From the Europeanization of Law-Making to the Europeanization of National Legal Orders: The Case of Austria Marcelo Jenny & Wolfgang C. Müller Department of Political Science University of Mannheim ABSTRACT This article addresses the scope of legal Europeanization with regard to Austria, a 1995 accession country. Depending on the choice among several plausible indicators of legal Europeanization, the relative impact of the EU varies greatly. The share of EU-related legislation peaked in the preaccession period when most of the acquis communautaire needed to be adopted. In the membership period legislation that relates to the EU accounts for almost 25 percent of the enactments. Although government decrees outnumber laws as means of transposition, EU-related rules constitute a much smaller share of delegated legislation. Collectively, EU-related rules constitute a tenth of the Austrian legal order. Yet, by mid-2003 42 percent of Austria’s original laws, the core of its legal order, were related to EU rules. While missing some inflated expectations, legal Europeanization is indeed a major feature of the Austrian legal order. The article confirms expectations derived from the political controversy of EU affairs, federalism, and legal traditions. 1. Introduction Being endowed with only moderate financial and personnel resources, what today is the European Union, has drawn on its power to establish binding rules for its member states and their citizens and hence evolved into a regulatory confederation (Majone et al. 1996; Majone 2005). Thus far legal Europeanization (i.e. policy harmonization through European law) is a one-way street. In accordance with the idea of ‘ever closer’ integration, there is no history of de-unionizing regulation. Even ‘negative integration’ (Scharpf 1999) – the removal of barriers for the purpose of market integration – typically means re-regulation rather than deregulation. All this gives plausibility to the grand vision of Jacques Delors from 1988 that by 1998 the European Community would be the source of 80 per cent of economic and perhaps even fiscal and social legislation governing EU member states. Of course, this prediction is a perhaps biased speculation of a politician about real world developments and as such of limited relevance. Yet, it is important as it raises an important substantive issue – the scope of 1 legal Europeanization – and because of its perception by important political actors and academics (e.g. Hix 1999, 3), who have often taken it as an accurate description of reality. When the famous Delors statement was made, Austria was not a member of the EU, but it was in 1998. Largely due to its status as a permanently neutral country (that was chosen in 1955 in order to get the Allied occupation forces out of the country) Austria could not take part in the first steps of European integration as a full member of the club. However, it always aimed at the closest relations with the emerging European Union that were possible under the given circumstances. Thus, a number of treaties between Austria, or the EFTA countries, respectively, and the EEC provided mutual market access. The single-market project provided a final impetus for membership, which seemed possible now after the lifting of the iron curtain and the breakdown of Communism in Eastern Europe. Austria applied for EC membership in 1989, ratified the European Economic Area (EEA) Treaty in 1992, and became a full EU member in 1995. Austria was a founding member of the European Currency Union in 1999 and since deciding for full membership Austria’s ambition has been to shape itself as a core country of the EU. But what are the consequences of membership? A growing literature provides some overall assessments on policy-making (e.g. Falkner 2000, 2006), the national coordination of taking positions in EU bodies (Müller 2000, 2001), parliamentary scrutiny of EU affairs (e.g. Blümel and Neuhold 2001; Müller et al. 2001; Pollak and Slominski 2003), and specific policy consequences for various sectors. Notwithstanding the importance of these contributions, there is no natural metric for their integration that provides us with a comprehensive account of Austria’s Europeanization. Hence, overall assessments of the EU’s impact on Austria often take their departure from the Delors estimate. Note, however, that hearsay has tended to inflate the expectations. While Delors was careful to limit his claim to economic legislation (with the possible extension to fiscal and social legislation), the popular reading is just ‘legislation’. Interestingly, this is reflected in the perception of Austrian political practitioners. According to the long-serving chairman of the finance committee of the Austrian parliament Ewald Nowotny (1998) about 70 percent of all laws passed by the Austrian parliament are either directly or indirectly the implementation of or adaptation to EU directives (see also Wohnout 1999). Likewise, several other Austrian MPs have estimated shares of up to 70 percent in their responses to open-ended questions in personal interviews conducted in 1997–98 (Müller et al. 2001, 479). Similar estimates have been given by MPs interviewed in 2005. However, not all politicians share such extensive interpretations of Europeanization. The then president of parliament, Heinz Fischer, in an interview with the 2 Austrian television program ‘Hohes Haus’ in 2002 has explicitly rejected these estimates, however, without providing precise figures. His own estimate was a share of EU-induced legislation of well below 50 percent. Note that such wild guessing is by no means confined to Austria. In Germany, a country that has many political and legal aspects in common with Austria, the former Federal President Roman Herzog, once law professor and president of the Constitutional Court, claimed that 80 percent of the German law would be based on EU law. In making this claim he drew on the answer to a parliamentary question by the Minister of Justice, which, however, was based on dubious assumptions (Plehwe 2007). Thus, we know very little about to what extent the EU impacts on the rules governing its member states. This is a highly relevant political question that, in turn, relates to issues such as the current degree of policy coordination, the potential for further integration, the popular response to ‘Europe’ and the relevant party political strategies. Although a simple question, providing answers requires methodological consciousness and painstaking empirical research. The different estimates of insiders referred to above need not necessarily conflict. Rather they may reflect the time of making these estimates and the ups and downs in the regulatory output of the European Union. Thus it is well known that the EU produced fewer directives for some years after the completion of the Single Market program (Pollack 2000, 529–37; Dehousse 2002), but it has risen again in the 1990s (see Figure 1 below). Also no attempt has been made to operationalize ‘EU-induced’ properly. Is a domestic law EUinduced only when it is exclusively devoted to the implementation of EU directives? Or, conversely, is a law EU-induced if it has any function of adaptation to EU rules? Obviously, such definitional issues can account for great variation in the number of EU-induced laws at the national level. This article makes four contributions, two descriptive, one methodological, and one theoretical. Descriptively, it shows the Europeanization of both Austrian legislation since 1992 and the country’s legal order. Two factors make Austria an interesting case. First, given the scarcity of research along these lines any national study is interesting. Second, as a latecomer to the European integration process Austria (like the two Nordic countries joining simultaneously) had to cope with more European demands on legal adaptation than earlier joiners. While this is likely to affect the substance of legislation (as it requires adaptation to rules in the making of which the new member state did not participate) we can expect even greater effects with regard to the process and methods of implementation. 