Decision-Making in the Council of the European Union:
The Role of Committees
PROEFSCHRIFT
ter verkrijging van
de graad van Doctor aan de Universiteit Leiden,
op gezag van Rector Magnificus prof.mr. P.F. van der Heijden,
volgens besluit van het College voor Promoties
te verdedigen op donderdag 23 oktober 2008
klokke 13.45 uur
door
Frank Michael Häge
geboren te Geislingen an der Steige (Duitsland)
in 1975
Promotiecommissie
Promotor:
Prof. Dr. Bernard Steunenberg
Referent:
Prof. Dr. Jan Beyers (Universiteit Antwerpen)
Overige leden:
Prof. Dr. Liesbet Hooghe (Vrije Universiteit Amsterdam)
Prof. Dr. Madeleine O. Hosli
Prof. Dr. David Lowery
Prof. Dr. Gerald Schneider (Universität Konstanz)
© Frank M. Häge, Leiden
Optima Grafische Communicatie
Rotterdam
ISBN: 978-90-8559-392-8
All rights reserved. No part of this publication may be reproduced, stored in a
retrieval system, or transmitted, in any form or by any means, electronic, mechanical,
photocopying, recording or otherwise, without the prior written permission from the
author.
Contents
Tables
..................................................................................................................V
Figures ................................................................................................................ VI
Abbreviations .......................................................................................................VII
Acknowledgements ................................................................................................ IX
Part I
Introduction and background ..................................................................1
1
The study of Council committees................................................................... 3
2
The Council’s committee system ..................................................................15
3
Existing research on Council decision-making ..............................................39
4
Theoretical perspectives on Committee decision-making ..............................57
Part II
Quantitative analysis ..............................................................................81
5
Sample selection ...........................................................................................83
6
Describing the extent of committee decision-making ....................................89
7
Explaining the variation in committee decision-making ................................95
Part III Qualitative analysis ..............................................................................109
8
Methodological issues.................................................................................111
9
Agriculture .................................................................................................125
10
Environment ...............................................................................................159
11
Economic and Financial Affairs ..................................................................197
12
Summary and between-sector comparison...................................................231
Part IV Synthesis and conclusion ......................................................................239
13
Discussion of research results and theory building ......................................241
14
Conclusion..................................................................................................253
References.............................................................................................................259
Samenvatting ........................................................................................................269
Curriculum Vitae .................................................................................................275
I
Detailed contents
Tables
..................................................................................................................V
Figures ................................................................................................................ VI
Abbreviations .......................................................................................................VII
Acknowledgements ................................................................................................ IX
Part I
1
2
3
4
II
Introduction and background ..................................................................1
The study of Council committees................................................................... 3
1.1
Contributions of the study ...................................................................... 4
1.2
Research approach and methods............................................................. 7
1.3
Plan of the book ....................................................................................11
The Council’s committee system ..................................................................15
2.1
Council committees in EU legislative decision-making .........................15
2.2
The organisational structure ..................................................................23
2.3
Long-term trends in Council committee activity....................................30
2.4
The role, organisation and activities of Council committees ..................36
Existing research on Council decision-making ..............................................39
3.1
The extent of committee decision-making .............................................40
3.2
Committee communication and co-operation patterns ...........................43
3.3
Committee member socialisation...........................................................45
3.4
Committee interaction styles .................................................................47
3.5
Policy outcomes of Council decision-making ........................................48
3.6
Process characteristics of Council decision-making...............................52
3.7
Summary of the literature review ..........................................................53
Theoretical perspectives on Committee decision-making ..............................57
4.1
Preferences, institutions, and policy stability .........................................58
4.2
Committee socialisation ........................................................................65
