The Legacy of Neofunctionalism

Journal of European Public Policy 12:2 April 2005: 255–272
Journal of European Public Policy Ernst B. Haas and the legacy

of neofunctionalism
Philippe C. Schmitter
ISSN: 1350-1763 (Print) 1466-4429 (Online) Journal homepage: http://www.tandfonline.com/loi/rjpp20
Ernst B. Haas and the legacy of neofunctionalism
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Philippe C. Schmitter
To cite this article: Philippe C. Schmitter (2005) Ernst B. Haas and the legacy of neofunctionalism,
Journal of European Public Policy, 12:2, 255-272, DOI: 10.1080/13501760500043951
To link to this article: https://doi.org/10.1080/13501760500043951 ABSTRACT In Europe, the scholarly reputation of Ernst B. Haas is inseparably
linked to the vicissitudes of something called ‘neofunctionalism’. It is as the founding
father of a distinct approach to explaining the dynamics of European integration that
he is so well known. This article explicates the strengths and weaknesses of his
Published online: 17 Aug 2006. contribution and explores some changes that should be inserted to make it more
relevant to understanding the contemporary politics of the EU. It concludes that,
while everyone recognizes that no single theory or approach can explain everything
Submit your article to this journal one would like to know and predict about the EU, a revised ‘neo-neo’ version may
still be the best place to start.
Article views: 5753
KEY WORDS European Union; neofunctionalism; regional integration; spill-over.
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In Europe, the scholarly reputation of Ernst B. Haas is inseparably linked to the
vicissitudes of something called ‘neofunctionalism’. Although during his long
Citing articles: 22 View citing articles
career at the University of California at Berkeley he wrote about many other
things – learning and institutional transformation in global international orga-
nizations and, most prominently, nationalism (Haas 1964, 1997/2000) – it is
as the founding father of a distinct approach (he always insisted that it was not a
theory) to explaining the dynamics of the process of European integration that
he is so well known. While his recent death has deprived scholars working in this
field of one of its most original and creative minds, it has to be said that, except
for a recent preface to the new edition of his seminal contribution, The Uniting
of Europe, Haas had made no contribution to neofunctionalism for over thirty
years (see the preface to Haas 2004).
As a doctoral student returning to the continent from whence he had fled as a
young man, Haas chose to write his dissertation on the European Coal and Steel
Community (ECSC). In doing so, he took a considerable risk since the ECSC
was an obscure organization that did not fit comfortably within the established
categories of the discipline of international relations at the time. ‘Realistically’
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speaking, it should not have existed. ‘Idealistically’ speaking, it must have
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DOI: 10.1080=13501760500043951
256 Journal of European Public Policy P.C. Schmitter: Haas and the legacy of neofunctionalism 257
seemed irrelevant alongside the much more prominent and promising specialized industrial sectors that would be necessary in the event of any future conflict, i.e.
functional agencies of the United Nations. To my knowledge, Haas never coal and steel. With the Marshall Plan and the Organization for European
explained specifically why he selected the ECSC. Somehow, as he states in the Economic Co-operation (OEEC) behind him and the United States govern-
preface to The Uniting of Europe, he recognized that it alone was ‘a priori capable ment beside him, he managed to cajole six countries not only into forming
of redirecting the loyalties and expectations of political actors’ (Haas 1958). the ECSC, but also into endowing its Secretary-General with very modest
His interest, however, in the potentiality for integration in Western Europe supranational powers, a position he subsequently occupied. What Haas
was shared by others. Indeed, until relatively recently, theory-driven treatments did initially in his The Uniting of Europe (2004) and subsequently and more
of the subject have been a virtual monopoly of a unique generation of Euro- systematically in his Beyond the Nation-State (1964) was to explore the impli-
American scholars – Europeans who had been driven from their various cations (and limits) of this second-best strategy – nicely summarized in
homelands in the old continent to the new one – and who had found there Monnet’s phrase ‘petits pas, grands effets’.

