Democracy and Federalism in the European Union and the United States

Exploring Post-National Governance

Sergio Fabbrini

• Publisher: Routledge
• Year: 2005
• eBook ISBN: 9781134315802
• Edition: 1
• Topic: Politics & International Relations
• Subtopic: Democracy
• Index: Politics & International Relations

The European Union - a supranational system with its own institutional characteristics and autonomy - has a structure and functional logic which are more similar to those of the US than those of European nation states. Yet, by and large, the EU and the US tend to be analyzed more as potential geopolitical and economic rivals or allies than compared as institutional peers.

By bringing together some of the most influential political scientists and historians to compare the European and American experiences of federalism, Democracy and Federalism in the European Union and the United States explores the future development, and seeks a better understanding, of a post-national European Union democracy. This book consists of three core parts:

• how the EU has developed and the implications of the process of European federalization
• the features of American federalism, tracing the intellectual debate that led to the approval of the American federal constitution in 1787
• the future of European Union.

This is essential reading for all students of European politics, democracy and international relations.

Part I
The EU from federalist projects to a supranational polity

2 European federalism

Past resilience, present problems

Mark Gilbert

Introduction

The idea of a ‘United States of Europe’ has gripped the imagination of scholars, intellectuals and practising politicians for well over a hundred years. Even in Britain, there is a flourishing federalist tradition that departs from the work of such Victorian historians as Edward Acton (Lang 2002) through to the ‘progressive’ intellectuals of the 1920s and 1930s and the many intellectuals, both socialist and liberal, associated with ‘Federal Union’ (Mayne and Pinder 1990). Before and during the Second World War, British writers such as H. N. Brailsford, Kingsley Martin and G. D. H. Cole argued in favour of a socialist European federation as a way of mobilizing a democratic dynamic against the Nazis (Gilbert 1990). In 1940, the constitutional scholar Ivor Jennings wrote a pamphlet called A Federation for Western Europe: the elegance and brevity of the draft constitution included as an appendix to this book might have been a useful model for the somewhat more verbose delegates in the Laeken Convention (Jennings 1940). Jennings’s brief volume was one of dozens of pamphlets, reports and books published by the British federalist movement over the next decades. The most influential academic journal of European integration, the Journal of Common Market Studies, is an offshoot of this activity in favour of federalism: many of the contributors to its earliest editions (for instance, François Duchêne, Stanley Henig, Uwe Kitzinger, John Lambert, Richard Mayne, John Pinder and Roy Pryce) were convinced federalists with a long history of engagement in the life of Federal Union and its associated policy think-tank, the Federal Trust. There has never been a shortage in Britain of intellectuals who have been willing to assert (or hope) that ‘by 2050, surely … the nation state will everywhere have vanished’ (Thomas 1997: 59).

The British tradition of federalist argumentation and scholarship is just the tip of a very large iceberg. In the post-war years, scholars such as Mario Albertini, Henri Brugmans, Jean-Baptiste Duroselle, Pascal Fontaine, Pierre Gerbet, Walter Lipgens, Dusan Sidjanski and their numerous disciples have formed the collective perception of how Europe has been built and what its construction means in world-historical terms.¹ The historiography of European integration, the pioneering revisionist work of Alan Milward and Andrew Moravcsik notwithstanding, is dominated by scholars with a deeprooted normative commitment to European federalism and, in some cases, a historicist conviction that Europe is evolving towards a higher form of supranational statehood.

European federalism, moreover, is also one of the few concepts (parliamentary democracy and state-provided social welfare are perhaps the only others) that have bridged the lay–Catholic divide. Europe’s founding fathers – one thinks of Konrad Adenauer, Alcide de Gasperi and Robert Schuman – were all devout Catholics; Catholic intellectuals such as Christopher Dawson, Jacques Maritain and Don Luigi Sturzo all saw European integration as a way of restoring spiritual values to post-totalitarian Europe. Even today, Catholic newspapers and thinkers are in the forefront of the struggle for European unity. Eminent churchmen – Milan’s Cardinal Carlo Maria Martini, who for many years seemed papabile, is a particular case in point – have sought to identify the European project with Christian doctrine and urge Europe’s leaders to build ‘a Europe of the spirit’ (quoted in Prodi 2000: 46). The heated debate over whether the draft ‘Constitution’ produced by the Laeken Convention should have a reference to Europe’s ‘Christian roots’ is testimony to the central role the process of European integration possesses in contemporary Catholic social thought.

Among practising politicians, the belief that national sovereignty should be superseded is less heartfelt than among intellectuals. Yet from the 1948 Congress of Europe onwards, many key statesmen have written or spoken in favour of pooling or delegating national prerogatives to pan-European institutions: the preference for ‘more Europe’ has been constant and explicit. It was Giscard d’Estaing who wrote, ‘Our country considers it essential that the nations of western Europe, which are much alike in their way of life, civilization, and political institutions, should unite in a world where superpowers are emerging and where other groups of states are already banding together’, but it might easily have been Willi Brandt, Jean-Luc Dehaene, Amintore Fanfani, Edward Heath, Helmut Kohl, Ruud Lubbers or Helmut Schmidt (Giscard d’Estaing 1977: 139–40). Truly, it would appear that, for many European leaders, ‘l’idéal européen est inscrit dans mes gènes et dans ma formation’ (Moscovici 2002).

