Frontiers of Equality in the Development of EU and US Citizenship

477 Pages·2017·3.187 MB·English

by  Jeremy B. Bierbach (auth.)

Frontiers of Equality
in the Development
of EU and US
Citizenship
Jeremy B. Bierbach
Frontiers of Equality in the Development
of EU and US Citizenship
Jeremy B. Bierbach
Frontiers of Equality in the
Development of EU and US
Citizenship
1 3
Jeremy B. Bierbach
Franssen Advocaten
Amsterdam
The Netherlands
ISBN 978-94-6265-164-7 ISBN 978-94-6265-165-4 (eBook)
DOI 10.1007/978-94-6265-165-4
Library of Congress Control Number: 2016956828
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Acknowledgments
This book is based on my doctoral thesis in European constitutional law, which I
publicly defended at the University of Amsterdam on 2 September 2015. As such,
most of my acknowledgments for this book are due to everyone who helped me to
successfully make it to that point.
First, thanks are due to my supervisors at the faculty of law at the University
of Amsterdam, Tom Eijsbouts, Jan-Herman Reestman, and Annette Schrauwen.
I worked with Tom and Jan-Herman as an editor at the European Constitutional
Law Review, and they convinced me to pursue this research, having noticed my
interest in the ways that EU citizenship influences the legal practice of immi-
gration law. And Annette gave me (and still gives me) the opportunity to lecture
her master’s students of law on the Citizenship Directive of EU law (Directive
2004/38) every year, providing me with the teaching experience that is essential to
the Latin meaning of doctor.
Since I was an external doctoral candidate, my research and writing processes
were relatively secluded. So it was nice to be able to have the opportunity to air
my ideas and receive feedback on them. The informal meetings at the Center
for Migration Law at the Radboud University Nijmegen provided me with such
a sounding board. Thanks to Karin Zwaan, Ricky van Oers, Kees Groenendijk,
Elspeth Guild, and Tineke Strik. Thanks are due as well to Sébastien Chauvin for
inviting me to give a guest lecture to his students in the Department of Sociology
at the University of Amsterdam every year: an experience which helped me greatly
in presenting my ideas to a non-legal audience.
For my research on American constitutional law, I had virtually no formal
educational background. Bob Bastress, Professor of Constitutional Law at the
University of West Virginia, was my long-distance teacher, first pointing me to
the literature in the established curriculum on US constitutional law. He also thor-
oughly reviewed my work in that area, saving me from certain embarrassment if
some of the mistakes I had made from misreading Supreme Court judgments on a
computer screen late at night—mistakes my supervisors probably wouldn’t have
caught—had remained in my final text.
v
vi Acknowledgments
I had the honor to defend my thesis (with the unwavering support of my para-
nymphs Consuelo Ramirez and Wijbrand Stet) against the challenging opposition
provided by Profs. Gareth Davies, Betty de Hart, Ulli d’Oliveira, Ernst Hirsch
Ballin, Ruud Janssens, and Christoph Schönberger. I have incorporated into this
book many of my responses to the points they raised. Special thanks are due to
Ernst Hirsch Ballin for recommending my book for publication by T.M.C. Asser
Press, as well as to Janne Nijman, also of the T.M.C. Asser Instituut. At T.M.C.
Asser Press, publisher Frank Bakker, Kiki van Gurp, and Antoinette Wessels
helped me to finalize my manuscript.
On a personal note, thanks are due to my parents, Jane Offutt and Charles
A. Bierbach, for being role models in using their intellect to help others.
And last but not least: Stefan, I couldn’t do it without your love and vital support.
