Table Of ContentPalgrave Studies in European Union Politics
Edited by: Michelle Egan, American University USA, Neill Nugent, Manchester
Metropolitan University, UK and William Paterson OBE, University of Aston, UK.
Editorial Board: Christopher Hill, Cambridge, UK, Simon Hix, London School of
Economics, UK, Mark Pollack, Temple University, USA, Kalypso Nicolaïdis, Oxford
UK, Morten Egeberg, University of Oslo, Norway, Amy Verdun, University of Victoria,
Canada, Claudio M. Radaelli, University of Exeter, UK, Frank Schimmelfennig, Swiss
Federal Institute of Technology, Switzerland
Following on the sustained success of the acclaimed European Union Series, which
essentially publishes research-based textbooks, Palgrave Studies in European Union Politics
publishes c utting edge research-driven monographs.
The remit of the series is broadly defined, both in terms of subject and academic dis-
cipline. All topics of significance concerning the nature and operation of the European
Union potentially fall within the scope of the series. The series is multidisciplin-
ary to reflect the growing importance of the EU as a political, economic and social
phenomenon.
Titles include:
Ian Bache and Andrew Jordan (editors)
THE EUROPEANIZATION OF BRITISH POLITICS
Thierry Balzacq (editor)
THE EXTERNAL DIMENSION OF EU JUSTICE AND HOME AFFAIRS
Governance, Neighbours, Security
Kenneth Dyson and Angelos Sepos (editors)
WHICH EUROPE?
The Politics of Differentiated Integration
Michelle Egan, Neill Nugent, William E. Paterson (editors)
RESEARCH AGENDAS IN EU STUDIES
Stalking the Elephant
Kevin Featherstone and Dimitris Papadimitriou
THE LIMITS OF EUROPEANIZATION
Reform Capacity and Policy Conflict in Greece
Stefan Gänzle and Allen G. Sens (editors)
THE CHANGING POLITICS OF EUROPEAN SECURITY
Europe Alone?
Eva Gross
THE EUROPEANIZATION OF NATIONAL FOREIGN POLICY
Continuity and Change in European Crisis Management
Adrienne Héritier and Martin Rhodes (editors)
NEW MODES OF GOVERNANCE IN EUROPE
Governing in the Shadow of Hierarchy
Wolfram Kaiser, Brigitte Leucht, Michael Gehler
TRANSNATIONAL NETWORKS IN REGIONAL INTEGRATION
Governing Europe, 1945–83
Hussein Kassim and Handley Stevens
AIR TRANSPORT AND THE EUROPEAN UNION
Europeanization and its Limits
Robert Kissack
PURSUING EFFECTIVE MULTILATERALISM
The European Union, International Organizations and the Politics of Decision Making
Katie Verlin Laatikainen and Karen E. Smith (editors)
THE EUROPEAN UNION AND THE UNITED NATIONS
Intersecting Multilateralisms
Esra LaGro and Knud Erik Jørgensen (editors)
TURKEY AND THE EUROPEAN UNION
Prospects for a Difficult Encounter
Ingo Linsenmann, Christoph O. Meyer and Wolfgang T. Wessels (editors)
ECONOMIC GOVERNMENT OF THE EU
A Balance Sheet of New Modes of Policy Coordination
Hartmut Mayer and Henri Vogt (editors)
A RESPONSIBLE EUROPE?
Ethical Foundations of EU External Affairs
Philomena Murray (editor)
EUROPE AND ASIA
Regions in Flux
Daniel Naurin and Helen Wallace (editors)
UNVEILING THE COUNCIL OF THE EUROPEAN UNION
Games Governments Play in Brussels
David Phinnemore and Alex Warleigh-Lack
REFLECTIONS ON EUROPEAN INTEGRATION
50 Years of the Treaty of Rome
Sebastiaan Princen
AGENDA-SETTING IN THE EUROPEAN UNION
Roger Scully and Richard Wyn Jones (editors)
EUROPE, REGIONS AND EUROPEAN REGIONALISM
Asle Toje
AFTER THE POST-COLD WAR
The European Union as a Small Power
Richard G. Whitman and Stefan Wolff (editors)
THE EUROPEAN NEIGHBOURHOOD POLICY IN PERSPECTIVE
Context, Implementation and Impact
Palgrave Studies in European Union Politics
Series Standing Order ISBN 978–1–4039–9511–7 (hardback) and ISBN 978–1–4039–
9512–4 (paperback)
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New Modes of
Governance in Europe
Governing in the Shadow of Hierarchy
Edited by
Adrienne Héritier
Professor, Department of Political and Social Science and
Robert Schuman Center for Advanced Studies,
European University Institute, Italy
Martin Rhodes
Professor, Josef Korbel School of International Studies,
University of Denver, Colorado, USA
Editorial matter, selection, introduction and conclusion © Adrienne Héritier
and Martin Rhodes 2011
All remaining chapters © respective authors 2011
Softcover reprint of the hardcover 1st edition 2011 978-0-230-24340-8
All rights reserved. No reproduction, copy or transmission of this
publication may be made without written permission.
