Conceptualizing throughput legitimacy: Procedural mechanisms of accountability,transparency, inclusiveness and openness in EU governance

This symposium demonstrates the potential for throughput legitimacy as a concept for shedding empirical light on the strengths and weaknesses of multi‐level governance, as well as challenging the concept theoretically. This article introduces the symposium by conceptualizing throughput legitimacy as an ‘umbrella concept’, encompassing a constellation of normative criteria not necessarily empirically interrelated. It argues that in order to interrogate multi‐level governance processes in all their complexity, it makes sense for us to develop normative standards that are not naïve about the empirical realities of how power is exercised within multi‐level governance, or how it may interact with legitimacy. We argue that while throughput legitimacy has its normative limits, it can be substantively useful for these purposes. While being no replacement for input and output legitimacy, throughput legitimacy offers distinctive normative criteria—accountability, transparency, inclusiveness and openness—and points towards substantive institutional reforms.     

The limits of proceduralism: Critical remarks on the rise of ‘throughput legitimacy’

‘Throughput legitimacy’ is among the most successful conceptual innovations that scholars of public policy and administration have produced in recent years. I argue that this new understanding of legitimacy needs to be seen in the context of an increasing proceduralism in political science and public administration. Throughput legitimacy attracted so much attention because it is the perfect normative companion to the analytical concept of governance. Governance is procedure, and throughput legitimacy tells us what good procedures are. In my critical discussion of this innovation I examine the analytical value of the concept, as well as its normative and practical implications. I argue that, regarding concept formation, throughput legitimacy may enrich existing typologies of legitimacy but at the same time has a severe problem of fuzzy borders. Politically, throughput legitimacy lends itself to apologetic uses when it is applied as a tailor‐made normative standard for technocratic, non‐majoritarian institutions.     

Civil Society’s Claims to Political Representation in Brazil

Civil society is laying claim to political representation in contemporary democracies, destabilizing long-standing ideas about democratic legitimacy. The participatory governance structures that have emerged alongside classic institutions of representative democracy encompass not only direct citizen participation but also political representation by civil society actors. Using original data from São Paulo, Brazil, we show that most of civil society actors that work for the urban poor claim political representation of their “constituency.” Theirs is more often than not an “assumed representation,” we suggest, because our data show that most lack formal members and do not select leaders through elections. Civil society actors (in contrast to political parties and labor unions) lack historically settled and politically sanctioned mechanisms to authorize and hold accountable their representation. This new layer of political representatives therefore faces a historic challenge—constructing novel notions of democratic legitimacy that can support their forms of representation. We examine what new notions of representations are emerging and trace the historic roots of the most widespread and promising that focus on remedying inequality in access to the state.     

Democratic legitimacy and the ec:crossing the rubicon

Democratic legitimacy in the European Community has usually been seen in limited terms as a problem of securing the election of the European Parliament by direct, universal, manhood suffrage. The issue is more complex and multi-faceted. Legitimacy is contested and divided between the supranational and national levels of government. It is conditional and evolutionary. It is expressed through the dispute over the appropriate balance of power and exercise of authority among the key supranational decisionmaking institutions and the argument over the issue of decisionmaking appropriateness, efficiency, transparency and accountability. The article concludes that the continuing problem of democratic legitimacy inheres in the EC's crisis of political authority; that the new provisions introduced through the Maastricht process may de-legitimize rather than reinforce legitimacy; and that the new Treaty provisions are an essential but not sufficient precondition to remedying the democratic deficit and democratic legitimacy.     

Crystallizing and Emancipating Identities in Post-Communist Estonia

This article concerns collective identities in the context of EU enlargement and the post-Soviet transition of Estonian society, particularly of the two main ethno-linguistic groups: ethnic Estonians and the Russian-speaking population in Estonia. The empirical basis of the study is formed by factor structures of self-identification. The data were obtained from nationally representative surveys carried out in 2002, before Estonia joined the EU, and in 2005. The thinking patterns behind the structures of self-categorization are discussed mainly on the basis of theoretical concepts of individualization and transition culture. For background information, comparative data collected in Latvia (2006) and in Sweden (2003) are used. The survey results reveal that in the post-communist transformation, EU integration and spread of global mass culture have homogenized the mental patterns of the Estonians and the Russians. It is characteristic of post-communist Estonia that both minority and majority groups have utilized trans-national and civic identity and individualistic patterns of self-identification in terms of (sub)culture and social and material achievement, extracted from social norms and existing structures. Surveys confirm that for political actors in both Estonia and Russia it is hardly possible any more to create a common umbrella identity for the Russians in Estonia—the self-designation patterns of the Estonian Russians have been emancipated during the transition period.     