4.3
Policy uncertainty, salience, and delegation...........................................71
4.4
The theoretical arguments in brief .........................................................77
Detailed contents
Part II
5
6
7
III
Quantitative analysis ..............................................................................81
Sample selection ...........................................................................................83
5.1
Selection criteria ...................................................................................83
5.2
Selection procedure...............................................................................85
Describing the extent of committee decision-making ....................................89
6.1
Measuring committee decision-making .................................................89
6.2
Results of the descriptive analysis .........................................................92
Explaining the variation in committee decision-making ................................95
7.1
Operationalisation of variables ..............................................................95
7.2
Results of the statistical analysis .........................................................101
7.3
Summary and discussion .....................................................................106
Part III Qualitative analysis ..............................................................................109
8
9
10
Methodological issues.................................................................................111
8.1
The complementarity of quantitative and qualitative research..............111
8.2
Advantages and disadvantages of a nested design................................112
8.3
Case selection criteria..........................................................................114
8.4
Data sources and collection .................................................................119
Agriculture .................................................................................................125
9.1
Geographical Indications Regulation...................................................126
9.2
Leaf Tobacco Regulation ....................................................................138
9.3
Comparative analysis ..........................................................................148
9.4
Appendix: Development of individual negotiation issues ....................156
Environment ...............................................................................................159
10.1
Ambient Air Directive.........................................................................160
10.2
Batteries Directive...............................................................................169
10.3
Comparative analysis ..........................................................................183
10.4
Appendix: Development of individual negotiation issues ....................192
IV
11
12
Detailed contents
Economic and Financial Affairs ..................................................................197
11.1
Parent-Subsidiary Directive.................................................................199
11.2
Mergers Directive ...............................................................................209
11.3
Comparative analysis ..........................................................................220
11.4
Appendix: Development of individual negotiation issues ....................228
Summary and between-sector comparison...................................................231
12.1
Summary of the within-sector comparisons .........................................231
12.2
Between-sector comparison.................................................................234
Part IV Synthesis and conclusion ......................................................................239
13
14
Discussion of research results and theory building ......................................241
13.1
Synthesis of the quantitative and qualitative research findings.............242
13.2
Towards a procedural theory of Council decision-making ...................250
Conclusion..................................................................................................253
14.1
The legitimacy of Council decision-making ........................................253
14.2
Challenges for future research .............................................................255
References.............................................................................................................259
Samenvatting ........................................................................................................269
Curriculum Vitae .................................................................................................275
Tables
Table 2.1
Working parties and sub-areas by Council formation ..........................29
Table 3.1
The extent of committee decision-making: Previous research .............41
Table 6.1
Decision-making level by Council formation ......................................93
Table 7.1
Description of variables and data sources............................................97
Table 7.2
The linkage of Council formations with party policy positions............98
Table 7.3
Determinants of committee decision-making ....................................102
Table 7.4
Effects of changes in the explanatory variables .................................105
Table 8.1
Characteristics of selected cases........................................................118
Table 8.2
List of case study interviews .............................................................123
Table 9.1
Geographical Indications Regulation: Main decision-making events.130
Table 9.2
Leaf Tobacco Regulation: Main decision-making events ..................140
Table 9.3
Agriculture: Types of negotiation outcomes by Council level ...........151
Table 10.1
Ambient Air Directive: Main decision-making events.......................162
Table 10.2
Batteries Directive: Main decision-making events.............................173
Table 10.3
Environment: Types of negotiation outcomes by Council level .........187
Table 11.1
Parent-Subsidiary Directive: Main decision-making events...............202
