal Government, which opined that these documents confirmed that the European Central Bank had assessed the proportionality of the programme in a manner that satisfied the requirements of the constitutional court.Footnote 62 A similar position on the proportionality of that programme was also adopted by the Bundestag.Footnote 63
The German Federal Constitutional Court could have sought additional clarification on the matter, by making a second preliminary reference.Footnote 64 It is also apparent that this information would have been provided by the European Central Bank, in case of a new preliminary request looking specifically at the proportionality of the contested programme. It should also not escape attention that a year later the same constitutional court dismissed an application for an order of execution relating to its previous ultra vires ruling, noting, inter alia, that the Federal Government and the Bundestag had substantially addressed and appraised the proportionality assessment of the programme, conducted and substantiated by the European Central Bank after its judgment.Footnote 65 A new preliminary reference made by it could also have explained in advance to the actors involved what would actually be expected of them, in order for the proportionality examination of the programme to be considered as having been properly conducted.
By reminding national constitutional and other supreme courts of the obligation to make a new preliminary request if they are uncertain about the correctness of the interpretation of the law that it has made in the past, the Court explained in essence that such courts’ resort to the preliminary reference mechanism is the only legitimate way of expressing their opposition to its case law. Thus, instead of the model of constitutional pluralism, a paradigm of judicial cooperation is proposed, under which a continuous institutional dialogue is established with apex courts, offering the latter the opportunity to express their constitutional reservations and imposing on the Court the obligation to translate them in a way that allows their assessment under the Treaty framework. In this respect, one need only look at the protection of constitutional identity issue raised by the Polish Constitutional Tribunal. The reasoning employed by the Court clearly suggests that had this point been raised in the context of a preliminary reference procedure, it would have been examined under the concept of national identity under Article 4(2) TEU.
That being said, it is unfortunate that the Court has not considered it necessary to make an explicit reference in its judgment to the Taricco II precedent, in order to provide concrete evidence of its commitment to correct any interpretative errors through constructive judicial dialogue. In fact, it is very disappointing that, while verbally promoting the need for judicial cooperation, the Court leaves out of the picture the most prominent practical example of a preliminary reference leading to the correction of a mistake on the basis of the substantiated line of reasoning of a constitutional court. But if it really wants to convince constitutional courts that it is truly in a mood to listen to any reasonable reservations regarding its case law, perhaps it is time for the Court to start providing, in more explicit terms, concrete evidence of such a cooperative attitude.
The centralisation of the judicial review and the protection of legal primacy
Turning then to the issue of legal primacy, this was certainly not the first time that the Polish Constitutional Tribunal had proclaimed the precedence of the national Constitution.Footnote 66 But this time this pronouncement was not merely conceptual and it was further accompanied by certain unprecedented statements. More specifically, the Polish Constitutional Tribunal ruled that in the hierarchy of legal sources the Treaties occupy a position that is lower than that of the Constitution and that, just like any ratified international agreement, they must be consistent with its provisions.Footnote 67 Starting from this premise, it considered unconstitutional the Treaty provisions relied upon by the Court for the development of its rule of law case law, insofar as their interpretation by the latter would deprive Poland of its exclusive competence to adjudicate on the organisational structure of national courts.
Therefore, the infringement proceedings provided the Court with the opportunity to rule once more on the scope of the primacy principle and to reiterate its relationship with the obligation to respect the national identity of the member states. Of course, it can be validly argued that in the case at hand there was not any real clash with the constitutional values and that it was the interpretation of the Polish Constitution adopted by the Polish Constitutional Tribunal that had violated the national constitutional identity, more specifically the right to court and the principle of effective judicial protection, as protected under the relevant constitutional provisions.Footnote 68 At several points in the judgment, it is noted that it is indeed this interpretation that lies at the heart of the infringement proceedings.Footnote 69 It is also emphasised that respect for the principles of the rule of law, effective judicial protection and the independence of the judiciary cannot entail requirements capable of affecting the national identity of a member state.Footnote 70 That being said, the judgment confirms unequivocally that the concept of national identity is not meant to confine the application of the primacy principle and to allow member states to derogate unilaterally from their obligations under EU law.