The EU ‘partnership principle’: still a sustainable governance device across multiple administrative arenas?

This article analyses the 'partnership principle'– which is of particular importance for multilevel governance interpretations of European integration – as it evolved in EU regional policy–making. After sketching in the crucial analytical lines of the current debate on 'partnership' on the example of the implementation of the EU structural policy in Germany, I examine how it functions. A closer look at two important sub–fields of 'partnership'–'societal participation' and 'policy evaluation'– reveals that theoretical expectations regarding its transforming potential, in terms of pitting supranational and subnational actors against central state authority and thereby circumventing the latter, have not materialized. On the contrary, recently rising resentment and out–and–out conflict between the European Commission and regional authorities so far point to theoretically unexpected limitations of 'partnership', calling into question whether it is an appropriate and sustainable inter–administrative co–ordination device – at least when viewed from the perspective of the EU multilevel governance thesis. In the light of the reported insights into the practice of 'partnership', this 'new mode of EU governance' thus needs to be reassessed.     

ORGANIZING THE CORE EXECUTIVE FOR EUROPEAN UNION AFFAIRS: COMPARING FINLAND AND SWEDEN

Examining core executive organization for EU affairs in Finland and Sweden, this article uncovers how change agents used European integration deliberately to strengthen their role in the domestic settings through taking control of EU policy co‐ordination. In both countries, EU membership was an exogenous factor that enabled the offices of the PM to secure a more powerful position and advance their own institutional agendas. This strengthened their leadership role and weakened the respective foreign ministries, whose legitimacy in EU co‐ordination was undermined by the discourse that matters pertaining to this co‐ordination should be treated as domestic policy instead of foreign policy. This discourse proved instrumental in the organizational reforms and core executive restructuring. Both countries also provide evidence of intra‐Nordic organizational learning since the Finnish co‐ordination system was based on lessons drawn from Denmark whereas the subsequent Swedish reform was inspired and legitimized by changes in Finland.     

Ethnic Group Identity and the Roma Social Movement: Transnational Organizing Structures of Representation

This paper examines the relationship between European integration and ethnonational demands with the example of selected regions in the European Union (EU). It follows the theoretical premises of new regionalism and explores the ways in which ethnonational groups use the opportunities and resources of European governance to express their identities, material interests, and political demands. Methodologically, it conducts a plausibility probe of the potential effects of European integration on ethnonationalism by testing for regional differences in identities, interests, and political attitudes. The case studies are drawn from the UK (Wales and Scotland), Belgium (Flanders), Austria (Carinthia and Burgenland), Romania (Northwest and Center regions), and Bulgaria (South-Central and South-Eastern regions) as a representative selection of regional interests in the EU. The paper finds that European integration affects ethnonational groups by reinforcing identity construction in the direction of inclusiveness and diversity. Although regional actors are more supportive of the EU than the European publics in general, they also seek access to representation in the authority structures of the state. Based on these findings, the paper concludes that European integration facilitates a growing public acceptance of its resources, in parallel with persisting allegiances to the nation-state, the community, and ethnoregional distinctiveness.     

A genealogy of EU discourses and practices of deliberative governance: Beyond states and markets?

The article offers a genealogy of ‘deliberative governance’ in the EU—an important contemporary discourse and practice of ‘throughput legitimacy’ within that setting. It focuses on three key episodes: the late 1990s ‘Governance’ reports of the European Commission's in‐house think‐tank, the Forward Studies Unit (FSU); the Commission's 2001 White Paper on Governance; and the EU's ‘Open Method of Coordination’, which emerged in the 1990s and was widely studied in the early and mid‐2000s. The genealogy serves to highlight the particular intellectual lineages and political contingencies associated with such a discourse and in so doing points to its exclusive potential in both theory and practice. In particular, the article argues that it excludes, on the one hand, those championing the enduring sociological and normative importance of the nation state and an associated representative majoritarianism and, on the other hand, those (excessively) critical of a functionalist, neoliberal, market‐making status quo.     

Empirical legitimation analysis in International Relations: how to learn from the insights – and avoid the mistakes – of research in EU studies

ABSTRACT

The political legitimation (or de-legitimation) of the European Union (EU) has been the object of much empirical research. This paper argues that this research holds lessons that can inform debates about the legitimation of global governance more generally. After some conceptual clarifications, the paper presents a critical review of the literature on the EU’s legitimation, focusing on six crucial aspects – (1) the emergence and change of legitimation debates; (2) the arenas where legitimation occurs; (3) the role of the state as a reference point in legitimacy assessments; (4) the difference between various objects of legitimation; (5) the actors that trigger legitimation change; as well as (6) the relationship between legitimation and polity development. In each of these respects, the paper identifies important insights that can be gained from EU Studies, but also conceptual and methodological weaknesses in the EU-related literature that researchers working on other aspects of global governance should avoid. The paper closes by formulating a set of general desiderata for empirical legitimation research in International Relations.     

