Working Papers 2008


EU Policies in the Lisbon Treaty: A Comparative Analysis

Gerda Falkner (ed.)
WP 03/2008

This paper presents a collaborative project by a team of members of the Institute for European Integration Research at the Austrian Academy of Sciences. It compares five EU policy areas in the following dimensions: common objectives on supranational level, EU competences in the field, available policy instruments, decision-making procedures and institutional developments, and finally the importance of the Lisbon Treaty's coming into force (or, alternatively, its failure). One insight from the comparative approach is that the Lisbon Treaty outshines previous EU reforms in terms of introducing new (explicit) objectives, improved policy instruments, new (explicit) competences and room for decisions without unanimity requirement. The final chapters offer a cross-sectoral discussion of reform potentials and their practical limitations, based on tables with meta-level overviews. The policies discussed in detail cover energy, social, foreign, security & defence as well as justice & home affairs.

WP 03/2008 [pdf]


Fine-tuning the Jurisprudence:
The ECJ's Judicial Activism and Self-restraint

Andreas J. Obermaier
WP 02/2008

Legal and political science scholars omit an important variable in explaining compliance with ECJ rulings: the fine-tuning in the follow-up cases. This paper shows with the Kohll/Decker social policy jurisprudence that, first, the Court applied the principles of free movement of services and goods to the Luxembourg health care system in the initial rulings in this series of cases and thereby challenged the institutional configuration of national welfare states. Step by step the ECJ extended the legal principles to other Member States and to similar cases. At the same time, however, the Court exercised self-restraint by narrowing the principles and by thus limiting the impact of its decisions largely to the less costly ambulatory sector. This fine-tuning of the jurisprudence influenced implementation processes and ultimately facilitated Member State compliance.

WP 02/2008 [pdf]


Demokratisches Regieren durch gerichtliche Rechtsdurchsetzung: Bedingungen im Kontext der Europäischen Union

Reinhard Slepcevic
WP 01/2008

Vor kurzem wurde ein neuer Ansatz zur Stärkung demokratischen Regierens jenseits des Nationalstaats durch gerichtliche Rechtsdurchsetzung vorgestellt. Ihm zufolge ist die gerichtliche Durchsetzung internationalen Rechts durch private Akteure eine legitime Form demokratischer Partizipation, wodurch unter bestimmten Bedingungen demokratisches Regieren gestärkt wird. In diesem Beitrag teste ich diese Bedingungen im Kontext der Europäischen Union. Grundlage dafür sind vier Fallstudien über die gerichtliche Rechtsdurchsetzung der Natura 2000 Richtlinien in Deutschland, Frankreich und den Niederlanden. Ich zeige, dass die identifizierten Bedingungen nicht hinreichend sind, da zwei unabhängige Variablen – die Interpretation nationaler Gerichte und die Reaktion der zuständigen Behörden auf Klagen – nicht beachtet wurden.

WP 01/2008 [pdf]




Working Papers 2007


Change Dynamics in Intra-EU Inter-State Relations: Preliminary Observations and Hypotheses

WP 28/2007
Jozef Bátora

This article explores the idea that changes in the constitutive principles of the modern state order brought about by the process of European integration may reflect in change dynamics in the organization and conduct of diplomacy inside the European Union (EU) among the member states. The notion of the EU as an interstitial order between democracy and diplomacy is first sketched and some preliminary observations on the changing nature of diplomacy inside the EU are discussed. This is followed by an outline of a set of research questions, hypotheses are formulated and a methodology for studying change dynamics in intra-EU diplomacy is addressed.

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What is wrong with EU cohesion policy? Observations of an over-ambitious policy design

Isabella Eiselt
WP 29/2007

EU cohesion policy has the potential to sustain the stability and development of European integration. Despite this theoretically promising proposition it is far from realising its potential impact on EU support figures. The present article argues that cohesion policy is set out to achieve too many objectives at the same time and fails in displaying a coherent policy design that is able to attract citizen’s awareness. Effects on legitimacy can only be expected if future reforms are able to restrict the policy’s objectives and ambitions as well as increase its visibility.