Table 11.2
Mergers Directive: Main decision-making events .............................211
Table 11.3
Taxation: Types of negotiation outcomes by Council level ...............224
Table 12.1
Summary of the within-sector and between-sector comparison .........237
V
Figures
Figure 2.1
The internal decision-making process of the Council ..........................17
Figure 2.2
Organisational structure of the Council ...............................................26
Figure 2.3
Yearly meeting days of ministers, 1958-2004 .....................................31
Figure 2.4
Yearly meeting days of Coreper, 1958-2004 .......................................32
Figure 2.5
Yearly meeting days of working parties, 1958-2004 ...........................33
Figure 2.6
Distribution of meeting days across Council levels, 1958-2004...........35
Figure 4.1
Unanimity and qualified majority core................................................61
Figure 4.2
Small and large preference divergence unanimity cores ......................62
Figure 4.3
Qualified majority committee core and co-decision core.....................64
Figure 4.4
Performance norms winset of socialised committee members .............68
Figure 4.5
The delegation set of the minister in a one-dimensional policy space ..74
Figure 9.1
Geographical Indications Regulation: Negotiation process................131
Figure 9.2
Leaf Tobacco Regulation: Negotiation process .................................141
Figure 9.3
Agriculture: Comparison of negotiation processes ............................149
Figure 9.4
Geographical Indications Regulation: Negotiation issues ..................156
Figure 9.5
Leaf Tobacco Regulation: Negotiation issues....................................158
Figure 10.1
Ambient Air Directive: Negotiation process .....................................164
Figure 10.2
Batteries Directive: Negotiation process ...........................................175
Figure 10.3
Environment: Comparison of negotiation processes ..........................186
Figure 10.4
Ambient Air Directive: Negotiation issues........................................192
Figure 10.5
Batteries Directive: Negotiation issues..............................................194
Figure 11.1
Parent-Subsidiary Directive: Negotiation process .............................203
Figure 11.2
Mergers Directive: Negotiation process ............................................213
Figure 11.3
Taxation: Comparison of negotiation processes ................................222
Figure 11.4
Parent-Subsidiary Directive: Negotiation issues................................228
Figure 11.5
Mergers Directive: Negotiation issues...............................................229
VI
Abbreviations
AT
Austria
BE
Belgium
CAP
Common Agricultural Policy
CFSP
Common Foreign and Security Policy
CoR
Committee of the Regions
Coreper
Committee of Permanent Representatives
CY
Cyprus
CZ
Czech Republic
DE
Germany
DG
Directorate general
DK
Denmark
TEC
Treaty establishing the European Community
ECJ
European Court of Justice
EE
Estonia
EL
Greece
EP
European Parliament
ES
Spain
ESC
Economic and Social Committee
EU
European Union
FL
Finland
FR
France
HU
Hungry
IE
Ireland
IT
Italy
LT
Lithuania
LU
Luxembourg
LV
Latvia
MT
Malta
NiCad
Nickel-cadmium
NL
Netherlands
PAH
Polycyclic aromatic hydrocarbons
VII
VIII
Abbreviations
PL
Poland
PSC
Political and Security Committee
PT
Portugal
SCA
Special Committee on Agriculture
SE
Sweden
SCIFA
Strategic Committee on Immigration, Frontiers and Asylum
SK
Slovakia
SL
Slovenia
TRIPS
Trade-Related International Property Rights
UK
United Kingdom
WP
Working party
WTO
World Trade Organisation
Acknowledgements
This research project benefited from many comments and discussions on various
occasions. Earlier versions of parts of the thesis were presented at the Annual Work
Conference of the Netherlands Institute of Government (NIG, 2004 and 2006), at the
Third Pan-European Conference on EU Politics of the ECPR Standing Group on the
European Union (2006), and at the 36th Annual Conference of UACES (2006).
Furthermore, elements of the thesis were discussed several times at the AiO Seminar
at Leiden University and at the European PhD Research Colloquium on ‘Democracy
and the European Union’. I would like to thank the participants of these conferences
and seminars for their valuable comments and constructive criticisms. Special thanks
go to Michael Kaeding and Dimiter Toshkov, who provided continuous feedback and
valuable advice throughout the entire life of the project. Needless to say, any
remaining errors are mine.
The implementation of this research project also profited greatly from graduate
training received from the NIG and from several international summer schools in
Europe and the United States. I would like to thank the teachers that capably
introduced me to relatively unfamiliar topics like advanced game theory or fuzzy set
and qualitative comparative analysis. I gratefully acknowledge financial support by
the NIG and the Leiden University Fund, without which participating in many of
these conferences and training programmes would not have been possible.
Furthermore, I would like to thank Aisling Buckley for proof-reading the entire
manuscript, Toon Kerkhoff and Ineke Smit for translating the thesis summary into
Dutch, and Sage Publications for allowing me to use parts of a copyrighted article
published earlier in the journal European Union Politics. I am also grateful to the
investigators of the Chapel Hill expert survey for providing their data on the positions
of parties with respect to European integration and to the officials of the Council
Secretariat for their patient and comprehensive responses to my rather extensive
requests for access to Council documents. The cover of this thesis represents a sketch
of the seating order in the Council following the accession to the EU of Bulgaria and
Romania in January 2007. The sketch is a direct adaptation of the seating plan
annexed to Council document 6046/05. Finally, I am most grateful to the European
and national officials I interviewed for sharing their precious time with me and for
answering all my questions about the intricacies of Council decision-making.
IX