Transformations of the State Series Editors: Achim Hurrelmann, Carleton University, Canada; Stephan Leibfried, University of Bremen, Germany; Kerstin Martens, University of Bremen, Germany; Peter Mayer, University of Bremen, Germany.
Titles include: Joan DeBardeleben and Achim Hurrelmann (editors) DEMOCRATIC DILEMMAS OF MULTILEVEL GOVERNANCE Legitimacy, Representation and Accountability in the European Union Kerstin Martens, Alessandra Rusconi and Kathrin Leuze (editors) NEW ARENAS OF EDUCATION GOVERNANCE The Impact of International Organizations and Markets on Educational Policy Making
Achim Hurrelmann, Steffen Schneider and Jens Steffek (editors) LEGITIMACY IN AN AGE OF GLOBAL POLITICS Achim Hurrelmann, Stephan Leibfried, Kerstin Martens and Peter Mayer (editors) TRANSFORMING THE GOLDEN-AGE NATION STATE Jens Steffek, Claudia Kissling, Patrizia Nanz (editors) CIVIL SOCIETY PARTICIPATION IN EUROPEAN AND GLOBAL GOVERNANCE A Cure for the Democratic Deficit? Klaus Dingwerth THE NEW TRANSNATIONALISM Transnational Governance and Democratic Legitimacy Peter Starke RADICAL WELFARE STATE RETRENCHMENT A Comparative Analysis
Transformations of the State Series Standing Order ISBN 978-1-4039-8544-6 (hardback) 978-1-4039-8545-3 (paperback) You can receive future titles in this series as they are published by placing a standing order. Please contact your bookseller or, in case of difficulty, write to us at the address below with your name and address, the title of the series and one of the ISBNs quoted above. Customer Services Department, Macmillan Distribution Ltd, Houndmills, Basingstoke, Hampshire RG21 6XS, England This illustration is taken from the original etching in Thomas Hobbes’ Leviathan of 1651. Palgrave Macmillan and the editors are grateful to Lucila Muñoz-Sanchez and Monika Sniegs for their help in redesigning the original to illustrate what ‘transformations of the state’ might mean. The inscription at the top of the original frontispiece reads ‘non est potestas Super Terram quae Comparetur ei’ (Job 41.24): ‘there is no power on earth which can be compared to him’. In the Bible, this refers to the sea- monster, Leviathan. (Original Leviathan image reprinted courtesy of the British Library.) Transforming the Golden-Age Nation State
Edited by
Achim Hurrelmann Assistant Professor of Political Science, Carleton University, Canada Stephan Leibfried Professor of Political Science, University of Bremen, Germany Kerstin Martens Assistant Professor of International Relations, University of Bremen, Germany Peter Mayer Professor of International Relations, University of Bremen, Germany Editorial matter and selection © Achim Hurrelmann, Stephan Leibfried, Kerstin Martens and Peter Mayer, 2007. Individual chapters © their respective authors, 2007. Softcover reprint of the hardcover 1st edition 2007 978-0-230-52161-2 All rights reserved. No reproduction, copy or transmission of this publication may be made without written permission. No paragraph of this publication may be reproduced, copied or transmitted 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, 90 Tottenham Court Road, London W1T 4LP. Any person who does any unauthorized act in relation to this publication may be liable to criminal prosecution and civil claims for damages. The authors have asserted their rights to be identified as the authors of this work in accordance with the Copyright, Designs and Patents Act 1988. First published 2007 by PALGRAVE MACMILLAN Houndmills, Basingstoke, Hampshire RG21 6XS and 175 Fifth Avenue, New York, N.Y. 10010 Companies and representatives throughout the world PALGRAVE MACMILLAN is the global academic imprint of the Palgrave Macmillan division of St. Martin’s Press, LLC and of Palgrave Macmillan Ltd. Macmillan® is a registered trademark in the United States, United Kingdom and other countries. Palgrave is a registered trademark in the European Union and other countries. ISBN 978-1-349-35649-2 ISBN 978-0-230-59086-1 (eBook) DOI 10.1057/9780230590861
This book is printed on paper suitable for recycling and made from fully managed and sustained forest sources. Logging, pulping and manufacturing processes are expected to conform to the environmental regulations of the country of origin. A catalogue record for this book is available from the British Library. A catalog record for this book is available from the Library of Congress. 10987654321 16 15 14 13 12 11 10 09 08 07 Contents
