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Wolfgang Wessels, Udo Diedrichs, Tobias Kunstein
The 3rd NEWGOV practitioner and stakeholder forum was held at the premises of the Fondation Universitaire, Brussels, on 20 April 2007. It was organized by the University of Cologne as co-ordinator of NEWGOV Cluster One and focused on issues of delegation and accountability with regard to EU agencies. As a means of best utilising the horizontal potentials of the NEWGOV consortium, a cross-cluster approach was adopted; among the participants were researchers from several NEWGOV Clusters and Task Forces who engaged in intensive discussion with officials from EU institutions and agencies. The workshop’s goal was to present the hitherto results of NEWGOV sub-projects dealing with agencies to practitioners in order to disseminate these findings on the one hand, and to receive feed-back and comments from an inside perspective on the other.
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Maddalena Gherardi
The paper gives an overview of the development of the European Parliaments role as a legislator from 1952 up to the provisions of the Treaty Establishing a Constitution for Europe of 2004. It serves as a background paper for the emergence and evolution of governing modes across policy fields dealt with in Cluster 1 of the NEWGOV Project.
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Brigid Laffan and Colin Shaw
This analysis provides a systematic map of open method of coordination (OMC) processes across sixteen policy areas. The proliferation and variety of OMC’s appears as key features of its development as a new mode of governance and several hypotheses accounting for these patterns are systematically mapped and examined. Using content analysis of the documentary output of the main EU level institutional actors, a diachronic examination of OMC process with the context of the Lisbon strategy shows how selective political energies are shared among OMC’s and how these energies can be seen to wax and wane over time. We conclude with a discussion of the main findings and examine potential crossovers with partners within the cluster and wider project.
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Udo Diedrichs
New complexities in European governance mean that individual assessments of the emerging and evolving modes of governance of the EU have become more complex – and more contested. They depend greatly on the theoretical perspective of the analyst. This paper outlines different theoretical models in order to set the scene for the main focus: namely, the theoretical explanation of new modes of governance and the different phases in their lifecycle. After suggesting a distinct approach to the further analysis of new modes of governance, the author relates their emergence and evolution to the overall EU integration process and argues, that NMG do not modify the EU system in the sense of breaking the general trend towards further integration, but have to be understood as an integral element of the EU integration process.
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Udo Diedrichs
Two main issues have been on the agenda of the Cluster Meeting held in Florence on 6 June 2008: The discussion of the 14 questions guiding the final scientific work of the consortium, as well as the stage of preparation of the Cluster volume and the steps ahead. The meeting took place during the 4th and final NEWGOV Consortium Conference, 5 and 6 June 2008, at the European University Institute in Florence.
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Wolfgang Wessels et al.
The report provides an overview on the dissemination activities of cluster 1 participants during the fourth and final project year.
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Wolfgang Wessels, Udo Diedrichs, Tobias Kunstein
During the plenary conference of the NEWGOV consortium at the EUI Florence, 31 May – 1 June 2007, the 30 months results of cluster one and their implications for the overall cluster perspective on Modes of Governance were discussed. In view of the planned joint publication, the participants presented their ideas for the respective chapters and gave an outlook for the remaining research steps. There was general agreement that the cluster’s theoretical and empirical work on a vast array of forms of governance is of high relevance and has produced interesting results over the past 30 months.
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Udo Diedrichs
This Policy Memorandum draws together results concerning the Evaluation of Governing Modes within Cluster One and presents first comparative findings with a set of conclusions that will serve as a pint of reference for the publication of a joint monograph.
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Wolfgang Wessels, Udo Diedrichs and Tobias Kunstein
The ‘Practitioners Forum’, held on 3 November 2006 in Brussels, brought together researchers and EU officials in a workshop focusing on Justice and Home Affairs, Common Foreign and Security Policy, and Social Dialogue and Pensions Reform. An interesting aspect of the meeting was that all projects presented are working in a very empirical manner. This should be further stressed to exploit the comparative perspective NEWGOV offers. Focusing on the Emergence and Evolution of Governing Modes, typical patterns and specificities of sectors will form a framework to comparatively assess different modes in terms of their legitimacy, effectiveness and efficiency. Adding together the results of the single policy fields, NEWGOV will provide deeper insight in the evolution of the whole EU system.