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Working Papers 2006


1 Jahr EU Mitgliedschaft:
Erste Bilanz aus der Sicht der polnischen Höchstgerichte

Boleslaw Banaszkiewicz/Marek Zirk-Sadowski/Zbigniew Hajn/Cezary Mik/Maciej Górka/Anna Stepien
WP 15 (2006)

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1 Jahr EU Mitgliedschaft:
Erste Bilanz aus der Sicht der ungarischen Gerichtsbarkeit

Zoltán Lomnici/Imre Vörös
WP 16 (2006)

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1 Jahr EU Mitgliedschaft:
Erste Bilanz aus der Sicht tschechischen Höchstgerichte

Jirí Mucha/Josef Rakovsky/Filip Krepelka/Jan Passer
WP 17 (2006)

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1 Jahr EU Mitgliedschaft:
Erste Bilanz aus der Sicht der slowakischen Höchstgerichte

WP 18 (2006)
Ján Mazák/Milan Karabin

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1 Jahr EU Mitgliedschaft:
Erste Bilanz aus der Sicht der slowenischen Höchstgerichte

Ciril Ribicic/Vlasta Švagelj Gabrovec/Marko Brus/Andrej Kmecl
WP 19 (2006)

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The European Parliament in Treaty Reform:
Predefining IGCs through Interinstitutional Agreements

Daniela Kietz/Andreas Maurer
WP 20/2006

The legislative procedure of co-decision lies at the heart of the parliamentarisation process of the political system of the European Union (EU). Its introduction by the Treaty of Maastricht, and its adjustment and expansion by the Treaties of Amsterdam and Nice established the European Parliament as a third player in the institutional set up of the European Union. The story of co-decision is one of the empowerment of Parliament: evolving from a merely consulting body in the adoption of secondary legislation to a fully-fledged co-legislator on equal footing with the Council. However, in many fields related to the decision making process in the Union, the Treaty does not envisage strong parliamentary involvement and Parliament’s power in these fields still cannot be compared to that of national parliaments. This is particularly true for the areas of legislative planning and Comitology. In both fields Parliament has claimed stronger participation rights always pointing to its enhanced position due to co-decision.

Our main argument is that Parliament used its increased formal bargaining power, which it gained from the introduction of co-decision, and its say in the appointment of the Commission and its traditional budgetary rights as levers to extend its influence in the fields in which it believes it should have stronger participation rights such as Comitology and legislative planning. Having no say in the formal treaty revision process, Parliament took recourse to the informal level and wrested concessions from Council and the Commission through the establishment of interinstitutional agreements (IIAs). Informal IIAs have a very ambiguous position in the legal system of the EU: they have no explicit legal base in the Treaties and in theory are not supposed to amend or complement the Treaty provisions and thereby alter the institutional balance of the EU. In practise, however, this is exactly what some of them do. In fact, they are strategically used by Parliament to enhance its position in the Unions’ institutional set-up at the expense of the Council and Commission. IIAs are often implemented and complemented by a further informal instrument, namely Parliament's Rules of Procedure (RoP).

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In Search of Lost Norms:
Is accountability the solution to the legitimacy problems of the European Union

Sonja Puntscher Riekmann
WP 21/2006

It is the aim of this paper to investigate the concept of accountability as one attempt to answer the question of legitimacy of European governance. The guiding thesis of the paper is that accountability is indeed one important function of legitimacy in democracies. The current rise of this norm in the European political discourse may be interpreted as an instance for the search of lost norms and forms in times of uncertainty. Feelings of uncertainty haunt the Union’s citizens as a result of the diffusion of power in the wake of European integration leading to an ever growing amount of supranational decision-making. The rise of the term “diffuse democracy” is an interesting case in point relating to the erosion of past clear definitions while new ones remain elusive, thus perhaps enhancing in stead of reducing uncertainty. However, stressing accountability may also lead to an “explosion of audit” without necessarily solving the dilemmas of European democracy but rather inciting distrust. I will, by way of conclusion, advocate greater clarity through improved constitutionalisation of the Union.

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The Cocoon of Power: Democratic Implications of Interinstitutional Agreements

Sonja Puntscher Riekmann
WP 22/2006

This article aims at assessing Interinstitutional Agreements (IIAs) in terms of democratic theory. It starts from the premise that democratic rules as developed in the national context may be used as a yardstick for supranational governance as well. Thus, parliamentarisation of the Union is defined as an increase in democracy, although relating problems such as weak European party systems, low turnouts, and remoteness are not to be neglected. The article evaluates several case studies on IIAs in this vein and asks whether they strengthen the European Parliament or not and why. It arrives at conclusions which allow for differentiation: Empowerment of the European Parliament occurs in particular when authorisation to conclude an IIA stems from the Treaty or from the power the parliament has in crucial fields such as the budget and is willing to use for this purpose. Success is, though, not guaranteed in every case and sometimes more symbolic than real. However, a democratic critique must also stress negative consequences of IIAs in terms of responsivity, accountability and transparency.

