Classical Theories of
Cooperation and Integration (I)
 Functionalism
 Federalism
 Neofunctionalism
Creation of welfare by
market integration and
management of international economic interdependencies
The two logics of the integration process
Resultant direction
of the integration
process
Peace by cooperation
and common security
production
Creation of welfare by
market integration and
management of international economic interdependencies
The two logics of the integration process 2
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 superstructure
Necessity of integration to avoid
further conflicts in (Western)
Europe by embedding (and thereby
controlling) the German industrial
and military potential in a supranational governance structure
supported by overcoming traditional
German – French enmities
Peace by cooperation
and common security
production
Creation of welfare by
market integration and
management of international economic interdependencies
Functionalism
Neofunctionalism
Interdependence
& Regime
Theories
The two logics of the integration process 3
Resultant direction
of the integration
process
Multilevel
Governance
Approaches
Federalism, InterGovernmentalism,
Neoliberal Institutionalism
Peace by cooperation
and common security
production
TRADITIONAL APPROACHES TO THE EUROPEAN INTEGRATION PROCESS
OR
The Dialectic of Supranationalism and Intergovernmentalism
National states transfer certain
National states cooperate on the
rights
their
(inter-) governmental level without
sovereignty to a supra-national
formally questioning parts of their
authority
sovereignty
or
parts
constituted
of
as
an
independent international actor
by international treaty
or
limiting
the
execution of their sovereign rights
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 (integrationfriendly) 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 collective decision-making
in a network of actors
Process of multilateral decisionmaking in an administration union
(„Zweckverband“) of states
Development of shared solutions to shared policy problems
(Helen Wallace)
Theories of international Integration and Cooperation
political solutions
(moved by political will/
expressed decisions)
general aim:
institutionalization of the constitutive conditions
necessary for achieving a stable peace structure
functional solutions
(moved by inherent
necessities)
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
Neofunctionalism
problem: actors’ reaction towards emerging political, economic and social
interdependencies in the context of the internationalization/globalization of socioeconomic
relations within the spheres of production, distribution, services, communications
Theory of Hegemonic
Stability
Interdependence
Theory
Problem: guaranteeing „governance without
Complex
Interdependence
Theory
government“ in the societal world
Intergovernmentalism
Theory of Fusion
Regime Theory
Neoliberal
Institutionalism
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
9
Theories and Strategies
of European Integration
Functionalism and
Neofunctionalism
or form follows function
10
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
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 issueareas. 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
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
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
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,15
thereby legitimizing and stimulating the integration process.
(Neo-) Functionalism
Assumptions
 rejection of the state and
power concept
 human beings are essentially
 cooperative and act rationally
 same (transnational)
problems
 interest in joint problem
solving
Strategies
• functional governance
• self-perpetuating process
with
• open finalité
• cultivated spill over
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 interestgroups
16
The logic of transborder cooperation
17
Theories and Strategies of
European Integration:
Federalism &
(Neo-)Federalism
or function follows form
18
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
… 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
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 socioeconomic 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
(Neo-) Federalism
Assumptions
• power-seeking people and
states;
• security dilemma
• anarchy as central
problem
• discredited nation-state
• one European people
• division of authority
between levels
Strategies
• first deepening, then
widening
• avantgarde, CoreEurope,
“Fédération d’Etatnations”, pioneer
Europe
22
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
Functionalism - Federalism - Neofunctionalism
Functionalism
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
Federalism
I.:
II.:
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
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 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
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
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 (spillovereffect)
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
Recommended reading
• Michael O‘Neill (1996): The Politics of European
Integration. A Reader. London: Routledge.
• Ben Rosamond (2000): Theories of European Integration.
Basingstoke: Macmillan.
• Antje Wiener/Thomas Diez (eds.) (2005): European
Integration Theory. Repr. Oxford: OUP.
• Hans-Jürgen Bieling/ Marika Lerch (eds.) (2005): Theorien
der europäischen Integration. Wiesbaden: VS Verlag.
• Anne Faber (2005): Europäische Integration und politikwissenschaftliche Theoriebildung. Neofunktionalismus
und Intergouvernementalismus in der Analyse.
Wiesbaden: VS Verlag.
26
Variants of Integration Theory
27
Variants of Integration Theory: A quick
overview
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 suprastate 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.
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) selfinterest, 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 utilitymaximisers develop an interest in the regime’s persistence.
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 actor’s reaction towards changes within the system, the term
vulnerability denotes the costliness of a substantial change within the system structure.
=> 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.
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.
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 decisionmaking 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.
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 actor’s 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.