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save with written permission or in accordance with the provisions of the
Copyright, Designs and Patents Act 1988, or under the terms of any licence
permitting limited copying issued by the Copyright Licensing Agency,
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Any person who does any unauthorized act in relation to this publication
may be liable to criminal prosecution and civil claims for damages.
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work in accordance with the Copyright, Designs and Patents Act 1988.
First published 2011 by
PALGRAVE MACMILLAN
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registered in England, company number 785998, of Houndmills, Basingstoke,
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ISBN 978-1-349-31833-9 ISBN 978-0-230-30645-5 (eBook)
DOI 10.1057/9780230306455
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managed and sustained forest sources. Logging, pulping and manufacturing
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A catalogue record for this book is available from the British Library.
Library of Congress Cataloging-in-Publication Data
New modes of governance in Europe : governing in the shadow of
hierarchy / edited by Adrienne Héritier, Martin Rhodes.
p. cm. —(Palgrave studies in European Union politics)
1. Public administration – European Union countries. 2. European Union
countries – Politics and government – 21st century. I. Windhoff-Héritier,
Adrienne, 1944– II. Rhodes, Martin, 1956 Feb. 23–
JN30.N476 2010
351.4—dc22 2010027576
10 9 8 7 6 5 4 3 2 1
20 19 18 17 16 15 14 13 12 11
Contents
List of Illustrations viii
Preface ix
List of Contributors xvi
New Modes of European Governance: An Introduction 1
Stefano Bartolini
1 The importance of governance theory 2
2 Governance as a ‘frame’ concept 7
3 Old versus new governance 12
4 The content and orientation of the book 16
Notes 18
1 New Modes of Governance: Policy Developments and
the Hidden Steps of EU Integration 19
Udo Diedrichs, Wulf Reiners and Wolfgang Wessels
1 Introduction: Two sets of competing expectations 19
1.1 Approaching modes of governance: What is new? 23
2 T he emergence of new modes of governance:
External shocks and spill-over as driving forces? 24
2.1 Emergence within the three pillars 28
3 T he execution of new modes of governance:
New instruments, new actors, a new mix? 31
4 T he evolution of new modes of governance:
Towards the community method? 35
4.1 Treaty change and the evolution of
new modes of governance 35
4.2 T he evolution of new modes of governance
within the three pillars 36
5 T he evaluation of new modes of governance:
Effective, efficient and legitimate? 42
6 Conclusion: The hidden steps of EU integration 44
2 Governing in the Shadow of Hierarchy:
New Modes of Governance in Regulation 48
Adrienne Héritier and Dirk Lehmkuhl
v
vi Contents
1 Introduction 48
2 Emergence 50
2.1 A variety of new modes of regulatory governance 50
The goals of new modes of governance 53
2.2 Emergence: Driving the move towards
new governance 54
The need for expertise 54
Pre-empting legislation 55
New modes as a default option 56
Improving implementation 57
3 Execution: A variety of instruments and actors 57
3.1 A variety of instruments 57
3.2 A mix of public and private actors 59
3.3 Government and new modes of governance 61
4 E volution: Old and new modes in a
longitudinal perspective 62
5 E valuation: Policy effectiveness and
democratic accountability 66
5.1 Policy effectiveness 66
5.2 The structural impact of new modes: New modes
of governance and democratic accountability 68
6 Conclusion 71
Notes 73
3 Drawing Closer to Europe: New Modes of Governance
and Accession 75
Tanja A. Börzel
1 Introduction 75
2 New modes of governance: What are they? 78
3 E mergence: Factors fostering and hindering
new modes of governance 79
3.1 Seek and ye shall find? 79
3.2 Why do they (not) emerge? 84
4 E xecution and evolution: The resilience of
government and hierarchy 90
5 Evaluation: Effectiveness and structural impact 93
