Integration Theory I

1
Integration Theory I

• Neo-Functionalism, Realism, Intergovernmentalism,
  Domestic Politics

2
Neo-Functionalism (Haas, Lindberg)

• 1958, Haas recognizes that functional integration
  was taking place in Europe, but that
  functionalism as a theory had failed to explain
  why decision-makers chose to integrate in some
  areas and not others.
• Need for a theory of politics. One of the first
  explanatory (rather than prescriptive) theories
  on European integration.
• Political integration is the process whereby
  political actors in several distinct national
  settings are persuaded to shift their loyalties,
  expectations and demand jurisdiction over the
  pre-existing national states.

3
Neo-Functionalism (Haas, Lindberg)

• Integration will begin in areas of low politics
  such as the ECSC rather than in areas of High
  politics such as military defense that are highly
  politicized.
• Supranational entities (apolitical technocrats)
  should manage integration efforts and act as an
  impetus for further integration ( honest
  brokers)

4
Neo-Functionalism (Haas, Lindberg)

• Neo-functionalism actors and technical experts.
  Haas pluralistsic neo-functionalism political
  elites, emphasizing the role played by interests
  groups in driving the integration process.
• Political spillover consists of a convergence of
  the expectation and interests of national elites
  in response to the activities of the
  supranational institutions.
• This, in turn, may result in a transfer of
  loyalties or at the minimum in a transformation
  of the political activities of national elites in
  favor or opposed to new supranational policies.

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Neo-Functionalism (Haas, Lindberg)

• Groups/actors are goal maximizers and are
  willing to cede some amount of national
  sovereignty when and where to do so is perceived
  to be in their interests, i.e. will help to
  achieve desired goals.
• Once some amount of sovereignty is ceded a
  process of political spillover can take over
  and push the process forward. Political spillover
  is a natural process in which groups see others
  benefiting from integration in one sector and
  pursue integration in their own (related area) as
  well to acquire the same benefits, creating a
  potential snowball effect.
• Over time as regional organizations demonstrate
  efficiency in meeting their needs, people and
  groups will transfer their allegiance from
  national entities to regional organization.

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Neo-Functionalism (Haas, Lindberg)

• Technical spillover The integration of
  particular economic sectors (such a s coal and
  steel) will create functional pressures for
  integration of related economic sectors even in
  the absence of groups seeking to promote their
  interests.
• The snowball effect also extended to
  geographical spillover. Cooperation between one
  group of member states was likely to have some
  effect on excluded states. In turn, the excluded
  states might influence the process of
  integration.

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Neo-Functionalism (Haas, Lindberg)

• Initial evaluations of neo-functionalism were
  encouraging TEC, EFTA members apply for
  membership, the CAP.
• Approach proved to be too optimistic.
• De Gaulle vetoes the UK membership application
  (curtailing geographical spillover). French empty
  chair crisis curtailed any notion of Commission
  activism (political spillover).
• Economic downturn of the 1970s yielded
  eurosclerosis, and automatic sectoral spillover
  halted.

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Neo-functionalism is further developed (Lindberg)

• In 1963, with his book, The Political Dynamics of
  European Economic Integration, Lindberg adds to
  neo-functionalism by focusing on political
  actors.
• Functional spill-over can only go so far,
  political will is needed as well, both to
  initially begin the process and to keep it going.
• The task of the federal institutions is to create
  the political will (via public demand) for
  further integration.

9
Neo-functionalism is further developed (Lindberg)

• Sectoral self interest is not enough, there is a
  need for a broader level of support thus
  political institutions/structures are a necessity
  not a luxury.
• Brings the political back in and moves further
  away from Mitranys original functionalist
  approach. It also requires the creation of
  institutions, and political will.
• The degree to which authority-legitimacy
  transfers had taken place would provide a
  measurable indicator of progress towards a new
  political community.

10
Realism (Morgenthau)

• After WW II, Realism as a theory of international
  relations was revived. Seeks to describe and
  explain war as it is. Hans Morgenthau, in 1948,
  with his Politics Among Nations, readdressed the
  key tenets of realism after WWII
• Key tenets
• People are by nature selfish and ethically
  flawed, and cannot free themselves from the fact
  that they are self-driven in an arena of
  competing advantages.

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Realism (Morgenthau)

• Of all peoples evil ways, none is more prevalent
  than their desire to acquire more power, which
  will help them dominate others.
• The primary obligation of every state is to
  promote their national interest. Power is there
  to help them do so.
• The international arena is anarchical, and so
  every state should have sufficient military
  capabilities to deter attacks from enemies and
  exert influence over them.

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Realism (Morgenthau)

• The state is a rational unitary actor, and every
  attempt to protect itself through international
  organizations will fail.
• Short-term military preparedness should be
  preferred over economic stability if economy and
  politics are in conflict.
• Finally, if all states seek to maximize power,
  stability will be accomplished through a balance
  of power, which forms automatically regardless of
  the states aim in establishing one.

13
Realism (Morgenthau)

• Cooperative ventures between nation-states were
  likely only to constitute a temporary
  equilibrium.
• International institutions are mere epiphenomena,
  and their creation and functions reflect the
  interests of the powerful states, with no real
  effect on state behavior.

14
Intergovernmentalism (Hoffman)

• Acknowledges Realist shortcomings, but builds on
  it.
• Critiques neo-functionalism for viewing States as
  passive or unaware of their gradual, but
  inexorable loss of sovereignty.
• In 1966, with his Daedalus article, Hoffman
  (writing during the empty chair crisis)
  emphasized the importance of the international
  environment and the role which national
  governments played within the global system.

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Intergovernmentalism (Hoffman)

• States in the EU are still self-interested
  entities with clear interests, despite their
  willingness to engage in closer cooperation in
  areas of low politics.
• The members of the EU stubbornly hung on to the
  sovereignty that counts (high politics), while
  only reluctantly bargained away control over
  important aspects of their economies in exchange
  for clear material benefits.

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Intergovernmentalism (Hoffman)

• For Hoffman national governments were more
  obstinate than obsolete in the process of
  European integration.
• illusion of integration. Based on least common
  denominator decision making and could be stalled
  as soon as there were disagreements.

17
Integration theory in the 1970s

• Haas The obsolescence of regional integration
  theory declared neofunctionalism obsolete.
  Integration was not an inexorable process, in
  which national governments found themselves
  caught up, but a process which might just as
  easily spill-back or spill-around.
• Most neofunctionalists took Haas hint and moved
  on to theories of international political
  economy, interdependence theory, and regime
  theory.

18
Domestic politics approaches

• In 1975, Puchala questioned the snowball effect
  of neo-functionalism and argued that national
  governments remained important determinants of
  the integration process.
• In 1977, Wallace, Wallace and Webb national
  governments remained the central actors in the
  integration process and that an understanding of
  the internal domestic politics of members states
  was crucial to any rounded understanding of the
  integration process.

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Domestic politics approaches

• Policy networks approach seeks to explain EU
  policy outcomes (action or inaction) by examining
  the influence that actors or interests groups
  have on the process.
• policy is made as an interaction between interest
  groups, EU institutions (Commission, EP), and
  epistemic communities.
• Interest groups are organized in policy
  communities within a policy domain.

20
Domestic politics approaches

• Coalitions typically form when groups coalesce
  around a shared set of core values and beliefs.
• There is typically a major coalition that
  dominates the game. Major policy changes are the
  result of coalitions engaging in compromise with
  other coalitions.
• Bottom-up approach when looking at European
  integration determines how specific policies get
  on the agenda, and helps analyze compliance and
  implementation issues.