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Classical Theories of Cooperation and Integration

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Title: Classical Theories of Cooperation and Integration


1
Classical Theories of Cooperation and Integration
  • Functionalism
  • Federalism
  • Neofunctionalism

2

The two logics of the integration process
Creation of welfare by market integration and
management of inter-national economic
inter-dependencies
Resultant direction of the integration process
Peace by cooperation and common
security production
3
The two logics of the integration process 2
Creation of welfare by market integration and
management of inter-national economic
inter-dependencies
Resultant direction of the integration process
Functional economic, societal, and political
necessities caused by the progress of the forces
of production and resultant changes in the
societal super- structure
Peace by cooperation and common
security production
Necessity of integration to avoid further
conflicts in (Western) Europe by embedding (and
thereby controlling) the German industrial and
military potential in a supra- national
governance structure supported by overcoming
traditional German French enmities
4

The two logics of the integration process 3
Creation of welfare by market integration and
management of inter-national economic
inter-dependencies
Resultant direction of the integration process
Functionalism Neofunctionalism Interdependence
Regime Theories
Multilevel Governance Approaches
Peace by cooperation and common
security production
Federalism, Inter- Governmentalism, Neoliberal
Institutionalism
5
TRADITIONAL APPROACHES TO THE EUROPEAN
INTEGRATION PROCESS OR The Dialectic of
Supranationalism and Intergovernmentalism
SUPRANATIONALISM
INTERGOVERNMENTALISM
National states transfer certain rights or parts
of their sovereignty to a supra-national
authority constituted as an independent
international actor by international treaty
National states cooperate on the (inter-)
governmental level without formally questioning
parts of their sovereignty or limiting the
execution of their sovereign rights
6
DIFFERENT PERSPECTIVES ON THE INTEGRATION PROCESS
Functionalism Neofunctionalism
Federalism Intergovernmentalism
Moves towards closer integration
gradually/incrementally advanced by a multitude
of political and economic actors on the basis of
individual/organisational learning processes
leading to (integration-friendly) positive
changes of political and socioeconomic
preferences
Integration as a result of political negotiation
processes consciously entered into by national
actors on the basis of previously defined
political and socioeconomic preferences
Process of multilateral decision-making in an
administration union (Zweckverband) of states
Process of collective decision-making in a
network of actors
COMMON AIM
Development of shared solutions to shared policy
problems (Helen Wallace)
7
Theories of international Integration and
Cooperation
political solutions (moved by political will/
expressed decisions)
functional solutions (moved by inherent
necessities)
general aim institutionalization of the
constitutive conditions necessary for achieving a
stable peace structure
problem creation of a security community in
(Western) Europe to prevent the outbreak of a
new war supranational regulation of economic
issue areas as precondition for the (political)
peace-stabilizing community-building process
Federalism
Functionalism
problem actors reaction towards emerging
political, economic and social interdependencies
in the context of the internationalization/globali
zation of socioeconomic relations within the
spheres of production, distribution, services,
communications
Problem guaranteeing governance without
government in the societal world
Neoliberal Institutionalism
Theory of Fusion
ideal solution development of a supranational
constitutional authority including democratically
legitimated and controlled monopoly of power at
the interface of domestic democratic politics and
internationally regulated cooperation stabilized
through compromise and adjustment within legal
procedures
8
8
9
9
10
Theories and Strategies of European
Integration Functionalism and Neofunctionalism or
form follows function
10
11
Forefathers
  • David MITRANY
  • One might say indeed that the true task of
    peaceful change is to remove the need and the
    wish for changes of frontiers.
  • (Mitrany, D. (1943). A Working Peace System,
    Chicago)

11
12
Functionalism
  • Emergence and growth of international
    organizations is a consequence of the autonomy of
    industrial societies, characterized by the
    progress of the forces of production , and the
    internationalization of socio-economic problem
    complexes, which can only be resolved by means of
    inter-state or supra-state cooperation. Thus,
    international organizations can be compared to
    administrative/ executive unions or a
    Zweckverband, active in primarily technical
    non-political issue-areas. They simultaneously
    relieve states of some of their tasks and deprive
    them of some of their power without incorporating
    them in a superior political entity. The
    internationalization of problem complexes is
    governed by the logic of functional necessity
    functional necessities thus produce on the
    international level mechanisms of collective
    problem resolution and the concomitant adequate
    organisational forms.
  • Distinctive feature Economic and social problems
    produce their own (framework of) respective
    solutions international cooperation is
    legitimized by the usefulness and efficiency of
    concrete, issue-specific (technical) cooperation
    and its outcomes.
  • Catchword Form follows function.