an academic setting that was congenial to such speculation. Karl Deutsch and Neofunctionalism has always been difficult to classify in disciplinary terms,
Stanley Hoffmann come to mind, along with Ernst Haas (see Deutsch et al. because it intersects the usual assumptions of international relations and com-
1957; Hoffmann 1960).1 Each fostered a different approach to the topic, but parative politics. It recognizes the importance of national states, especially in
all harboured the same normative objective: how to conceive, design and the foundation of regional organizations and at subsequent moments of
guide the process of regional integration so that it would transform the formal re-foundation by treaty, yet it places major emphasis on the role of
European state system in such a way as to make war between its sovereign two sets of non-state actors in providing the dynamic for further integration:
units impossible. Each, without doubt, thought of himself as an objective (1) the ‘secretariat’ of the organization involved; and (2) those interest
and empirical social scientist, but all directed their knowledge to an even associations and social movements that form around it at the level of the
higher collective purpose. region. Member states may set the terms of the initial agreement and do what
they can to control subsequent events, but they do not exclusively determine
the direction, extent and pace of change. Rather, regional bureaucrats in
ONE ECLECTIC APPROACH
league with a shifting set of self-organized interests and passions seek to
Haas’s approach was, if nothing else, eclectic. From Columbia University where exploit the inevitable ‘unintended consequences’ that occur when states agree
he did his graduate study, he was exposed to the standard literature on inter- to assign some degree of supranational responsibility for accomplishing a
national law and organization that was manifestly inadequate for understanding limited task and then discover that satisfying that function has external effects
the novelty of Europe’s regional integration. He found the potential answer in a upon other of their interdependent activities. Haas captured this potentiality
synthesis of David Mitrany’s conception of ‘functionalism’ and Jean Monnet’s dramatically with his concept of ‘spill-over’. He hypothesized that, with the
pragmatic strategy for running the ECSC and developing it into the European help of an active and resourceful secretariat and support from the organized
Economic Community (EEC) – both forerunners of the present European interests affected by such externalities, national governments might (fitfully)
Union (EU). Haas transformed the technocratic vision that Mitrany had of learn and (reluctantly) agree to change their original positions. According to
an expanding world system of functionally specialized global organizations this approach, integration is an intrinsically sporadic and conflictual process,
run by experts into a political conception of how co-operation was possible but one in which, under conditions of democracy and pluralistic representation,
on the basis of competing and colluding sub-national, non-state interests. national governments will find themselves increasingly entangled in regional
While he never denied the role played by national states pursuing their (alleg- pressures and end up resolving their conflicts by conceding a wider scope and
edly) unitary interests, he was among the first to realize that, by liberalizing devolving more authority to the regional organizations they have created. Even-
flows of trade, investment and persons across previously well-protected tually, their citizens will begin shifting more and more of their expectations to
borders, regional integration had the potential to transform the inter-state the region and satisfying them will increase the likelihood that economic-social
system that had long characterized Europe and been responsible for two integration will ‘spill-over’ into political integration.
recent World Wars. Once he began his extensive schedule of interviews with Needless to say, neofunctionalism as articulated by Haas had no specific tem-
the actors involved in the ECSC, he inevitably came into contact with Jean poral component. How long it would take for these functional interdependen-
Monnet. As he abundantly demonstrates in his Mémoires, Monnet was cies to become manifest, for affected interests and passions to organize
devoted to the task of eliminating the risk of war in Europe and that meant themselves across national borders and for officials in the regional secretariat
defusing the antagonism between France and Germany (Monnet 1976). After to come up with projects that would expand their tasks and authority was left
trying and failing to promote direct routes to this end – federalism and military undetermined. Unfortunately for its reception by scholars, many assumed
unification – he had hit upon a second-best indirect solution: integrate the two that Haas had claimed that spill-overs would occur automatically and in
close, linear sequence to each other. Even a cursory reading, especially of his have been subsequently ‘borrowed’ and inserted into other more ambitious and
more systematic presentation in Beyond the Nation-State, would have demon- abstract theories. Taken as a whole, however, they represent a quite considerable
strated these to be fallacious inferences. Moreover, while he did hint at which critique of the dominant modes of thinking about international relations, in
specific changes had to intervene before spill-over would occur: increase in econ- particular, and about political power, influence and bargaining, in general.
omic interdependence between member countries, crises of sufficient magnitude
due to unintended consequences, development of political competence and 1 States are not the exclusive and may no longer be the predominant actors in
autonomy for intervention by regional bureaucrats and emergence of interest the regional/international system. The fact that they do possess residual
associations capable of acting on the regional level independent of national con- sovereignty and, therefore, are the formal co-signatories of the treaties
straints, he never transformed them into explicit hypotheses. Subsequent scho- that typically constitute and punctuate the integration process is potentially
lars who only gave his work a superficial reading could complain that Haas had illusory in that:

not addressed the crucial question of what contextual conditions were necessary A. Their commitment to treaty terms rests on an imagined predominance of
for spill-over to take place. Needless to say, when the integration process in national interest that most likely reflects only a temporary equilibrium
Europe proved to be more controversial, to take more time and to make less among the conflicting interests of classes, sectors, professions, parties,
continuous progress than expected, his theory was repeatedly declared ‘discon- social movements, ethnic groups, etc.;
firmed’, or ‘underspecified’. B. Their presumed capacity for unitary and authoritative action masks the
possibility that important sub-national groups can act independently
TWO GENERIC SUPPOSITIONS either to reinforce, undermine or circumvent the policies of national states.
2 Interests, rather than common ideals or identity, are the driving force behind
First, before turning to an evaluation of the past demerits and possible future the integration process, but this does not mean that:
merits of the way that neofunctionalism attempts to link economic and political
A. Their definition will remain constant once the integration process has
integration, we should specify the presuppositions that all approaches/theories
begun and is distributing (usually uneven) benefits. Actors can learn
of European integration have in common:
from their experiences in co-operative decision-making, modify their
1 The process of European integration will be consensual in that no actor – preferences, and even develop common ideals and identities;
national, sub- or supranational – is likely to use physical force or organized B. Their expression will be confined to the national level once new oppor-
violence to bring about the rules, institutions or policies it prefers. tunities for exercising influence have opened up within institutions at the
Old-fashioned realists may wince at this, but the EC/EU does constitute a supranational level.