5.1 Handle with care: The (effect)iveness of
new modes of governance 93
5.2 Cui bono? The structural impact of
new modes of governance 99
6 Conclusions: Much ado about almost nothing? 102
Contents vii
4 Seeking Commitment, Effectiveness and Legitimacy:
New Modes of Socio-Economic Governance in Europe 104
Martin Rhodes and Jelle Visser
1 Introduction 104
2 Varieties of modes of socio-economic governance 110
3 T he emergence of new modes of
socio-economic governance 113
4 E xecution: New commitment devices and
regulatory innovation 118
5 Evolution and evaluation of new modes of governance 126
6 The structure and allocation of power 130
Notes 133
5 Evaluating Trustworthiness, Representation and
Political Accountability in New Modes of Governance 135
Richard Bellamy, Dario Castiglione, Andreas Follesdal and
Albert Weale
1 ‘New’ modes of European governance 136
2 Legitimacy, trustworthiness and compliance 140
3 Representation 146
4 Political accountability 153
5 C onclusion: New modes of governance in
the ‘shadow’ of democratic legitimacy 160
Conclusion New Modes of Governance:
Emergence, Execution, Evolution and Evaluation 163
Adrienne Héritier and Martin Rhodes
1 Introduction 163
2 Definition 164
3 Variety 165
4 Emergence 165
5 Execution 168
6 Evolution 170
7 Evaluation 171
References 175
Index 187
Illustrations
Tables
3.1 The realm of new modes of governance 79
4.1 Varieties of modes of socio-economic governance 106
Figures
I.1 The eight dimensions of variation in forms of governance 13
1.1 The governance cube: describing a three-dimensional space 20
1.2 The new modes of governance ‘feedback spiral’ 25
1.3 Share of types of EC/EU legal act adopted under
the Treaty of Maastricht (11/1993–4/1999), the
Treaty of Amsterdam (5/1999–1/2003) and the
Treaty of Nice (2/2003–12/2007), percentage 32
1.4 Legal instruments in social policy 37
1.5 Legal instruments in environmental policy 38
1.6 Texts adopted in the JHA area, 1 May 1999–31 December
2006 (post-Amsterdam period): evolution per year 41
1.7 The treaty-based ladder and new modes of governance 45
viii
Preface
The NEWGOV Project:
An Overview
This book stems from an international research project – NEWGOV –
that was co-funded by the European Union’s 6th Framework
Programme for Research and Technological Development from 1
September 2004 to 31 August 2008. The aim of the NEWGOV inte-
grated project was to examine the transformation of governance in
Europe by mapping, evaluating and analysing the emergence, execu-
tion and evolution of ‘new modes of governance’.
The NEWGOV Consortium was coordinated by the Robert Schuman
Centre for Advanced Studies at the European University Institute in
Florence and consisted of a total of 38 contract partners from 16 dif-
ferent European countries. Martin Rhodes led the project bid and
acted as Scientific Director until 2006, when he was succeeded by
Adrienne Héritier. An important role in the early preparation of the
project was also played by Helen Wallace, then Director of the Robert
Schuman Centre, who was succeeded by Stefano Bartolini in 2006.
Ingo Linsenmann played an indispensable role as project manager
from the beginning of NEWGOV until its end.
The NEWGOV project has produced around 450 deliverables, ran-
ging from workshops, practitioner forums and meetings, websites,
technical documents such as glossaries, indicators, scientific guide-
lines, refinements of research approaches and interviews digests
to reports on empirical research, working papers and final project
research reports. More than 60 monographs and edited volumes and
more than 400 articles in journals and edited volumes were, or are in
the process of being, published. The project website www.eu-newgov.
org disseminates these results. A policy brief series with 35 issues,
covering the whole range of NEWGOV projects, has synthesized the
main results of the research. NEWGOV also disseminated its research
results to practitioners (via 17 practitioner forums) and trained jun-
ior researchers in its summer schools.
ix
