Published online by Cambridge University Press: 06 March 2019
The notion of constitutional identity is a recent and enigmatic notion in constitutional law and theory. This Article demonstrates that constitutional identity—understood as a certain constitution-related self-identity of a nation or people—can be constructed from the text of a constitution, its interpretation and its application. However, constitutional identity is nothing more and nothing less than a constructed reality that can be regarded as a constitutional state's restless soul. It exists only as a constructed, simplified, imagined reality that will most likely also be contested and subject to change. Constitutional identity and the reliance on it in particular by national courts should therefore not be regarded as something sacred and absolute that can be compared to an imagined stable heart. Instead, constitutional identity should be treated with caution.
1 See Jean-Jacques Rousseau, Projet de la Constitution de la Corse (1765); Les classiques des sciences sociales, La gaya scienza, Apr. 2012, at 22, http://www.ac-grenoble.fr/PhiloSophie/old2/file/rousseau_corse.pdf.Google Scholar
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3 See Georg Wilhelm Friedrich Hegel, 14 Grundlinien der Philosophie des Rechts, Naturrecht und Staatswissenschaft im Grundrisse § 274 (reprint 2009) (1821).Google Scholar
4 For the correct criticism, see Herder, Johann Gottfried, Une autre philosophie de l'histoire 166 (1774)Google Scholar
Niemand in der Welt fühlt die Schwäche des allgemeinen Charakterisierens mehr als ich. Man mahlet ein ganzes Volk, Zeitalter, Erdstrich- wen hat man gemahlt? … Endlich fasst man sie doch in Nichts, als ein allgemeines Wort zusammen, wo jeder vielleicht denkt und fühlt, was er will – unvollkommenes Mittel der Schilderung) wie kann man missverstanden werden! … Charakter der Nationen! Allein Data ihrer Verfassung und Geschichte müssen entscheiden.Google Scholar
5 Cf. Michel Rosenfeld, Constitutional Identity, in The Oxford Handbook of Comparative Constitutional law 756, 756 (Michel Rosenfeld & András Sajó eds., 2012) [hereinafter Rosenfeld, Oxford Handbook]; José Luis Martí, Two Different Ideas of Constitutional Identity: Identity of the Constitution v. Identity of the People, in National Constitutional Identity and European Integration, 17, 18–19 (Alejandro Saiz Arnaiz & Carina Alcoberro Llivina eds., 2013).Google Scholar
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8 See, e.g., Peters, Anne, Rechtsordnungen und Konstitutionalisierung: Zur Neubestimmung der Verhältnisse 65 Zeitschrift für öffentliches Recht [ZÖR] 3, 54 (2010).Google Scholar
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11 For France, see, e.g. Frédérique Coulée, En quoi les engagements internationaux de la France en matiere de droits de l'homme nous-renseignent-ils sur son identité constitutionelle, 118 Revue generale de droit international public 541, 542 (2014); Michel Troper, Behind the Constitution? The Principle of Constitutional Identity in France, in Constitutional Topography, Values and Constitutions 187, 190 (András Sajó & Renáta Uitz eds., 2010); see also Polzin, Monika, Constitutional Identity, Unconstitutional Amendments and the Idea of Constituent Power, Int'l J. Const. L., 411, 433–38 (2016).Google Scholar
12 The leading case was the Lisbon Judgment. See Bundesverfassungsgericht [BVerfG] [Federal Constitutional Court], June 30, 2009, 123 BVerfGE 267. For more detailed on the development, see Polzin, supra note 11, at 424–29.Google Scholar
13 Carl Schmitt, Constitutional Theory, in particular 125–30 (Jeffrey Seitzer trans., 2008) (1928).Google Scholar
14 See Bilfinger, Carl, Der Reichssparkommissar (1928); Carl Bilfinger, Verfassungsfrage und Staatsgerichtshof, 20 Zeitschrift für Politik [ZfP] 81 (1931).Google Scholar
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16 See Bundesverfassungsgericht [BVerfG] [Federal Constitutional Court], Dec. 15, 2015, 140 BVerfGE 317 (Identity Control), para. 41.Google Scholar
17 For an example of the rare use of the notion of “basic-structure doctrine” in German law, see Jürgen Bast, Don't Act Beyond your Powers: The Perils and Pitfalls of the German Constitutional Court's Ultra Vires Review, 15 German L. J. 167, 168 (2014).Google Scholar
18 See, e.g., Krishnaswamy, Sudir, Democracy and Constitutionalism (2009); Dietrich Conrad, Constituent Power, Amendment and Basic Structure of the Constitution: A Critical Reconsideration, 6 Delhi Law Review 1 (1977/78); Virandra Kumar, Basic Structure of the Indian Constitution: Doctrine of Constitutionally Controlled Governance, 49 J. Indian L. Inst. New Delhi 365 (2007). However, Indian case-law also refers to the notion of constitutional identity. See, e.g., Indian Supr. Ct., Minerva Mills Ltd. v. Union of India (Uoi), (1980) 1 S.C.R 206 para. 21 (India), http://indiankanoon.org/doc/1215719/ (“[T]he Constitution is a precious heritage; therefore, you cannot destroy its identity.”); see also Jacobsohn, Gary Jeffrey, Constitutional Identity 53 et seq. (2010).Google Scholar
