Oxford Studies in European Law (cid:2) General Editors: Paul Craig and Graı´nne de Burca THE LEGAL EFFECTS OF EU AGREEMENTS This is an open access version of the publication distributed under the terms of the Creative Commons Attribution-NonCommercial- NoDerivs licence (http://creativecommons.org/licenses/by-nc-nd/3.0/), which permits non-commercial reproduction and distribution of the work, in any medium, provided the original work is not altered or transformed in any way, and that the work is properly cited. For commercial re-use, please contact [email protected] Oxford Studies in European Law SeriesEditors:PaulCraig,ProfessorofEnglishLaw atStJohn’sCollege,OxfordandGra´innedeBu(cid:2)rca,ProfessorofLawatNewYorkUniversity SchoolofLaw TheaimofthisseriesistopublishimportantandoriginalresearchonEUlaw.Thefocusisonscholarly monographs,withaparticularemphasisonthosewhichareinterdisciplinaryinnature.Editedcollectionsof essayswillalsobeincludedwheretheyareappropriate.Theseriesiswideinscopeandaimstocoverstudiesof particularareasofsubstantiveandofinstitutionallaw,historicalworks,theoreticalstudies,andanalysesofcurrent debates,aswellasquestionsofperennialinterestsuchastherelationshipbetweennationalandEUlawandthe novelformsofgovernanceemerginginandbeyondEurope.Thefactthatmanyoftheworksareinterdisciplinary willmaketheseriesofinteresttoallthoseconcernedwiththegovernanceandoperationoftheEU. EuropeanLawandNewHealthTechnologies EditedbyMarkLFlear,Anne-MareeFarrell,TamaraKHervey, andThe´re`seMurphy TheEnforcementofEULaw TheRoleoftheEuropeanCommission StineAndersen EuropeanAgencies LawandPracticeofAccountability MadalinaBusuioc TheFoundationsofEuropeanUnionCompetitionLaw TheObjectiveandPrinciplesofArticle102 RenatoNazzini TheEmergenceofEUContractLaw ExploringEuropeanization LucindaMiller ParticipationinEURule-making ARights-BasedApproach JoanaMendes RegulatingCartelsinEurope SecondEdition ChristopherHarding,JulianJoshua ReligionandthePublicOrderoftheEuropeanUnion RonanMcCrea GoverningSocialInclusion EuropeanizationthroughPolicyCoordination KennethA.Armstrong JudicialControlintheEuropeanUnion ReformingJurisdictionintheIntergovernmentalPillars AliciaHinarejos EUCounter-TerroristPoliciesandFundamentalRights TheCaseofIndividualSanctions ChristinaEckes FromDualtoCooperativeFederalism TheChangingStructureofEuropeanLaw RobertSchu¨tze ConflictsofRightsintheEuropeanUnion ATheoryofSupranationalAdjudication AidaTorresPe´rez This is an open access version of the publication distributed under the terms of the Creative Commons Attribution-NonCommercial- NoDerivs licence (http://creativecommons.org/licenses/by-nc-nd/3.0/), which permits non-commercial reproduction and distribution of the work, in any medium, provided the original work is not altered or transformed in any way, and that the work is properly cited. For commercial re-use, please contact [email protected] The Legal Effects of EU Agreements Maximalist Treaty Enforcement and Judicial Avoidance Techniques MARIO MENDEZ 1 This is an open access version of the publication distributed under the terms of the Creative Commons Attribution-NonCommercial- NoDerivs licence (http://creativecommons.org/licenses/by-nc-nd/3.0/), which permits non-commercial reproduction and distribution of the work, in any medium, provided the original work is not altered or transformed in any way, and that the work is properly cited. For commercial re-use, please contact [email protected] 3 GreatClarendonStreet,Oxford,OX26DP, UnitedKingdom OxfordUniversityPressisadepartmentoftheUniversityofOxford. ItfurtherstheUniversity’sobjectiveofexcellenceinresearch,scholarship, andeducationbypublishingworldwide.Oxfordisaregisteredtrademarkof OxfordUniversityPressintheUKandincertainothercountries #M.Mendez,2013 Themoralrightsoftheauthorhavebeenasserted FirstEditionpublishedin2013 Impression:1 Allrightsreserved.Nopartofthispublicationmaybereproduced,storedin