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Udo Diedrichs and Wolfgang Wessels
Deliverable 1/D34 (Updated State of the Art Report) updates the reports on policy areas covered within Cluster 1 of the NEWGOV consortium which formed the original State of the Art Report (1/D02). The aim of the report is not an overall description of the academic debate in the different policy areas and fields of interest as such – some of that might be included – but rather a reflection of the basic patterns, conditions and tools for decision-making and -implementation, as well as their dynamic development over the years. Thus, the report tries to provide a more subtle understanding of the basic problems of EU governance. As a work in progress, the updated state of the art report reflects developments on the basic scientific problems related to EU governance which are adressed by the Cluster. It will provide the reader with the background to follow the lines of discussion which have emerged among cluster participants.
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Udo Diedrichs and Wolfgang Wessels
During the first 12 months of NEWGOV, research within Cluster One has been dedicated to refining the research design at the cluster and project levels. The report outlines the main steps taken on the cluster level and by the four projects located in cluster 1.
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Udo Diedrichs
Dealing with new modes of governance in the EU requires a reflection both on the concept of governance as such, and on the exact understanding of 'novelty'. Different dimensions of governance can be distinguished, each of them highlighting particular features of the EU system. It is also necessary to be aware of the fact that old and new modes of governance can only be successfully approached in a dynamic time analysis which is also policy-specific. What might be 'new' in one policy area, is not necessarily so in another. This paper tries to systematically collect different conceptions of governance, their peculiar perspectives, and draws conclusions for empirical research on modes of EU governance in a variety of dimensions.
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Oliver Treib, Holger Bähr and Gerda Falkner
Recently, political science has seen an intense debate about the phenomenon of 'governance'. The aim of this paper is to clarify the basic concepts that are at the heart of this debate, notably 'governance' and 'modes of governance'. It argues that most contributions share a common concern for the relationship between state intervention and societal autonomy. But different strands of the literature highlight different facets of this continuum. Existing understandings may be classified according to whether they emphasise the politics, polity or policy dimensions of governance. We use these categories to present a structured overview of different dimensions of modes of governance as they may be found in the literature. In this context, we argue that the classification of modes of governance as 'old' or 'new' is of little analytical value. Some modes of governance may have been relatively new in some empirical contexts. But the same governing modes may turn out to be long-established practice in other areas. Moving from individual dimensions to systematic classification schemes and typologies of modes of governance, the paper highlights a number of shortcomings of existing schemes and suggests an approach that could avoid these weaknesses. As a first step in this approach, we take a closer look at different policy properties of governance and develop a systematic typology of four modes of governance in the policy dimension: coercion, voluntarism, targeting and framework regulation. (External link to EUROGOV Website)
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Gerda Falkner and Oliver Treib
This document contains the summary of a text that will be published as Chapter 15 - Making Sense of Compliance Patterns: A Typology - of the following co-authored book: Complying with Europe - EU Harmonisation and Soft Law in the Member States by Gerda Falkner, Oliver Treib, Miriam Hartlapp, Simone Leiber, forthcoming, Cambridge University Press 2005. (Presentation at the EUSA Ninth Biennial International Conference, Austin, Texas, 31 March-2 April 2005)
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Diedrichs, Weseels, et al.
The analysis and discussion of modes of governance in the European Union belongs to the most exciting and fascinating issues of relevance for the academic as well as political worlds. Still, there is little consensus on "new modes of governance". Few authors have so far explained in which way new modes of governance are related to 'old' modes and to which ones in particular. Thus, the contributions to this volume will take this debate as an incentive and a tool to describe the dynamics and change within EU governance. They analyse the changes that have taken place in EU governance, and aim at identifying the factors which account for such change. Thus, the guiding perspective of the volume will be to analyse the dynamics of EU governance in a number of key areas over the last years and define the explanatory variables for these processes.
The volume tries to move beyond mono-dimensional conceptualisations of modes of governance. The existence of one specific feature will most probably not be sufficient to make the difference, i.e. the assumption that private actors are involved will not suffice for describing modes of governance as new; what is required instead is a more complex relational understanding of new modes of governance which combines a number of features, like several procedural and/or output-related elements, specified for a particular area of research and in a concrete time frame.
Thus, the volume will address three major tasks. It will link the research on modes of governance to the analysis of the basic legal, institutional and procedural features of the EU system in an evolutionary perspective. It will offer empirically dense analyses of different policy areas in a comparative perspective, enhancing our understanding of the real mechanisms of EU governance. Finally, the volume will relate the results of our research to a number of theoretically relevant approaches that bear importance for answering the question of whether the dynamics of the modes of EU governance may be related to general assumptions on the evolution of the EU system as a whole.
