Interest Groups in a Multi-level Polity: The Impact of European Integration on National Systems

institutionalisation; Europeanization; multilevel governance; Nation-state

Interlinking neofunctionalism and intergovernmentalism: Sidelining governments and manipulating policy preferences as "passerelles"

The EU's founding fathers had the protection of the EU's constituent units as a key concern and set up serious hurdles to policy innovation in the absence of unanimous governmental agreement. These institutional design features, aptly characterised as "joint-decision trap" by Fritz W. Scharpf, were only softened but not erased over time. Nonetheless, the problem of how to innovate has, at times, been overcome through eclectic means. There are indeed some well known and quite visible practices as well as some less expected and more obscure strategies that have propelled the EU's policy system beyond what has for a long time been expected. This paper argues that there are two strategic moves the European Commission (and, at times, other supranational actors such as the European Court of Justice) can use to actively overcome member state opposition: first, sidelining some or even all national governments; and, second, manipulating relevant policy preferences. These two basic strategies can be seen to interconnect the diverging basic assumptions of intergovernmentalism and neofunctionalism as 'passerelles'.political science; joint decision making; unanimity; integration theory; intergovernmentalism; neo-functionalism

European Integration and the Welfare State(s) in Europe

This paper summarizes the state-of-the-art on European social policy integration. It summarises the controversy over the 'social dimension of European integration', which has been ongoing ever since the founding fathers of European integration in 1957 agreed that the economies should be integrated basically without social regulation to counterbalance liberalisation effects. It presents the historical development of EU social policy as well as criteria for evaluating the state of "social Europe" and finally discusses how the EU is impacting on different types of welfare states. The argument is that the EU contributes to framework conditions that promote more 'bounded varieties of welfare' in Europe. In other words, it is held that there will be a more restricted variety, oscillating within limits that are directly or indirectly imposed or reinforced by European integration.social policy; Europeanization; Europeanization; political science; welfare state; discourse

The First EU Social Partner Agreement in Practice: Parental Leave in the 15 Member States. IHS Political Science Series: 2004, No. 96

In this paper, we analyze the impact of one specific EU social policy measure, the Parental Leave Directive. This Directive is based on the first Euro-collective agreement, concluded in November 1995 by the ETUC, UNICE and CEEP. Contrary to the rather sceptical assessments presented by many observers at the time of its adoption, our in-depth analysis of the Directive's implementation in all 15 member states reveals rather far-reaching effects. The Directive induced significant policy reforms in the majority of member states and thus facilitated the reconciliation of work and family life for many working parents. These effects were not only brought about by compliance with the compulsory minimum standards of the Directive, but also by a considerable number of voluntary reforms. We argue that domestic party politics and processes of policy learning may explain the occurrence of these "unforced" changes, which have hitherto received little attention by Europeanisation scholars

Problems of operationalization and data in EU compliance research

Substantial theoretical, conceptual and empirical advances have been made in research on the implementation of EU policies during recent years. However, our findings have remained ambivalent and our theoretical insights disparate. It therefore seems high time to address some issues that cause concern in this type of research and to raise awareness of the limits of the various theoretical approaches and of the data commonly used. This relates to the challenges of operationalising and of choosing adequate indicators for the dependent variable (compliance). We also discuss promises and pitfalls of different types of data used in the field, such as official statistics on notifications and infringements published by the European Commission as well as mass surveys. -- Die EU-Implementationsforschung hat in den letzten Jahren wesentliche theoretische, konzeptuelle und empirische Fortschritte gemacht. Die Ergebnisse sind jedoch ambivalent und unsere theoretischen Erkenntnisse noch immer disparat. Es scheint deshalb an der Zeit einige Problemfelder dieses Forschungszweigs zu benennen und die Sensibilität für die Reichweite verschiedener methodischer Ansätze und Arten von Daten zu vergrößern. Dies gilt für die Operationalisierung der Kernkonzepte und für die Wahl angemessener Indikatoren, um die abhängige Variable (Rechtsbefolgung) zu erklären. Darüber hinaus diskutieren wir die Vor- und Nachteile der verschiedenen Arten von Daten, die von den meisten Studien genutzt werden. Es handelt sich um offizielle Statistiken über Notifizierungen und Vertragsverletzungsverfahren, die die EU Kommission veröffentlicht, und um Umfragedaten.