12
13
Assumptions I
  • Human nature
  • rational and cooperative behaviour
  • State
  • need-centric rather than state-centric
    perspective
  • human needs and public welfare rather than power
    politics
  • International system
  • transnational problem solving
  • interdependence
  • globalisation

13
14
Assumptions II
  • International agencies
  • render war irrational / impossible through
    collective transnational problem solving and
    mutual dependence
  • more conducive to the maintenance of
    international peace and stability
  • transcend any anarchical structures in world
    politics

14
15
Neofunctionalism
  • As socioeconomic problems of highly
    industrialized societies, due to their
    border-transgressing causes and consequences,
    cannot be resolved any longer by individual state
    action but require comprehensive solutions that
    encompass all actors, the integration of several
    actors arises out of purely functional
    necessities.
  • At the beginning of the integration process
    actors formally agree (contractual arrangements)
    to solve problems within technical, functional,
    non-political and small sector-based issue areas
    (low politics) in a technocratic and
    non-ideological way. As cooperative management
    and problem solving approaches prove to be
    successful, they expand to other related
    functional task-areas and will finally spill over
    into genuinely political (high politics) issue
    areas, where they also initiate a gradual process
    of integration (logic of integration by sectors
    supranational communitisation of state functions
    in a succession of neighbouring policy areas
    produces quasi-automatic integration by means of
    spill-over effects).
  • Distinctive feature Political actors play a
    decisive role in the process of combining the
    requirements of problem solutions and adequate
    institutional provisions they transfer their
    loyalties and benefit expectations in an
    ever-intensifying manner to the supranational
    level, thereby legitimizing and stimulating the
    integration process.

15
16
  • Assumptions
  • rejection of the state and
  • power concept
  • ? human beings are essentially
  • ? cooperative and act rationally
  • same (transnational)
  • problems
  • interest in joint problem
  • solving
  • Logics
  • form follows function
  • spill-over
  • Sachlogik
  • from single market to political
  • union
  • problem-solving by emphasising
  • expertise
  • epistemic communities
  • transfer of loyalty and sovereignty

  • Institutions
  • technocracy
  • European Commission as
  • engine of integration, produces
  • consensus
  • technocratic knowledge as
  • source of legitimacy (ECB)
  • close interaction between
  • administration and interest-
  • groups
  • Strategies
  • functional governance
  • self-perpetuating process with
  • open finalité
  • cultivated spill over

16
17
The logic of transborder cooperation
17
18
  • Theories and Strategies of European Integration
  • Federalism
  • (Neo-)Federalism
  • or function follows form

18
19
Forefathers
  • Immanuel KANT
  • But peace can neither be inaugurated nor
    secured without a general agreement between the
    nations thus a particular kind of league, which
    we might call a pacific federation (foedus
    pacificaum), is required.
  • (Kant, I. (1795). Perpetual Peace A
    Philosophical Sketch)
  • Alexander HAMILTON
  • To look for a continuation of harmony between a
    number of independent unconnected sovereignties
    situated in the same neighbourhood, would be to
    disregard the uniform course of human events and
    to set at defiance the accumulated experience of
    ages.
  • (Federalist Papers, Federalist n 6, Concerning
    the Dangers from Dissensions between States)

19
20
and successors
  • Winston CHURCHILL
  • We must build a kind of United States of Europe
    freely joined together for mutual convenience
    in a federal system. We must re-create the
    European Family in a regional structure called,
    it may be, the United States of Europe.
  • Therefore I say to you let Europe arise!
  • (Churchill, W. Speech to the academic Youth,
    Zurich, 19.9.1946)
  • Altiero SPINELLI
  • The question which must be resolved first is
    the definitive abolition of the division of
    Europe into national, sovereign States.
  • All problems would find easy solutions in the
    European Federation.
  • MOVEMENT FOR A FREE AND UNITED EUROPE
  • (Spinelli, A. (1944). For a Free and United
    Europe. A draft manifesto (Ventotene Manifesto))