‘pluralistic security community’, in the sense of Karl Deutsch (Deutsch 3 Decisions about integration are normally taken with very imperfect knowledge
et al. 1957),2 within which this strategic alternative is not contemplated by of their consequences and frequently under the pressure of deadlines or
any of its member states, and probably could not be threatened or applied. impending crises. Given the absence of clear historical precedents:
The same constraint, needless to say, does not necessarily hold for integration A. Actors are likely to miscalculate not only their capability to satisfy initial
processes elsewhere. mutually agreed-upon goals;
2 The actors in the process of European integration will remain for the foresee- B. But also the impact of these efforts upon other, less consensual goals.
able future independent in the formation of their preferences and disregarding 4 Functions or issue arenas provide the usual foci for the integration process (at
of the welfare of each other. In other words, the basic problem is how to make least, in Western Europe), beginning with those that are initially considered
‘Europe without Europeans’. If one could presume that its states, peoples or the least controversial and, hence, easiest to deal with. Given the intrinsic (if
individuals cared sufficiently about each others’ welfare that they would not dis- uneven) interdependence of these arenas – ‘l ’engrenage’ is the jargon term –
tinguish it from their own, none of the existing approaches would hold. in modern societies:
A. Advancement toward the solution of concrete problems or production of
SEVEN WORKING ASSUMPTIONS
collective goods in one arena is bound to affect performance and interests
Now, let us look briefly at a few of neofunctionalism’s most distinctive features. in other arenas, and may even lead to demands for their explicit inclusion
There is no need to provide a full exposition since this has already been done in the process;4
and is readily available in the introductory chapters of Haas’s Beyond the B. Even where one issue arena can be separated from others, advancement
Nation-State (Haas 1964, also 1958).3 The following maxims are not toward the fulfilment of initially consensual tasks may generate increased
necessarily unique to its way of looking at integration processes. Some of them controversy, thereby widening the range of actors potentially involved.
5 Since actors in the integration process cannot be confined to existing national useful or been equally verified by the experience with European integration since
states or their interest groups and social movements (see maxim no. 1 above), its institutional origin in the Coal and Steel Community in 1952. There is evi-
a theory of it should also explicitly include a role for supranational persons, dence to suggest that its perspective overlooked some key variables and focused
secretariats and associations whose careers, resources and expectations become too much attention on others.
increasingly dependent upon the further expansion of integrative tasks. Even But it is important to note that several of the critiques of neofunctionalism that
where their nomination or financial support is formally controlled or moni- emerged in the 1970s misrepresented its claims and distorted its arguments. For
tored by national actors, they may: example, it offered no reason for anticipating that its central process, ‘spill-over’,
A. Develop an increasingly independent esprit de corps and interject would be either automatic or free of conflict. On the contrary, emphasis was
ideas and programmes into the process that cannot be reduced to the pre- placed on the likelihood of increasing controversiality and difficulty in reaching
agreement, as the process expanded to affect more actors and adjacent issue

ferences of national or sub-national groups;
B. Acquire, often as the unintended side-product of problem-solving in dis- arenas. This is called ‘politicization’ in the neofunctionalist jargon. Nor did it
crete issue arenas, increased resources and even authoritative capacities to necessarily predict ‘transcendence’ – the unlimited and irreversible accumulation
act in ways that countermand or circumvent the intentions of national of tasks by a single regional institution at the expense of national member states.
authorities. Such a supranational state based on a complete ‘transferral of sovereignty’ was only
6 Strategies with regard to integration are convergent, not identical. Actors agree one possible outcome – and not the most likely by any means. A good deal of
upon rules and policies not because they have the same objective, but because subsequent neofunctionalist effort has been spent exploring the probability of
their different preferences overlap. This implies that: ‘entropy’ and ‘encapsulation’ setting in, rather than ‘momentum’ and ‘expansion’
inexorably taking over (Schmitter 1970).5 Finally, the sheer fact that the European
A. When divergences in benefits and external effects emerge from the
Community (EC) had not spilled-over continuously into new issue arenas during
process, actors will respond with different demands for changes in
the first thirty years of its existence and appeared for some time (roughly from the
rules and policies;
mid-1960s to the early 1980s) not to be extending the authority of its central insti-
B. From these inevitable conflicts, new convergences based on new
tutions did not, in itself, disconfirm the perspective since none of its proponents
combinations of actors can emerge which will redefine the level and
dared to place a specific timeframe around his or her suppositions. This embarrass-
scope of common obligations in ways not originally anticipated.
ing lack of temporal specificity, incidentally, it shares with many other theories of
7 Outcomes of international integration are neither fixed in advance by the found- political change – whether at the global, regional or national level.
ing treaty, nor are they likely to be expressed exclusively through subsequent
formal agreements. They should be recognized as the transient results of an
on-going process rather than the definitive product of a stable equilibrium. EIGHT UNANTICIPATED DEVELOPMENTS
Which is not to say that all attempts at integration among initially consenting
states are equally likely to be successful or to expand functionally, since: Which is not to say that neofunctionalism emerges blameless from a confronta-
tion with several generations of experience with European integration. Although
A. All of the above – the mix of actors, the diversity of their interests, the
few, if any, of the close academic observers of the EC were using it when the
extent of convergence in their strategies, the interdependence of issue
Single European Act (SEA) was signed in December 1985 – intergovernmental-
arenas, the degree of knowledge and, hence, potential for miscalculation,
ism, a variant neorealism, dominated their thinking – I doubt if its concepts,
the inequalities in benefits and unanticipated consequences – will differ
maxims and hypotheses would have been of much help. The decision to
systematically from one experience to another;
move toward the so-called ‘Completion of the Internal Market’ in 1992 with
B. These differences will be associated with differences in initial endowment
the SEA could not have been spotted using its lenses (although I, personally,
and subsequent performance and will lead, in turn, to differences in
am not convinced that neorealist or neorationalist lenses would have been
outcome, ranging from encapsulated intergovernmental organizations
much better for seeing what was coming).
