The Self-Referential European Polity, its Legal Context and Systemic Differentiation: Theoretical Reflections on the Emergence of the EU's Political and Legal Autopoiesis

Abstract:  This article starts by summarising major theoretical debates regarding European polity and governance. It highlights the role of statehood in those debates and suggests moving beyond the constraints of institutionalist and constructivist perspectives by adopting specific notions from the theory of autopoietic social systems. The following part describes the EU political system as self-referential, functionally differentiated from the system of European law, and internally differentiated between European institutions and Member State governments. Although the Union transgresses its nation-state segmentation, the notions of statehood and democratic legitimacy continue to inform legal and political semantics of the EU and specific responses to the Union's systemic tensions, such as the policy of differentiated integration legislated by the flexibility clauses. The democratic deficit of instrumental legitimation justified by outcomes, the most recent example of which is the Lisbon Treaty, subsequently reveals the level of EU functional differentiation and the impossibility of fostering the ultimate construction of a normatively integrated and culturally united European polity. It shows a much more profound social dynamics of differentiation at the level of emerging European society—dynamics which do not adopt the concept of the European polity as an encompassing metaphor of this society, but makes it part of self-referential and self-limiting semantics of the functionally differentiated European political system.     

Prospects and Limits of Democratic Governance in the EU

The EU Treaty contains for the first time a title on democratic principles. These provisions emphasise the importance of national parliaments and the EU parliament for the democratic legitimacy of the EU. The new chapter on democratic principles does not address the central challenge of the EU polity to the traditional understanding of democratic legitimacy, the disjunction of political and economic governance as expressed by the important role of independent institutions like the Commission, the European Central Bank and agencies in EU governance . This is a consequence of the fact that the status of independent regulatory institutions in a democratic polity has not been clarified—neither in the EU nor in the Member States. However, such independent institutions exist in diverse forms in several Member States and could hence be understood as a principle of democratic governance common to the Member States. Such an understanding has not yet evolved. The central theoretical problem is that regulatory theories which explain the legitimacy of independent institutions as an alternative to traditional representation remain outside the methodology of traditional democratic theory. Economic constitutional theory, based on social contract theory and widely neglected in the legal constitutional debate, offers a methodological approach to understanding independent regulatory institutions as part of representative democratic governance.     

The Institutional Requirements of the WTO in an Era of Globalisation: Imperfections in the Global Economic Polity

To the liberal economist, ‘globalisation’ denotes the virtuous circle of expanded trade, investment and economic growth around the globe. In the political world, ‘globalisation’ is the vaguely understood and yet powerful undercurrents of irrevocable economic changes which have generated social tensions and environmental damage, loss of domestic competitiveness and national sovereignty. Throughout the social sciences, the usage of the term ‘globalisation’ is largely inconsistent and inconclusive—but its imprecision is matched only by its popularity. This article suggests that globalisation should be understood as a reconstruction process of the market as well as the polity. It is essentially a form of global market integration which can be observed from different vantage points, including governance. The premise of the article is that global market integration is surprisingly fragile and requires an adequate institutional foundation in order to move forward. Globalisation and governance are mutually constitutive phenomena. The polity governing the global market integration process cannot be separated in any meaningful sense from the changes in the market itself. This article concerns the institutional requirements of globalisation. While globalisation has produced institutional changes, it has not necessarily produced the most effective or legitimate ones. Exactly what polity construction should underpin globalisation? Should globalisation be left ungoverned? Should existing institutions be improved? Does it require the establishment of supranational sites and the re‐construction of hierarchical legal order at global level?     

The Reconstitution of European Public Spheres

The strength of participation in its political processes has increasingly become the yardstick against which the legitimacy of the European Union is measured. Yet experiments in deliberative and participatory democracy suggest that their practice invariably falls short of their lofty ideals. A reason is their failure to consider the process of communication itself. As understanding of communication is constituted through a number of surrounding communicative contexts, communication, per se , can never be said to be good or bad. More important is a constitutional framework for communication which provides the contexts—performative, institutional and epistemic—that enable communication to contribute to particular, desirable ideals. This piece will argue that a deliberative approach to European governance involves a process of justification in which the three practical tasks of the European Union—polity-building, problem-solving and the negotiation of political community—are debated and resolved around the four values that have underpinned the development of politics as a productive process—those of transformation, validity, relationality and self-government. The organisational reform required for this involves a wide-ranging revisiting of the structures of the European polity.     

