Participation in European agencies: Keeping promises in institutional practice Pernus, S.

Transcription

1 UvA-DARE (Digital Academic Repository) Participation in European agencies: Keeping promises in institutional practice Pernus, S. Link to publication Citation for published version (APA): Pernuš, S. (2016). Participation in European agencies: Keeping promises in institutional practice General rights It is not permitted to download or to forward/distribute the text or part of it without the consent of the author(s) and/or copyright holder(s), other than for strictly personal, individual use, unless the work is under an open content license (like Creative Commons). Disclaimer/Complaints regulations If you believe that digital publication of certain material infringes any of your rights or (privacy) interests, please let the Library know, stating your reasons. In case of a legitimate complaint, the Library will make the material inaccessible and/or remove it from the website. Please Ask the Library: or a letter to: Library of the University of Amsterdam, Secretariat, Singel 425, 1012 WP Amsterdam, The Netherlands. You will be contacted as soon as possible. UvA-DARE is a service provided by the library of the University of Amsterdam ( Download date: 17 Dec 2018

2 PARTICIPATION IN EUROPEAN AGENCIES: Keeping Promises in Institutional Practice Sara Pernuš

3

4 PARTICIPATION IN EUROPEAN AGENCIES: Keeping Promises in Institutional Practice Sara Pernuš

5 PARTICIPATION IN EUROPEAN AGENCIES: Keeping Promises in Institutional Practice ACADEMISCH PROEFSCHRIFT ter verkrijging van de graad van doctor aan de Universiteit van Amsterdam op gezag van de Rector Magnificus prof. dr. D.C. van den Boom ten overstaan van een door het College voor Promoties ingestelde commissie, in het openbaar te verdedigen in de Agnietenkapel op vrijdag 24 juni 2016, te uur door Sara Pernuš geboren te Ljubljana, Slovenië

6 PROMOTIECOMMISSIE PROMOTOR: Prof. dr. D.M. Curtin Universiteit van Amsterdam CO-PROMOTOR: Dr. J.M. Mendes Universiteit van Amsterdam OVERIGE LEDEN: Prof. dr. K.A. Armstrong Prof. dr. L.F.M. Besselink Prof. dr. H.C.H. Hofmann Prof. dr. A.A.M. Schrauwen Prof. dr. E.I.L. Vos Prof. dr. A.J.C. van Vugt University of Cambridge Universiteit van Amsterdam University of Luxembourg Universiteit van Amsterdam Maastricht University Universiteit van Amsterdam Faculteit der Rechtsgeleerdheid

7 Copyright 2016 by Sara Pernuš. All rights reserved. No part of this thesis may be reproduced by any means including electronic, mechanical, photocopying, recording, or otherwise, without the prior written permission of the author.

8 To my beloved parents

9

10 TABLE OF CONTENTS LIST OF ABBREVIATIONS...4 LIST OF TABLES AND FIGURES...6 CHAPTER 1: INTRODUCTION EUROPEAN AGENCIES: SETTING THE SCENE A Permanent Feature of the EU s Institutional Landscape Rationales for Agencification European Agencies and Participation: A Function-Oriented Taxonomy PARTICIPATION IN EUROPEAN GOVERNANCE: KEY ISSUES PARTICIPATION AND AGENCIES: TREADING UNEXPLORED PATHS PARTICIPATION IN EUROPEAN AGENCIES: SCOPE OUTLINE OF THE BOOK...31 PART I...33 CHAPTER 2: PARTICIPATION IN EUROPEAN AGENCIES CENTRAL PROMISES OF PARTICIPATION: POINTS OF DEPARTURE...36 A) More Informed Agency Outcomes...37 B) Inclusiveness and Responsiveness of Agency Operation...38 C) Compliance and Implementation...40 D) Transparency, Monitoring and Building of Trust FORMS AND FORUMS OF THE PARTICIPATION OF INTERESTED PARTIES IN EUROPEAN AGENCIES...44 A) Managerial Participation...47 B) Participation in General Matters...48 C) Quasi-Regulatory Participation...49 D) Public Consultations THE COMPONENTS OF ANALYSIS: ACCESS TO PARTICIPATION AND THE QUALITY OF DELIBERATION Component 1: Access to Participation Component 2: Quality of Deliberation...54 A) Information...55 B) Commenting...56 C) Recognition INVESTIGATING PARTICIPATION IN EUROPEAN AGENCIES: A COMPREHENSIVE APPROACH...59 CHAPTER 3: METHODOLOGY METHOD: QUALITATIVE RESEARCH AND CASE STUDIES CASE SELECTION PROCEDURE: AGENCY SAMPLE MAIN SOURCES OF DATA Legal and Policy Documents Qualitative Expert Interviews