20
21
Federalism
  • The integration of several national actors takes
    place as a consequence of willful political
    decisions taken by politicians and nations and
    based on common political and socio-economic
    norms and objectives. At the beginning of the
    integration process a common constitution for the
    newly integrated actor will be formulated. This
    actor usually takes the form of a federal state
    with horizontal and vertical separation of
    powers the formerly autonomous units give up
    their claim to sovereignty and submit to a common
    will.
  • Distinctive feature Solutions of economic and
    social problems fill a previously established
    (institutional) framework pooling of sovereignty
    of individual actors.
  • Catchword Function follows form.

21
22
  • Logics
  • peace, welfare and power only via
  • federalism
  • creating a European State with
  • state-like structures
  • United States of Europe by saut
  • qualitatif
  • European people posses
  • sovereignty
  • subsidiarity clause
  • Neo-Federalism step by step
  • strengthening of the EP, (process
  • character)
  • Assumptions
  • power-seeking people and
  • states
  • security dilemma
  • anarchy as central
  • problem
  • discredited nation-state
  • one European people
  • division of authority
  • between levels
  • Institutions
  • European Parliament
  • representative of the people
  • Legitimacy through direct elections
  • Council of Ministers as second
  • chamber,
  • Neo-Federalism step by step
  • strengthening of the EP, (process
  • character)
  • Strategies
  • first deepening, then
  • widening
  • avantgarde, Core-Europe,
  • Fédération dEtat-
  • nations, pioneer
  • Europe

22
23
Pious hopes
  • John PINDER
  • ... either the federal elements in the
    institutions will be strengthened until the Union
    becomes an effective democratic polity, or it
    will fail to attract enough support from the
    citizens to enable it to flourish, and perhaps
    even to survive.
  • (Pinder, J. (2001). The European Union A very
    short Introduction, Oxford)

23
24
Functionalism - Federalism - Neofunctionalism
Functionalism
Federalism
  • rapprochement of sovereign states is best
    achieved by progressive cooperation within
    specific issue areas
  • because of increasing socio-economic
    interdepen-dence, problems within these
    issue-areas are more effectively dealt with in an
    international rather than national context
  • driving force functional necessities
  • construction of an increasingly intensifying
    network of common technical (unpolitical)
    activities and administrative tasks
  • tightening of interstate relations gradually
    includes genuinely political problem/ issue areas
    (reason cooperation in some specific issue areas
    induces learning processes that enhance
    cooperation within other/ related issue areas)
  • complex network of overlapping, functionally
    differentiated international and transnational
    organizations (cobweb-model of international
    relations)
  • overarches, erodes, undercuts classical functions
    and spheres of competence of the state
  • final result declining significance of national
    borders,
  • demise/ death of nation states
  • The traditional sovereign nation state causes the
    negative developments of the international system
    (? security dilemma)
  • successful peacemaking/ peace stabilisation
    presupposes the limitation of the sovereign
    nation states exclusive title to power
  • the adequate device to fulfill this requirement
    is the formation of a (European) Federal State by
    a conscious political decision of politicians/
    peoples involved
  • For the execution of specific tasks in their own
    interest states may submit partially or
    completely to a common central authority (pooling
    of (partial) sovereignties)
  • The instrument of integration is a supranational
    constitution in the regulatory framework of which
    political (and to a lesser degree socio-economic)
    integration between states takes place
  • driving force political will/ political
    decisions
  • The partial or complete transfer of sovereignty
    to the central authority secures the outcome of
    the integration process conflicts can be
    regulated within the framework of commonly
    accepted and hard to alter constitutional norms

I.
II.
  • common characteristics
  • incremental nature of the integration process
  • Spillover as driving force
  • final aim supersession of the nation state (yet
    disagreement on by what sort of institution it
    will be replaced)

Neofunctionalism
25
Functionalism
  • common characteristics
  • incremental nature of the integration process
  • Spillover as driving force
  • final aim supersession of the nation state (yet
    disagreement on by what sort of institution it
    will be replaced)