1 In that respect the 1 Of course, market pressures and learning from other countries, in particular Germany, always have kept most of the Austrian rules largely in tune with European developments (e.g. Stadler 1991; Will 1991). 3 Austrian case should be relevant as a baseline for comparison for the even greater challenge faced by the new member states joining in 2004 and 2007. In short, the Austrian case should be in the category of most similar cases with regard to the mode of adapting the national legal framework to EU membership (and it is the only one within the 1995 class of latecomers that has been researched). The methodological contribution relates to the various measures of legal Europeanization and their consequences for the results. Ideal-typically legal Europeanization means that national legal orders are subjected to uniform pressures for adaptation to common European standards with regard to the what and how of regulation. Yet, there are different plausible ways of how to operationally define legal Europeanization. In this article we show that the choice of definition has a major impact on the result. Theoretically, the article identifies a few characteristics of the Austrian case and hypotheses how these may affect the measured impact of the EU on the legal order of member states. Specifically, we expect that political controversy, federalism, and legal tradition impact on the methods of transposition while federalism and legal culture impact on the measured degree of legal Europeanization. Clearly, given the largely uniform impulses – EU regulation – variation between member states and levels of government must result from differences in the national legal and political orders and processes. Yet, it may be such differences that make the EU appear more or less legitimate and influence the countries’ transposition and implementation records (cf. Haverland and Romeijn 2007). Of course, teasing out the effects of such factors would require a genuine comparative research design and more cases. Yet, the demanding data requirements both in terms of quantity and quality make this a daunting task. Developing a comparative research design for the question of legal Europeanization is not trivial and careful country studies can be of great help on that way. They allow exploring the complexity of the cases and hence help avoiding premature generalizations from the analysis of easy to access data (e.g. the Eur-Lex database). While hypotheses testing will remain a task for future research, a case study can make hypotheses plausible and hence justify the collection of the data required for their testing in comparative research designs. We begin by first lining out the political framework of legal Europeanization in Austria. From there we also formulate theoretical expectations. Next, we address the Europeanization of law-making, that is the impact of EU membership on the national laws passed immediately before accession and since then. We then turn to the accumulated effect of the EU on the Austrian legal order. In the Conclusion we summarize the main results. 4 2. Transposition: Politics and Legal Framework Political controversy of European integration Austrian EU membership was not uncontested, and the two-thirds majority in its favour in the 1994 referendum came as a surprise. Today Austria has one of the most Euro-sceptical electorates among the member states and the European integration dimension is relevant to party politics. At the same time, the Austrian parliament has ensured that its position in the European decision-making process is stronger than that of any other parliament (Bergman 1997; Maurer and Wessels 2001). Yet, in practice its direct impact has remained rather limited as the government–opposition divide dominated over the legislative–executive divide with the government majorities being able to maintain coherence (Müller 2000; Müller et al. 2001; Blümel and Neuhold 2001; Hegeland and Neuhold 2002; Neisser 2002; Pollak and Slominski 2003). In the period covered in this article two types of government were in office, initially a ‘grand coalition’ government of the Social Democrats (SPÖ) and People’s Party ÖVP that was replaced by a coalition of the ÖVP and Freedom Party (FPÖ) in 2000 (continued as an ÖVP-BZÖ cabinet after the FPÖ split in 2005). While the ÖVP and SPÖ engineered EU membership, the FPÖ opposed it and has transformed itself into an increasingly Eurosceptical party. Given the parliament’s unwillingness to make much out of its vast powers to steer EU policy and the solid pro-EU majority therein, there is not much genuine political incentive for the government to use secondary legislation and thereby bypassing parliament. Conversely, the government participation of Eurosceptical parties (the FPÖ and its 2005 breakaway, the BZÖ – the Alliance for Austria’s Future) has provided the mainstream parties with an incentive to maintain the transposition of EU rules in the hands of the parliament (rather than handing them over to individual cabinet ministers who may belong to Eurosceptic parties). The background to this expectation is that neither the Chancellor nor the cabinet have the formal right to give orders to individual ministers and although the Chancellor (and the minister’s party) can, in principle, exercise political pressure this is not always feasible. We hence expect that parliament plays a significant role in the transposition of EU rules. Federalism 5 Austria is a federal state, comprising nine Länder. Everything else equal, federal countries should have fewer rules at the federal level than unitary states and fewer EU rules should affect the federation’s jurisdiction. Provided that it is those tasks that are delegated to the federation that can be better served by centralization, we should also expect the federal level to be more affected by Europeanization than the state (Land) level. Delegating tasks of the federation to the EU would only mean to carry the economy-of-scales idea underlying centralization one step further. Yet, concern for national sovereignty should weigh-in more heavily than concern for regional autonomy and the optimal level of centralization may not always be the highest one. Notwithstanding these caveats we expect that in federal states the federal level is more affected by legal Europeanization than the state level. Although the Austrian Constitution has reserved the power to decide on all matters not explicitly given to the federation (Bund) for the Länder, their jurisdiction is very limited. The legislative power of the Länder is unconstrained with regard to area planning and related issues, tourism, nature protection, agriculture and forestry, hunting and fishing, sports, youth protection, and pre-school education. With regard to some more domains, including public welfare assistance, hospitals, land reform, and electricity production and supply, the Länder have the power to fill in details on the basis of national framework legislation (Fallend 2006, 1029). All the rest is the exclusive jurisdiction of the federation. Most national policies, however, are to be implemented by the Land administrations. Yet, the rule of law (see below) leaves them marginal leeway only. Legal tradition Austria is a civil law country, meaning that legislation is the primary source of law and courts decide cases by identifying the general principles underlying the specific case (rather than drawing on preceding cases, as in the case law