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23 I use in the following the terms nation or people interchangeably. They refer to an imagined political community. See Anderson, Benedict, Imagined Communities 6 (rev. ed. 1991). I mainly use these terms to refer to the citizens of a given state. The idea behind this formal approach is that the subjects of the constitution are the citizens of a state. On a theoretical level the people, meaning the citizens of a state, have the constitution-making power. Therefore, they also define their community within their constitution. Although, in every state non-citizens and citizens live together, the percentage of non-citizens varies from one country to another. In, Germany roughly about 12% of the population are foreigners. Cf. Statistisches Bundesamt, Mehr als 10 Millionen Ausländer in Deutschland, DStatis (June 30, 2017), https://www.destatis.de/DE/PresseService/Presse/Pressemitteilungen/2017/06/PD17_227_12521.html. Thus, the self-definition of every nation is also influenced by the non-citizens living in a particular country. The extent to which foreign citizens are included in the self-image of a particular nation depends on an abstract level on the willingness of a nation to include non-citizens and on the willingness of non-citizens to be included.Google Scholar
24 Constitution in the sense of the present article refers to those written or unwritten constitutional documents that establish a basic democratic and constitutional order.Google Scholar
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Three distinct general meanings of constitutional identity emerge. First, there is an identity that derives from the fact of having a constitution – polities with a constitution differ from those that do not; secondly, the content of a constitution provides distinct elements identity – a federal constitution sets up a different kind of polity than one establishing a centralized unitary state; and thirdly, the context in which a constitution operates seems bound to play a significant role in the shaping of its identity – different cultures envision fundamental rights in constrasting and even sometimes contradictory ways.Google Scholar
[Emphasis omitted.].Google Scholar
26 On theoretical concept of constitutional patriotism (Verfassungspatriotismus), see, e.g. Jürgen Habermas, Faktizität und Geltung 642–43 (1992); Jürgen Habermas, Eine Art Schadensabwicklung 173–74 (1987); Dolf Steinberger, Verfassungspatriotismus (1982); for an account regarding the criticism, see, e.g. Josef Isensee, Staatsrepräsentation und Verfassungspatriotismus in: Staatsrepräsentation 223, 237–39 (Jörg-Dieter Gauger & Justin Stagl eds., 1992).Google Scholar
27 See Jürgen Habermas, Anerkennungskämpfe im demokratischen Rechtsstaat, in Multikulturalismus und die Politik der Anerkennung 147, 178 (Charles Taylor ed., 1993).Google Scholar
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As I conceive it in its broadest terms, the place and function of constitutional identity is determined by the need for dialectical mediation of existing, evolving, and projected conflicts and tensions between identity and difference – or, more precisely, identities and differences – that shape the dealings between self and other within the relevant polity committed to constitutional rule and favorably disposed toward the aims of constitutionalism. At its most abstract, constitutional identity figures in relation to the threshold decision of whether to pursue constitutionalism or to reject it altogether as would be the case in the context of a pure theocracy.Google Scholar
33 Michel Rosenfeld, Modern Constitutionalism as Interplay between Identity and Diversity, in: Constitutionalism, Identity, Difference and Legitimacy 3, 6 (Michel Rosenfeld ed., 1994) [hereinafter Rosenfeld, Modern Constitutionalism].Google Scholar
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37 Id. Google Scholar
38 Id. For Jacobsohn, constitutional disharmony is very important for developing this constitutional identity. See id. at 4, 13).Google Scholar
39 For a particularly clear example of this, see id. at 351.Google Scholar
40 See, e.g., Jacobsohn, supra note 18, at 4, 13, 351–55; see also Rosenfeld, Oxford Handbook, supra note 5, at 760.Google Scholar
41 See in more detail infra Part B.Google Scholar