While it is also true that European leaders have often used the rhetoric of European unity to pursue national interests under a supranational guise, the continuity of rhetoric is striking. Schuman’s widely quoted phrase ‘le morcellement d’Europe est devenu un absurde anachronisme’ has been used again and again, in subtly different formulations, by one European statesman after another (Schuman 1963: 19). As Romano Prodi argued upon becoming president of the Commission, the political unification of Europe remains an ‘extraordinary intuition that has lost none of its vitality’ and that may be used as ‘an inspiration in our daily political activities’ (Prodi 2000: 107).

Why federalist ideas have endured

The longevity of federalist ideas is, when one comes to think about it, a fact that needs explaining. Federalist ideas are not the outcome of Europe’s actual experience of integration, but convictions developed abstractly before and immediately after 1945, in response to the terrible political and moral crisis provoked by the Nazis, that have been maintained for the most part intact during the political developments of the last fifty years.

This longevity is all the more striking when one considers that the European Union remains very far from being a federal state. Although the treaties of Maastricht and Amsterdam generated some academic support for the idea that the EU was an embryo federation, most scholars continue to give short shrift to such views. As a rare exception to this rule, the ‘constructivist’ scholar Rey Koslowski has lamented, ‘all too often the narrative of European integration has been cast in terms of federal failure’ (Koslowski 1999: 567). In Koslowski’s view, the process of European integration, despite the lack of ‘federal intent’ on the part of Europe’s makers, has genuinely produced institutions that ‘can be understood in federal terms.’ The European Union, specifically, has a central bank, citizenship for its peoples, and a framework for cooperation in the fields of foreign and defence policy, and has adopted the principle of subsidiarity. The rulings of the European Court of Justice (ECJ) have established the supremacy of European over national law and the European Parliament has become a legislative chamber with the power to make law in most of the policy areas decided at European level. The EU, in other words, may not have replicated the ‘classical taxonomies of federal theory’, but it is ‘federal in all but name’ (ibid.: 577).

The counter-argument to such positions has been put by such scholars as Andrew Moravcsik, who has convincingly asserted that one needs to distinguish between ‘rhetoric and reality’ in the debate over the degree to which the European Union has become a federal polity (Moravcsik 2001), and Joseph Weiler, who believes that the EU is ‘an exceptionally weak federation. So weak, indeed, that the difference in degree between it and national federations amounts to a difference in kind’ (Weiler 2001: 186). If one focuses on the policy areas that are outside (or largely outside) the EU’s competence, we see that it does not concern itself with the provision of social welfare, has only a minor role in education and cultural policy, is not a decisive force in the provision of public infrastructure, and does not make non-economic civil law. Most decisions about spending, in other words, continue to be made in the national capitals.

This is unsurprising because the EU has almost no tax powers. It has a capped budget that amounts to a mere 1.27 per cent of the gross product of the member states (the governments of such federations as the US, Canada and Germany spend a quarter or more of GDP). In cash terms, the EU spends less than 5 per cent of the $2.5 trillion spent every year by the US federal government. Most of the EU’s money in any case goes on programmes (above all the Common Agricultural Policy (CAP) and the structural-cohesion funds, which together account for about 80 per cent of the EU’s total spending) that are reviewed regularly by the member states. Any proposal for an additional EU-wide tax on income or consumption would certainly be rejected by the overwhelming majority of member states and would arouse popular resentment against the EU.

The EU, moreover, does not for the most part enforce the laws it makes. Contrary to the myth-making of the Euro-sceptic press in Britain, it has a very small permanent bureaucracy and a limited budget, and has to rely upon the public administrations of the member states for the implementation of law made at Union level. The negative perception of EU law among European public opinion is very often due to the overzealous (or outright stupid) way in which member states interpret and enforce EU directives (Sbragia 2003: 121).

Most important of all, the EU lacks a central role in the provision of internal or external security. A polity that has no police force, no army and no authentic common foreign policy can hardly be said to constitute a federal state; indeed, as Moravcsik argues, ‘it is barely recognizable as a state at all’ (Moravcsik 2001: 164). The EU’s chief functions, agriculture and regional aid aside, are ensuring that internal and external trade are carried on smoothly, that unfair national competition practices are identified and eliminated, and that the monetary policy of the Euro-zone’s member states and the broad macroeconomic policies of the member states respect agreed general guidelines. Even in these areas, the stringent qualified majority voting requirements that bind all those decisions of the Council of Ministers that do not require unanimity mean that nothing can be done without the broad consent of the member states’ governments. As Moravcsik emphasizes, no contemporary federal nation-state places procedural restraints of remotely similar rigour on decision-making (Moravcsik 2002). In the light of Europe’s leaders’ persistent public commitment to ‘more Europe’ over the past decades, it is in some ways surprising that more has not been achieved – and that the failure to make greater progress in an authentically federal direction has not led to the ideal of European federalism being tarnished.

