THOMAS LARUE AGENTS IN BRUSSELS DELEGATION AND DEMOCRACY IN THE EUROPEAN UNION DEPARTMENT OF POLITICAL SCIENCE UMEÅ UNIVERSITY Statsvetenskapliga institutionen Umeå universitet Statsvetenskapliga institutionens skriftserie, 2006:01 ISSN 0349-0831 ISBN 91-7264-058-8 © Thomas Larue Tryck: Print & Media, Umeå universitet, 2006:2001780 Abstract: This dissertation explores delegation and democracy within the European Union (EU). The EU now constitutes one of the cornerstones of the democratic systems of its member states. The most vital instrument of democracy is lawmaking, which increasingly occurs at the European level. Many different actors contribute to the shaping of EU legisla- tion. Among the most important of these are national bureaucrats representing their mem- ber states in Council negotiations. This thesis focuses on these bureaucrats. In particular it analyzes the delegation and accountability relationship between member states’ govern- ments and their national bureaucrats stationed at the permanent representations (PRs) in Brussels. It is based on semi-structured elite interviews with 80 French and Swedish senior civil servants in Brussels, Paris and Stockholm. Using an explorative and descriptive comparative case study of two EU member states, France and Sweden, the dissertation seeks to describe and analyse how delegation between member states’ capitals and Brussels are affected by: i) the coordination and preparation of EU issues in member states’ government offices, ii) the organisation and functioning of the permanent representations, and, most importantly, iii) existing accountability mechanisms. Applying a principal-agent approach, this study shows that the delegation between govern- ments and their Brussels-based bureaucrats is adequate, despite relatively weak delegation and accountability designs. The study identifies institutional divergence between France and Sweden as regards the design of national systems of EU delegation, particularly moni- toring and reporting requirements, where Sweden seems to have a more developed system. Both countries have similar contract design and screening and selection systems for em- ploying national agents stationed at the PRs. The impact of domestic coordination of EU affairs is important in order to understand processes of both preference formation prece- dent to delegation and of preference transfer through instructions. In this case it is obvious that French coordination is more efficient. The functions of the permanent representation also influence delegation between national and European levels. For example, administra- tive procedures in the PRs in Brussels have had effects on the drafting of instructions, some- thing that is particularly notable in the Swedish case. The study identifies several central problems as regards delegation between bureaucrats in Brussels and governments in member states’ capitals. The first problem has to do with the ongoing blurring of political and bureaucratic dimensions. This inhibits the ability of principals (in our case member state governments) to hold their agents (Brussels-based bureaucrats) accountable. The second problem identified by this study as regards the work- ing of democracy is the distinction between formal and informal processes. One conclusion is that informal processes should be formalised or made more transparent. Opacity in lawmaking processes has detrimental effects on long-term legitimacy of democratic sys- tems. Holding de facto lawmaking bureaucrats, caught in a cross-pressure between national demands and European ambitions, accountable is essential for democracy. The dissertation includes practical suggestions as to how to improve delegation, and argues that additional research on both the roles and power of bureaucrats as well as issues of cross-pressure is necessary. Keywords: accountability, bureaucracy, delegation, democracy, European Union (EU), France, national EU coordination, permanent representations, principal-agent, Sweden CONTENTS Tables and Figures Abbreviations Acknowledgments 1. SETTING THE SCENE 1 2. THEORY, CONCEPTS AND MODELS 19 3. METHODOLOGY 63 4. RESEARCH OVERVIEW AND EMPIRICAL BACKGROUND 87 5. COORDINATION OF EU AFFAIRS IN SWEDEN 121 6. THE SWEDISH PERMANENT REPRESENTATION 165 7. COORDINATION OF EU AFFAIRS IN FRANCE 199 8. THE FRENCH PERMANENT REPRESENTATION 247 9. ASSESSING DELEGATION DESIGNS 283 10. CONCLUSIONS AND FUTURE RESEARCH 315 REFERENCES 339 APPENDIX 377 TABLES AND FIGURES Diagrams Number of annual Council and COREPER meetings (1958–2004) 104 Number of annual working group meetings (1958–2004) 109 Figures Politicians’ and bureaucrats’ roles and responsibilities 28 Aspects of delegation between member states and the Council of Ministers 112 Politicians’ and