Thus, it becomes clear that the centralisation of the judicial review of identity claims is also crucial for the practical operation of the primacy principle. When national constitutional and other apex courts raise issues regarding the protection of the identity of a certain member state, they usually refer to this concept as a matter of constitutional law. They may also rely sometimes on the national identity clause of Article 4(2) TEU, but they themselves seem to be uncertain whether the review of national identity and constitutional identity coincide conceptually. In any case though, the examination of identity claims on the basis of constitutional norms allows national courts to operate outside the Treaty context and to invoke unilaterally constitutional objections in order to evade the obligations imposed by the primacy principle.Footnote 71 A similar line of reasoning was also adopted by the Polish Constitutional Tribunal, which considered that the national identity clause defines the limits of the application of the primacy principle and of the jurisdiction of the Court, in order to respect the constitutional identity of the member states.Footnote 72 It relied then unilaterally on the alleged breach of the Polish constitutional identity, as interpreted of course by it, in order to declare ultra vires the entire rule of law case law of the Court.
On the contrary, the Court refers to the notion of national identity enshrined in Article 4(2) TEU. Thus, reliance on the constitutional identity of a member state, as protected under national constitutional law, cannot introduce exceptions to the operation of primacy. Suffice it only to look in this respect at the unsuccessful attempt made by Poland to invoke its constitutional identity and the relevant case law of its constitutional tribunal, in order to seek the revocation of the interim measures imposed against it pertaining to its new disciplinary regime for judges.Footnote 73 And it is equally telling that the Court did not even consider it necessary to address explicitly a similar claim made by Hungary, in order to evade its obligations under the common asylum system, based on its inalienable right to determine its territorial integrity as part of its constitutional identity.Footnote 74
But the question that immediately arises then is whether exceptions to primacy can rather be introduced as a matter of EU law by relying on the national identity clause of Article 4(2) TEU. Following the development of its rule of law case law, the Court has been repeatedly called upon to address arguments alleging that the extension of the reach of EU law over matters of organisation of justice infringes the national identities of the member states. That has obliged it to provide clarification on two closely interrelated issues: first, what role should be accorded to the member states as regards the determination of their respective national identities and what should the involvement of national courts be in this matter? Second, to what extent can the duty to respect the national identities of the member states affect the measure of the obligations imposed by the primacy principle? Ruling on the infringement proceedings instituted for the defiant judgments of the Polish Constitutional Tribunal, the Court took the opportunity to reiterate its relevant case law and to further elaborate on its previous pronouncements on these issues.
As regards the first issue, most scholars agreed on the need to leave some leeway to the national courts and the other constitutional actors to define what belongs to the identity of a member state, subject though to the control and the final verification of the Court under the preliminary reference procedure.Footnote 75 It would, therefore, ultimately be for the Court to establish both the plausibility of the identity claim and the practical effect that this could potentially have. That is indeed very close to the approach that the Court has eventually adopted on this matter. It has now been clarified that, while it is for the member states to define their respective national identities, Article 4(2) TEU cannot be interpreted as granting them the power to derogate unilaterally from the provisions of EU law, by relying on that national identity.Footnote 76 That clause does not further authorise national constitutional and other supreme courts to unilaterally disapply a rule of EU law on the basis that this undermines the national identity of a member state, as defined by them. On the contrary, these courts are obliged to make a preliminary reference on the matter in order for the Court to rule authoritatively on this question.Footnote 77 This case law shows some deference to the relevant national actors, but the ultimate authority over the interpretation and application of the national identity clause must be retained in all circumstances by the Court.