aretrievalsystem,ortransmitted,inanyformorbyanymeans,withoutthe priorpermissioninwritingofOxfordUniversityPress,orasexpresslypermitted bylaw,bylicenceorundertermsagreedwiththeappropriatereprographics rightsorganization.Enquiriesconcerningreproductionoutsidethescopeofthe aboveshouldbesenttotheRightsDepartment,OxfordUniversityPress,atthe addressabove Youmustnotcirculatethisworkinanyotherform andyoumustimposethissameconditiononanyacquirer CrowncopyrightmaterialisreproducedunderClassLicence NumberC01P0000148withthepermissionofOPSI andtheQueen’sPrinterforScotland BritishLibraryCataloguinginPublicationData Dataavailable ISBN 978–0–19–960661–0 PrintedandboundinGreatBritainby CPIGroup(UK)Ltd,Croydon,CR04YY LinkstothirdpartywebsitesareprovidedbyOxfordingoodfaithand forinformationonly.Oxforddisclaimsanyresponsibilityforthematerials containedinanythirdpartywebsitereferencedinthiswork. This is an open access version of the publication distributed under the terms of the Creative Commons Attribution-NonCommercial- NoDerivs licence (http://creativecommons.org/licenses/by-nc-nd/3.0/), which permits non-commercial reproduction and distribution of the work, in any medium, provided the original work is not altered or transformed in any way, and that the work is properly cited. For commercial re-use, please contact [email protected] Para mis padres This is an open access version of the publication distributed under the terms of the Creative Commons Attribution-NonCommercial- NoDerivs licence (http://creativecommons.org/licenses/by-nc-nd/3.0/), which permits non-commercial reproduction and distribution of the work, in any medium, provided the original work is not altered or transformed in any way, and that the work is properly cited. For commercial re-use, please contact [email protected] This page intentionally left blank This is an open access version of the publication distributed under the terms of the Creative Commons Attribution-NonCommercial- NoDerivs licence (http://creativecommons.org/licenses/by-nc-nd/3.0/), which permits non-commercial reproduction and distribution of the work, in any medium, provided the original work is not altered or transformed in any way, and that the work is properly cited. For commercial re-use, please contact [email protected] PREFACE MarioMendezhaswrittenanengagingandinformativeaccountofthelegal effect accorded by the European Court of Justice to international agree- mentsconcludedbytheEU. Certain aspects of this subject have attracted a great deal of attention frombothscholarsandpractitionersovertheyears,suchasthelegaleffects of the GATT and WTO agreements in EU law. Mendez’s book however tacklesthebroadersubjectofthelegaleffectsaccordedbytheCourttoall manner of EU-concluded agreements, and places the GATT/WTO case lawinthiswidercontext. Thebookbegins,afterreflectingontheimportanceoftreatiesasasource oflawtoday,withacontext-settingdiscussionofthewaysinwhichdomes- ticcourtshavegenerallytreatedthelegaleffectofinternationalagreements. Eschewing the familiar but often confusing terminology of monism and dualism, Mendez identifies two broad judicial approaches to international treaties which he terms automatic incorporation, and non-automatic incorporation.HethenlooksatthefoundationalcasesinwhichtheCourt of Justice articulated its approach to the legal effect of international agreements. He moves on in the core three chapters of the book to identify the approach which the Court has taken to international agreements in three broad fields: those of (a) association, cooperation, partnership, and trade agreements (b) the GATT/WTO agreements, and (c) other non-trade agreements. What emerges is a picture of a variegated set of strategies on the part of the Court: using an automatic incorporation (and ‘maximal enforcement’)approachinsomecircumstances,andtechniquesforjudicial avoidance in others.The crucialdistinction, itemerges, between