tradition). Yet, the civil law countries are not a homogeneous group but fall into three distinct categories: the French, German, and Scandinavian traditions (Merryman 1969; Hausmaninger 2003). Austria belongs to the German tradition and indeed has contributed much to the legal positivism that is prevalent there with the writings and political impact of Hans Kelsen, the main author of its 1920 constitution. Article 18 of the Constitution demands that all acts of the public administration must be based on law. In simple words the legality principle of Article 18 means that all relevant contents of regulations need to take law form. The addressee of legal norms must be able to learn everything that is important to his or her position under the law from parliamentary legislation. Likewise, the law courts must be able to check administrative acts 6 against the law (Antoniolli and Koja 1986, 215–9, 141–64; Adamovich et al. 1998, 114). This leaves little room for delegated legislation for the purpose of introducing new norms. The major exceptions from this rule are specific empowerments of the administration by constitutional law (Antoniolli and Koja 1986, 153). Yet, enacting constitutional law requires a two-thirds majority in parliament and hence depends on building broad political consensus. While other civil law countries would refer to the same principles, nowhere they seem to have been taken as literal as in the Austro-German tradition. This may be largely due to constitutional review that in its European variety was invented in Austria (by Kelsen). In any case, the Austrian Constitutional Court traditionally has enforced Article 18 rigorously. The Court’s rulings and the training of law students who fill the ranks of bureaucracy in strict legal positivism have certainly helped to largely uphold the intent of the Constitution over the post-war period. Notwithstanding what just had been said, in recent years the Constitutional Court has increasingly accepted legislation that contains ‘final’ goals to be achieved by administrative action rather than detailed prescription of administrative action. Yet, constitutional lawyers agree that it is hard to predict what passes a testing by the Constitutional Court and what gets invalidated. Indeed, Article 18 figured prominently in the discussions of the Constitutional Convention aiming at a fundamental overhaul of the Austrian constitution in 2003–5. The government aimed at leaving it to parliament whether laws would carry all details or whether the administration would be empowered to fill-in substance by issuing decrees. The transpositions of very detailed EU rules figured prominently in making the case for a greater amount of delegation to the executive. Yet, the opposition considered this proposal as a carte blanche for government by decree and consequently rejected it. 2 The Constitutional Convention was also concerned with the government proposal of at least exempting those directives from the need for parliamentary legislation that already had been scrutinized by parliament in the ‘upstream’ process. Again, this idea was rejected. 3 Thus, legal positivism and conditional (rather than final) steering remain the dominant features of legislation, while the leeway for delegated legislation remains narrowly constrained and not always predictable when rules are put to a test by the Constitutional Court. Delegated legislation comes in the form of government decrees (Verordnungen). The relevant law spells out who is in charge for issuing decrees. Decree power mostly falls in the 2 Note that this proposal would de facto have left it to the major government party, the pro-EU ÖVP, when it would have employed detailed legislation in a pro-EU parliament (e.g. when otherwise a minister of its Eurosceptic coalition partner would have been in charge of the transposition) and when secondary legislation would have been sufficient (e.g. when an ÖVP minister was in charge). 3 See the Final Report of the Constitutional Convention, Part 3, pp. 78–9. 7 jurisdiction of individual government ministries, though the requirement of two or more government departments having to agree occurs relatively frequently. Occasionally, even the entire cabinet is entrusted with issuing government decrees. Yet, there is no hierarchy between the government decrees issued by the cabinet and those of individual ministers, as there is no hierarchy between various forms of constitutional laws. 4 Article 18 has, over the decades, helped weaving a dense web of detailed laws. This pattern of regulation bears the consequence that a considerable part of legislation must be devoted to the more or less regular ‘updating’ of existing laws. This includes minute textual revisions that do not exhibit any policy change. Technically, legal change often takes the form of omnibus laws that list the revisions of a number of existing laws in response to some common cause. The features of Austria’s legal tradition outlined here suggest that much transposition will take the form of parliamentary legislation. The complexity of the legal order suggests that different measures of its Europeanization are likely to lead to different results. The formal transposition process All of the extensive participation rights and special procedures that make the Austrian parliament formally the most powerfull in EU affairs of all member states relate to the upstream process of making rules in the EU (i.e. to the time before the EU bodies decide). In contrast, the downstream process – the transposition of EU rules into the national legal order – has not led to formal institutional adaptation (except intra-government centralization in 2003; see below). The legal requirements for the transposition of EU directives into the Austrian legal order are largely identical to national regulations that would carry the same regulatory content. The major exception is the fact that the rule-making process cannot end with a non-decision (i.e. the decision to maintain the status quo) without violating EU obligations. EU directives can be implemented by constitutional laws, laws, and government decrees (Verordnungen). What type of legal instrument is required is decided on a case-bycase basis. According to the Constitution, the choice of the legal instrument should be exactly the same for EU-induced regulation as for regulation exclusively triggered by domestic concerns. 4 Constitutional law comprises the Constitution in the narrow sense (the Bundes-Verfassungsgesetz), separate constitutional laws, and constitutional clauses in ordinary legislation. All have the same status. Only constitutional principles that must be derived from constitutional law by interpretation enjoy a superior status. 