‘European Governance’ or Governmentality? The European Commission and the Future of Democratic Government

The word ‘governance’ has become an increasingly central policy motif in the European Union and elsewhere yet its meanings are ambiguous and often poorly understood. This article examines the genealogy of that concept focusing in particular on the European Commission's claim to have developed a new, more open and progressive model of ‘European governance’. The paper is set out in four steps. The first analyses the European Commission's claims for ‘governance’ as a concept integral to its new vision for Europe. The second interrogates some of the conflicting definitions and meanings inherent in the term and examines the highly selective paradigm of governance that has been developed in official Commission discourse. The third addresses two specific areas where the Commission's governance model has been applied: the Green paper on The Future of Parliamentary Democracy and the Open Method of Coordination. The fourth turns to analyse these findings using critical social theory. I conclude that far from laying the grounds for a more inclusive, participatory and democratic political order, the Commission's model to governance represents a form of neoliberal governmentality that is actually undermining democratic government and promoting a politics of exclusion.     

Examining the Aesthetic Dimensions of the Constitutional Treaty

Abstract:  One of the most important issues surrounding the new Constitutional Treaty is the extent to which it will be able to generate a greater popular identification with the European integration project. This article explores this issue in more depth by looking at the role of popular identification in securing polity legitimacy in general. An argument is then developed that although popular identification and polity legitimacy are often separated, from a practical point of view, it is preferable to think of polity legitimacy in such a way as to incorporate questions of identity and affectivity. The article then outlines a way in which such a theory can be constructed, termed an 'aesthetic' theory of political legitimacy. Such a theory is then applied to understand both the EU as a distinctive type of post-state polity and the role that the constitutional tradition might play in securing its legitimacy.     

EU Citizenship and Political Identity: The Demos and Telos Problems

Citizenship is the cornerstone of a democratic polity. It has three dimensions: legal, civic and affiliative. Citizens constitute the polity's demos, which often coincides with a nation. European Union (EU) citizenship was introduced to enhance ‘European identity’ (Europeans’ sense of belonging to their political community). Yet such citizenship faces at least two problems. First: Is there a European demos? If so, what is the status of peoples (nations, demoi) in the Member States? The original European project aimed at ‘an ever closer union among the peoples of Europe.’ Second: Citizens are members of a political community; to what kind of polity do EU citizens belong? Does the EU substitute Member States, assume them or coexist alongside them? After an analytical exposition of the demos and telos problems, I will argue for a normative self‐understanding of the EU polity and citizenship, neither in national nor in federal but in analogical terms.     

A social and political profile of Canadian legislators, 1996

This research note provides an overview and an update on the social and political backgrounds of all elected Canadian legislators at the federal and provincial/territorial levels of government in 1996. For provincial/territorial legislators data are presented by electoral jurisdiction, and for all legislators by level of government and political party. Relatively few differences in social characteristics were found between the two levels although there were some variations by province, territory and party. Business, education and law are the three most prevalent occupations, although the latter has declined among legislators over time. There is little movement of members from the provincial to the federal level. The most common political experience of both groups lies in municipal governance. Over time women have increased their share of seats at both levels. Even in a polity such as Canada with high rates of legislative turnover at both federal and provincial/territorial levels and with new parties emerging, most changes in social and political experience backgrounds proceed incrementally.     

Beyond Technocratic Governance: The Case of Biotechnology

Decision-making processes within the European Union are often held to be technocratic in nature. This article challenges this assumption upon conceptual and empirical grounds. Whilst in the European regulatory field of biotechnology, politicians often seek to define political issues as technical questions and so may successfully evade necessary but time-consuming legislative processes through the means of Comitology; the diverse mixture of national, supranational, technocratic and political interests within the Commission, Council, Parliament and committees, determines that social and ethical criteria do play a role in European regulation. Relating such specific findings to the broader question of European governance, it might thus be argued that the European Union is more than a technocratic regime, and does more than promote negative integration. However, the 'political' within European decision-making needs nonetheless to be strengthened to ensure the necessary and continued inclusion within such regulatory processes of social and ethical rationalities to complement the economic rationality of the internal market.     