Worlds of compliance: Why leading approaches to the implementation of EU legislation are only 'sometimes-true theories'

This paper summarises the main theoretical findings of a large-scale qualitative project on the transposition, enforcement and application of six EU labour law Directives in fifteen member states. Focusing on the transposition stage, our argument starts from a theoretical puzzle: When confronting the empirical results from our 91 cases with the various hypotheses that we derived from the literature, it turns out that all causal conditions suggested by existing theories, and even two of the most prominent hypotheses (on misfit and veto players), have at best rather weak explanatory power. On closer inspection, our qualitative studies show that even their basic rationale does not hold in some groups of countries. As a solution, we offer a typology of three worlds of compliance within the fifteen EU member states covered by our study, each of which is characterised by an ideal-typical transposition style: a 'world of law observance', a 'world of domestic politics', and a 'world of neglect'. This typology provides the key to understanding when and how individual theoretical propositions are relevant.policy coordination; implementation; Europeanization

Problems of operationalisation and data in EU compliance research

"Die EU-Implementationsforschung hat in den letzten Jahren wesentliche theoretische, konzeptuelle und empirische Fortschritte gemacht. Die Ergebnisse sind jedoch ambivalent und unsere theoretischen Erkenntnisse noch immer disparat. Es scheint deshalb an der Zeit einige Problemfelder dieses Forschungszweigs zu benennen und die Sensibilität für die Reichweite verschiedener methodischer Ansätze und Arten von Daten zu vergrößern. Dies gilt für die Operationalisierung der Kernkonzepte und für die Wahl angemessener Indikatoren, um die abhängige Variable (Rechtsbefolgung) zu erklären. Darüber hinaus diskutieren wir die Vor- und Nachteile der verschiedenen Arten von Daten, die von den meisten Studien genutzt werden. Es handelt sich um offizielle Statistiken über Notifizierungen und Vertragsverletzungsverfahren, die die EU Kommission veröffentlicht, und um Umfragedaten." (Autorenreferat)"Substantial theoretical, conceptual and empirical advances have been made in research on the implementation of EU policies during recent years. However, our findings have remained ambivalent and our theoretical insights disparate. It therefore seems high time to address some issues that cause concern in this type of research and to raise awareness of the limits of the various theoretical approaches and of the data commonly used. This relates to the challenges of operationalising and of choosing adequate indicators for the dependent variable (compliance). We also discuss promises and pitfalls of different types of data used in the field, such as official statistics on notifications and infringements published by the European Commission as well as mass surveys." (author's abstract

Three worlds of compliance or four? The EU15 compared to new member states

'Ausgehend von einer früheren Implementationsstudie über die 15 'alten' Mitgliedstaaten der Europäischen Union, deren Hauptergebnis eine Typologie von drei 'Welten der Rechtsbefolgung' war, geht dieser Beitrag der Frage nach, ob die neuen Mitgliedstaaten aus Mittel- und Osteuropa (MOE) eine zusätzliche Ländergruppierung mit einem eigenen Implementationsstil bilden. Wir präsentieren Ergebnisse eines Forschungsprojekts über die Implementation von drei EU-Richtlinien aus den Bereichen Arbeitszeit und Gleichbehandlung in vier MOE-Ländern. Unseren Befunden zufolge ähneln die beobachteten Implementationsmuster der neuen Mitgliedstaaten denen einer kleinen Gruppe von Staaten innerhalb der EU15. Keine Unterstützung liefern unsere empirischen Ergebnisse dagegen für die Erwartung, die neuen Mitgliedstaaten könnten einer eigenen Logik bei der Befolgung von EU-Recht folgen, etwa in Gestalt eines deutlich laxeren Umgangs mit europäischen Rechtsvorschriften nach dem Beitritt als 'Vergeltung' für den hohen Vorbeitrittsdruck. Insgesamt lassen sich alle vier untersuchten Länder in eine Gruppe einordnen, die wir als 'Welt des toten Rechts' bezeichnen. Diese Welt, die durch politisierte Umsetzungsprozesse und systematische Probleme bei der praktischen Anwendung und beim Vollzug gekennzeichnet ist, umfasst jedoch nicht nur MOE-Länder, sondern auch zwei 'alte' Mitgliedstaaten.' (Autorenreferat)'Starting from the findings of an earlier compliance study covering the fifteen 'old' member states of the European Union, which identified three 'worlds of compliance', this paper seeks to establish whether or not the new member states from Central and Eastern Europe (CEE) represent a separate world of compliance. We present empirical findings from a research project on the implementation of three EU Directives from the field of working time and equal treatment in four CEE countries. The evidence suggests that the new member states display implementation styles that are similar to a few countries in the EU15. The expectation that the new member states might behave according to their own specific logic, such as significantly decreasing their compliance efforts after accession in order to take 'revenge' for the strong pressure of conditionality, is not supported by our case studies. Instead, all four new member states appear to fall within a group that could be dubbed the 'world of dead letters'. It is crucial to highlight, however, that this specific 'world of compliance', characterised by politicised transposition processes and systematic application and enforcement problems, also includes two countries from the EU15.' (author's abstract)