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Austrian Parties’ Organisational Adaptation
to European Integration

Kurt Richard Luther
WP 23/2006

There has to date been no systematic study of national political parties’ organizational adaptation to European integration. This paper reports the Austria-specific findings of the first major comparative study of the ‘Europeanization’ of national party organizations. It investigates the hypotheses that European integration would a) enhance the intra-party significance of ‘EU-specialists’ and b) further the intra-party empowerment of party elites active in EU-level executive bodies. Two main types of data were used. The first comprises party documents, including party statutes. Second, the author conducted 31 in-depth interviews with senior staff, functionaries and public office-holders of the ÖVP, SPÖ, FPÖ and Greens.
The paper finds that the internal life of Austria’s political parties has indeed changed in response to European integration, albeit not dramatically. EU-specialists have not enjoyed the hypothesised strengthening of their intra-party power, but all parties have experienced a growth in the number of EU-specialists and formally adapted their structures to the exigencies of European integration. Moreover, EU-specialists and party elites involved in decision-making at the supranational level enjoy in part considerably higher levels of autonomy from – and lower levels of accountability to – their national parties than is the case in analogous national arenas. These adaptive responses enhance existing trends for the party in national executive office to be strengthened vis-à-vis both the party on the ground and the parliamentary party. The intra-organizational changes identified in this paper thus pose challenges for notions of intra-party democracy. However, they also raise important questions for classic notions of party democracy.

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The Referenda on the European Constitution:
A Crucial Moment for the Development of a European Public Sphere?

Ch. Bärenreuter/C. Bruell/H. Gaisbauer/U. Gröner/M. Kimmel/
M. Mokre/M. Pausch
WP 24/2006

The paper is a summery of the final report of a research project on the European Public Sphere. The project analyzed debates on the adoption of the European Constitution. One of the main research questions was: How do these debates contribute to the emergence of a European public sphere and thereby to the development of a European democracy? This question was addressed by analyzing media coverage of the adoption process and, especially, of the referenda on the European Constitution. The empirical analysis is based on the theory of radical democracy; thus the project also aims at bridging the gap between normative-theoretical considerations on the European public sphere and empirical work on this theme.

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Die Konstruktion einer EU-Identität über Vokabulare -
Skizze einer Medienanalyse

Cornelia Bruell
WP 25/2006

EU-Identität – oder die Unmöglichkeit als Bedingung der Möglichkeit. Auch wenn sich solche Paradoxa, solche Stilmittel der wissenschaftlichen Literatur, oft als begriffliche Unschärfen enttarnen lassen, hat dieser Satz seine Berechtigung. Ein vergleichendes Lesen und Weiterentwickeln der Theorien von Ernesto Laclau und Richard Rorty zeigen, dass die Unmöglichkeit jeglicher Identität, um präzise zu sein die Unmöglichkeit ihrer Abschließbarkeit, eine/mehrere EU-Identitäten erst möglich macht. Was bei einer empirischen Umsetzung dieser Theorien bedacht werden muss, wird abschließend skizziert.

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Sodisca drcav clanic EU v novem sistemu izvajanja pravil antitrusta

Ana Vlahek
WP 26/2006

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Chancen für EUropäische Öffentlichkeiten -
Eine Analyse der medialen Diskursivierung der Wahlen zum Europäischen Parlament in Österreich

Cornelia Bruell und Monika Mokre
WP 27/2006

Ausgangspunkt dieser Fallstudie zur europäischen Öffentlichkeit ist die empirisch gut belegte Annahme, dass Diskurse zu Themen europäischer Politik in erster Linie im Rahmen nationaler Infrastrukturen entstehen. Ausgehend vom Diskursbegriff der Theorie der radikalen Demokratie wird daher die Frage gestellt, ob die Diskurs- und Bedeutungsstrukturen nationaler EU-Debatten homogen genug sind, um eine europäische Öffentlichkeit (ob nun im Singular oder im Plural) zu ermöglichen. Diese Frage wird anhand der österreichischen Mediendebatten zu den Wahlen zum Europäischen Parlament 2004 bearbeitet. Die Studie analysiert alle zum Thema erschienen Artikel vom 01.04.-20.06.2004 in vier österreichischen Tageszeitungen (Krone, Kurier, Presse, Standard). Dafür wurde ein diskurstheoretisch fundiertes Analyseschema entwickelt. Die Ergebnisse zeigen ein stark fragmentiertes Bild der österreichischen EU-Diskurse, das den Notwendigkeiten einer europäischen Öffentlichkeit nicht entspricht.