8 A new directive hence may require the enactment of a new law. This is certainly the case if the subject matter addressed by the relevant European directive is currently unregulated nationally. If there is already a specific law, several alternatives exist. First, the law (or laws plus further decree regulation) may already contain what is in the European directive. In such cases no further domestic action is required (though the relevant laws and decrees need to be notified to the European Commission and a technical reference to the EU directive needs to be incorporated in the already existing domestic legal acts). Second, if the law or even the Constitution contain regulations that conflict with those of the EU directive, amendments of the laws and/or the Constitution are required. Third, if a law exists that does neither conflict with nor exhaust the relevant EU directive decree regulation may be sufficient for transposing the directive’s uncovered contents. Yet, for that purpose it is required that the law provides for decree regulation and empowers the relevant minister. If such empowerment is not already contained in the law it needs to be introduced in order to ensure that the executive can decide on the substantive issues. Wherever frequent technical changes in EU directives (mostly in their appendices) are anticipated, the general strategy is indeed to empower the relevant minister so that future (technical) changes in the European rules can be transposed by the means of government decrees. The national division of tasks, as laid down in the Constitution and the Federal Ministries Law, establishes responsibilities for the implementation of EU directives. Experience has taught that being obliged to transpose newly enacted EU law is not sufficient to make individual ministries or Länder act. Hence, the 2003 amendment to the Federal Ministries Law (that was introduced in the context of the formation of the second ÖVP-FPÖ cabinet, Schüssel II), has introduced a new coordination competence for the Federal Chancellery. Based on this formal task, the Chancellery now takes an active part in establishing the domestic responsibilities for transposition and monitoring that process. Austria is a full EU member since 1995. Yet, Europeanization of legislation does not begin with formal membership. Rather, formal membership requires that most adaptations to the acquis communautaire have already been made. We therefore begin our empirical enquiry of EU effects with 1992. This was the year when the EEA Treaty was ratified and hence large-scale adaptation to EU norms went into full steam. Note that special rules applied for the transition period, when Austria participated in the EEA but was not yet a full EU member. The EEA Treaty was signed in May 1992 and ratified by the Austrian parliament in September 1992. EEA accession originally had been planned for January 1993, but eventually did not occur before 1994. Membership in the EEA not only required the ratification of the 9 EEA Treaty but also the transposition of the relevant body of existing EU law (i.e. the complete first pillar of EU legislation dealing with the ‘four freedoms’ – the free movement of goods, persons, services, and capital). According to an estimate by the head of the Federal Chancellery’s Constitutional Service department about 60 percent of the secondary EU law had to be implemented at that stage (Okresek 1998). Generally, national laws were seen as the appropriate means for the transposition of EU directives. Yet, the same constitutional law (Bundesgesetzblatt 115/1993) that subscribed to the principle of using parliamentary legislation opened a window for the use of delegated legislation. Provided that the newly created EEA Joint Committee had adopted EU directives and that these directives were sufficiently detailed (hence matching what was expected from a national law), the federal and Land governments were empowered to transpose these rules (Hummer 1994). Thus, in the EEA period before full membership Austria had more permissive rules for transposition than in the membership period. 3. Europeanization of Law-Making Measuring legal Europeanization We identify EU-related norms by drawing on both national and EU sources. For each of our EU-related national norms one or more of the following characteristics apply: (1) a specific reference to EU rules in the introductory or final clause of the law; (2) a reference to the CELEX number in the head information of the law when published in the official law gazette (Bundesgesetzblatt) (which is also available in electronic form at the law information system of the Federal Chancellery, RIS); (3) national authorities’ data indicating that the respective law implements EU rules and has been reported to the Commission; (4) a reference to the need to conform to EU rules in the official materials accompanying government bills when they are introduced to parliament (Erläuternde Bemerkungen) (as suggested by Page 1998, 804–5); (5) information extracted from the parliamentary debates; (6) data from the Eur-Lex database (sector 7). We have decided for such a broad strategy of data collection as, for various reasons, no single source is perfect. Nor are the individual sources equally reliable for each period. At the national level reporting on implementation measures was largely left to the individual government department in the early period. This allowed different ministries adopting different strategies, leading to inconsistencies in the reporting and caused some problems with regard to Austria’s transposition record. In 2003 a change of the jurisdictions 10 of the government departments put the Federal Chancellery in charge of coordinating the implementation of EU directives and the reporting of the implementation measures (Bundesgesetzblatt 17/2003). The Vienna data come from the Land official law gazette, EurLex, and from information kindly provided by the Vienna political documentation department. For the other Länder we draw on a recent study (Bussjäger and Larch 2004). Scope of Europeanization Figure 1 provides a long-term perspective. It shows the annual law production at the federal level since 1945 and the number of European directives published since the Treaty of Rome. The average number of new federal laws in the statute books per year is 120 for the period 1945–2003 with a low of 54 in 1953 and a high of 191 in 1993. The number of EU directives increased until 1992. New enactments declined temporarily before reaching a new high point at the end of our observation period. If there would be a 1:1 relationship between EU directives and national laws, Austrian law production would have to be increased dramatically at the early 1990s, simply to adapt to the EU rules accumulated since the early 1960s. And if EU rules would come on top of national laws, the level of law production would be substantially higher in the membership period than before as the annual number of EU directives is not much below what used to be the long-term Austrian standard of new (domestic) legislation. Figure 1 shows that this is not the case. Although the preparation and membership period contains the two years with the highest annual number of newly enacted laws, the number of legislative acts did not dramatically increase when Austria approached and joined the EU. Figure 1 ABOUT HERE Figure 1 also displays the number of laws at the national level bearing a relationship to EU law. We will qualify this relationship below. Here we point out that the highest share of EU-related laws was 45 percent in 1993. This is far below the 80 percent level generally associated with Delors and the related estimates of most Austrian politicians. Yet, 1993 was an extraordinary year – the year with the most legislative acts in modern Austrian history. The average yearly share of EU-related federal laws was 27.6 percent in the 1992–2003 period. If we look at the membership period exclusively, the annual average share of EU-related legislation is slightly below 25 percent (1995–2003). 