to emergent supra-states. Between these extremes lie a wide variety of
Reflecting ex post, I would stress the following features about the event – none
intermediary forms of political organization which are no less stable
of which have attracted much prior attention on the part of neofunctionalists and
and which may be more likely to emerge.
all of which are likely to continue to be salient in determining the future course of
integration:
From these assumptions, Haas and the neofunctionalists who have been
inspired by him (which includes myself) have derived most of their more specific 1 The crucial role of Heads of Government/State, meeting in the European
concepts and hypotheses. As we shall see, not all of these have proven equally Council, in actually putting the 1992 package together;
2 The impact of economic trends and cycles originating outside Europe and where tangible gains from co-operation were sufficient to warrant giving up
threatening the region as a whole with declining competitiveness and low some portion of their respective autonomy to a common institution. But if
growth rates; this arena really were so non-controversial and separable, then there was little
3 The quiet accumulation of decisions by the European Court of Justice that reason to expect any further expansion. The new regional organization would
established the supremacy of Community over national law and set merely perform its task unobtrusively and, in so doing, reinforce the status
precedents, such as mutual recognition, proportionality, direct effect, and and capabilities of the states that composed and continued to control it. The
implied powers that could be used to resolve other disputes; present international system – global and regional – is virtually saturated
4 The indirect effect of Community enlargement, first to nine, later to twelve with such stagnant functional organizations, none of which seems to be contri-
and subsequently to fifteen and now twenty-five members, upon internal buting much to transforming its basic, i.e. inter-statist, structure. What emerged
decision-making processes; as distinctive to Western Europe (as opposed to efforts at regional integration

5 The importance, not just of well-entrenched European-level interest elsewhere) was the sheer complexity of multi-layered interdependencies – not
associations, but of ad hoc and even ad personam informal groups such as only between member states but also policy arenas. This made it unusually
the European Business Roundtable; difficult to predict the consequences of liberalizing exchanges between them
6 The relatively low level of mass public attention and, hence, of politicization and, therefore, to impose rationally bounded limits on what they had
of issues which ‘should have’ attracted greater controversy; consensually decided to accomplish in common.
7 The ‘catalytic role’ played by the European Parliament when it threatened to On the other hand, if the proponents of integration did manage to select an
shift to a more overtly political or ‘federalist’ strategy by introducing the issue arena with greater potential for ‘l ’engrenage’, i.e. linkage to other initially
Draft Treaty Establishing European Union in early 1984;6 unattended arenas, and for eventual ‘politicization’, i.e. capacity to attract the
8 The indirect, but steady, impact of an ideological shift at the national political efforts of a wider set of actors, then they ran the risk that neofunctionalism
level from a predominance of social democratic to a growing hegemony of would become ‘self-disconfirming’. National politicians had only to catch on
neoliberal values. to the strategy (or read the academic analyses) to realize that whatever the
immediate benefits they might reap from such international co-operation,
What cannot be questioned is that the putting into effect of the SEA
these would eventually be overwhelmed by the rising costs in terms of
unleashed a veritable avalanche of interdependencies between issue arenas,
diminished sovereignty and irreversible entanglements. To the extent that
Eurocratic initiatives, shifts in interest association activity, redefinitions of Com-
they could internalize the implications of such long-term effects and discount
munity authority, mobilization of sub-national actors, and further expansions of
the short-term payoffs, they might well rationally choose to refuse to enter
the functional agenda – culminating in the Maastricht, Amsterdam, and Nice
such arrangements in the first place or, as seems to have been the case with
agreements.7 This sequence of treaties may not all have been the product of
de Gaulle, pull the plug before the process had advanced too far. Again, the
obvious spill-overs motivated by the externalities generated by functionally
world is full of so-called regional integration schemes whose members have
linked policies and unevenly distributed benefits or promoted by a joint
anticipated such a threat and, therefore, designed their institutions to minimize
conspiracy of European civil servants and interest groups that outwitted the
such an eventual outcome.
entrenched interests of national governments and state bureaucracies, but they
This is not the time or place to analyse how the founding fathers of the
have demonstrated ex post that, as Ernst Haas put it, neofunctionalism may
ECSC managed to pick an arena with considerable potential for spill-over
have been obsolescent but it was not obsolete (Haas 1976).8
and to steer it past national politicians in the early 1950s.9 Nor to go
over again the relatively well-known story of how its successor, the EEC,
was more or less stopped in its tracks in the mid-1960s by a combination of
ONE DUAL PARADOX
increased awareness of its emerging impact upon national sovereignty
The optimistic expectations of early neofunctionalists that European integration and the capability of national states to pursue their own macro-economic
would exploit the latent interdependencies of complex, welfare-oriented policies.
societies by inexorably spilling over from one issue arena to another were
rather quickly frustrated. The whole approach was rooted in a serious ‘dual
paradox’ which, if not overcome, threatened to confine it to political impotence
TWO PARAMETRIC SHIFTS
and academic obscurity.