The Court also explained the reasons why it is indeed necessary for it to have the final word on the invocation of the national identity clause of Article 4(2) TEU. That is because the autonomy that EU law enjoys in relation to the laws of the member states requires that the interpretation of that clause take account of the structure and objectives of the EU.Footnote 78 That is a very telling statement, which already reveals that reliance on national identity cannot have as an automatic effect the limitation of the primacy principle. As the Court has emphasised in recent years, the identity clause does not operate in a legal vacuum but must be read systematically, taking into account also provisions of the same rank.Footnote 79 This systematic reading has led to the imposition on member states of negative obligations and obligations of result, that is to the recognition of their responsibility not to violate the EU law requirements in the exercise of any discretion that they may possess in the implementation of the commitments imposed upon them by those other provisions.Footnote 80
As a consequence, the existence of separate national identities and the obligation of the EU to respect them allows member states to choose the appropriate means in order to ensure compliance with those obligations, in accordance with their respective constitutional model. It may not, though, have the effect of authorising derogations from the observance of the common rules.Footnote 81 Reliance on Article 4(2) TEU allows for some diversity on the basis of relevant national choices but does not introduce exceptions to the primacy of EU law.Footnote 82 And since the interpretation of both the identity clause and the other provisions of the same rank with it always comes under the exclusive jurisdiction of the Court, the latter retains complete control over any claim alleging a violation of the national identity, so long as this is kept within the framework of the Treaty.
That this is indeed the case is confirmed by the reliance made by the judgment on the identity of the Union.Footnote 83 Ever since its introduction, it had been argued that this establishes a common constitutional core that cannot be surpassed by invoking the obligation to respect the individual national identities of the member states.Footnote 84 But what is actually covered by this common identity remains a contested issue. Responding to the argument raised by Poland that its case law violates the national constitutional identity of this member state, the Court referred to the Article 2 TEU values as part of the identity of the Union and noted that it is not possible to escape the obligations imposed by these common values by considering that the requirements arising therefrom can infringe the national identity.Footnote 85 It concluded then that the principle of sincere cooperation and the obligation to respect the binding effect of its interim measures also constitute part of this common identity.Footnote 86 This seems to open the door to bring into the latter requirements stemming from the effectiveness and autonomy principles, thus excluding recourse to the concept of national identity if this would amount to their violation.Footnote 87
Another illustrative example of how this case law works in practice can be given by looking at the infringement proceedings instituted against Poland and the Czech Republic for national legislation denying the right to be a member of a political party to European citizens, who resided in those member states without having their nationality.Footnote 88 Both Poland and the Czech Republic argued that the legislation at issue regulated the organisation of national political life, that is a matter that constitutes part of their national identity protected under the Treaty. The Court noted that the organisation of national political life, to which political parties contribute, is indeed part of national identity.Footnote 89 It immediately recalled though that Article 4(2) TEU should be read in the light of other Treaty provisions of the same rank, in particular those that enshrine the principle of democracy and the principle of equal treatment.Footnote 90 It concluded that allowing the persons concerned to become members of a political party in their member state of residence, so as to implement those principles in full, cannot be regarded as undermining the national identity of that member state.Footnote 91 Thus, just like in the case of the Polish Constitutional Tribunal, the invocation of Article 4(2) TEU could not exempt the member states concerned from the obligations arising from the primacy of the applicable EU provisions.
The conclusion that can be reached therefore is that the ultimate authority claimed by the Court to rule as the final arbiter over all identity claims and its systematic reading of Article 4(2) TEU effectively exclude the possibility that its interpretations of the Treaty provisions could ever be considered as violating the national identity of a member state. But even as regards secondary EU law, the implication is that it will need something really extraordinary to allow a member state to depart from the application of such a rule.Footnote 92 And even in such a case, this will be authorised by the provisions of primary EU law, as interpreted by the Court, and cannot be considered therefore as a limitation of the primacy principle.
Epilogue: infringement actions for decisions of constitutional courts
One could argue that, in a case that that was rather unlikely to provoke serious reactions by rule of law-based constitutional courts, the Court took the opportunity to provide an extensive analysis of legal primacy and its relationship with the national identity clause and to explicate that the only constructive opposition to its case law can be expressed, on the basis of a clearly predetermined set of rules, through the Taricco II model of judicial cooperation. At the same time though, the very institution of infringement proceedings for an individual judgment of a constitutional court raises the question whether this will be the case from now on for any defiant decision unilaterally adopted, on the basis of ultra vires and national constitutional identity considerations, by an apex national court.Footnote 93 And of course, another relevant question is why such an infringement action was not eventually instituted for the judgment of the German Federal Constitutional Court in Weiss.