Two sets of consideration are essential for the research underlying the volume: a context dependent and a time dynamic perspective will be applied.
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Udo Diedrichs
The Reform Treaty has enriched and expanded the options for using different modes of governance in the EU, creating new opportunity structures and constraints. In sum, the repertoire of diversification in EU governance has increased, while the trend visible over the last years of Treaty reforms has revealed a strengthening of provisions that allow for more centralised and hierarchical modes to be adopted.
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Udo Diedrichs
The Review meeting for the joint volume has brought some important steps in progress towards a joint publication. On the one hand, the number of chapters has been cut down as to make the volume more coherent and consistent, while the perspective has also been more focused on the set of common questions pre-defined by the cluster coordinators. Thus, this draft structure for the volume contains elements of first results which will become apparent when the volume is finally published. The review meeting took place during the 4th and final NEWGOV Consortium Conference, 5 and 6 June 2008, at the European University Institute in Florence.
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Udo Diedrichs, Wolfgang Wessels
This article constitutes the second version of the final chapter for the joint monograph “The Dynamics of Change in EU Governance: Policy-making and System Evolution“. It sums up the findings of the volume and relates them to the overall development of the system of the European Union, arguing that new modes of governance do not modify the EU system in the sense of breaking the general trend towards further integration, but have to be understood as an integral element of the integration process.
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Udo Diedrichs, Wolfgang Wessels
This article constitutes the second version of the introductory chapter for the joint monograph “The Dynamics of Change in EU Governance: Policy-making and System Evolution“. It lines out the profile of the volume and identifies its major tasks, explaining the coherent approach of analysis around the four “Es”: Emergence, Execution, Evolution, and Evaluation of new modes of governance. Furthermore, the chapter approaches the theoretical and conceptional framework of the volume and introduces authors and contributions of the monograph.
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Wolfgang Wessels et al
The first versions of chapters for the Cluster One joint monograph outlines content and chain of reasoning in view of the volume’s draft structure discussed at the Firenze workshop. During year 4 of the NEWGOV project, the chapter outline will be elaborated into a comprehensive text (second version of the chapters for joint monograph, due in month 42), in particular taking into account comments by project partners and practitioners made at previous and upcoming meetings. Expected date of publication is month 48 (August 2008).
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Wolfgang Wessels and Udo Diedrichs
During the workshop meeting on 31 May 2007 in Florence, a draft table of contents for the joint monograph of Cluster One was discussed and endorsed by the participants. Based on these discussions, the profile of the volume is elaborated in more detail in NEWGOV Deliverable 01/D70 “Draft structure for the Volume on Governing Modes”.
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Wolfgang Wessels and Udo Diedrichs
Research conducted by investigators in several sub-projects in the framework of NEWGOV Cluster One has produced a multitude of interesting results. As a means of accentuating the horizontal dimension of the Cluster’s work, these results will be published as a joint volume. The volume on “The Dynamics of Change in EU Governance EU: Policy-making and System Evolution” will address three major tasks: First, it will link the research on modes of governance to the analysis of the basic legal, institutional and procedural features of the EU system in an evolutionary perspective; second, provide analyses of different policy areas in a comparative perspective; and third, relate the results of our research to the theoretically relevant approaches within the Cluster and the Consortium in order to answer the question whether it is possible to draw a line between the dynamics of EU governance modes and general assumptions on the evolution of the EU system as a whole. Thus, the volume plays an important role in the Cluster’s dissemination strategy.
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Udo Diedrichs, Wolfgang Wessels
The Fourth Set of Indicators/Variables subsumes the empirical categories established during the NEWGOV project’s lifetime, by which EU governance can be classified and built into typologies. The scope of indicators has been broadened to include forms of government by delegation, such as agencies. The choice of indicators reflects the need to facilitate empirical investigation without foreclosing the definition of old and new modes of governance. Instead, a number of tools have been offered which are considered as useful for the systematic empirical analysis of EU governance. This list of - quantitative and qualitative - indicators is not exhaustive.
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Wolfgang Wessels, Udo Diedrichs
In preparation for publication of an edited volume presenting the research results of the NewGov project, a number of review meetings provide the researchers concerned with the possibility to present their papers to a group of colleagues. As these papers will serve as a backbone of the volume’s respective chapters, the comments given by their peers form a useful source of feed-back for constantly revising and refining the research process. This feed-back becomes even more valuable through the presence of experts and stakeholders such as EU officials and representatives from NGOs at those review meetings, who are able to add their particular perspective into the comments on the papers.