11 Figure 2 ABOUT HERE Figure 2 is more comprehensive with regard to the means of transposition as it also contains delegated legislation in the form of federal decrees. In our observation period the number of published decrees varied between a low of 275 in 1985 and a high of 602 in 1994. In each year the number of decrees exceeded that of laws by several times. Measured over the period 1983–2003 the relation in the number of federal decrees to federal laws is 3.1:1. It has slightly risen to 3.2:1 for the membership period (1995–July 2003). Yet, only a marginal share of government decrees is EU-related. Nevertheless, government decrees outnumber laws as the means of transposition of EU regulations in all but the first two years of our time series. The peak in EU-related decrees lagged the peak in EU-related laws by a year. This delay may reflect the constitutional need for the delegation of specific legislative powers to the government (by legislation) as a precondition for transposition by decree. Table 1 ABOUT HERE Table 1 includes all laws and government decrees published in the official law gazette from January 1992 until 1 July 2003 divided into two periods. A total of 1689 laws were passed in the 1992–2003 period, 25.9 percent of which are EU-related. The number of laws is belittled by 5337 government decrees and, as we have already seen in Figure 2, there are also more EU-related government decrees than laws. Yet, while the laws/government decrees ratio in general is 1:3.1, it is only 1:1.4 with regard to EU-related rules. Given Austria’s emphasis on legal positivism this is what we have expected. In Table 1 we distinguish between the pre-accession period and the membership period. In the process of making the Austrian legal order fit for EU membership the mean number of EU-related laws passed by year was 61, in the membership period it was 30. While the share of EU-related laws considerably dropped after the catching-up process, the share of EU-related government decrees has remained at roughly the same level. As Austria is a federal state we also include the law production at the Land level. We can draw on data for four of the nine Länder, though it is only for Vienna that we have data for the pre-membership period. As Table 1 shows, law production at the Land level is by far less frequent than national legislation. This reflects the imbalanced nature of Austrian federalism (see above). As expected, the Land level is less affected by Europeanization than the federal level. This can be seen from each of the pairs of corresponding table entries. 12 Forms of legal Europeanization Table 2 provides some basic information about the correspondence of legal instruments at the EU and national levels for the period of Austria’s membership. Proceeding from both the laws and decrees that were identified as EU-related we have coded each of them into a single category of EU rules. In the case of more than one EU instrument relating to the Austrian law or decree, we have coded the one highest in hierarchy. Clearly, the bulk of Austrian EU-related legal acts relate to specific EU directives. EU directives trigger both laws and decrees. Given the constitutional requirements outlined above, decrees can only be used on the basis of government empowerment through specific laws and only within rather narrowly drawn limits with regard to their scope. Hence, new EU rules typically require parliamentary legislation while the transposition of later changes of these EU rules by government decree is more likely. Table 2 ABOUT HERE Although EU regulations are directly binding, they can still trigger some national rule making. Often EU regulations trigger the adaptation of rules instructing the national administration. For this purpose government decrees are much more frequent than laws. Even decisions by the EU Commission occasionally require changes of the national rules. Typically, these rules are again ‘internal’ ones, governing administrative procedures. The final row in Table 2 mainly contains responses to EU primary law. The most obvious cases are constitutional laws incorporating the Nizza and Amsterdam Treaties and the Treaty on EU Enlargement. The bulk of cases in this category, however, are changes of specific national rules that conflicted with the principles of EU primary law. To provide one prominent example: before membership the Austrian agricultural sector was governed by a number of laws regulating the markets for specific groups of products (milk, wheat, etc.). Collectively, these laws were referred to as ‘the laws governing the market’ for agricultural commodities (Marktordnungsgesetze). These laws were incompatible with the Common Agricultural Policy (CAP) and were therefore terminated with the beginning of EU membership. The ‘other EU rules’ in this category are a few cases only which all date from the first years of our observation period where national rules were made in order to comply with EU regulations and decisions. 13 Depth of Europeanization Thus far we have established relationships between individual national and EU norms and have presented the relevant counts. Yet, we do not know the quality of this relationship. Is the national norm exclusively devoted to transposing EU rules? Or, alternatively, is the need to transpose new EU rules just one of several ‘birds’ to be ‘killed’ with one ‘stone’ (i.e. new national legal measure)? And if the second option applies, what is the impact of EU demands relative to national policy objectives? Table 3 ABOUT HERE Table 3 provides an approximate answer for the EU-related laws enacted since the beginning of the membership period. Our coding is a combined quantitative-qualitative measure. The first criterion was the ratio of EU-induced to nationally induced contents in the law. We have coded a law as predominantly EU-induced provided that EU inputs outnumbered national ones (counting the number of paragraphs in the new law). We have then scrutinized the contents of the remaining laws. If the EU-induced changes (although smaller in number) appeared more relevant than the national-induced ones, we have nevertheless coded the respective law as predominantly EU-induced. Thus, we are loading the dice in favour of the ‘predominantly EU-induced’ coding. Note that the coding in Table 3 represents educated guesses of policy generalists. We certainly do not fully understand all the implications of the rules we have coded that would be clear to specialists in the respective policy domain. Nor can we be sure that we have been able to identify precisely in each case what is nationally induced and what serves the transposition of EU law. Yet, overall we are confident that our coding provides a reasonable approximation to the EU-relatedness of the Austrian laws passed since 1995. A considerable share of EU-related laws (41 percent) is (almost) exclusively due to regulatory demands from EU membership. The majority of laws have a ‘mixed’ origin, however, including both EU-induced and nationally induced changes. For reasons of administrative efficiency, legal parsimony (keep number of amendment as low as possible), and scarcity of parliamentary time most laws that transpose EU regulations also introduce legal reforms that are not caused by the EU. We have broken down this group of laws with mixed origin in two categories in Table 3. About half of these laws exhibit predominantly 14 EU-induced changes, the other half predominantly nationally induced ones. In the overall picture, however, 69 percent of the EU-related laws are predominantly triggered by harmonization demands from the EU. Thus, within the class of EU-related laws Europeanization is indeed the driving force of making laws. 4. Europeanization of the Austrian Legal Order Thus far we have looked at the process of Europeanizing legislation in the immediate premembership and membership periods. We now turn to the question to what this amounts with respect to Austria’s legal order. Table 4 provides the global view. In mid-2003 the Austrian legal order contained about 4100 federal laws and older legal norms of equal standing and marginally more government decrees. Our count is based on the official list of valid norms in the Index 2004 (Bundeskanzleramt 2004). The Index is published annually by the Federal Chancellery. Specifically, we used the Index 2004, which documents the legal order as of 1st January 2004, and deleted the rules published between August and December 2003. In the case of republications of rules that consolidate many amendments we counted the number of their components. Our count includes about 40 cross-level agreements between the