ARENA Working Papers |
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Commission structure | Council structure | |
Main principle of specialization: | purpose and function | geography |
Challenges from competing principles: |
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V. Method and data
Our main source of data is a survey conducted in the Norwegian central government in 1996.5 The questionnaire, which covered a broad range of topics, of which `Europeanization' was one, was mailed to all officials in all ministries engaged in administrative and advisory duties which require a university education (category A staff). Those who had occupied their position for less than a year were excluded. The response rate was 72 %, which gave us a total of 1482 respondents (units) (Egeberg and Trondal, 1997). In addition, an almost identical questionnaire was administered in the central agencies subordinated to the ministries, the so-called `directorates'. The category of officials corresponding to the one selected in the ministries was included. Because of the considerable size of the directorates, however, we sampled randomly one-third of the relevant population. That gave us in the end 1025 respondents, a response rate of 64 %. The representativeness of the respondents was found to be satisfactory at both administrative levels (Egeberg and Trondal, 1997). The empirical material is better equipped to grasp changes of policies and processes than of institutions. The survey data are complemented by interview data and public documents analyzed in Trondal (1996).
VI. Empirical findings
Let us first take a look at the overall impact of the EU and the EEA agreement as it is perceived by Norwegian central government officials (table 1):
Table 1: Proportion of officials who report that they are affected by the EU and/or the EEA agreement. 1996. Percentages.
Ministries Agencies1 | |||
Affected: | 'Domestic'2 | Foreign Affairs | |
To some extent or more......... | 45 | 61 | 44 |
To a relatively small extent.... | 28 | 19 | 23 |
Not affected............................ | 27 | 20 | 33 |
Total....................................... |
100
(1207) |
100
(186) |
100
(987) |
1) Agency for foreign aid (NORAD) is excluded.
2) Ministry of Defence is excluded.
Since it is hardly surprising that the Foreign Ministry is affected to some extent, we have separated this department from the `domestic' ministries and agencies in order to explicate the domestic impact. We notice that almost half of the central government officials, at both administrative levels, are involved to some extent, or more than that. Three out of four directors general in the 'domestic' ministries are affected correspondingly. Only approximately one-third of the officials see themselves as mainly unaffected. Officials affiliated with the Ministry of Transport and the Ministry of Industry and Energy seem to be most involved (66% and 62% to some extent or more, respectively). The corresponding numbers in the ministries least affected, the Ministry of Children and Family Affairs and the Ministry of Health and Social Affairs, are 32% and 33%, respectively.
Institutional adaptation related to the EEA agreement seems, so far, to be characterized by path-dependent, incremental and, thus, moderate changes (Christensen, 1996; Sverdrup, 1997). These observations are clearly consistent with those made in EU member countries (e.g. Rometsch and Wessels, 1996). The most visible organizational adaptation that has taken place is probably the erection of a set of co-ordination committees parallel to those often found in EU member states (Trondal, 1996). This collegial structure consists of intra-departmental committees, 22 issue-specific interdepartmental committees headed by the ministries in charge of the respective policy fields, a non-specialized co-ordination committee chaired by the Foreign Ministry, and, finally, at the political level, a cabinet committee.
When it comes to adaptation of national legislation and other policy changes, the impact of the EU and the EEA is most evident, as table 2 shows.
One-third of the officials report that legislation within their policy area had to be altered as a consequence of initial adaptation to the new agreement. This proportion is significantly smaller than the proportion who found themselves affected (cf. table 1). This discrepancy may be explained by the fact that considerable parts of the relevant Norwegian legislation already had been unilaterally brought in accordance with EU's internal market legislation prior to the EEA agreement (Sollien, 1995). Table 2 also reveals the highly dynamic character of the EEA agreement. The EU's legal acts become continuously transposed into Norwegian legislation. Approximately one-third say that this happened `last year' within their own policy field.
Table 2: Proportion of officials who report about adaptation of legislation and other kinds of adaptation to EU/EEA. 1996. Percentages.
Ministries Agencies1 | |||
'Domestic'2 | Foreign Affairs | ||
Legislative changes due to the EEA-initiative (1992-94)3.......... | 31 | 30 | 35 |
Legislative changes last year due to the EEA agreement4............... | 35 | 30 | 36 |
Other changes last year due to EEA ........................................... | 26 | 29 | 26 |
Adaptations to the EU last year that can not be derived from the EEA agreement........................... | 10 | 27 | 9 |
Mean N....................................... | (1187) | (178) | (960) |
1) Agency for foreign aid (NORAD) is excluded.