List of Tables vii Series Preface viii Foreword x List of Abbreviations xii Notes on Contributors xv
1 The Golden-Age Nation State and its Transformation: A Framework for Analysis 1 Achim Hurrelmann, Stephan Leibfried, Kerstin Martens and Peter Mayer 2 Europe, the Nation State and Taxation 24 Susanne Uhl 3 Internationalization of Intervention? UN and EU Security Politics and the Modern State 42 Sebastian Mayer and Silke Weinlich 4 From Diffusion to Interplay: Rethinking the Constitutional State in the Age of Global Legal Pluralism 63 Martin Herberg 5 Transformations of Commercial Law: New Forms of Legal Certainty for Globalized Exchange Processes? 83 Gralf-Peter Calliess, Thomas Dietz, Wioletta Konradi, Holger Nieswandt and Fabian Sosa 6 Breaking the Nation State Shell: Prospects for Democratic Legitimacy in the International Domain 109 Jens Steffek 7 Governing the Internet: The Quest for Legitimate and Effective Rules 130 Ralf Bendrath, Jeanette Hofmann, Volker Leib, Peter Mayer and Michael Zürn 8 The Internationalization of Education Policy: Towards Convergence of National Paths? 152 Kerstin Martens and Ansgar Weymann
v vi Contents
9 The Role of the Nation State in the Internationalization of Accounting Regimes 173 Jochen Zimmermann 10 The Transformation of the Golden-Age Nation State: Findings and Perspectives 193 Achim Hurrelmann, Stephan Leibfried, Kerstin Martens and Peter Mayer Index 207 List of Tables
5.1 Public and Private Governance Mechanisms in International Commerce 88 5.2 Sources of Law Used in Routine Arbitration Proceedings 98
vii Series Preface
When we think about the future of the modern state, we encounter a puz- zling variety of scholarly diagnoses and prophecies. Some commentators predict nothing less than the total demise of the state as a useful model for organizing society – its powers eroded by a dynamic global economy and by an increasing transference of political decision-making powers to supranational bodies. Others disagree profoundly and point to the remark- able resilience of the state and its core institutions. Even in the age of global markets and politics, the state remains the ultimate guarantor of security, democracy, welfare and the rule of law. These debates raise complex questions for the social sciences: what is happening to the mod- ern liberal nation-state of the OECD bloc? Is it an outdated model? Is it still useful? Is it in need of modest reform or far-reaching change? The state is a complex entity, providing many different services and regulating many areas of everyday life. There can be no simple answer to these questions. The Transformations of the State series disaggregates the tasks and functions of the state into four key dimensions:
• the monopolization of the means of force • the rule of law as prescribed and safeguarded by the constitution • the guarantee of democratic self-governance • the provision of welfare and the assurance of social cohesion
In the OECD world of the 1960s and 1970s these four institutional aspects formed the central characteristics of the modern state, creating a synergetic whole. This series is devoted to empirical and theoretical studies that explore changes to this historical model, and the current and future prospects for a traditional conception of the state. Although a political science approach dominates, many books are interdiscipli- nary in nature and also draw upon law, economics, history and sociology. We hope that taken together these volumes will provide readers with the ‘state of the art’ on the ‘state of the state’. This book contributes to the work of the Collaborative Research Centre Transformations of the State at the University of Bremen (Germany), and is funded by the German Research Foundation (DFG).
viii Series Preface ix
The state analyses pursued by the Centre are readily accessible through two overview volumes: Stephan Leibfried and Michael Zürn, (eds), Transformations of the State? (2005); and Achim Hurrelmann, Stephan Leibfried, Kerstin Martens and Peter Mayer, (eds), Transforming the Golden-Age Nation State (2007), published in the Transformations of the State series. Further information on the Centre can be found at www.state.uni-bremen.de.