federation (Bund) and one or more of the Länder that can be considered as the functional equivalent of constitutional laws or ordinary laws. Based on the sources mentioned above, we have then again identified EU-related norms. Table 4 ABOUT HERE Table 4 presents an estimate of the quantitative impact of the EU on Austrian legislation in force. The classification of policy areas follows the Austrian standard legal classification. However, we have moved some sub-categories of civil law to economic law. Specifically, we have included the 61 laws regulating industrial competition, brand names, and patents and 144 acts of trade and company law into the ‘Economic law’ category. Given that some laws have multiple codes in the Index we have not just added our counts but checked for each law whether it was already included in the ‘Economic law’ category. The net addition was 138 laws. According to Table 4 slightly more than ten percent of the laws in force and about 14 percent of the government decrees in force are EU-related. Putting laws and decrees in one 15 basket, the degree of Europeanization is 12.4 percent. For obvious reasons this is considerable less than the share of EU-related legislation in the immediate pre-membership and membership periods. This suggests that the way from the Europeanization of law-making to the Europeanization of the national legal order will be a long one. Table 4 also provides some insights into differences between policy sectors and the relevance of laws and government decrees, respectively. It comes as no surprise that overall the body of agricultural and environmental rules is the most Europeanized. It is followed by the sector comprising transport and technology and economic law. The ratio between laws and government decrees varies between the sectors. Generally, the sectors listed in the upper part of Table 4 tend to have more decrees than laws and those in the lower part vice versa. With regard to constitutional and institutional issues and education and related fields we find that EU-related rules display a much higher share of laws compared to that ratio among all rules. Generally, decrees are more used in the more unionized policy areas. As mentioned above, it had been the deliberate strategy of the (then grand coalition government) to seek general empowerment of the ministers in those fields, particularly agriculture, to issue decrees in the transposition of EU rules which are subject to frequent changes of a more technical nature. Methods of transposition Table 5 proceeds from the EU directives. Each directive published between 1992 and 2000 is classified according to the EU decision rules applied. We use 2000 as a cut-off point for directives in order to allow for appropriate time for their transposition. The entries in Table 5 are the corresponding transposition measures. When it took three laws or one law and two decrees to transpose one directive, we have counted all three national legal acts. However, we record at least one national legal act per directive. Hence, when one law transposes three directives, we count a total of three national legal acts (which may fall in three different rows). Table 5 ABOUT HERE Table 5 sheds some light on the parliament’s involvement in the transposition process and the relationship between decision procedures at the EU level and the national level. Decisions that involve the Council and the European Parliament are much more likely to lead to transposition by law than EU directives enacted by the Commission. The latter are largely of technical nature and many of them are from the agriculture sector. 16 14.9 percent of the EU directives that were published in this period did not show up either in the Eur-Lex database nor in the various national sources that we have consulted. This percentage seems quite high. However, this group of directives is diverse and the possible reasons for not finding any national citations also: A few directives did not apply to Austria, but to a single or several other EU member countries only. Other directives did not necessitate any national transposition measures as they simply extended the period of validity of an existing directive. In one case the directive was extremely short-lived and replaced by a new one before transposition. Three directives were transposed by administrative measures only, i.e. publication in an official administrative journal. Another important reason is our cut-off point for the national measures in July 2003. A considerable number of the most recent directives were transposed after that date. Yet, the majority of the missing cases result from missing information in the Eur-Lex database and could not be located in the national sources we have consulted. Europeanization in a federal order Table 6 again proceeds from the individual directives published in the 1992–2000 period. Each directive is represented by the type of norm or the combination of norms employed for its transposition. Each of the 727 directives is recorded in one and one only of the three main categories and nine sub-categories. Table 6 hence does not reveal the number of Austrian national norms (as a single directive can relate to several domestic instruments or, conversely, several directives can be transposed by a single instrument). Table 6 ABOUT HERE Table 6 shows that the federal level is clearly dominant in the transposition of EU directives. 92 percent of the directives were transposed exclusively by federal level norms. Less than three percent of the directives were dealt with by Land level norms exclusively. Even including the mixed cases the overall involvement of the Länder is quite marginal. This is strong support for the hypothesis derived from the general nature of federalism and the specific features of the Austrian variant. Europeanization and original laws Working with Eur-Lex data on the national implementation measures and national transposition data we found a considerable number of entries of laws from the pre-1992 17 period, some of them even from the Habsburg monarchy (before 1918). The logic of reporting these laws predating EU regulation as implementation measures is that they already contain (some of) the contents later included in EU rules. This brought up two points of methodological concern: (1) whether these older laws indeed should be seen as EU-related and (2) how to maintain consistency in our data collection. The consistency problem stems from the facts that reference to such ancient national laws is sometimes more and sometimes less comprehensive in our sources and that the amendment frequency is greater in some policy sectors that in others. We address these problems by tying the final part of our analysis to original laws (Stammgesetze). Original laws are those pieces of legislation that for the first time regulate a matter or codify it by fully replacing a complex web of interrelated laws by a single comprehensive act. More recent regulations relate to original laws as either substantial amendment laws (Novellen) or small changes (Änderungen). This is reflected in the citation standard of legal scholars who typically refer to such amendments only by making reference also to the original law. With regard to original laws the basic assumption ‘a law is a law is a law’ hence is more justified than with regard to all laws. Some of our data sources do distinguish between these three forms of laws and list all of them as EU-related. In contrast, other sources confine themselves to listing only those amendments that were specifically issued to meet regulatory demand resulting from EU rules. In order to overcome this inconsistency problem we have again drawn on the official systematic guide to the legal rules in force, the Index 2004. From this source we traced back all EU-related laws