2) Ministry of Defence is excluded.
3) This includes officials who report that they have made legislative changes to some extent or more.
4) This variable, and the following two variables, include officials who report that they have made legislative changes or adaptations one time or more last year.
Of those affected to some extent, or more, by the EU or EEA, 48% in the ministries, and 21% in the agencies, interact with the Commission during a year. They participate on about 200 expert or advisory committees. The amount of participation in the Commission structure is about the same as during the so-called `interim period' (June 1994 until November 1994) preceding the referendum on Norwegian membership in the EU (Trondal, 1996). In this 'interim period', Norway was granted extensive rights of participation, also in the Council (without the right to vote, however).
Table 3: The participation of different Norwegian government organizations on committees in the Commission. 1996. Number of committees: 207.
'Domestic' Ministries participate separately on......... | 30 % (62) |
'Domestic' Agencies participate separately on.......... | 38 % (78) |
'Domestic' Ministries and agencies jointly................ | 29 % (59) |
Ministry of Foreign Affairs:
- participate separately on.......................................... - together with other ministries or agencies.............. |
1 % (2)
2 % (4) |
Missing information about participating institutions | 1 % (2) |
Total.......................................................................... | 101 % (207) |
Source: Draft report, Ministry of Foreign Affairs, 1997
Table 3 clearly shows the sectoral character of the links with the Commission. Highly specialized governmental agencies are more frequent participants than ministries, and the Foreign Ministry, which was heavily involved in the Council structure during the `interim period', is almost absent.
To what extent then do other institutions intervene in EU-related sectoral policy-making? Table 4 reveals that officials affected by the EU or the EEA agreement (to some extent, or more) relatively seldom have to modify policy view points as a consequence of consultation with other institutions. Only 5% of those in 'domestic' ministries answer that this has happened during the `last year' in relation to the Prime Minister's Office, and only 18% in relation to the Foreign Ministry. The Foreign Ministry, on the other hand, seems to have adjusted its policy positions to a somewhat greater extent. Also consultations with parliament have resulted in few alterations. It should be remembered, however, that secondary legislation, on which it is a cabinet prerogative to decide, makes up the dominant part of the EU-related legislation (Sejersted, 1997). It is also possible that anticipation, which is a decision mechanism that may work well in a relatively small system, is reducing the need for policy-correction.
Table 4: Proportion of officials1 who report that standpoints in EU-/EEA-matters have been changed and/or modified “during the last year” due to co-ordination or consultation with the institutions listed beneath. 1996. Percentages.
'Domestic' ministries2 | Ministry of Foreign Affairs | |
Prime Minister's office............. | 5 | 23 |
Ministry of Foreign Affairs...... | 18 | -- |
Other ministries........................ | 15 | 32 |
The Parliament........................ | 3 | 16 |
Interest organizations............... | 7 | 7 |
Mean N..................................... | (463) | (88) |
1) This includes only officials who report that they are affected to some extent or more by the EU and/or the EEA agreement.
2) Ministry of Defence is excluded.
During the short `interim period', the countervailing forces fostered by the Council structure could, however, be observed in Norway. Regarding participation on Council working groups, the number of 'interdepartmental clearances' was estimated to 1.9 per group, while the corresponding number for committees in the Commission was 0.4 (Trondal, 1996). The survey data show that one out of three officials in 'domestic' ministries find the Foreign Ministry to be less important today than during the `interim period'. This opinion is more often held by those strongly affected by the EEA than by those less affected (gamma = 0.64). Finally, the committee structure established to facilitate co-ordination is considerably less active than during the `interim period'. For instance, the number of meetings held in the non-specialized interdepartmental committee chaired by the Foreign Ministry have been reduced from two per month to one per month, and the specialized interdepartmental committees are increasingly making non-EU-related affairs a part of their agenda (Trondal, 1996). Compared to Denmark, which has a more or less parallel co-ordination structure, the level of activity in this structure is significantly lower in Norway (Trondal, 1996).
What we now have seen in the Norwegian case is, in several respects, quite consistent with what we have reported previously about EU member states as far as their relationships with the Commission are concerned. The important difference is that, as regards the EEA affiliation form, the sectoral logic stemming from Commission linkages is not being countervailed by the territorial logic and interlocking dynamics fuelled by the Council structure. Thus, on this background, our interpretation is that the Norwegian system can be seen as more sectorally penetrated than the member states.