As regards the first question, the judgment seems at first reading to leave the door wide open. In two short paragraphs, it is confirmed that, just like the actions of any other constitutionally independent institution, the case law of a constitutional court may be the subject of an infringement action where it is likely to constitute a failure on the part of the member state concerned to fulfil its obligations.Footnote 94 It is also characteristic that the judgment makes absolutely no mention in this respect of the restrictive conditions the case law had imposed in the past in order to open infringement procedures for breaches imputable to the judiciary. It had been noted then that isolated judicial decisions cannot be taken into account but rather that a widely held judicial construction is required.Footnote 95
But there are many reasons to avoid such proceedings in the interests of judicial cooperation, which is exactly what the judgment attempts to promote, as explained above. Furthermore, it is rather questionable whether the initiation of such an infringement action could normally produce tangible results taking into account the independence of the courts from the executive power.Footnote 96 A more likely explanation is that this specific action was instituted as a matter of principle, because of the particular circumstances of the case. These involved a national government that first deprived its constitutional court of its judicial independence and then instrumentalised it, in order to shield itself from the exercise of external scrutiny under the requirements of the rule of law. Ultimately, the breach could be thus attributed to the executive which had created the circumstances for the abusive conduct of the Polish Constitutional Tribunal.
The problematic composition and operation of that constitutional tribunal and the source of this anomaly to the legislative reforms in the national system of justice and the reason for their adoption constitute a crucial factor that was not present in Weiss and which could possibly explain why the Commission decided to discontinue there the infringement proceedings it had instituted against Germany. Another relevant factor could be that in that case the member state concerned and its national political actors had acted responsibly for the deescalation of the crisis and had committed to take an active role to avoid repetition of an ultra vires pronouncement.Footnote 97 Although one can wonder how such reassurances could practically produce effects over an independent constitutional court, the fact remains that it is not immediately apparent how the judgment of that constitutional court could be considered in such circumstances as a failure on the part of the member state concerned to fulfil its obligations, unlike the situation leading to the judgments of the Polish Constitutional Tribunal.
One could argue, therefore, that it is not only the gravity and type of judicial breach that will determine the decision to open an infringement procedure against the member state at issue. Otherwise, both the Polish Constitutional Tribunal and the German Federal Constitutional Court contested in essence the methodology employed by the Court in order to interpret the obligations arising from Article 19(1) TEU and the concept of monetary policy and the principle of proportionality, respectively. Indeed, just like its German counterpart, the Polish Constitutional Tribunal rejected the interpretation of the Treaty rules made by the Court and the consequences arising therefrom for the determination of EU competences.Footnote 98 And in both cases the violation was serious, in the sense that the national constitutional courts unilaterally invoked the ultra vires and constitutional identity doctrines to render inapplicable at national level the case law of the Court and to contest its institutional prerogatives. But while the defiance of the German Federal Constitutional Court concerned specifically the division between monetary and economic policy and the validity of the quantitative easing programme under the principle of conferral, the judgments of the Polish Constitutional Tribunal aimed at the entire rule of law case law and imposed on national public authorities a continuous obligation not to give effect to the requirements of judicial independence and the principle of effective judicial protection. Hence, it is to be expected that the institution of infringement actions for judicial breaches will remain an exceptional phenomenon, reserved only for those situations in which the overall circumstances of the case manifest the intended long-term effect of the defiant judgment and the existence of some kind of political involvement in its adoption.
Acknowledgments
The author is grateful to the editors of EuConst for their comments on an earlier draft of this paper. The usual disclaimer applies.
Funding Statement
The publication of the article in OA mode was financially supported by HEAL-Link.
Competing Interests
The author declares none.