On the one hand, for the process to begin, existing states had to converge Although it is risky to rely on just a few variables to explain why the neo-
upon some relatively non-controversial and apparently separable issue arena functionalist strategy-cum-perspective again became relevant, I am convinced
that the turnaround in the late 1970s and, especially, the mid-1980s can be united Europe could be just as nationalistic and even aggressive as had been its
attributed grosso modo to two changes in the European policy environment: component national states. To put it bluntly, his (implicit) normative assump-
tion that the regional integration process would produce a qualitatively and not
1 A vague, subjective feeling that Europe as a whole was destined to decline in
just a quantitatively different actor in international politics was shaken. By the
its competitiveness (and, ultimately, in its relative standard of living) vis-à-vis
time it had become clear that, however much de Gaulle and his successors
other developed world regions, specifically Japan, the Pacific Basin and North
might have preferred this outcome, it was not to happen, Haas was deeply
America; and
involved in research on other topics. Just as he had hoped in the late 1950s
2 An objective demonstration by the Socialist government of François
and 1960s, the EU seems condemned for the foreseeable future to wield
Mitterrand (1981– 83) that measures taken independently by national
‘soft coercion’ over its own members and ‘civilian power’ in the rest of the
policy-makers were incapable of attaining desired macro-economic outcomes
world. Even now that it is discussing the creation of a capacity for intervention

and could even lead to perverse outcomes in terms of growth and monetary
in matters of external defence and internal security, it is clear that Europe has
stability.
neither the collective will nor the common identity necessary to play a more
Only the second of these changes can be said to have any intrinsic connection proactive role.
with neofunctionalism via underlying and increasingly irreversible functional I do know from personal experience that when I revived my interest in
interdependencies and policy entanglements. The first is a parametric and European integration and came to the (not surprising) conclusion that the
exogenous shift that was not – and could not be – identified by such an neofunctionalist approach remained the most insightful and helpful in under-
approach. At best, its relevance might be spotted ex ante by an alert neorealist standing its underlying dynamics, he seemed neither surprised nor dismayed
trained to be sensitive to perceptions of relative power and dependence. (Schmitter 2004).10 I even like to think that he was rather pleased, not just at
my efforts, but also those of other European scholars.11
For, when interest in the topic picked up rapidly in the mid-1980s with the
ONE ELEMENT OF IRONY
unanticipated breakthrough of the signature and easy ratification of the SEA,
The irony of this tale is that Haas himself contributed substantially to the interest in neofunctionalism blossomed in Europe – but not in the United
demise of interest in his own theory in both Europe and the United States. States where (neo)realism continued to dominate the discipline of international
He was, no doubt, aware of the validity of the Streeten-Kuhn principle relations. When the Berlin Wall fell and the Cold War ended, European
that ‘a model is never defeated by facts, however damaging, but only by scholars interpreted these events as encouraging further spill-overs into
another model’ (Hirschmann 1970: 68). By publicly declaring in print on functional arenas previously made impervious owing to national security
no less than two occasions that neofunctionalism was ‘obsolescent’, it calculations – air traffic control, transport infrastructure, energy, immigration –
became literally impossible for any scholar to take the approach seriously while American realists declared that the entire raison d’être of European
(Haas 1975, 1971). Who could dare to contradict its founder? Moreover, integration had collapsed and its nation-states would inexorably return to
this happened at a moment, the 1970s, when the process of European their previous state system (Mearsheimer 1990).
integration itself seemed stagnant, if not moribund. Leon Lindberg and In a sense, both were wrong (the latter far more than the former). Neverthe-
Stuart Scheingold had just published their Europe’s Would-Be Polity less, the calculation that national reunification made it more than ever impera-
which concluded that, while it had accomplished a good deal, the (then) tive to bind Germany firmly to the rest of (Western) Europe no doubt played a
EEC had settled into an equilibrium from which it was unlikely to escape major role in ensuring agreement on the Maastricht Treaty in 1991. This
for some time to come (Lindberg and Scheingold 1970). Of the ten Treaty committed its signatories to establishing a common currency,
contributors to that magnum opus of theorizing about regional integration something that had been mooted on several occasions, but always rejected
that Lindberg and Scheingold edited in 1971 (Lindberg and Scheingold as intruding too far, materially and symbolically, into the sovereignty of
1971), only one, Donald Puchala, was still writing on the subject by 1980 member states. To the surprise of almost everyone, the introduction of the
(Puchala 1981). new common currency produced relatively little resistance and has been a
Why did Haas lose faith in neofunctionalism? The simple answer embedded quiet success.