published in the 1992–2003 period to the relevant original laws. Thus, either the laws identified as EU-related were original laws themselves, or we traced them back to the original laws that were changed by EU-related amendments. Using this procedure we identified 237 original laws that were not reported to the EU as transposing EU rules. Table 7 ABOUT HERE Table 7 is perhaps the best overall proxy for the Europeanization of the Austrian legal order we can come up with. It contains all original laws in force and hence excludes latter amendments and small changes. ‘EU-related’ has two meanings here. One is that an original law resulted from the need to transpose EU rules. This occurs when the law’s regulatory content could not be incorporated into the Austrian legal order by amending existing national legislation. The other meaning is that already existing original laws (or any of their 18 amendments) were reported (and often also amended) as meeting the requirements of the EU. The substantive meaning of these two forms of EU-relatedness typically is quite different. Notwithstanding some relevant exceptions, original laws specifically enacted to meet EU requirements tend to be substantially less important than previously existing original laws that were amended to conform to EU rules. In Table 7 we distinguish three periods: the time before the foundation of what eventually became the EU, the period before Austria ratified the EEA Treaty, and the time since 1992 (i.e. the transposition period). Overall, about 40 percent of the original laws in force in mid-2003 are affected in some way by EU rules (41.8 %). Paradoxically, the share of EU-related original laws is smallest in the period of preparation for EU membership and the membership period itself (26.6 %). It is greatest for the period that parallels the preMaastricht development of the EU (82.4 %). This suggests that this measure indeed captures the Europeanization of substantive pieces of legislation rather than ad hoc legislation in the transition period. Yet, the question remains whether the pre-1992 laws should be seen as EU-related. Clearly, they are not in the same way EU-related as the laws passed in reaction to specific changes of EU law, or in their anticipation. However, the 406 original laws identified by tracing EU-related amendments to the relevant original law offer another glimpse of the true extent of the Europeanization of the national legal order that is not reflected in the numbers given in Table 1. To some extent this may reflect the ‘autonomous’ Austrian reactions to developments in the EU, its largest export market, and hence market-driven legal Europanization or learning from neighbours. Beyond these factors, we can understand such communalities as reflecting a common European legal heritage. Yet, converting this heritage in formal EU rules means that the national leeway to change ancient rules in the future is constrained. The relevant paragraphs of a law reported to the Commission as fulfilling a transposition requirement are subject to national decision-making only within the confines set by EU law. It is this backward binding of the national legal order that is illustrated in Table 7. As most government decrees are much more short-lived, this effect is practically confined to laws. Table 8 ABOUT HERE Finally, we take a look at sector differences (Table 8). Applying the same categories as used in Table 4 we find a significant higher degree of Europeanization in all sectors if we 19 focus on original laws. The overall share of original laws affected by Europeanization is 42.6 percent. It is highest in Agriculture and related fields (52.7 %), followed by Labour law and social security, and the category combining Transport with other technical categories. In no sector the degree of Europeanization is below 20 percent. If we combine policy areas 1, 2, 3, 6, and 7, that might be labelled ‘economic and social legislation’ (i.e. Delors’ claim) we find 461 original laws that are affected by Europeanization. This is 36.3 percent of the relevant laws. This is a substantial share, but a far cry from the 80 percent predicted by Delors and taken as a fact by so many political actors. 5. Conclusion This article is one of the first attempts at studying legal Europeanization and the first one with regard to Austria. As a 1995 accession country, Austria faced the acquis communautaire as it had accumulated over more than three decades, including the single-market programme. A latecomer certainly faces greater need for adaptation than countries that participated from the beginning or significantly longer in the process of EU regulation. The late accession date distinguishes Austria from all Western member states except Finland and Sweden (and later the mini-states Malta and Cyprus). Austria is a federal system and belongs to the German civil law tradition with strong legal positivism. Both features would lead us to expect more regulation and more EU-related regulation than in unitary countries with a different (more pragmatic) legal tradition. From federalism in general and its specific Austrian variant we have derived the expectations that the federation will be relatively more affected by legal Europanization than the states and that in absolute terms transposition by federal acts will clearly dominate Land acts. Finally, Austria is also a country with one of the most Eurosceptic electorates and party political contestation of European integration plus a strong formal role of parliament in EU affairs, what again has generated the expectation of much transposition by parliamentary legislation. While we have found all these expectations confirmed, the limits of a case study are all too obvious for the purpose of proper hypothesis testing, particularly when multiple causes are expected to have similar effects. Methodologically, the article has demonstrated that different measures of legal Europeanization have a major impact on the result of our empirical enquiry and hence lead to different substantive interpretations. We have first addressed the impact of EU membership on current rule-making, meaning legislation and delegated legislation enacted since Austria 20 approached the EU. The country’s positivist legal culture manifests itself in a share of laws among EU-related norms that is relatively high compared to other member states (XXXX; YYYY). As a relative late-comer to the EU, Austria faced a substantial acquis communautaire that needed to be adopted before membership. It is, therefore not astonishing that EU-related laws constituted a greater share of legislation in the immediate premembership period than in any year thereafter. The share of EU-related legislation peaked at 45 % before membership. The annual average of the membership period is almost 25 percent. EU-related rules constitute a much smaller share of delegated legislation – about 11 percent. All this is a far cry from Delors’ 80 percent prediction that has to a large extent shaped the perception of political actors in Austria and elsewhere. The gross figures of new enactments suggest that EU-membership has slightly increased the amount of legislation, but clearly EUrelated legislation does not come on top of the traditional level of national legislation. Indeed, the majority of laws classified as ‘EU-related’ do not contain EU rules exclusively but also norms of domestic origin. Europeanizing legislation, of course, over time should lead to the Europeanization of the legal order. This effect is what constitutes the core of Delors’ statement. Our check on the Austrian legal order for mid-2003 shows that one out of ten laws in force and 1.4 out of ten government decrees are EU-related. Of course, policy areas differ widely, but nowhere the share of EU-related norms is much above a quarter (laws) or a third (decrees). Again, this suggests that the expectations about legal Europeanization were considerably exaggerated. Yet, the Austrian legal order is a very diverse universe, comprising landmark legislation and politically irrelevant pieces, comprehensive laws and minute revisions. We have therefore introduced another measure: original laws (i.e. laws regulating a topic for the first time or in a codified form). Collectively, the 1551 original laws constitute the core of the Austrian legal order. 