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Working Papers 2005

Political Autonomy or Cultural Minority Rights?
A Conceptual Critique of Renner’s Model

Rainer Bauböck
WP 01/2005

In Staat und Nation (1899) Karl Renner first presented a coherent constitutional model based on cultural autonomy for linguistic communities as a solution for the persistent nationality conflicts that plagued the late Habsburg monarchy. The paper discusses the contemporary relevance of this model from a liberal pluralist perspective. Four critical aspects are identified that make it difficult to defend and apply Renner’s model in its original version: the underlying theory of cultural nationalism; the principle of personal declaration of national identity; the construction of non-terrritorial jurisdictions that cannot satisfy aspirations for comprehensive self-government, but may still generate a strongly segregated civil society; and the idea of a symmetrical federation of equal nationalities that ignores the asymmetric relations emerging from all histories of interlocking nation-building projects. The paper concludes by outlining alternative principles for accommodating national minority claims to autonomy.

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Federal Arrangements and Minority Self-Government

Rainer Bauböck
WP 02/2005

How do democratic states respond to minority claims for self-government and how should they respond? This paper suggests that successful accommodation of such demands in Western European and North American democracies has included three basic ingredients: political autonomy that establishes separate jurisdictions within which minorities enjoy substantial devolved powers of self-government; power-sharing that involves representatives of minorities in the governing of the larger state; and encompassing citizenship that turns all members of a self-governing minority into equal citizens of the wider polity. Multinational federations, i.e. federal states with autonomous constituent units in which national minorities form regional majorities, combine all three ingredients. Other constitutional arrangements for national minorities, however, emphasize only one or two of the three elements. The paper suggests a general typology of nine constitutional arrangements, which is derived from the presence or absence of each of the three elements, and discusses contextual reasons for deviations from ideal type multinational federalism.

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Political Boundaries in a Multilevel Democracy

Rainer Bauböck
WP 03/2005

The international state system is, on the one hand, a real political order, in which states endowed with very different economic, military and political power generally define and pursue their respective interests independently of each other. On the other hand, this system contains also a normative order within which states recognize each other as equal and sovereign legal entities representing independent societies. Mainstream liberal theory has accepted this normative order as a quasi-natural background. It is time to move beyond this model by developing a normative theory of political boundaries that reflects the growing interdependence between political communities. The paper discusses and compares challenges to the normative boundary structure of the international system that emerge from national minority claims to self-government, from transnational migrants’ claims to multiple citizenship and from supranational integration in Europe. A pluralistic global normative order should be conceived as a multilevel system in which state sovereignty is delegated upward towards supranational polities, downward towards constituent units in multinational polities, and overlaps laterally between states linked to each other through migration flows. In such a system political boundaries will not become irrelevant, but will increasingly be embedded in nested and overlapping constellations.

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The Negotiation of the Interinstitutional Declaration on Democracy, Transparency and Subsidiarity

Isabella Eiselt and Peter Slominski
WP 04/2005

The following text is a thorough description of the negotiation process which finally led to the adoption of the “Interinstitutional Declaration on democracy, subsidiarity and transparency”. It works out the different positions of the Community institutions involved as well as the most important stages of the negotiation process including its main contested issues.

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Interinstitutional Agreements in CFSP:
Parliamentarisation through the Backdoor?

Andreas Maurer / Daniela Kietz / Christian Völkel
WP 05/2005

This paper tries to link the legal nature and political character of Interinstitutional Agreements (IIAs) to the ongoing process of parliamentarisation of the EU system. It is argued that IIAs are instruments used by the EP to strengthen its own position vis-à-vis the Council of Ministers. By tracing the negotiation process of the 1997 IIA on the financing of CFSP – which considerably strengthened the EP‘s information and consultation rights – the following conclusions are arrived at: Precondition for the successful conclusion of IIAs between the major EU institutions seems to be the shared perception of interinstitutional conflict. The costs of interinstitutional conflict were by both Council and EP perceived to be higher than the accommodation of conflict through the IIA. Although in total the IIA changed the balance of power between the two institutions in favour of Parliament, the agreement however did not one-sidedly benefit the EP.