Enlarging the European Union: the short-term success of incrementalism and de-politicisation

"Dieser Artikel analysiert die wesentlichsten Themen des EU-Erweiterungsprozesses. Zunächst diskutieren wir das empirische Paradox der Erweiterung, nämlich daß sich zwar einerseits die ursprünglichen Europäischen Gemeinschaften in eine Union mit wichtigen supranationalen Befugnissen und immer mehr politischer Durchsetzungskraft entwickelt hat, dies aber die Erweiterungskandidaten keineswegs abgeschreckt hat. Warum sind immer mehr Staaten bereit, ihre ansonsten gehegte nationale Souveränität durch einen Beitritt zur Union aufzugeben, während sie sich sogar dessen bewusst sind, daß auch weiterhin noch mehr Souveränität abzugeben sein wird? Anschließend widmen wir uns den wichtigsten Herausforderungen, denen sich die EU vor der anstehenden Erweiterungsrunde stellen muß, nämlich den finanziellen und institutionellen Fragen wie auch der Festlegung ihrer internen und externen Grenzen. Der abschließende Teil diskutiert die früheren und aktuellen (sowohl impliziten wie auch expliziten) Erweiterungsstrategien der EU. Wir weisen darauf hin, daß der inkrementelle und entpolitisierte Charakter der jüngsten Beitrittsdiskussion zwar kurzfristig erfolgreich scheint, aber langfristig gefährlich sein könnte." [Autorenreferat]"This paper analyses the most important issues of the EU enlargement process. We first discuss an empirical paradox involved in enlargement: the obvious development of the original European Communities into a Union with important supranational features and ever more policy clout has by no means discouraged aspirant member states. Why is it that more and more states are willing to give up much of their otherwise cherished national sovereignty by joining this Union, knowing that even more sovereignty will be eroded over time? Then we address the major challenges the EU has to face before actually widening any further, in particular concerning financial and institutional issues as well as internal and external boundaries. The concluding section discusses implicit and explicit EU enlargement strategies of past and present times. We argue that there is a danger that the incrementalist and de-politicised character of the recent enlargement (non-)discussions are successful only in the short term while actually being rather dangerous in the longer run." [author's abstract

The first EU social partner agreement in practice: parental leave in the 15 member states

'Dieser Beitrag untersucht die Auswirkungen der EU-Elternurlaubs-Richtlinie in den Mitgliedstaaten. Diese Richtlinie basiert auf dem ersten europäischen Sozialpartner-Abkommen, das im November 1995 zwischen EGB, UNICE und CEEP abgeschlossen wurde. Im Gegensatz zu den skeptischen Einschätzungen vieler Kommentatoren zeigt unsere detaillierte empirische Analyse der Umsetzung in allen 15 Mitgliedstaaten, dass die Richtlinie durchaus weit reichende Veränderungen auf der nationalen Ebene hervorbrachte. Sie führte zu signifikanten Reformen in der Mehrzahl der Mitgliedstaaten und erleichterte es auf diese Weise vielen Eltern, Familie und Berufsleben in Einklang zu bringen. Dieser Befund ist nicht nur auf die verbindlichen Mindeststandards der Richtlinie zurückführen, sondern auch auf eine erhebliche Anzahl von freiwilligen Reformschritten der Mitgliedstaaten. Wir zeigen, dass diese bislang von der Europäisierungsforschung wenig beachteten freiwilligen Anpassungen zum Teil durch nationale Parteipolitik und zum Teil durch Lernprozesse zu erklären sind.' (Autorenreferat)'In this paper, we analyse the impact of one specific EU social policy measure, the Parental Leave Directive. This Directive is based on the first Euro-collective agreement, concluded in November 1995 by the ETUC, UNICE and CEEP. Contrary to the rather sceptical assessments presented by many observers at the time of its adoption, our in-depth analysis of the Directive's implementation in all 15 member states reveals rather far-reaching effects. The Directive induced significant policy reforms in the majority of member states and thus facilitated the reconciliation of work and family life for many working parents. These effects were not only brought about by compliance with the compulsory minimum standards of the Directive, but also by a considerable number of voluntary reforms. We argue that domestic party politics and processes of policy learning may explain the occurrence of these 'unforced' changes, which have hitherto received little attention by Europeanisation scholars.' (author's abstract)