42 percent of the original laws are affected by EU rules. Again, we have found important differences between policy areas. Predictably, a sector including agriculture, health, and environment has the greatest share of EU-related original laws: 53 percent. Other ‘usual suspects’ – including labour law and transport – have shares well above 40 percent and none is below 21 percent. Of course, the lumping together of more specific policy areas in large sectors in our sources affects our results. 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Federal laws and decrees related to EU law and/or EU membership (1992–July 2003) n Preparation and EEA Membership (1992–1994) EU Membership (1995–2003) Total Federal laws EU-related 506 182 n 1525 Federal decrees EU-related 172 % 11.3 451 11.8 623 Land decrees n EU-related 98 3 11.7 1183 253 21.4 3812 1689 25.8 5337 72 435 Land laws EU-related 13 % 18.1 272 56 20.6 283 41 14.5 293 52 18.2 582 26 6.0 344 69 20.1 381 44 11.5 n Preparation and EEA Membership (1992–1994) Vienna EU Membership (1995–2003) Vienna EU Membership (1995–2003) four Länder Total, Vienna % 35.9 % 3.1 Notes: Period refers to year of publication in the official law gazette. The four Länder are Salzburg, Tyrol, Upper Austria, and Vienna. The table reports means. Sources: Austrian Legal Information System (www.ris.bka.gv.at/bgbl), Bußjäger and Larch (2004, 6) and own data. Table 2. Type of EU input for Austrian EU-related federal laws and decrees (1995–July 2003) Federal Laws N Directives Regulations Decisions Primary law and other EU rules N % 218 11 5 24 253 86.2 4.3 2.0 9.5 100.0 Federal Decrees N % 390 86.5 52 11.5 20 4.4 2 0.4 451 100.0 Note: Authors’ calculations based on Eur-Lex database and national sources. Three directives are not contained in Table 2 as unconventional means of transposition were used. Directive 31992L0060, for instance, was transposed exclusively through an announcement in a special issue of the Amtliche Veterinärnachrichten (No.11a, 29 Dec. 1994). This was one of the many changes of the directive 90/425/EEC regulating veterinary checks of living stock in intra-Union trade. The same applies to directive 31992L0067. European Court of Justice rulings on the appropriateness of EU directives’ transpositions that have led to changes in Austrian rules have been coded into the category ‘EU directives’. Table 3. The degree of Europeanization of EU-related federal laws (1995–July 2003) Legislative acts (Almost) exclusively EU-induced Predominantly EU-induced Predominantly nationally induced N N % 105 69 79 253 41.5 27.3 31.2 100 25 Table 4. The Austrian federal legal order in July 2003* Class. No. Policy area Federal laws N 8 9 5 7 4 6 3 2 1 Agriculture and Forestry, Veterinary Law, Health, Environmental Protection Transport, Technology, Building, Public Procurement Economic law Education, Science, Religion, Culture, Sports Administration law and military affairs Labour law, social security Banking and Monetary law Civil law and Criminal law Constitution law and institutional law, media law Total, multiple codings excluded Federal decrees 378 EU-related (Jan 1992– July 2003) 96 EUrelated in % 25.4 372 81 386 312 N 923 EU-related (Jan 1992–July 2003) 341 EUrelated in % 36.9 21.8 449 123 27.4 48 22 12.4 7.1 612 751 85 3 13.9 0.4 213 14 6.6 257 13 5.1 1091 70 6.4 728 25 3.4 720 42 5.8 305 16 5.2 704 36 5.1 209 16 7.7 627 27 4.3 277 2 0.7 4110 435 10.6 4416 623 14.1 Note: *Federal laws published until end of July 2003, numbers include neither EU law nor international law, multiple counting over policy areas possible. Source: Authors’ calculations based on the Index 2004. 26 Table 5. Austrian laws and decrees (1992–July 2003) transposing EU directives (published 1992–2000) Type of Directive Council Directives (n=261) Council and Parliament (codecision) Directives (n=126) Commission Directives (n=321) Transposed directives (n=708)** Constitutional laws 1 Federal laws with constitutional clause(s) 31 - National norm ‘Normal’ federal laws Federal decrees 283 345 Ratio of federal decrees to laws 1.1 19 70 115 1.3 - 17 83 310 3.1 1 67 435 770 1.8 Note: Periods by date of publication in the official law gazette. Multiple counting of national norms occur frequently. * Published until end of July 2003 ** Numbers referring to type of directive exclude 19 EU directives that were transposed exclusively via Land level norms. See Table 6. Table 6. National and sub-national legal norms employed in the transposition of EU directives (1992–2000) into national norms (1992–July 2003) Transposition by Federal level norms Federal law(s) only Federal law(s) and decrees Federal decree(s) only Federal and Land level norms Federal law(s) only and Land level norms Federal law(s) and decree(s) and Land level norms Federal decree(s) and Land level norms Land level norms Land law(s) only Land law(s) and decree(s) Land decree(s) only Number of directives cited Number of directives published Number of directives cited No data available or directive not transposed N % 667 156 121 390 91.7 21.5 16.6 53.6 41 8 29 4 5.6 1.1 4.0 0.6 19 6 5 8 727 854 727 127 2.6 0.8 0.7 1.1 100.0 100.0 85.1 14.9 Note: Authors’ calculations based on Eur-Lex database and national sources. 27 Table 7. EU-related original laws (Stammgesetze) in the Austrian legal order (July 2003) Date of original laws Until 1956 1957–1991 1992–July 2003 N Original laws* n % 293 347 911 1551 18.9 22.4 58.7 100 EU-related** n % 120 286 242 648 Share of EUrelated original laws 40.9 82.4 26.6 41.8 18.5 44.1 37.3 100 Notes: * Including 31 treaties between the federal state and the Länder. ** Including 2 treaties between the federal state and the Länder. Table 8. EU-related original laws (Stammgesetze) in the Austrian legal order (July 2003) according to sector* Class. No. Policy Area 8 Agriculture and Forestry, Veterinary Law, Health, Environmental Protection Labour law, social security Transport, Technology, Building, Public Procurement Civil law and Criminal law Economic law Administration law and military affairs Constitution law and institutional law, media law Banking and Monetary law Education, Science, Religion, Culture, Sports Total 6 9 2 5 4 1 3 7 Original federal laws EU-related in % 186 EU-related original federal laws (1992– July 2003) 98 221 175 218 275 134 274 411 121 1520 105 72 76 95 42 62 91 26 646 47.5 41.1 34.9 34.5 31.3 22.6 22.1 21.5 42.5 52.7 Note: *Federal laws published until the end of July 2003, excluding state treaties. Multiple counting of original laws in several policy areas possible. The final row does not include the multiple counting of rules. Source: Authors’ calculations based on the Index 2004. 28 Figure 1. National and EU-related legislation legislative acts 200 150 100 50 0 '45 '55 '65 EU directives published '75 '85 federal laws published '95 federal laws related to EU law Sources: Own data calculated from the Federal Law Gazette and Eur-Lex database. Figure 2: Number of National and EU-related laws and government decrees 600 500 400 300 200 100 0 '80 '85 '90 '95 '00 federal laws published federal decrees published federal laws related to EU law federal decrees related to EU law Sources: Own data calculated from the Legal Information System and Eur-Lex database. 29
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