11 PART II...75 CHAPTER 4: MANAGERIAL PARTICIPATION ACCESS TO MANAGERIAL PARTICIPATION: DIRECT AND INDIRECT INVOLVEMENT Variation 1: Direct Managerial Participation...78 A) Management Boards: Formal Mandates and the (Un)usual Composition...78 B) Promises: Navigating Between Interest Representation and Interest Observance...79 C) Selection of Members: Preserving Agency s Independence Variation 2: Indirect Managerial Participation...86 A) Establishment, Mandates and Promises...86 B) Composition and Appointment: Two Dimensions of Ensuring Representativeness QUALITY OF DELIBERATION: MEANINGFUL INVOLVEMENT? Access to Information: Type of Documents and Participants Insights Debating and Commenting: Specifics and Deficits of Engagement...97 A) Representation of Societal interests in the EMA Management Board Debates...98 B) Engagement in the EASA Advisory Board Debates Input and Recognition: Divide et Impera CONCLUSIONS CHAPTER 5: PARTICIPATION IN GENERAL MATTERS ACCESS: SETTING UP A PLATFORM FOR A GENERAL DISCOURSE Creation, Mandates and Primary Promises Composition and Eligibility Criteria: Who is in? Selection Procedure and De Facto Representativeness QUALITY OF DELIBERATION: A MATTER OF ESTABLISHED PRACTICES Provision of Information: Regular Communication Debate, Input and Recognition: Keeping Up With the Promises? CONCLUSIONS CHAPTER 6: QUASI-REGULATORY PARTICIPATION ACCESS: FORMAL DESIGN AND DE FACTO INVOLVEMENT Mandates, Tasks and Promises: Making Agencies Rulemaking More Effective and Credible? Composition, Selection Procedure and Representativeness: Agencies in Charge QUALITY OF DELIBERATION: THE DIFFERENCE BEYOND ACCESS Provision of Information and Preparation: The Rules and Testimonies Debating and Commenting: Asymmetries of Involvement? A) Organisational Aspects of Debate B) Engagement in Debate: Problematic Aspects C) Reaching Decisions: The Rule of Consensus Input and Recognition: Marginal Uptake CONCLUSIONS

12 CHAPTER 7: PUBLIC CONSULTATIONS PUBLIC CONSULTATIONS IN EUROPEAN AGENCIES: A PARTICIPATORY REGIME IN ITS OWN RIGHT THE NUTS AND BOLTS OF ACCESS TO PUBLIC CONSULTATIONS The Nature of Agencies Rulemaking, Consultation Approaches and the Promises of Consultation A) European Banking Authority (EBA) B) European Aviation Safety Agency (EASA) C) European Food Safety Authority (EFSA) D) European Medicines Agency (EMA) Definition of Public in European Agencies Consultations De Facto Limitations of Access Conclusion: Access to Agencies Consultations and Fulfilment of Promises QUALITY OF DELIBERATION: VERIFYING THE INFLUENCE OF PUBLIC CONSULTATIONS Information: Does it Pass Muster? Commenting: Restricted to Experienced Participants A) Time Limits for Commenting B) Formulation of Comments: Knowledge and Resources Recognition: Exhaustive Feedback Conclusion: Quality of Deliberation and the Promises of Consultation CHAPTER 8: CONCLUSIONS DIFFERENT FORMS OF PARTICIPATION AND THEIR PROMISES ACROSS EUROPEAN AGENCIES Managerial Participation Participation in General Matters Quasi-Regulatory Participation Public Consultations THEORETICAL IMPLICATIONS FOR RESEARCHING PARTICIPATION LESSONS LEARNED BIBLIOGRAPHY LIST OF OFFICIAL DOCUMENTS AND REPORTS LIST OF CASES LIST OF RESPONDENTS NEDERLANDSE SAMENVATTING ENGLISH SUMMARY ACKNOWLEDGEMENTS

13 LIST OF ABBREVIATIONS ACER AFSJ BEREC Office CdT CEDEFOP CEPOL CJEU CPVO CSDP CTM EAR EASA EASO EBA ECB ECDC ECHA EDA EEA EFCA EFSA EIB EIGE EIOPA EIT EMA EMCDDA Agency for the Cooperation of Energy Regulators Area of Freedom, Security and Justice Office of the Body of European Regulators of Electronic Communications Translation Centre for the Bodies of the European Union European Centre for the Development of Vocational Training European Police College Court of Justice of the European Union Community Plant Variety Office Common Security and Defence Policy Community Trade Mark European Agency for Reconstruction European Aviation Safety Agency European Asylum Support Office European Banking Authority European Central Bank European Centre for Disease Prevention and Control European Chemicals Agency European Defence Agency European Environment Agency European Fisheries Control Agency European Food Safety Authority European Investment Bank European Institute for Gender Equality European Insurance and Occupational Pensions Authority European Institute of Innovation and Technology European Medicines Agency European Monitoring Centre for Drugs and Drug Addiction 4

14 EMSA ENISA ERA ESAs ESMA ETF EU EUISS eu-lisa EU-OSHA EUROFOUND EUROJUST EUROPOL EUSC FRA FRONTEX GSA NGO OHIM ReNEUAL SRB TEU TFEU UK US European Maritime Safety Agency European Network and Information Security Agency European Railway Agency European Financial Supervisory Authorities European Securities and Markets Authority European Training Foundation European Union European Union Institute for Security Studies European Agency for the Operational Management of Large-Scale IT Systems in the Area of Freedom, Security and Justice European Agency for Safety and Health at Work European Foundation for the Improvement of Living and Working Conditions European Union s Judicial Cooperation Unit European Police Office European Union Satellite Centre European Union Agency for Fundamental Rights European Agency for the Management of Operational Cooperation at the External Borders European GNSS Agency Non-Governmental Organisation Office for Harmonisation in the Internal Market Research Network on EU Administrative Law Single Resolution Board Treaty on European Union Treaty on the Functioning of the European Union United Kingdom United States 5

15 LIST OF TABLES AND FIGURES Tables List of European Agencies and the Year of Establishment A Function-Oriented Taxonomy of European Agencies Forms of Interested Parties Participation in European Agencies Participation in European Agencies: Case Selection Overview of the Promises of Managerial Participation/Type of Information/Deadline Results of Managerial Participation Overview of the Promises of General Participation/Type of Information/Deadline Results of the EMA and the EFSA Advisory Groups Input Overview of the Promises of Quasi-Regulatory Participation/Type of Information/Deadline Results of the EBA and the EASA Consultative Groups Input Overview of the Consultation Principles and Standards and their Relevance Overview of the Consultation Arrangements in the Sample Agencies Figures Access to Different Forms of Participation The Quality of Deliberation and Fulfilment of the Promises of Participation 6