thecases inwhichtheCourtadoptsamaximalistenforcementapproach,andthosein which it uses techniques of judicial avoidance, is whether or not the case involvesachallengetoMemberStateactionascomparedwithEUaction. Mendez has written a valuable book, based on a substantial data set of EuropeanCourtcaselaw,whichincludesthoroughdiscussionandappraisal ofthecaselawoftheCourtofJusticeinthisimportantfield.Inadditional to marshalling and analyzing this useful empirical body of case law, the This is an open access version of the publication distributed under the terms of the Creative Commons Attribution-NonCommercial- NoDerivs licence (http://creativecommons.org/licenses/by-nc-nd/3.0/), which permits non-commercial reproduction and distribution of the work, in any medium, provided the original work is not altered or transformed in any way, and that the work is properly cited. For commercial re-use, please contact [email protected] viii Preface bookprovidesadeftandauthoritativeevaluationandcritiqueoftheCourt’s approachtointernationaltreatiesovertheyears. Thisbookshouldbeofinteresttostudents,scholars,andpractitionersof EU law alike, and to all of those interested in this aspect of the European Court’scontributiontotheEU’semergenceasaglobalactor. PaulCraig Gra´innedeBu(cid:2)rca This is an open access version of the publication distributed under the terms of the Creative Commons Attribution-NonCommercial- NoDerivs licence (http://creativecommons.org/licenses/by-nc-nd/3.0/), which permits non-commercial reproduction and distribution of the work, in any medium, provided the original work is not altered or transformed in any way, and that the work is properly cited. For commercial re-use, please contact [email protected] ACKNOWLEDGEMENTS This book is a revised version of a PhD thesis defended at the European University Institute in 2009. I am immensely grateful to my doctoral supervisor, Graı´nne de Bu(cid:2)rca, for her considerable input into this project and her support over the years. I am also grateful, for offering valuable insights in relation to aspects of this work, to the following: Kenneth Armstrong, Marise Cremona, Bruno de Witte, Piet Eeckhout, Robert Howse, Christian Joerges, Pieter-Jan Kuijper, Marc Maresceau, Valsamis Mitsilegas, Ernst-Ulrich Petersmann, and the late Eric Stein (I will long rememberbeingdriventhroughsnowyAnnArborbyamanalreadyintohis tenth decade when going for a farewell drink as I finished a period as a visiting researcher at the Law School of the University of Michigan). In addition,anumberofcurrentandformerofficialsofthevariousEUinsti- tutions gave generously of their time some years ago to discuss various aspects of this work. I am also grateful for the constructive feedback from theOUPreviewersandtoOUPmoregenerallyfortheirprofessionalismas wellastheirpatience—NatashaFlemminginparticular—aschangestothe manuscripttooklongertoimplementthanIhadanticipated. IamverygratefultomyfriendsandcolleaguesatQueenMary,Univer- sityofLondon.TheSchoolofLawhasbeenanexcellentplacetoworkand accordedmethespacetocompletethePhDandresearchleavetoconvertit intothisbook.MybiggestdebtofgratitudeisowedtoVirginieBarralwho, aswellashavingreadandcommentedoneverychapter,hasdiscussedissues pertainingtothisbookwithmeovermoreyearsthansheorIwouldcareto remember.Bothsheandouryoungsonhavealsolivedwiththisprojectfor some time and will perhaps be nearly as pleased as I am that it has finally beencompleted. This is an open access version of the publication distributed under the terms of the Creative Commons Attribution-NonCommercial- NoDerivs licence (http://creativecommons.org/licenses/by-nc-nd/3.0/), which permits non-commercial reproduction and distribution of the work, in any medium, provided the original work is not altered or transformed in any way, and that the work is properly cited. For commercial re-use, please contact [email protected]