Neofunctionalism
  • stresses the role/importance of supranational
    institutions for the progress of the integration
    process
  • a once started integration process is followed by
    additional/ further integrative measures
    (spillover-effect)
  • driving force functional necessities
  • inclusion of further policy areas hitherto not
    integrated
  • transition from economic to political integration
  • driving force coalition of national political
    and socio-economic elites with supra-national
    actors
  • their aim advancement of common interests
  • final result supranational federal political unit

explanatory problem observable coexistence of
national, intergovernmental, federal and
supranational elements as well as the
coexistence of functional necessities and
voluntary political decisions within the actual
process of European integration
26
Recommended reading
  • Michael ONeill (1996) The Politics of European
    Integration. A Reader. London Routledge.
  • Ben Rosamond (2000) Theories of European
    Integration. Basingstoke Macmillan.
  • Antje Wiener/Thomas Diez (eds.) (2009) European
    Integration Theory. 2nd. ed.. Oxford OUP.
  • Hans-Jürgen Bieling/ Marika Lerch (eds.) (2006)
    Theorien der europäischen Integration. 2nd. ed.
    Wiesbaden VS Verlag.
  • Anne Faber (2005) Europäische Integration und
    politik-wissenschaftliche Theoriebildung.
    Neofunktionalismus und Intergouvernementalismus
    in der Analyse. Wiesbaden VS Verlag.

26
27
Variants of Integration Theory
27
28
Variants of Integration Theory A quick overview
29
Federalism The integration of several national
actors takes place as a consequence of wilful
political decisions taken by politicians and
nations and based on common political and
socio-economic norms and objectives. At the
beginning of the integration process a common
constitution for the newly integrated actor will
be formulated. This actor usually takes the form
of a federal state with horizontal and vertical
separation of powers the formerly autonomous
units give up their claim to sovereignty and
submit to a common will. Distinctive feature
Solutions of economic and social problems fill a
previously established (institutional) framework
pooling of sovereignty of individual actors.
Catchword Function follows form
Functionalism Emergence and growth of
international organization is a consequence of
the autonomy of industrial societies,
characterized by the progress of the forces of
production , and the internationalization of
socio-economic problem complexes, which can only
be resolved by means of inter-state or
supra-state cooperation. Thus, international
organizations can be compared to administrative/
executive unions, active in primarily technical
political issue-areas. They simultaneously
relieve states of some of their tasks and deprive
them of some of their power without incorporating
them in a superior political entity. The
internationalization of problem complexes is
governed by the logic of functional necessity
functional necessities thus produce on the
international level mechanisms of collective
problem resolution and the concomitant adequate
organisational forms. Distinctive feature
Economic and social problems produce their own
respective (framework of) solutions
international cooperation is legitimized by the
usefulness and efficiency of concrete,
issue-specific (technical) cooperation and its
outcomes. Catchword Form follows function.
30
Neofunctionalism As socioeconomic problems of
highly industrialized societies, due to their
border-transgressing causes and consequences,
cannot be resolved any longer by individual state
action but require comprehensive solutions that
encompass all actors, the integration of several
actors arises out of purely functional
necessities. At the beginning of the integration
process actors formally agree (contractual
arrangements) to solve problems within technical,
functional, non-political and small sector-based
issue areas (low politics) in a technocratic and
non-ideological way. As cooperative management
and problem solving approaches prove to be
successful, they expand to other related
functional task-areas and will finally spill over
into genuinely political (high politics) issue
areas, where they also inititate a gradual
process of integration (logic of integration by
sectors supranational communitization of state
functions in a succession of neighbouring policy
areas produces quasi-automatic integration by
means of spillover effects) Distinctive feature
Political actors play a decisive role in the
process of combining the requirements of problem
solutions and adequate institutional provisions
they transfer their loyalties and benefit
expectations in an ever-intensifying manner to
the supranational level, thereby legitimizing and
stimulating the integration process.
Hegemonic Stability Theory The free-rider
problem inherent in the management of the global
economy requires a hegemonic power capable of
providing collective/ public goods. Motivated by
its own (enlightened) self-interest, the most
powerful state existing in an international
system in a given period in time creates specific
international regimes in order to defend / pursue
its self-interest throughout the system. Though
set up by a hegemonic power, these regimes
occasionally continue to exist even after the
decline of the hegemon, because nation states
assumed to be rational, egoistic
utility-maximisers develop an interest in the
regimes persistence.
31
Interdependence Theory Within the context of
growing interdependence and integration, the
modernization/ industrialization/
internationalization of the exchange of
commodities and services does increase the
sensitivity of actors to developments within
other actors. Mutual interdependence and changes
in the interdependence structure entail - often
unequally distributed - costs and benefits.
Whereas sensitivity describes the costs of the
actors reaction towards changes within the
system, the term vulnerability denotes the
costliness of a substantial change within the
system structure. gt cobweb model of
international politics (John Burton)
Complex Interdependence International relations
are characterized by a complex conglomerate
system of inter- and transnational
interrelationsships between a wide range of
governmental and nongovernmental national as well
as international actors. The traditionally given
hierarchy of security issues over welfare/
socio-economic issues is replaced by variable
sets of themes and preferences depending on the
specific policy area. As national actors are
integrated into a complex network of mutual
interdependencies, the importance of the resort
to force/organized violence as an instrument of
foreign/ state policy is likely to be diminished.
32
  • Intergovernmentalism
  • The horizontal coordination of government
    policies and the vertical coordination of
    policies of governments and supranational
    institutions characterizes e.g. the EU as a
    co-operative communal project of nation states.
    Within a common institutional framework that
    improves the conditions for cooperative action,
    nation states are striving
  • for the reduction of transaction costs
  • for the achievement of gains/ avoidance of losses
    from cooperation
  • for the increase of the efficiency of
    intergovernmental negotiation and bargaining
    processes
  • for the effectivisation of governmental
    instruments and means of action.
  • Within a framework of a complex multi-layered
    institutional structure horizontal
    decision-making networks are dominating over
    hierarchically organized decision-making
    structures. They are, however, frequently
    characterized by multi-level policy interlocking
    (or even interblocking) and by possible
    suboptimal outcomes of problem solutions
    (Politikverflechtungsfalle (interlocking policy
    trap) multi-level decision networks generate
    inadequate decisions/ solutions, while
    simultaneously being unable to change the
    institutional conditions underlying their
    decisional logic).
  • Instead of being conceived of as a goal, the
    transfer of sovereign power is turned into a
    calculated instrument that serves a specific
    purpose to further cooperation between states
    within a protected institutional framework, thus
    removing it from the realm of international
    anarchy and its hostile effects on cooperative
    endeavours.