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Separatism and dual identities in decentralized nation-states: Spain, Britain and Canada

Montserrat Guibernau
WP 06/2005

In this paper I argue that political decentralization, when accompanied by a substantial degree of autonomy, the constitution of regional institutions and access to significant resources - as it is the case in Britain, Spain and Canada -, promotes the emergence of dual identities –regional and national- without necessarily weakening the second.
The paper also shows that political decentralization does not tend to foster secession, this is, devolution does not usually challenge the integrity of the nation-state’s boundaries. The cases considered here confirm that decentralization tames secessionism by both offering significant power and resources to the national minorities’ it seeks to accommodate and by enticing regional political elites with the power, prestige and perks of devolution. I argue that political decentralization, if founded upon mutual trust, recognition and a sound financial arrangement, stands as a successful strategy in the accommodation of national minorities within liberal democracies.

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The Convention on the Future of Europe: New and shining?

Johannes Pollak
WP 07/2005

The Convention on the Future of Europe was widely hailed as an innovative, efficient, democratic and transparent instrument for preparing treaty reform in the European Union. The paper sets out to explore its novelty in two dimensions: (a) the style of deliberation in the Convention which is said to be one of its primary assets: reasoned deliberation instead of diplomatic negotiations and bargaining and (b) the composition of the Convention giving national and European parliamentarians an impressive majority. By remebering the “Spinelli process” it will be argued that the Convention method belongs to the instituional memory of the EU. Finally, based on the link between democracy and representation a comparision between intergovernmental conferencs and the Convention is made leading to the conclusion that the latter showed a better quality of responsiveness but was far from optimal.

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Effektive Antidiskriminierungspolitik -
ein Produkt konfliktorientierter Sozialmodelle?

Bernhard Perchinig
WP 08/2005

Die Studie analysiert die Entwicklung nationaler Politiken gegen Diskriminierung von MigrantInnen und Minderheitenangehörigen in Belgien, Deutschland, Irland, den Niederlanden, Schweden und dem Vereinigten Königreich vor der Umsetzung der EU – Antidiskriminierungsrichtlinien. Sie entwickelt eine Typologie der jeweiligen Antidikriminierungssysteme auf der Basis einer Analyse der Gesetzgebung und Implementierungsstrukturen. Ein Vergleich mit dem dominanten Politikstil, dem Sozialstaatsmodell, dem Grad der Korporatismus, dem Migrationspolitikmodell und dem Entstehungskontext zeigt, dass starke Antidiskriminierungssysteme vor allem in Ländern in Konfliktdemokratien entstanden, in denen Einwanderung mit starker politischer Mobilisierung der MigrantInnen verbunden war, während korporatistische Sozialmodelle eher schwachen Diskriminierungsschutz ausbildeten.

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Cultural rights for minorities and antidiscrimination policy - a strenuous relationship?

Bernhard Perchinig
WP 09/2005

The article discusses the connection between demands for cultural rights for minorities and antidiscrimination policies. It argues, that policies based on group rights mainly address the state and neglect the – often more important – area of private and economic relations. An understanding of antidiscrimination policies, which includes the notion of “reasonable accommodation”, may overcome this deficiency.

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Antidiscrimination: A European perspective.

Bernhard Perchinig
WP 10/2005

The paper discusses the impact of European antidiscrimination legislation on the European Employment Strategy and the debate on European Corporate Responsibility Standards. Although in these fields antidiscrimination policies gained growing importance, the lack of protection on third country nationals is considered as a major shortcoming. It is discussed, if the suggestion of the European Commission to develop a status of “civic citizenship” for third country nationals might be able to overcome these deficiencies.

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Die Konstitutionalisierung der Europäische Union:
Ein evolutionärer Aufbruch

Sonja Puntscher Riekmann
WP 11/2005

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Union Citizenship and the Status of Third Country Nationals

Bernhard Perchinig
WP 12/2005

The essay analysis the interrelation of European policies on Union Citizenship, immigration- and antidiscrimination – policy. It is argued, that immigration policies are mainly shaped by decisions of the ECJ on the EC-Turkey associations agreements, which made the status of Turkish citizens akin to those of community workers before the implementation of Union Citizenship, which may be considered as a type denizenship for Union citizens living abroad. With the implementation of antidiscrimination provisions a dynamic of a further approximination of the status of Union Citizens and resident third country nationals has developed, which culminated in the suggestion for the development of a European “civic citizenship”, which might become the missing link between Union Citizenship, migration and antidiscrimination policies.

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Interinstitutionelle Vereinbarungen im Bereich des EU Budgets

Isabella Eiselt / Johannes Pollak / Peter Slominski
WP 13/2005

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10 Jahre EU Mitgliedschaft:
Eine Bilanz aus der Sicht der österreichischen Höchstgerichte

Karl Korinek/Meinrad Handstanger/Gerhard Kuras/Bedanna Bapuly
WP 14/2005

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IWE Working Papers (1999-2004)