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43 I borrow this term from Robin West. See West, Robin, Toward a First Amendment Jurisprudence of Respect: A Comment on George Fletcher's Constitutional Identity, in: Constitutionalism, Identity, Difference and Legitimacy 245, 251 (Michel Rosenfeld ed., 1994).Google Scholar
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50 See in detail infra Part C.Google Scholar
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52 Countries without a written constitution are for example Israel or the United Kingdom.Google Scholar
53 See Strumia & Kaushal chapter in this volume, 18 German L.J. PAGE, PINCITE (2017).Google Scholar
54 See Preuß, Ulrich K., The Implications of “Eternity Clauses”: The German Experience, 44 Isr. L. Rev. 429, 445 (2011). Such an understanding of eternity clauses is also widespread in the German literature on Article 4 para. 2 TEU. A majoritiy of German authors argue that in particular the German eternity clause covers those constitutional provisions that are the expression of the national identity in the sense of article 4 para. 2 TEU. See, e.g., Armin von Bogdandy & Stephan Schill, Art. 4 EUV, in 1 Das Recht der Europäischen Union para. 22 (Eberhard Grabitz, Meinhard Hilf & Martin Nettesheim eds., 58. Actualization 2016); Armin Hatje, Art 4 EUV, in EU-Kommentar para. 12 (Jürgen Schwarze ed., 2012); Rudolf Streinz, Art. 4, in EUV/AEUV para. 14 (Rudolf Streinz ed., 2012); for examples from the non-German literature, see also Constanze Grewe, Methods of Identification of National Constitutional Identity, in National Constitutional Identity and European Integration 37, 39 et seq. (Alejandro Saiz Arnaiz & Carina Alcoberro Llivina eds., 2013); Gerhard van der Schyff, The Constitutional Relationship Between the European Union and Its Member States: The Role of National Identity in Article 4(2) TEU, 37 Eur. L. Rev. 563, 576 (2012); cf. Besselink, Leonard F., National and Constitutional Identity Before and After Lisbon, 6 Utrecht L. Rev. 36, 48–49 (2010).Google Scholar
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56 See Consitution of Tunisia, preamble (2004), English version available at: https://www.constituteproject.org/constitution/Tunisia_2014.pdf.Google Scholar
57 It states that: Expressing our people's commitment to the teachings of Islam and its aims characterized by openness and moderation, and to the human values and the highest principles of universal human rights, and inspired by the heritage of our civilization, accumulated over the travails of our history, from our enlightened reformist movements that are based on the foundations of our Islamic-Arab identity and on the gains of human civilization, and adhering to the national gains achieved by our people ….Google Scholar
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58 See also Rosenfeld, Modern Constitutionalism, supra note 33.Google Scholar
59 See, e.g., Constitution [Constitution], June 3, 1958, art. 2 (France).Google Scholar
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61 For an accurate analysis, see also Laurence Burgorgue-Larsen, A Huron at the Kirchberg Plateau or a Few Naive Thoughts on Constitutional Identity in the Case-law of the Judge of the European Union, in National Constitutional Identity and European Integration 275, 304 (Alejandro Saiz Arnaiz & Carina Alcoberro Llivina eds., 2013).Google Scholar
62 For the first decision, see Case C-379/87, Groener v. Minister for Education and City of Dublin Vocational Educational Commit., 1989 E.C.R. I-3987, para. 18–19. This case-law was confirmed and repeated within Article 4 para 2 sentence 2 TEU. See Case C-391/09, Runevič-Vardyn & Wardyn v. Vilniaus miesto savivaldybės administracija, 2011 E.C.R. I-03787, para. 86–87. The previous Opinion of Advocate General Niilo Jääskinen consented. See Case C-202/11, Anton Las v. PSA Antwerp NV, ECLI:EU:C:2012:456, para. 26–27 (Dec. 16, 2010); cf. Opinion of Advocate General Miguel Poiares Maduro, Case C-160/03, Kingdom of Spain v. Eurojust, 2005 E.C.R. I-02077, para. 24 (Dec. 16, 2004) (“Respect for linguistic diversity is one of the essential aspects of the protection granted to the national identities of the Member States, as is apparent from Article 6(3) EU and Article 149 EC.”); Opinion of Advocate General Juliane Kokott, Case C-222/07, UTECA, 2009 E.C.R. I-01407, para. 90 et seq. (Sept. 4, 2008).Google Scholar
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First of all, I would like to mention that under Article 6(3) EU the European Union must respect the national identities of its Member States. This means that the Union cannot encroach on the constitutional order of a Member State, whether it is centralist or federal, and does not in principle have any influence on the division of competences within a Member State. The revision of that provision by the Treaty of Lisbon expressly mentions respect for the constitutional structures of the Member States by the Union.Google Scholar