33
Regime Theory Factual and empirical problems
lead to the formation of informal networks of
agreements, principles, rules, norms and
decision-making procedures that enhance the
institutionalization of the political management
of conflicts and interdependence problems and
mitigate conflicts through means of (legal)
regulation and control. Thus, they contribute to
the civilization of the relations among the
actors and stabilize the predictability of the
actors decisions/ actions. Regimes support,
supplement, undercut or overarch the spheres of
competence of the traditional society of states
and integrate the cooperation of actors into a
complex multi-level system of political or
socio-economic decision-making processes that do
account for the actors regulatory interests in
each particular issue area. Within that context,
the EU could be conceived of as a relatively
effective international regime constructed for
the management of problems of economic
interdependence by means of negotiated political
coordination processes.
34
Neoliberal Institutionalism Drawing on
Interdependence Theory, Neoliberal
Institutionalism identifies tendencies towards
the institutionalization and normative regulation
of conflict and cooperation. While accepting the
neorealistic image of the international system as
regulated anarchy in which a central authority is
absent, it rejects the idea that the system
structure does exclusively determine the
politics/ behaviour of states. It rather insists
on the importance of institutions, regimes,
IGOs/INGOs within the structure of the
international system and their influence on the
behaviour of various actors. Credo Institutions
matter. System and structure of international
relations constrain the behaviour of states, but
states, in turn, can exert influence on those
structures by building up institutions.
Cooperative structures are able to persist in a
multipolar system without a hegemonic power
because they enhance the actors knowledge and
information about other actors intentions their
demise or break-down would induce costs on those
no longer willing to cooperate they foster
linkages across issue/ problem areas by
negotiating package solutions, facilitate
arrangements and reduce the transaction costs for
the negotiation of international agreements they
affect the actors definition of its
self-interest and fundamental preferences. The
emergence/ extension of cooperative networks does
neither reflect a harmony of interests nor
economic interdependence, but rather indicates
the actors national self-interest in easing
processes of interstate negotiation and
collaborative action.
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