It is also interesting that European federalism has not been outflanked by more overtly internationalist schemes for supranational government. ‘Globalization’ is an academic cliché, but also an indisputable fact. World trade and capital investment have expanded enormously since the 1950s; the world’s financial markets are able to swamp the efforts of governments or central banks to defend national currencies (or even supranational currencies such as the Euro); an increasing number of issues such as AIDS, world poverty, migration, climate change, human rights and terrorism cry out for coordinated action on an international scale. One of the reasons Margaret Thatcher’s 1988 Bruges speech became so notorious was that she implied that the EC was an ‘inward-looking’ organization that could not cope with global issues (Thatcher 1996). Yet the huge changes that have taken place in the world economy since the 1980s have unquestionably acted to accelerate the pace of European integration (Calleo 2001).

Federalism has remained a plausible outcome for Europe’s leaders not because they have a profound spirit of allegiance to the European ideal but because the actual experience of European integration has been of striking utility for Europe’s nations. It has been beneficial in three main ways.

The first of these is anything but an original insight, but it must be stated. The eventual elimination of independent national sovereignty in Europe is seen as a way of ensuring that political upheaval and war do not return to the continent. As John Gillingham commented recently: ‘European integration is an epiphenomenon of a larger process of change that grew out of the founder generation’s deep and abiding commitment to surmount the horrors of the first half of the twentieth century’ (Gillingham 2003: 73). It is not an accident that the two most Euro-sceptical countries within the EU – Britain and Denmark – are, neutral Ireland, Portugal and Sweden excepted, the ones that escaped with least material and human damage to their civilian populations during the Second World War. François Mitterrand and Helmut Kohl acted so decisively after German reunification to give a political dimension to the process of monetary union at least in part because the prospect of a united Germany sitting astride Central Europe awoke memories both men would rather have stayed buried (Garton Ash 1994). However, the point is not so much that European leaders believe that Europe would immediately relapse into an anarchy of warring nation-states if the process of European integration were ever to grind to a halt, but that they regard European integration as a lesson they and their forebears have painfully learned from the events of the period between the two great European civil wars. If one reads the memoirs of the post-war statesmen who actually constructed present-day Europe, one comes across passages of this kind again and again:

Among the lessons that we drew from the events of the interwar years there was one that was more important than others. A great part of the chaos that marked the twenties, and even more the thirties, was attributable, we thought, to the absence of any international co-operation. Each country sought to resolve its difficulties as if it were the only country in the world.

(Marjolin 1989: 157; emphasis in original)

Europe’s leaders have absorbed this lesson, and the resilience of European federalism owes much to that fact. For though recognition of interdependence does not necessarily mandate the construction of federal institutions, it is plain that the greater the degree of institutional integration, the fewer opportunities there can be for a major nation to act impetuously and unilaterally in pursuit of its short-term national interest. The much-bruited (and in many ways obviously exaggerated) claim that European integration has brought lasting peace is, at root, another way of saying that Europe’s states have renounced traditional realpolitik (though not, obviously, the pursuit of their national interests) (Gilbert 2003: 10–11).

It is for this reason that a shiver goes down the spines of Europe’s policymakers whenever one or another of the ‘big countries’ pursues its own narrowly defined national interests with little regard for the implications of its actions on its partners. The ‘empty chair’ crisis (1965–6), the British budget crisis (1979–84) and the German recognition of Croatia and Slovenia (December 1991) were until recently the three most striking episodes in which member states acted unilaterally to pursue what they saw, rightly or wrongly, as an overriding national interest. As this chapter was being written, however, the EU was being rocked by two acts of national self-aggrandisement: the refusal of the French and German governments, at a time of slow economic growth, to adhere to the rules of the Stability and Growth Pact (rules that Germany, in particular, had insisted upon including in the 1997 Treaty of Amsterdam), and the obstinate refusal of the Spanish and Polish governments to approve the draft Constitution put forward by the Laeken Convention on the grounds that it revises the favourable voting rights conceded to these nations in the Treaty of Nice. For the EU to be suffering from one act of national unilateralism might be carelessness; the occurrence of two simultaneous crises perhaps hints that some dangerous old habits are reasserting themselves.

The second reason for the longevity of the federal ideal is that ‘more Europe’ has brought concrete economic and political benefits. After 1945, the construction of economic and political integration in Europe was seen as a means of diminishing the appeal of communism for the European masses. As Alan Milward has argued, the post-war ‘saints’ who founded the European project ...

Table of contents

• Cover Page
• Title Page
• Copyright Page
• Contributors
• Preface
• Introduction
• Part I The EU from federalist projects to a supranational polity
• Part II Features and problems of the US federal polity
• Part III Market, state and social rights in the EU and the US
• Part IV The constitutional challenges of a supranational polity