For further confirmation, see Case C-51/15, Remondis v. Region Hannover, 2009 E.C.J. I-8127, para. 40.Google Scholar
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68 See Norwegian Const., art. 121, para. 1, sentence 2 (“Such an amendment must never, however, contradict the principles embodied in this Constitution, but solely relate to modifications of particular provisions which do not alter the spirit of the Constitution, and two thirds of the Storting must agree with such an amendment.”).Google Scholar
69 See, e.g., Art. 139 Costituzione [Cost.] (It.); French Const. Art. 89 para. 5.Google Scholar
70 See, e.g., Turkish Const. Art. 4; GBL Art. 79 para. 3; Maroc. Const. Art. 175.Google Scholar
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79 For more detail, see infra Part C. II.Google Scholar
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81 See also Dreier, Horst, Gilt das Grundgesetz ewig? 59 (2008); Paul Kirchhof, Die Identität der Verfassung, in 2 Handbuch des Staatsrechts [Handbook of Constitutional Law] §21, rn. 42 (Josef Isensee & Paul Kirchhof eds., 3d ed. 2004). For more detail, see Polzin, supra note 11, at 421–24.Google Scholar
82 Translation provided by the author. See 14/2 Parlamentarischer Rat 1948–1949, Hauptausschuss, 1094, 1118 no. 36 (Deutscher Bundestag/Bundesarchiv eds., 2009).Google Scholar
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When constitutional language fails to offer an unequivocal directive for decision, the recourse of the judge is not always to look “outward” toward overarching principles of political morality. In an illumating array of cases, the acceptable way to resolve the disputes and to explain the results is to turn “inward” and reflect upon the legal culture in which the dispute is embedded. The way to understand this subcategory of decisions is to interpret them as expressions of the decision makers' constitutional identity.Google Scholar
See also Fletcher, George, Constitutional Identity, in: Constitutionalism, Identity, Difference and Legitimacy 223 (Michael Rosenfeld ed., 1994).Google Scholar
84 See Rosenfeld, Oxford Handbook, supra note 5, at 771.Google Scholar
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The community that matters, though, is not an actual preexisting community, but the aspirational community represented in the constitution. It is a community constituted by the political process of constitution-making, by democratic politics, not by blood or history. This view allows for a more heterogenous notion of constitutional identity, one that may well accord with the situation in the states of the United States. These states may have had little preexisting moral unity, and free migration …. Their population and their culture may well reflect great national or international diversity, Nevertheless, through their constitution, the people of the state give rise to a value structure.Google Scholar
86 For an opinion regarding the recent headscarf judgment of the German Constitutional Court, see also Uwe Volkmann, Dimensionen des Kopftuchstreits, JURA 1083, 1084 (2015).Google Scholar
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88 See Conseil Constitutionnel decision no. 2010-613 DC, Oct.7, 2010, Rec. 276.Google Scholar
89 The European Court of Human Rights accepted the burka ban due to a wide margin of appreciation accorded to France. See ECHR, S.A.S. v. France (App. No. 43835/11), paras. 153–59 (July 1, 2014).Google Scholar
90 Flechter, supra note 83, at 739.Google Scholar
91 See Bundesverfassungsgericht [BVerfG] [Federal Constitutional Court], Feb. 25, 1975, 39 BVerfGE 1, 36–37.Google Scholar
92 Flechter, supra note 83, at 738.Google Scholar
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94 J.H.H. Weiler, Federalism and Constitutionalism: Europe's Sonderweg, in The Federal Vision: Legitimacy and Levels of Governance in the US and the EU 54, 65 (Kalypso Nicolaidis & Robert Howse eds., 2001).Google Scholar
95 Bundesverfassungsgericht [BVerfG] [Federal Constitutional Court], Jan. 27, 2015, Neue Juristische Wochenschrift [NJW] 1359, 1364–65.Google Scholar
96 Uwe Volkmann describes the decision as a demand for serenity. See Volkmann, supra note 86, at 1092.Google Scholar
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99 I am very grateful to the comments by Ruud Koopmans on this point.Google Scholar
100 For more detail, see supra Part C II.Google Scholar
101 See Orgad, supra note 22, 85–131, 234.Google Scholar
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103 For a recent opinion, see Bundesverfassungsgericht [BVerfG] [Federal Constitutional Court], Dec. 15, 2015, 140 BVerfGE 317 (Identity-control), para. 53–55.Google Scholar