The Government and Politics of the European Union

Transcription

1 The Government and Politics of the European Union Sixth Edition Nelll Nugent macmillan

2 Contents List of Tables, Figures and Documents Preface to the Sixth Edition List of Abbreviations ( xx Map of the Member States and Applicant States of the European Union xvii xix xxiv PART 1 THE HISTORICAL EVOLUTION 1 The Transformation of Western Europe 5 Historical Divisions 5 The Post-War Transformation 8 Unbroken peace 8 A transformed agenda 9 New channels and processes 10 Explaining the Transformation, and its Nature 10 The deep roots of integration? 11 The impact of the Second World War 13 International, and European, interdependence 19 National considerations 22 Concluding Remarks: The Ragged Nature of the Integration Process in Western Europe 34 2 The Creation of the European Community 36 The European Coal and Steel Community 36 From the ECSC to the EEC 40 The EEC and Euratom Treaties 43 The policy concerns of the EEC Treaty 43 The policy concerns of the Euratom Treaty 45 The institutional provisions of the treaties 45 Concluding Remarks 47 3 The Evolution of the European Community and Union - 48 Treaty Development 48 Enlargement 50 Development of Policy Processes 52

3 viii Contents Development of Policies 53 Concluding Remarks 56 4 From Western to Pan-European Integration 57 The Movement Towards a Europe-Wide EU 57 The Central and Eastern European countries 58 Cyprus and Malta 61 The Challenges of Enlargement for the EU 64 The identity problem 64 Institutions and decision-making processes 65 Economic difficulties 65 External relations and policies 66 Why Has the EU Been Willing to Enlarge? 67 Rationalist explanations 67 Constructivist explanations 69 Dealing With the Challenges: EU Preparations for Enlargement 70 Working with the applicants 71 Adjusting the EU for enlargement 72 The New EU 73 PART 2 THE EVOLVING TREATY FRAMEWORK 5 From Rome to Amsterdam 79 Up to the Single European Act 79 The Treaty Establishing a Single Council and a Single Commission of the European Communities 79 The Treaty Amending Certain Budgetary Provisions of the Treaties and the Treaty Amending Certain Financial Provisions of the Treaties 80 The Act Concerning the Election of the Representatives of the Assembly by Direct Universal Suffrage 80 The Single European Act (SEA) 80 The Maastricht Treaty 82 The origins of the Treaty 82 The making of the Treaty 84 The contents of the Treaty 85 Ratification of the Treaty 91 The Treaty of Amsterdam 93 The making of the Treaty 93 The contents of the Treaty 95 Concluding Remarks 102

4 Contents ix 6 The Treaty of Nice The Background to the Treaty The Contents of the Treaty The composition and functioning of the institutions Decision-making procedures New competences The Charter of Fundamental Rights of the European Union The Significance of the Treaty 7 The Constitutional Treaty The Making of the Treaty The Constitutional Convention The Intergovernmental Conference The Contents of the Treaty Ratification Concluding Remarks 8 Treaties and the Integration Process The Making of Treaties Treaties and the Nature of European Integration Economics before politics Flexibility Incrementalism Increased complexity Variable pace Interplay between supranational and national actors Benefits for everybody An elite-driven process Concluding Remarks: An Ongoing Process PART 3 THE INSTITUTIONS AND POLITICAL ACTORS OF THE EUROPEAN UNION 9 The Commission 149 Appointment and Composition 149 The College of Commissioners 149 The Commission bureaucracy 159 Organisation 160 The Directorates General and other services 160 The hierarchical structure 162 Decision-making mechanisms 163

5 x Contents Responsibilities and Powers 166 Proposer and developer of policies and legislation 166 Executive functions 171 The guardian of the legal framework 180 External representative and negotiator 186 Mediator and conciliator 187 Promoter of the general interest 188 Concluding Remarks The Council of Ministers 191 Responsibilities and Functions 191 Policy and law maker 192 Executive 193 Mediator 194 Composition 195 The ministers 195 The Committee of Permanent Representatives 198 Committees and working groups 200 The General Secretariat 202 The Operation of the Council 203 The Council Presidency 203 The hierarchical structure 206 Decision-making procedures 211 Concluding Remarks The European Council Origins and Development 219 Membership 223 Organisation 224 Number, location and length of summits 224 Preparing summits 226 Setting the agenda 228 The conduct of business 229 Roles and Activities 231 The evolution of the European Union 232 Constitutional and institutional matters 232 The economic and monetary policies of the European Union 234 External relations 234 Specific internal policy issues 235 The European Council and the EU System 236 Concluding Remarks 238

6 Contents xi 12 The European Parliament 240 Powers and Influence 240 Parliament and EU legislation 240 Parliament and the EU budget 248 Control and supervision of the executive 250 Elections 257 Political Parties and the European Parliament 260 The transnational federations 260 The political groups in the European Parliament 261 National parties 268 Composition 269 The dual mandate 269 Continuity 270 Gender 270 Competence and experience 270 Organisation and Operation 271 The multi-site problem 271 Arranging parliamentary business 272 The committees of the EP 274 Plenary meetings 278 Concluding Remarks: Is the EP a 'Proper' Parliament? European Union Law and the Courts 281 The Need for EU Law 281 The Sources of EU Law 282 The treaties 282 EU legislation 285 Judicial interpretation 289 International law 289 The general principles of law 290 The Content of EU Law 290 The Status of EU Law 291 Direct effect 292 Primacy 292 The European Court of Justice 293 Membership and organisation 293 The procedure of the Court 295 The Court of First Instance 297 Types of Cases before the Courts 298 Failure to fulfil an obligation 300 Application for annulment 301 Failure to act 303