The Impact of European Integration on Private Law: Reductionist Perceptions, True Conflicts and a New Constitutional Perspective

If private law is defined simply as a matter of core areas such as substantive contract, torts, property or family law, it may be doubted whether European law has significantly affected national private law systems; or conversely, whether national private law is relevant to European integration. However, this paper argues that such conclusions are misleading: while there have been very few European interventions into the core areas of civil codes or the common law, the integration process has impacted forcefully upon deeper structures of national legal systems. Challenging the institutional embeddedness of national private law, European primary and regulatory law has remodelled (public) concepts of private autonomy, the realm of private governance and the social responsibility of private actors. How then to present and evaluate this indirect impact? Drawing upon concrete examples, this paper seeks first to understand this European challenge to the interdependence of national private law, borrowing from political science's analytical tool of multi-level governance to highlight the complex interrelations between European rights and regulatory law and national private law; and secondly attempts actively to assess the legitimacy of the impact of integration upon private law with the aid of the explicitly normative theory of deliberative supranationalism. However, precisely because Europe remains in a state of flux, and dependent upon contingent political processes, no final conclusions are drawn: as is the case with so many areas subject to integrationist logic, the contours of the ‘new European private law’ cannot be laid down in advance, and are instead a long and weary matter of cooperation and fine-tuning between national and European judiciaries.     

Delegation of Regulatory Powers in a Mixed Polity

It is a common place of academic and political discourse that the EC/EU, being neither a parliamentary democracy nor a separation‐of‐powers system, must be a sui generis polity. Tocqueville reminds us that the pool of original and historically tested constitutional models is fairly limited. But however limited, it contains more than the two systems of rule found among today's democratic nation states. During the three centuries preceding the rise of monarchical absolutism in Europe, the prevalent constitutional arrangement was ‘mixed government’—a system characterised by the presence in the legislature of the territorial rulers and of the ‘estates’ representing the main social and political interests in the polity. This paper argues that this model is applicable to the EC, as shown by the isomorphism of the central tenets of the mixed polity and the three basic Community principles: institutional balance, institutional autonomy and loyal cooperation among European institutions and Member States. The model is then applied to gain a better understanding of the delegation problem. As is well known, a crucial normative obstacle to the delegation of regulatory powers to independent European agencies is the principle of institutional balance. By way of contrast, separation‐of‐powers has not prevented the US Congress from delegating extensive rule‐making powers to independent commissions and agencies. Comparison with the philosophy of mixed government explains this difference. The same philosophy suggests the direction of regulatory reform. The growing complexity of EC policy making should be matched by greater functional differentiation, and in particular by the explicit acknowledgement of an autonomous ‘regulatory estate’. At a time when the Commission aspires to become the sole European executive, as in a parliamentary system, it is particularly important to stress the importance of separating the regulatory function from general executive power. The notion of a regulatory estate is meant to emphasise this need.     

The Deterioration of Democratic Political Culture: Consequences of the Perception of Inequality

Using survey data from nine East European members of the European Union, I find that citizens’ political and social disengagement is strongly related to their perceptions of inequalities in society. Specifically, individuals’ perceptions that income and social inequalities are excessive clearly coordinates with lower levels of trust and political efficacy, as well as higher levels of both a general suspicion of others and political apathy. This is troubling as these attitudes and orientations are part of what constitute a healthy democratic political culture and thus germane to the long-term legitimacy of both national and EU governance. Further, in contrast to much of the work on inequality, this effect is neither contingent on individuals’ income levels nor clearly linked to national-level economic indicators.     

EU Citizenship and Religious Liberty in an Enlarged Europe

This article intends to contribute to the theoretical debate on how EU citizenship could be regarded as a bundle of common European individual rights (and, to a lesser extent, obligations) and part of a democratic polity in which every citizen counts equally irrespectively of his/her religious belonging and faith. The EU perceives itself as a community based on shared values. Since there is no European people, nor a European polity, common values play a core role in European polity building. The question, however, is whether common values can be experienced by the EU citizens in daily life and to what extent there are common values in the EU Member States. These issues are explored using the non‐discrimination principle on grounds of religion, as a litmus‐test for the existence of common values within Europe.     