Given the large number of chapters envisaged and policy fields scrutinized, not all papers can be reasonably presented during one session. At the meeting of November 3rd, 2006, the contributions of Jörg Monar (Justice and Home Affairs), Wolfgang Wessels and Udo Diedrichs (Common Foreign and Security Policy), and David Natali (Pensions Reform and Social Dialogue) were reviewed and discussed. A number of experts and stakeholders from various EU institutions were also present and gave comments from their ‘inside’ perspective.
A second set of contributions to the volume will be discussed during the next practitioner forum in early 2007.
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Udo Diedrichs and cluster 1 partners
The deliverable provides a summary of the research activities carried out in the second project year by cluster 1. It feeds into the general second annual project report of the NEWGOV project.
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Udo Diedrichs and Wolfgang Wessels
The Open Interim Meeting to discuss progress and next steps took place on Thursday, 22 June 2006, 10.00-13.30 at Montecatini Terme. All partners presented their contributions and projects, and discussed the key issues of their research in methodological and empirical terms. Participants from other Clusters joined the discussion and provided valuable input for future research. A second meeting during the evening addressed organisational aspects, such as a common publication and the practitioner’s forum in autumn this year.
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Udo Diedrichs and Wolfgang Wessels
The revised guidelines for working papers on the evolution and impact of governing modes provide a toolbox for each partner within the project that may be used and applied according to the specific needs and requirements of the subject matter under investigation. Taking up discussions among the cluster participants, the guidelines have been re-structured in three sections, better reflecting the projects’ results so far. Nevertheless, it is intended to offer some lines of orientation for each partner in order to ensure that a sufficient degree of coherence is reached among the different working papers. As a result of the discussions and academic exchange in the project, the main lines of investigation are traced, key questions are presented, and guiding hypotheses are offered for assessing the research results.
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Udo Diedrichs and Wolfgang Wessels
The Third Set of Indicators/Variables tries to further refine the empirical categories established in the first and second sets, by which EU governance can be classified and built into typologies. The choice of indicators has been cut to the needs of empirical investigation without foreclosing the definition of old and new modes of governance. Instead, a number of tools have been offered which are considered as useful for the systematic empirical analysis of EU governance. This list of - quantitative and qualitative - indicators is not exhaustive.
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Udo Diedrichs and Wolfgang Wessels
This deliverable contains an updated and revised set of key terms which are relevant for dealing with new modes of governance in the EU, but also offers a broader picture. In those cases where terms are based on scientific literature in the narrow sense, the sources are indicated. In case the definition has been obtained from other, more general sources (internet search systems, encyclopaedia, lexical sources, or the partners’ own definitions), there is no explicit source indicated.
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Udo Diedrichs, Wolfgang Wessels
The Cluster Review meeting which took place on 2nd and 3rd February 2006 in Cologne made a first interim assessment of the work undertaken so far and provided an outlook for the months ahead.
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Udo Diedrichs, Wolfgang Wessels
The second set of indicators/variables enhances and refines the empirical categories established in the first set, by which EU governance may be classified and built into typologies. As the research process pogresses, a number of these indicators have been taken up in order to assess their ability to grasp certain types of new modes of governance. The choice of indicators is mainly cut to the needs of empirical investigation and tries not to foreclose the definition of old and new modes of governance in general. Instead, a number of tools are offered which are considered as useful for the systematic empirical analysis of EU governance. This list of - quantitative and qualitative - indicators is not exhaustive and will be further refined and systematically deepened in the wake of future research within cluster 1.
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Udo Diedrichs, Wolfgang Wessels, Tobias Kunstein
In the NEWGOV project, cluster 1 focuses on the 'emergence, evolution and evaluation' of modes of governance. A systematic comparative approach for the study of how different modes of governance emerge and evolve in interdependence of each other and across a range of selected policy fields is adopted. Taking into account that, as deliberations within the scientific community indicate, the term 'modes of governance' eludes attempts to arrive at a single, overarching definition, it is imperative for us to arrive at least at some coherent typology as a starting point for the joint database.
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Udo Diedrichs, Wolfgang Wessels
The guidelines for the working papers on the emergence of governing modes provide a toolbox for each partner within the project that may be used and applied according to the specific needs and requirements of the subject matter under investigation. It is intended to offer some lines of orientation for each partner in order to ensure that a sufficient degree of coherence is reached among the different working papers. As a result of the discussions and academic exchange in the project, the main lines of investigation are traced, key questions are presented, and guiding hypotheses are offered for assessing the research results.