in his ‘obsolescent’ articles was Charles de Gaulle. Not only did de Gaulle put a
sudden stop to the gradual expansion of tasks and authority by the Commis-
ONE BALANCE SHEET
sion and to the prospective shift to majority voting in the Council, but he also
made a full-scale effort to convert the EEC/EC into an instrument of French Now that we have had more than fifty years of experience with the ECSC/EEC/
foreign policy. What Haas came to fear more than anything else was that a EC/EU’s efforts at promoting regional integration, it does seem possible to
draw up a balance sheet of the strengths and weaknesses of the neofunctional regions of the world. For example, neofunctionalists were right to stress
perspective: the underlying interdependence of energy policy with those conditions
determining the relative competitiveness of producers within a single
1 There were, indeed, underlying interdependencies that may have taken some market, but very little happened in the energy sector until actors were
time to mature, but they did serve to compel actors into reaching agreements made aware of the overriding importance of the dependency of the region
that were not initially intended. The volume of intra-Community trans- as a whole upon foreign suppliers by the successive oil shocks of the
actions continued to rise relative to the exchanges of its member economies 1970s. A similar case could be made for European monetary policy in the
with other countries and this triggered a spill-over into capital markets and aftermath of Nixon’s ‘shocking’ decision to take the US dollar off the gold
monetary affairs at the very core of an increasingly regionalized economic standard in 1971.14
system.12 Not only was the customs union eventually converted into a 5 In their singular concentration on interdependencies rooted in production

more genuine common market, but virtually the entire scope of government and exchange and, hence, the roles played by representatives of classes and
functions previously performed exclusively at the national level came within sectors, the neofunctionalists tended to overlook very significant extensions
at least the purview of the EC. It is less clear, however, that the roles assigned of the scope and, especially, the level of Community authority that were
to Eurocrats in the EC/EU secretariat and to the Euro-associations headquar- going on right under their noses – namely, as a result of the deliberations
tered in Brussels in this process were so significant in this process of task and decisions of the European Court of Justice. Its assertion of the
expansion.13 primacy of Community law – in effect, converting the Treaty of Rome
2 This impressive growth in the number and variety of EC activities has meant into a proto-Constitution for Europe – and its imaginative interpretations
a vast increase in the frequency with which national representatives meet – of specific (if vague) clauses were crucial for supranationalism.15 The effective
for example, the Council of Ministers in its various guises meets over one implementation of these new rules, however, depended upon a quite
hundred times a year and the quantity of national expert reunions runs different form of interdependency – that embodied in a common legal
well into the thousands. This seems to have induced important learning profession, doctrines of jurisprudence and respect for the rule of law
effects in the ranks of these representatives and even to have resulted in which extended across intra-European borders into the very entrails of the
shifts in conceptions of national interest which may have been more import- national state.16
ant than the upward shift to regional interest politics predicted by neofunc- 6 Finally, neofunctionalists failed to recognize (or, at least, to ‘problematize’)
tionalists. the significance of the enlargement of the EEC/EC to include new
3 Moreover, the policy expansion – when coupled with the persistent increase members. Neither it nor any other theory of integration can explain why
in commercial, financial and personal transactions between individuals, firms the Community began with six – rather than seven or nine – subsequently
and sub-national groups – has made it not only easier but even imperative to expanded to twelve, has recently reached twenty-five and may even include
reach complex ‘log-rolls’ and ‘package-deals’ sufficient to extend further thirty or more countries before exhausting itself somewhere on the Asian
Community compétences and to buy out even the most recalcitrant of steppes. And yet, it is impossible to deny that increasing the number of
opponents. The process may even have crossed ‘the threshold of participants has had a marked effect on decision-making rules within Com-
irreversibility’ beyond which the threat by any individual member state munity institutions or that increasing the heterogeneity of member interests
to defect is no longer credible, just as the previous attainment of the status has had a significant impact upon the functional scope of Community
of a security community had already removed the credibility of using force policies. With the EC/EU now facing this issue as never before – there are
to impose one’s preferred outcome. already two states in the short queue, and another five or more in various
4 Which is not to say that the neofunctionalist momentum that Leon Lindberg stages of application – the absence of any clear guidelines is parti-
and Stuart Scheingold failed to find in the late 1960s has necessarily emerged cularly striking. All the discussion about ‘widening vs. deepening’ is
(see Lindberg and Scheingold 1970). Much of what has happened since taking place in a theoretical vacuum that neofunctionalism is incapable
the mid-1970s can better be attributed to external trends and shocks than of filling.17
to purely internal processes and functional engrenages. It was correct to
emphasize the declining capacity of national states in Europe to control
macro-economic outcomes within their borders, i.e. to couple the loss of
ONE ENDURING BUT ENDANGERED LEGACY
external sovereignty with the decline in internal sovereignty, but it is doubtful
that this would have had such an impact were it not for the generalized per- So, what has been Ernst Haas’s European legacy? His work on regional inte-
ception that Europe as a whole was declining relative to other competing gration continues to be read and cited – I suspect with increasing frequency
since the 1990s. By now, almost everyone recognizes that no single theory or ACKNOWLEDGEMENTS
approach can explain everything one would like to know and to predict about
I thank Tanja Börzel and an anonymous reviewer for their helpful comments
the EU. The process has already generated the world’s most complex polity
on an earlier version of this paper. I am also grateful to Tina Freyburg for her
and, pace the Convention’s ‘Constitutional Treaty’, there is every indication
assistance in editing this text.
that it will become even more complex now that it has ten new members and
has been taking on new tasks.18
Moreover, the entire logic of spill-over based on underlying and NOTES
unanticipated functional interdependencies may have exhausted itself. On 1 One might also include Amitai Etzioni among them, although he is of a
the one hand, the EU is already meddling in almost all policy domains. On younger generation and emigrated voluntarily to the United States from Israel
the other hand, if monetary union is any indication for the future, the (Etzioni 1965).