Expanding the Constitution Beyond the Court: The Case of Euro-Constitutionalism

The paper addresses the role of the Court of Justice in the European integration process, as well as, more broadly, tensions between constitutionalism and new governance. I propose an account, according to which the judiciary should not be seen as standing in an aloof place in the political order, and as opposed to a—pluralistic, irrational, and anarchical—society, but rather as part of a continuum on which other governance arrangements are also placed according to their share in 'tribunality'—the deliberativeness of their decision-making processes and their openness to new facts.     

Open Stakeholder Consultations at the European Level—Voice of the Citizens?

The European Commission's open consultations of stakeholders are a central mechanism of the attempt to practice participatory governance at the European level and to open the political process to contributions from the societal sphere. This paper analyses the current practice of open consultations as one important operationalisation of participatory governance and as an implementation of Article 11 of the Treaty of the European Union (TEU). It asks whether consultations can be a means to give voice to the citizens and to increase the legitimacy of European institutions. The paper presents an empirical analysis of the field of participants in the consultations. A main finding is that business and industry organisations dominate the consultative process while the participation of citizens and not‐for‐profit organisations is generally weak. The paper explores to which extent the consultations can, considering the empirical findings, be seen as a suitable way for direct or representative citizen participation.     

美国多元主义政体成因探析

美国的政治过程是由一批权力中心的运作来体现的美国是典型的多元主义政体国家，这一强调个人和公民社会权利的政治体制表现为权力中心的多元化。多元主义政体在美国的形成不是偶然的，而是由美国独特的历史背景、自由主义的政治哲学、人们对纯粹民主政治可能导致弊端的担心以及美国利益多元化等多方面因素决定的。了解美国政治本质特征及其成因，有助于我们认识美国政治和美国政府的决策过程。     

'New Governance' in European Corporate Law Regulation as Transnational Legal Pluralism

The present transformation of European corporate governance regulation mirrors the challenges that have been facing the EU's continuously evolving polity, marked by tensions between centralised integration programmes, on the one hand, and Member State's embedded capitalisms, path-dependencies and rent-seeking, on the other. As longstanding concerns with remaining obstacles to more mobility for workers, services, business entities and capital in recent years are aligned with post-Lisbon commitments to creating the world's leading competitive market, European corporate governance regulation (ECGR) has become exposed to and implicated in a set of highly dynamic regulatory experiments. In this context, 'New Governance' offers itself as both a tentative label and immodest proposal for a more responsive and innovative approach to European law making. The following article assesses the recently emerging regulatory forms in ECGR as illustrations of far-reaching transformations in market governance. The arguable parallels between the EU's regulatory transformation in response to growing legitimacy concerns and the recurring question about whose interests a business corporation is intended to serve, provide the framework for an exploration of current regulatory trajectories in European corporate law that can most adequately be understood as a telling example of transnational legal pluralism.     

The Paradox of Constituent Power.The Ambiguous Self‐Constitution of the European Union

Abstract. The French and Dutch referenda on the adoption of a European Constitutional Treaty highlight a remarkable ambiguity in the self‐constitution of a polity, which can be viewed as both constitution by and of a collective self. This ambiguity is a fundamental feature of polities in general, and the European Union in particular. Rather than suppressing this ambiguity, democracy—and a fortiori a European democracy worth its name—institutionalises it as the guiding principle of political action. As will transpire, the conceptual and normative problems raised by political self‐constitution are linked to self‐attribution, i.e., the conditions under which a collective ascribes legislation to itself.     

我国公共场所图像监视法律治理路径分析

在过去的近十年中，我国的公共图像监视在政策、项目及资金等支持下得到迅猛发展。在我国特定的政治与社会背景下，公共场所图像监视是社会治安综合治理与公共安全技术防范系统的一个组成部分．呈现出政策创议、项目推动的发展历程。在法律治理和回应性法制视角下，公共图像监视法律治理是对公共图像监视实践的法律回应。目前，我国已初步构建起涵盖宪法、社会治安综合治理法律文件、公共安全技术防范法律文件、具体领域法律文件以及公共场所图像监视法律文件等公共场所图像监视法律治理的体系，但该体系仍然存在急需健全和完善的层面。