Contents
1 Civis Duplex Sum: Two Layers of Citizenship
in a Dialogue of Equality .................................... 1
1.1 From Subject to Citizen ................................. 2
1.2 Duplex Citizenship ..................................... 4
1.3 Justification of the Cases Selected ......................... 6
1.4 Road Map ............................................ 7
1.5 Note for the Reader .................................... 10
1.6 Appendix 1: Terminology ............................... 10
1.6.1 Federal, Horizontal Versus Vertical, State Versus State .... 10
1.7 Appendix 2: Types of Equality ............................ 12
1.7.1 Uniform Equality ............................... 12
1.7.2 Non-discrimination ............................. 13
1.7.3 Cross-Border Equality ........................... 13
1.7.4 Portability ..................................... 13
References ................................................. 13
Part I The Development of United States Citizenship
2 Subjecthood in England and the British Empire ................. 17
2.1 Introduction .......................................... 18
2.2 Calvin’s Case ......................................... 19
2.3 The Glorious Revolution ................................ 29
2.4 Subjecthood in the North American Dominions .............. 41
2.4.1 Immigration and Naturalization in England ........... 42
2.4.2 The Constitutional Position of the Colonies .......... 48
2.4.3 Naturalization in the Colonies ..................... 53
2.5 Conclusion: The Declaration of Independence as the Point
of Departure of the American Constitution from the British
Constitution .......................................... 57
References ................................................. 64
vii
viii Contents
3 From Revolution to Constitution to Civil War: US Citizenship
in Its Youth ................................................ 67
3.1 Introduction .......................................... 68
3.2 Independence: The Watershed Moment ..................... 69
3.2.1 Subjecthood and Citizenship: Revolutionary Doctrine ... 70
3.3 The Postwar Years: Tying Up Loose Ends ................... 78
3.4 The Further Articulation of Citizenship: Immigration
and Naturalization ..................................... 81
3.5 Citizenship Under the Articles of Confederation
and the Constitution .................................... 83
3.6 The Naturalization Act of 1790 ........................... 96
3.7 The Naturalization Acts of 1795, 1798, and 1800 ............. 99
3.8 Conclusion: Immigration and Naturalization ................. 106
References ................................................. 107
4 Horizontal Conflict in United States Citizenship
Before the Civil War ........................................ 109
4.1 Introduction .......................................... 110
4.2 Slavery and the Constitution: Three Provisions ............... 112
4.2.1 The Apportionment Clause ....................... 113
4.2.2 The Slave-Trade Clause .......................... 116
4.2.3 The Fugitive Slave Clause ........................ 116
4.3 Equality and the Constitution: Four Forms .................. 120
4.3.1 Excursion: Federal Citizenship and Allegiance ........ 129
4.4 Equality at the Point of Collision with Slavery ............... 130
4.4.1 Horizontal Norms Regarding Slavery: Comity
and the Full Faith and Credit Clause ................ 131
4.4.2 Vertical Norms Regarding Slavery: The Northwest
Ordinance and the Fugitive Slave Clause ............. 134
4.4.3 The Schism Widens Between the States: Prigg
v. Pennsylvania ................................. 139
4.4.4 Slavery and Territorial Expansion: Dred Scott
v. Sandford .................................... 143
4.5 Conclusion: The Failure of Horizontal United States
Citizenship ........................................... 148
References ................................................. 151
5 A New, Vertical Beginning for United States Citizenship .......... 153
5.1 Introduction .......................................... 154
5.2 The Fourteenth and Fifteenth Amendments .................. 154
5.2.1 The Formal Introduction of a Vertical United States
Citizenship and Human Rights Standard ............. 161
5.3 The Long Road to Substantive Equality Based
on US Citizenship ..................................... 162
5.3.1 The Tilden-Hayes Compromise: The Political
Abrogation of the Reconstruction Amendments ....... 163
Contents ix
5.3.2 The Slaughterhouse Cases and Plessy v. Ferguson:
The Judicial Abrogation of the Reconstruction
Amendments .................................. 164
5.3.3 Wong Kim Ark: The Cinching of Birthright
US Citizenship ................................. 171
5.4 The Only Way is Up: Toward the Full Development