designers of the European Central Bank were very careful to insulate it from 2 See also Wangenen (1952).
any relation with the Commission or with organized interests. The same 3 As presented by Haas, neofunctionalism is a ‘self-consciously eclectic’ effort at
explaining the dynamics of change in an international system composed largely –
seems likely in the cases of police co-operation and foreign policy co- but not exclusively – of established nation-states. It is one of a broader class of
ordination. Only a common energy policy and certain aspects of transport middle-range approaches that emphasize the range of possible outcomes rather
infrastructure seem capable of igniting latent functional linkages and than those that are most probable or certain; concrete actions and tasks of real poli-
generating unintended consequences. Moreover, the expansion to twenty-five ticians at the expense of abstract models or behaviours of stylized actors; rational
members of much greater heterogeneity of interests and passions means that intentions but also unintended consequences and reactions; real demands and emer-
gent properties, not just imputed preferences or fixed structures; learning and
it will become much more difficult to respond with an expansive package- gradual adjustment instead of singular exchanges or dramatic solutions; process
deal that will have something in it for everyone. Given such a diversity, it and goal-seeking at the expense of equilibrium and goal satisfaction.
is much less likely that actors will recognize a common need, that experts 4 Elsewhere, I have defined this ‘spill-over hypothesis’ in the following way: ‘Tensions
will agree on what to do, that lessons will be transferred from one experience from the global environment and/or contradictions generated by past performance
to another and that citizens will mobilize to demand that the good, service (within the organization) give rise to unexpected performance in pursuit of agreed-
upon objectives. These frustrations and/or dissatisfactions are likely to result in the
or regulation be supplied by the EU, rather than their national state or search for alternative means for reaching the same goals, i.e. to induce actions to
sub-national region. revise their respective strategies vis-à-vis the scope and level of regional decision-
But the real impediment to a revived neofunctionalist dynamic comes from making’ (Schmitter 1970).
something that Ernst Haas long anticipated, but which was so slow in coming 5 For a case study of entropy and encapsulation, see also Schmitter (1969).
to the European integration process. I have called it ‘politicization’ 6 Joseph Nye was the first to pick this theme up, but his insight remained unexploited
(Nye 1968).
(see Schmitter 1970). When citizens begin to pay attention to how the EU 7 Someone, I am not sure who, has baptized the Maastricht Treaty that instituted the
is affecting their daily lives, when political parties and large social movements process of monetary unification as ‘the Mother of All Spill-Overs’.
begin to include ‘Europe’ in their platforms, and when politicians begin to 8 At the end of his Introduction to the new edition of his The Uniting of Europe, Haas
realize that there are votes to be won or lost by addressing policy issues at concludes that ‘Regional integration theory (i.e. neo-functionalism – PCS) has a
the regional level, the entire low profile strategy becomes much less viable. new lease on life; it is no longer obsolescent’ (Haas 2004).
9 It undoubtedly helped that in the early 1950s an unusually homogenous group of
Discrete regional officials and invisible interest representatives, in league statesmen was governing the six original member states. Their common Conserva-
with national civil servants, can no longer monopolize the decision- tive and Catholic background and high degree of mutual trust may have made them
making process in Brussels (known in Euro-speak as ‘comitology’). Integration exceptionally willing to take ‘le saut dans l’inconnu’ that such a novel measure
starts to generate visible ‘winners and losers’ within member states, and loses implied. Protestant Britain, it will be remembered, was governed by Clement
its perception of being an ‘all winners’ game. Haas had an idiosyncratic term Atlee and the Labour Party at the time (Pineau and Rimbaud 1991).
10 Incidentally, this most recent compilation of diverse approaches is ‘In memoriam of
for this. He called it ‘turbulence’ and there is no question in my mind that the Ernst Haas who so greatly inspired generations of integration scholars’. All but one
regional integration process in Europe has become ‘turbulent’. It will take a of the scholars involved in this project are either Europeans or working in a Euro-
major revision of his theory before anyone can make sense of its changing pean university. Mark A. Pollack is the American exception. He takes a (modified)
dynamics. rational choice perspective and does not cite once the work of Haas.
11 This is well reflected in the Introduction he wrote for the recent new edition of his
The Uniting of Europe (Haas 2004).
Address for correspondence: Philippe C. Schmitter, European University 12 For a particularly prescient analysis of this, see Schmitt (1968).
Institute, Via dei Roccettini 9, 50016 San Domenico di Fiesole, Italy. email: 13 There has been some disagreement among specialists on the specific role that
[email protected] Jacques Delors, President of the Commission, and his staff played in the ‘crafting’
of the Single European Act and the Maastricht Treaty. Neorealists and neoration- Dosser, D., Gowland, D. and Hartley, K. (1982) The Collaboration of Nations: A Study
alists, such as Andrew Moravcsik and Geoffrey Garrett, tend to discount it, and of European Economic Policy, Oxford: Martin Robertson.
stress the initiatives taken at the European Council Meetings by Kohl, Mitterrand Etzioni, A. (1965) Political Unification: A Comparative Study of Leaders and Forces,
or their respective Foreign Ministers. For the view of a scholar not contaminated by New York: Holt, Rinehart & Winston.
an a priori theoretical stance who stresses the relative autonomy of the Commission Galtung, J. (1989) Europe in the Making, New York: Crane Russak.
and, especially, its President (but who may be influenced by his status as a partici- Ginsberg, R.H. (1991) ‘European Community foreign policy actions in the 1980s’.
pant observer), see Ross (1992). Unpublished paper presented to the Second Biennial International Conference of
14 Recent research by Roy Ginsberg on the foreign policy actions of the EC confirms the European Community Studies Association, George Mason University, 22– 24
this impression. After classifying the causes of Community action as due either to May 1991.