7 xii Contents Action to establish liability Reference for a preliminary ruling Staff cases Appeals The seeking of an opinion The Impact and Influence of the Courts Concluding Remarks 14 Other Institutions and Actors The European Economic and Social Committee Origins Membership Organisation Functions Influence The Committee of the Regions Origins Membership, organisation, functions and powers The European Investment Bank Responsibilities and functions Organisation The importance of the E1B The European System of Central Banks The operating context Objectives and tasks Organisational structure Functioning The Court of Auditors Membership and organisation Activities of the Court The effectiveness of financial controls Interests Different types Access to decision-makers Influence Interests and EU policy processes PART 4 POLICIES AND POLICY PROCESSES OF THE EUROPEAN UNION 15 Policies 351 The Origins of EU Policies 351

8 Contents xiii The EU's Policy Interests and Responsibilities 354 Establishing the Single European Market 354 Macroeconomic policies 362 Functional policies 367 Sectoral policies 381 External policies 383 Characteristics of EU Policies 383 The range and diversity of EU policies 384 The regulatory emphasis 385 The differing degrees of EU policy involvement 387 The patchy and somewhat uncoordinated nature of EU policies 389 Concluding Remarks Policy Processes 392 Variations in EU Processes 392 The actors 392 The channels 392 Factors Determining EU Policy Processes 393 The treaty base 394 The proposed status of the matter under consideration 395 The degree of generality or specificity of the policy issue 396 The newness, importance, controversiality or political sensitivity of the issue in question 396 The balance of policy responsibilities between EU and national levels 396 Circumstances and the perceptions of circumstances 397 The Making of EU Legislation 398 The consultation procedure 400 The co-decision procedure 407 The assent procedure 413 EU Legislation After Adoption 414 The need for additional legislation 414 The need to transpose legislation 415 The need to apply legislation 416 Characteristic Features of EU Policy Processes 417 Variable institutional roles and powers 417 Compromises and linkages 418 Inter-institutional cooperation 420 Difficulties in effecting radical change 422 Tactical manoeuvring 423 Different speeds 423 The Efficiency of EU Policy Processes 425

9 xiv Contents 17 The Budget 430 The Budget in Context 430 The Financial Perspectives 431 The Composition of the Budget 438 Revenue 438 Expenditure 439 Budgetary Decision-Making 441 Financial perspectives 441 The annual budget 443 Key Features of Budgetary Processes 452 Concluding Remarks Agricultural Policy and Policy Processes 455 The Common Agricultural Policy in Context 455 What is Special about Agriculture? 456 The distinctive nature of agriculture 457 Political factors 458 How the Common Agricultural Policy Works 463 A single internal market 464 Community preference 468 Joint financing 469 A fourth, 'unofficial', operating principle: allowance for national variations 470 The Impact and Effects of the Common Agricultural Policy 471 Policy Processes 473 Commission initiation and formulation: driving for reform 473 Council decision-making, and control problems for the Agriculture Council 477 The role of the European Parliament 480 Management and implementation of the Common Agricultural Policy 480 Concluding Remarks External Relations 483 External Trade 483 The EU in the world trading system 483 Trade policies 484 Trade and trade-dominated agreements 485 Policy processes 488 Foreign, Security and Defence Policies 491 Resources and problems with their usage 491

10 Contents xv Evolution of foreign policy Evolution of security and defence policies Policy content and policy action Policy processes: foreign policy Policy processes: defence policy Development Policy Policy content Policy processes The External Dimension of Internal Policies The Consistency and Representational Problems Concluding Remarks National Influences and Controls on European Union Processes 523 Governments 524 Influencing the Commission 524 Influencing the Council 525 Parliaments 530 Courts 533 Subnational Levels of Government 534 Citizens' Views 535 Referendums 535 European Parliament elections 538 National elections 538 Public opinion 538 Political Parties 540 Interests 541 Concluding Remarks 541 PART 5 STEPPING BACK AND LOOKING FORWARD 21 Conceptualising and Theorising 545 Conceptualising the European Union 546 States and intergovernmental organisations 547 Federalism 550 State-centrism and consociationalism 553 Multi-level governance 555 Three Key Concepts: Sovereignty, Intergovernmentalism and Supranationalism 557 Defining the terms 558 The intergovernmental/supranational balance in the EU 558 A pooling and sharing of sovereignty? 560

11 xvi Contents Theorising European Integration: Grand Theory 561 Neofunctionalism 562 Intergovernmentalism 565 Interdependency 567 The future of grand theory 569 Theorising the Functioning of the EU: Middle-Range Theory 571 New institutionalism 572 Policy networks 574 Concluding Remarks Present Realities and Future Prospects 578 The European Union and the Changing Nature of the International System 578 The Uniqueness of the European Union 580 The Future of the European Union 580 Factors affecting prospects 580 ^Challenges 582 Chronology of Main Events in the European Integration Process 587 Guide to Further Reading 599 Bibliography and References 605 Index 619