VII. Conclusion
Basically, organization theory aims at understanding and explaining decision-making behaviour by taking into account characteristics of the organization within which it unfolds. In this article we have focused on a structural dimension: the kind of specialization principle chosen. Concerning multi-level governance, two such principles are brought to the forefront. It is argued that a 'policy integrated' system is characterized by the primacy of purpose (sector) or function. To what extent policy variation occurs across sub-territorial units depends on the degree of horizontal interlocking of sectors at this level. In this respect, (sub-centre) sovereignty means to let the geographical principle of specialization take precedence over purpose and function.
In the EU, these contending organizational principles are embedded in important institutional structures, cross-cutting territorial levels. Though challenged, the sector logic of the Commission structure, and the geographical area logic of the Council structure are, more or less, balancing each other. It can be assumed that this duality makes the system more flexible and viable, since it is probably more convenient to alter the relative weight assigned to the two principles than to replace one principle with another. As regards the EEA countries, however, the Council structure and the interlocking dynamics it encourages, is almost 'absent'. On this ground, the argument goes that, as far as the relevant policy areas are concerned, the EEA countries may, in a sense, be seen as more sectorally penetrated than the member states. The Norwegian data show that the legislative adaptation to the EU takes place at a broad scale, and is highly dynamic. The amount of inter-sectoral interventions at the national level seems to be moderate, and the data indicate that such co-ordination efforts have been weakened subsequent to the 'interim period', during which the Council structure was open for Norwegian participation.
However, there are factors that may be modifying the sectoral penetration of Norway. First, one could ask whether the `national connections' that are still present in the Commission structure, although not dominant (cf. figure 1), are in fact inducing some `interlocking dynamics' in the Norwegian system of governance as well. One has, however, to be aware of the fact that none of the commissioners and cabinets are recruited from the EEA countries, nor are these countries covered by the national quota system as regards the recruitment of officials. Thus, the only remaining `national connection' to the Commission that might encourage horizontal co-ordination efforts in Norway is the country's participation in expert committees and advisory groups. But, as the empirical analysis has revealed, this participation is subject to very modest co-ordination efforts.
Second, the inter-sectoral committees established in order to co-ordinate Norway's relations to the EU, represent a potential countervailing force as far as sectoral penetration is concerned. It should, however, be recalled that this organizational arrangement is less active today than in the `interim period', during which Norway also was allowed to attend Council meetings, and, considerably less active than the corresponding structure in Denmark. Third, the possibility still remains, however, that anticipation represents a potent alternative co-ordination mechanism in a relatively small polity. In addition, the traditionally strong role of the Foreign Ministry concerning external relations may to some extent be transferred to the EEA policy field as a matter of routine, so to speak.
The data have indicated that there is a relationship between form of affiliation (member-/EEA-state) and to what extent inter-sectoral co-ordination takes place at the national level. The empirical material available so far can not tell us whether the relative absence of `interlocking dynamics' matters in the Norwegian case. The assumption that it is the degree of such horizontal interlocking of policy sectors at the national level in all stages of a policy process that affects the degree of policy variation across countries, rests solely on theoretical reasoning.
Notes
1. The EEA Council and the EEA Joint Committee can not be seen as relevant equivalents to the Council of the EU. The EEA Council meets at the cabinet level, and only twice a year. Information exchange on various aspects of the agreement seems to be its most important function (Statskonsult, 1998, p. 68). The EEA Joint Committee meets monthly. Its main function is to decide on the adoption of relevant EU Commission or EU Council decisions into the EEA. Given the agreement, the room for manoeuvring is very limited.
2. However, studies indicate that even in federal systems, officials formally belonging to separate levels of government identify to a considerable extent with the sector or functional area in which they are working (Page, 1992; Dehousse, 1997).
3. This close relationship between national sovereignty and the existence of a foreign ministry was clearly illustrated during the Swedish-Norwegian union under a common ruler (1814-1905). In fact, it was the struggle over the establishment of a separate ministry of foreign affairs for Norway that put an end to the union. In the 1890s, the Norwegians organized a department of foreign affairs within their Ministry of the Interior, and claimed that, subsequently, all contacts between administrative units in the two countries had to be transmitted through this department. The King, on the other hand, insisted that, since the two countries compiled a union, government organizations should interact directly without any interference from the Foreign Ministry in Stockholm, or its Norwegian equivalent (Kaartvedt, 1995).
4. The role of national interests has also been seen as dependent on the kind of policy being focused on (Peterson, 1995).
5. This survey has been financed by the ARENA programme (Advanced Research on the Europeanization of the Nation State - The Norwegian Research Council) and the University of Oslo.
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[Date of publication in the ARENA Working Paper series: 15.09.1997]