‘integration’ (i.e. functional responses stemming from prior EC policies), ‘interde- Haas, E.B. (1958) The Uniting of Europe. Political, Social, and Economic Forces
pendence’ (i.e. political or economic linkages to the global inter-state system) or 1950– 1957 , Stanford: Stanford University Press.
Haas, E.B. (1964) Beyond the Nation-State. Functionalism and International Organiz-

‘self-styled action’ (i.e. emanating from the EC’s own sense of mission and
independence), he observes an overall tendency for the functional explanations to ation, Stanford: Stanford University Press.
decline monotonically and proportionately over time from an initial high in Haas, E.B. (1971) ‘The study of regional integration: reflections on the joy and anguish
1976 – 80 (73 per cent of all foreign policy actions) to 1981 –85 (64 per cent) to of pretheorizing’, in L.N. Lindberg and S.A. Scheingold (eds), Regional Integration:
1986 – 90 (57 per cent) – even though their absolute number continues to increase. Theory and Research, Cambridge, MA: Harvard University Press, pp. 3– 44.
More and more of the EC’s attention in this field seems motivated either by its own Haas, E.B. (1975) The Obsolescence of Regional Integration Theory, Berkeley: University
autonomous initiatives or by global incentives (Ginsberg 1991). of California Press.
15 Most of what I know about this process I owe to the magisterial article by Joseph Haas, E.B. (1976) ‘Turbulent fields and the theory of regional integration’, Inter-
Weiler (Weiler 1991). national Organization 30(2): 173 –212.
16 Ironically, this need to pay more attention to the role of professional norms and Haas, E.B. (1997/2000) Nationalism, Liberalism and Progress (Vols 1 and 2), Ithaca:
solidarities in the integration process comes close to advocating a return to the Cornell University Press.
original international functionalism of David Mitrany where a great deal of Haas, E.B. (2004) The Uniting of Europe. Political, Social and Economic Forces
emphasis (and hope) was placed on the role of independent experts (Mitrany 1950– 1957 , Stanford: Stanford University Press.
1966; originally published in 1943). Recent work on ‘epistemic communities’ Haas, P.M. (1992) ‘Introduction: Epistemic communities and international policy
seems to touch on the same theme, even if the imbrication of national and inter- coordination’, International Organization 46(1): 1– 36.
national lawyers and judges has not (yet) been subjected to its scrutiny. Hirschmann, A.O. (1970) Exit, Voice and Loyalty, Cambridge, MA: Harvard University
See, especially, P.M. Haas (1992) and Adler and Haas (1992). Press.
17 At most, there have been inconclusive discussions about the ‘limits to Europe’ based Hoffmann, S. (1960) Contemporary Theory in International Relations, Englewood Cliffs:
on a variety of cultural criteria; virtually nothing about how different mixes of Prentice-Hall.
member states might affect the long-run evolution of European institutions. For Lindberg, L.N. and Scheingold, S.A. (1970) Europe’s Would-Be Polity, Englewood
some discussion of this issue, see Galtung (1989). Presumably, if a theoretical Cliffs: Prentice-Hall.
tradition on this subject does develop, it will come from the neorationalists who Lindberg, L.N. and Scheingold, S.A. (eds) (1971) Regional Integration. Theory and
can draw on an existing (if not very successful) literature on ‘optimal currency Research, Cambridge, MA: Harvard University Press.
areas’ or the ‘optimal size of the firm’. For an effort to apply the theory of clubs Mearsheimer, J. (1990) ‘Back to the future: instability in Europe after the Cold War’,
and other aspects of economic reasoning to the EEC and other international International Security 15(1): 5 – 56.
associations, see Dosser et al. (1982). Mitrany, D. (1966) A Working Peace System, Chicago: Quadrangle Books.
18 One very important limitation of neofunctionalism should be inserted at this Monnet, J. (1976) Mémoires, Paris: Fayard.
point. It focuses attention exclusively on the extension to new tasks and the Nye, J.S. (1968) ‘Patterns and catalysts in regional integration’, International Organiz-
expansion of common authority. It says nothing, however, about what has ation 19(4): 870 –84.
been one of the major dynamic features of the EU; namely, the incorporation Pineau, C. and Rimbaud, C. (1991) Le Grand Pari. L’Aventure du Traité de Rome, Paris:
of new members. Who, how, when, under what conditions and for what reason Fayard.
a regional organization will expand territorially is simply not contemplated by Puchala, D.J. (1981) ‘Integration theory and the study of international relations’, in R.
this approach. Merritt and B. Russett (eds), From National Development to Global Community.
Essays in Honour of Karl W. Deutsch, Boston: Allen & Unwin, pp. 145 – 64.
Ross, G. (1992) ‘Russian dolls and resource mobilization. Thoughts on supranational
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Journal of European Public Policy 12:2 April 2005: 255–272

Journal of European Public Policy Ernst B. Haas and the legacy

Ernst B. Haas and the legacy of neofunctionalism

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