Integration,functional differentiation and problem‐solving in multilevel governance

The European Union (EU) is currently facing unprecedented challenges to its problem‐solving capacity, such as those represented by pressing transnational crises and by bottom‐up criticisms towards the European integration process. Moreover, the EU is said to compensate its weak input legitimacy with an enhanced problem‐solving capacity. However, the notion of problem‐solving itself has remained remarkably vague in the multilevel governance (MLG) literature. This symposium analyses problem‐solving in different MLG settings. In this introduction, we identify procedural and operational notions of problem‐solving in MLG, and present a structural framework to guide the comparative analyses of multilevel systems along the dimensions of political integration, functional differentiation and decentralization. The contributions to the symposium illustrate how structural elements of different multilevel systems shape both the policy‐making process and the politics of problem‐solving within these systems. In doing so, they pave the way for further comparative research.     

Explaining Informal Policy-Making Patterns in the Eurozone Crisis: Decentralized Bargaining and the Theory of EU Institutions

ABSTRACT

During the Eurozone crisis, the so-called ‘Merkozy duumvirate’ emerged as an informal, but highly visible EU policy-making pattern. This article asks why such forms of decentralized bargaining emerge and what this implies for the theory of EU institutions. According to an approach based on negotiation theory, the article argues that Merkozy is a strategic tool used by Germany to realize its preferences on EU crisis management. Based on an incomplete contracts theory of EU institutions, instead, the article analyses Merkozy as an informal institution created by France and Germany to avoid being discriminated by supranational institutions. Both approaches are employed to assess Merkozy’s role in the decision-making process leading to the adoption of the Fiscal Compact.     

THE LISBON AGENDA AND ENTREPRENEURSHIP POLICY: GOVERNANCE IMPLICATIONS FROM A GERMAN PERSPECTIVE

With the Lisbon Strategy and mandate, the European Commission committed itself to promoting entrepreneurship as a major driver of innovation, competitiveness, and growth. This paper demonstrates that the renaissance of entrepreneurship policy along with the implementation of the Lisbon Agenda resulted in the localization of policy‐making, and re‐strengthened policy‐makers on the ground to successfully mobilize directly at the supranational level. Furthermore, it shows that EU entrepreneurship policy‐making has contributed to a shift from hierarchical government to a more horizontal and interactive form of governance in the new German Laender which were highly exposed to Structural Funds and the Lisbon Agenda. The focus of analysis on the sub‐national level helps to fill an academic void in Europeanization and governance literature. By integrating a region‐ and policy‐specific perspective, this contribution goes beyond theorizing the regional dimension of Europeanization in a multi‐level governance scheme.     

Quo Vadis Judicial Reforms? The Quest for Judicial Independence in Central and Eastern Europe

This article examines judicial reforms in the new member states of the EU in a comparative perspective. It explores the interactions between domestic and European actors in the Czech Republic, Poland, Hungary, Romania and Bulgaria and explains why the EU has had a differential impact on the way the principle of judicial independence has been implemented nationally. The differential impact of the EU is explained by considering both the nature of EU conditionality and the relationship between the judiciary and the political actors at the domestic level. The comparison reveals that the power of the EU is greater when tensions at the domestic level between judicial and political actors increase.     

EU LEGISLATION AND NATIONAL REGULATION: UNCERTAIN STEPS TOWARDS A EUROPEAN PUBLIC POLICY

The EU with its supranational powers is a unique institution. Contrary to other international organizations, it can make laws that are binding to its member governments as well as to their citizens and enterprises. However, reviewing the literature, we find little consensus as to its true role as a lawmaker. This article and the articles that follow in this symposium remedy this empirical deficiency. The present article presents a comprehensive analysis of the scope of binding EU regulation. The EU is presented as an important lawmaker. It has, with considerable effectiveness, been able to overcome recurrent crises that have often called its very viability into question. But the same analysis also reveals that the EU, in spite of several treaty reforms expanding its responsibilities into new policy areas, remains a predominantly economic regulator. Finally, EU lawmaking is to an increasing extent delegated to the European Commission, dedicated to the de facto task of maintaining the internal market. Although this article and the articles that follow it cover the present, and refer to the European Union (EU), the EU, since its creation in the 1950s, has changed its official name several times.     