bureaucrats’ roles and responsibilities (revisited) 322 Organisation of the SGCI (2003) 393 Tables Summary of analytical and background variables 55 Senior administrators and employees at EU member states’ permanent representations (1998, 2000, and 2002) 99 Heads of EU units within the Swedish MFA (1995-2005) 127 Total budget cost for the Swedish PR (1997-2005) 172 Swedish permanent and deputy permanent representatives (1992-2005) 173 French European ministers (1978-2005) 204 SGCI secretaries-general (1948-2005) 208 Evolution of the staff and numbers of sections at the SGCI (1971-2005) 213 Numbers of inter-ministry meetings and video satellite meetings (1991-2 and 1997-2002) 228 Ministerial affiliation of senior officials at the French permanent representation (1965-2003, selected years) 248 French permanent and deputy permanent representatives (1958-2005) 250 Summary of analytical and background variables (results) 306 Swedish governments (1945-2005) 388 French governments (1959-2005) 390 SGCI deputy secretaries-general (1948-2005) 391 Number of Lower House EU committee hearings (1995-2005) 392 Number of Lower House EU committee reports (1991-2003) 392 ABBREVIATIONS CAP Common Agricultural Policy CFSP Common Foreign and Security Policy CIVCOM Committee for Civilian Aspects of Crisis Management COREPER Committee of the Permanent Representatives ECJ European Court of Justice ECSC European Coal and Steel Community EP European Parliament EURATOM European Atomic Energy Community ESDP European Security and Defence Policy (a part of CFSP) EUKORR Swedish European Correspondents Fi/BA Swedish Ministry of Finance’s section for Budget issues GAC General Affairs Council IGC Intergovernmental Conference JAI Justice and Home Affairs JORF Official journal of the French republic MEP Member of the European Parliament (plural: MEPs) MFA Ministry of Foreign Affairs MP Member of Parliament (plural: MPs) PR Permanent representation PSC Political and Security Committee SB Swedish Prime Minister’s Office SB-EU Swedish PMO unit for coordination of EU affairs SCA Special Committee on Agriculture SFS Swedish official journal SGCI French interministerial committee for coordination of EU affairs SGG French government’s secretariat TD French diplomatic telegraph UD-EP Swedish’s Foreign Ministry’s unit for CFSP/ESDP issues UD-EU Swedish Foreign Ministry’s unit for European Union affairs ACKNOWLEDGEMENTS Writing a dissertation is like making a long (and unfortunately solitary) sailing trip. One starts with high expectations, a pristine mind and fresh body as well as a boat filled to the brim with food, water, and fuel. After undraping the neatly folded sails the ship takes speed; land first turns into a thin line on the horizon and by nightfall, it disappears. Alone, amidst the beautiful dark blue waters with only the company of the pale moon or the milky way’s mesmerizing streak of star dust on moonless nights, a long journey begins: Ephemeral meetings with dolphins and sea-turtles. Ceaseless struggles against storms with 40 feet waves threatening above the squeaking mast; ensued by hours of windless voids under the blistering hot sun, a most peculiar feeling of being stuck in a desert in the middle of water. But all is well that ends well: the battered boat, covered in salt, silently drifts into the safe harbour of destination with torn sails and empty tanks. Though the voyage had a price: a scarred soul, a slightly wearier and older body, a thicker skin, it was well worth it. Because we must always remember that it is the challenges that define us best. It is the obstacles which illuminate what we are truly capable of. This is why we should always welcome adversity and embrace struggle, and no matter what we get from life never give less than one hundred and ten percent back. For at the end of each battle weary day, we fold ourselves into peaceful darkness and we find some comfort in loneliness and dreams of the next expedition on the deep blue seas. Sailing, in all its form, requires however more than a sturdy soul and sleek mus- cles. Sailors throughout history have used stars to navigate safely and regatta skip- pers are dependent on their team mates’ effort to push the boat beyond its limits in order to win. As captain of SS Agents in Brussels I am solely responsible for the final destination, but I have enjoyed the company and support of many team mates and relied on many stars for celestial navigation. First and foremost, I would like to thank my thesis supervisor Torbjörn Bergman. With his great experience, unique sang-froid and great acumen, he has saved me, on numerous occasions from ice- bergs, treacherous currents and bad winds. Truly I could have not wished for a better onboard navigator. I hold the deepest respect for his demeanour