of Civil Rights ........................................ 176
5.4.1 Edwards v. California and Mitchell v. United States .... 177
5.4.2 Brown v. Board of Education: Effectively Instituting
a Uniform Equality .............................. 182
5.4.3 Legislating Uniform Electoral Equality
and Cross-Border Equality ........................ 184
5.4.4 A revival of the Privileges or Immunities Clause? ...... 189
5.5 Conclusion: United States Citizenship as a Vertical Norm ...... 191
References ................................................. 196
Part II The Development of European Union Citizenship
6 European Integration as a Project of the Member States .......... 199
6.1 Introduction .......................................... 200
6.2 The Postwar European Idea, Leading up to the European
Coal and Steel Community .............................. 202
6.2.1 The “Hague” Line .............................. 206
6.2.2 The “Westminster” Line .......................... 211
6.2.3 The First Community: The ECSC .................. 213
6.3 The European Economic Community: The Early Years
Leading up to the Emergence of the Citizen ................. 217
6.3.1 From the Worker to the Citizen: Political
Developments .................................. 224
6.3.2 European Citizenship via Freedom of Movement:
Racial Criteria?. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 230
6.3.3 Freedom of Movement: Forms of Equality ........... 241
References ................................................. 244
7 The De Facto Community Citizen Emerges ..................... 247
7.1 The European Court of Justice Confirms “An Incipient
Form of Citizenship” ................................... 248
7.1.1 The “Big Bang” of the Community Legal Order:
Van Gend & Loos and Costa v. ENEL ............... 252
7.1.2 The First Community Citizen: Unger ............... 255
7.2 Excursion: British Citizenship, Allegiance, and the
Community ........................................... 263
7.2.1 British Citizenship, Commonwealth Citizenship,
and Decolonization. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 271
7.2.2 British Citizenship avant la lettre, Toward Membership
in the Community ............................... 278
x Contents
7.3 Levin: Further Defining the Worker ........................ 285
7.3.1 “Reverse Discrimination”: Morson and Jhanjan ....... 290
7.3.2 Bringing Cross-Border Equality Back Home ......... 292
References ................................................. 298
8 The Maastricht Treaty Introduces European Union
Citizenship De Jure ......................................... 301
8.1 Moving Toward Formal Citizenship. . . . . . . . . . . . . . . . . . . . . . . . 302
8.1.1 Gravier and the Constitutional Struggle to Establish
a Vertical Citizenship Through Equality ............. 307
8.2 The Treaty of Maastricht, the Foundation of the European
Union and the Formal Introduction of Union Citizenship ....... 316
8.2.1 The Spanish Contribution to Union Citizenship ....... 318
8.3 Rights of Movement and Residence in Union Citizenship:
The First Decade ...................................... 321
8.3.1 Konstantinidis .................................. 323
8.3.2 Martínez Sala .................................. 324
8.3.3 Bickel and Franz ............................... 325
8.3.4 Grzelczyk ..................................... 326
8.3.5 Baumbast and R: A “Layer Cake” of Cross-Border
Equality ...................................... 329
8.3.6 Garcia Avello and the Portability of Rights ........... 338
References ................................................. 344
9 The Union Legislature Elaborates on Union Citizenship;
the Court Responds ......................................... 347
9.1 Directive 2004/38: The Consolidation in the Secondary
Legislation of the Rights of Residence Based
on Union Citizenship ................................... 348
9.1.1 The Substance of the Directive .................... 348
9.1.2 The Legislative Process Behind the Directive:
The Addition of Non-traditional Partnerships ......... 351
9.2 Interlude from the Court: Zhu and Chen ...................... 358
9.3 Second-Class Union Citizenship? ........................... 361
9.3.1 Formally Second-Class Union Citizens: Citizens
of Accession States .............................. 362
9.3.2 Substantively Second-Class Union Citizens:
Sedentary Union Citizens ......................... 364
9.3.3 Carpenter ..................................... 369
9.3.4 Eind ......................................... 370
9.3.5 Metock et al. ................................... 374
9.3.6 Reverberations in the Member States on the Use
of Mobility by “Second-Class Union Citizens” ........ 378
9.3.7 Chakroun ..................................... 381