The New Era of Stakeholder Engagement: Gaining,Maintaining, and Repairing Legitimacy in Nonprofit Organizations

The need for nonprofits to foster legitimacy within their communities has led to growing calls for mechanisms of sound governance based on the engagement of stakeholders in organizational activities. Previous studies have investigated the mix of governance mechanisms used by nonprofits to manage legitimacy, without paying attention to the different challenges of legitimacy these organizations face. Aiming to fill this gap, this article employs a multiple case study methodology to explore how mechanisms for engaging stakeholders in governance can be shaped by the need to gain, maintain, or repair legitimacy. The findings show that formal mechanisms based on the direct designation of board members by local stakeholders play a pivotal role in repairing legitimacy. Gaining legitimacy requires actual participation of stakeholders, while maintaining legitimacy calls for formal mechanisms that balance representativeness and competencies of the leadership.     

Advocating for the cause of the “victims of Communism” in the European political space: memory entrepreneurs in interstitial fields

The European Parliament (EP) adopted, between 2004 and 2009, a series of resolutions calling for recognition of Communist crimes and commemoration of their victims. This article focuses on an overlooked aspect of anti-Communist activism, the awareness-raising activities carried out by some Central European Members of the European Parliament (MEPs) to perpetuate the cause through networks that enable them to exchange institutional credibility, scientific legitimacy, and policy-oriented knowledge with Institutes of National Memory, parts of academia, and victims associations. Although they use the techniques of expertise and scandalization that are often effective in European institutions, these memory entrepreneurs have largely failed to further their claims in the European Union (EU) after 2009. In line with the turn toward “practice” in EU studies and the increased attention paid to agency in memory politics, this article contends that the conditions of production of their narrative of indictment of Communism accounts for this relative lack of success. Because their demands produced a strong polarization inside the EP while colliding with established Western patterns of remembrance, these MEPs’ reach remains limited to their Conservative peers from the former Eastern bloc. This weak national and ideological representativeness hinders their capacity to impose their vision of the socialist period in the European political space.     

LOCAL POLITICAL PARTICIPATION: THE IMPACT OF RULES‐IN‐USE

This article argues that political participation is shaped by locally distinctive ‘rules‐in‐use’, notwithstanding the socio‐economic status or level of social capital in an area. It recognizes that the resources available to people, as well as the presence of social capital within communities, are potential key determinants of the different levels of local participation in localities. However, the article focuses on a third factor – the institutional rules that frame participation. Levels of participation are found to be related to the openness of the political system, the presence of a ‘public value’ orientation among local government managers, and the effectiveness of umbrella civic organizations. Whereas resources and social capital are not factors that can be changed with any great ease, the institutional determinants of participation are more malleable. Through case study analysis, the article shows how actors have shaped the environment within which citizens make their decisions about engagement, resulting in demonstrable effects upon levels of participation.     

The limits of mediation in the Arab Spring: the case of Syria

This article investigates the limits of mediation during the Arab Spring by focusing on the case of Syria. It examines international mediation attempts by states, non-governmental organisation, and regional and international organisations. Drawing largely on Bercovitch and Gartner’s framework of mediation outcomes, the study suggests that the directive strategy applied by Staffan de Mistura through the United Nations–Arab League joint effort has achieved the closest outcome towards a full settlement. Mediation in the Syrian crisis has been limited by disagreement among key actors, lack of commitment and of coordinated efforts, questions of representation and legitimacy, and lack of neutrality and of inclusiveness. Despite its limits, mediation has been able to achieve important gains such as the longest and broadest ceasefire, access to the majority of besieged areas, considerable de-escalation of violence, commitment among key actors towards a resolution, and resolution of incidents of hostage crises. Despite its limits, mediation is likely to play an important role vis-à-vis the Arab Spring.     

Celebrity-led development organisations: the legitimating function of elite engagement

The past decade has seen a frontier open up in international development engagement with the entrance of new actors such as celebrity-led organisations. We explore how such organisations earn legitimacy with a focus on Madonna’s Raising Malawi and Ben Affleck’s Eastern Congo Initiative. The study draws from organisational materials, interviews, mainstream news coverage, and the texts of the celebrities themselves to investigate the construction of authenticity, credibility, and accountability. We find these organisations earn legitimacy and flourish rapidly amid supportive elite networks for funding, endorsements, and expertise. We argue that the ways in which celebrity-led organisations establish themselves as legitimate development actors illustrate broader dynamics of the machinery of development.