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Udo Diedrichs and Wolfgang Wessels
The Cluster One Project Open Interim Meeting to discuss progress and next steps took place during the Consortium Conference in Florence, 30 and 31 May, 2005. All partners presented their contributions and projects, and discussed the key issues of their research in methodological and empirical terms. A considerable effort was devoted to the definition of modes of governance, to the collection of data on the legislative output in different policy areas and to their categorization. Furthermore, a number of problems like the impact of soft law and the conditions for specific modes of communication were intensively debated. Altogether, a broad comparative perspective was applied through the establishment of links and references across the single projects.
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Udo Diedrichs, Wolfgang Wessels
The first set of indicators/variables offers a number of empirical categories, by which EU governance may be classified and built into typologies. The choice is mainly cut to the needs of empirical investigation and tries not to foreclose the definition of old and new modes of governance. Instead, a number of tools are offered which are considered as useful for the systematic empirical analysis of EU governance. This list will be further refined and systematically deepened in the wake of future research and academic discussions within cluster 1.
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Udo Diedrichs, Wolfgang Wessels
This deliverable contains a set of key terms which are relevant for dealing with new modes of governance in the EU, but also offers a broader picture. In those cases where the terms are based upon scientific literature in the narrow sense, the sources are indicated. In the case the definition has been obtained from other, more general sources (internet search systems, encyclopaedia, lexical sources, or the cluster partners' own definition), there is no explicit source indicated. In a next step, the project-specific deliverables will be presented, which offer a number of terms that are relevant for the different areas of research within the cluster.
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Various; coordinated by Udo Diedrichs and Wolfgang Wessels
The State of the Art Report consists of a number reports on the policy areas covered within Cluster 1 of the NEWGOV consortium. According to the overall objective of the Cluster, which lies in the investigation on the emergence, evolution and evaluation of new modes of governance, the focus of the reports does not lie in a overall description of the academic debate on the different policy areas and fields of interest as such - some of that might be included - but rather on the reflection of the basic patterns, conditions and tools for decision-making and implementation, as well as their dynamic development over the years. The state of the art report does not represent a book-keeping exercise which tries to simply portrait the academic debates, but will provide the reader with a more subtle and sensitive understanding of the basic scientific problems related to EU governance, and also help him/her to better understand the problems targeted within the Cluster. It is considered and conceived as a work in progress, which will be updated regularly, and thus will also reflect the progress achieved within the Cluster in approaching and explaining new modes of governance.
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Wolfgang Wessels
The meeting of Cluster One in Brussels on 10 December 2004 was designed as a kick off event for initiating the academic research under the NEWGOV project. Participants from all projects involved were present in order to discuss the work programme whose scientific objective is threefold:
- mapping, measuring and classifying modes of governance,
- explaining the emergence of new modes of governance and
- assessing their evolution.
At the meeting, the participants devoted most of their time to the task of mapping and categorizing new modes of governance, which is regarded as a key pre-condition for further research. It was agreed that the categories offered by the NEWGOV proposal needed some refinement and a more stringent cut, while a constructive discussion was held over the possible options for reaching this goal. A number of elements were gathered which serve to provide a differentiated and at the same time stringent approach towards defining and categorizing modes of governance in the EU.
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Wolfgang Wessels
As the acquis académique indicates, the term 'modes of governance' belongs to the class of academic categories which are based on a productive ambiguity. We are faced with many offers partly derived from theoretical approaches and partly based on empirical findings. We might not need the one and only classification, but we certainly need some coherent typology. For identifying, measuring and mapping the emergence and evolution of modes of governance, a specific approach as a framework for further research is proposed.To be tested is the model of a Treaty-based ladder (or escalator) for the legal constitution and a smoother process of the living constitution leading upwards towards shared or exclusive competences and towards the community method (moving upward in an integration index).
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Udo Diedrichs
Within the existing literature, there is little consensus on "new modes of governance". Many contributions introduce the notion of without explicitly defining what actually is or what should be, 'new' about it; some authors refer to those modes rather as 'recent' expressions of EU decision-making, others stress their 'innovative' character. Confusion is further increased by the fact that the term 'modes' is often used synonymously with 'patterns', 'forms' or 'models' of governance. In order to approach new modes of governance empirically, a number of different fields of investigation could be singled out, which do not sum up so far to a coherent research design, but should be taken as points of reference which might take us further in the future, particularly in finding an overall conceptual framework.
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