Achim Hurrelmann, Stephan Leibfried, Kerstin Martens and Peter Mayer Series Editors Foreword
Until the 1970s, we thought of nation states as self-sufficient ‘containers’. Since then, we have become accustomed to stressing their ever-growing interdependence in an age of globalization. While the empirical ground- ing of this ‘paradigm shift’ now seems beyond doubt, it is less clear what accelerated globalization does to the state – its territorial control, its arrangements for securing the rule of law, its democratic legitimacy, or its role in the provision of social welfare. What has become of the Western nation state and its interweaving of functions in the decades since the 1970s? Is its fabric worn out, is it unravelling? Will it merely be rewoven and restyled? Or will the fibres of that tightly woven fabric sim- ply separate, each following its individual fate in postmodern fashion, the rule of law moving into the international arena and the nation state clinging to its resources, while the interventionist state comes com- pletely unspun and goes every which way? The Research Centre ‘Transformations of the State’, or in short ‘TranState’, has been set up to study these questions, drawing together expertise from political science, law, sociology, and economics. TranState is a centre of excellence that was founded in January 2003 by three uni- versities in Bremen, Germany: the public University of Bremen, the pri- vate Jacobs University Bremen, and the public University of Applied Sciences Bremen. TranState is governed by the University of Bremen; it is funded as a ‘Collaborative Research Centre’ (Sonderforschungsbereich) by the German Research Foundation (Deutsche Forschungsgemeinschaft). Working at TranState are some 65 researchers, who welcome and regu- larly host international visitors interested in state research. This volume is the sequel and complement of Transformations of the State? (Cambridge University Press, 2005) edited by Stephan Leibfried and Michael Zürn. Together with its twin, it provides an introduction to and first synthesis of TranState’s research: Transformations of the State? has presented one half of TranState’s research projects, Transforming the Golden Age Nation State offers the other half. These two volumes taken together give a first and complete picture of what TranState’s research is all about. In addition, Transforming the Golden-Age Nation State intro- duces our centre’s book series ‘Transformations of the State’ at Palgrave Macmillan.1 The series now has 11 volumes out or in press. Please con- sult our website (www.state.uni-bremen.de) for additional material, such
x Foreword xi as volumes appearing with other publishers, or Working Papers that may be downloaded free of charge. My co-editors and I thank Philipp Genschel und Bernhard Zangl for their pioneering conceptual and analytical work, intellectual leadership and advice and support of the project during its long gestation. We are grateful to Sophia Ojha, Vicki May, Monika Sniegs, Lukas Jeuck and Henning Wellmann for their technical assistance. As Director of TranState, I am particularly grateful to my three co-editors, without whom this volume would not have been possible. Achim Hurrelmann, who moved on to Carleton University in Canada, became thoroughly addicted to TranState during his four years in Bremen, and continues the collaboration from overseas. Kerstin Martens committed herself to this volume with the tenacity of Odysseus, resisting the tempt- ing sirens of Humboldt University and tying herself to Bremen and TranState for the duration. Peter Mayer has likewise made an excep- tional commitment to this volume and the TranState enterprise. His unusual blend of talents, for both synthesis and scholarly rigour, and his enormous expertise in international relations theory are essential to what is, in large part, an exploration of the changing international- domestic interface of the nation state since its ‘golden age’.
Stephan Leibfried, Director, TranState
Note
1 For TranState’s current research programme consult Philipp Genschel, Stephan Leibfried and Bernhard Zangl, Zerfaserung und Selbsttransformation: Das Forschungsprogramm ‘Staatlichkeit im Wandel’ (Unravelling and Self- Transformation of the State: The Research Program of ‘Transformations of the State’), Working Paper 45/2006, Bremen: TranState. The German version can be downloaded from the Centre’s website: www.state.uni-bremen.de. An English translation is in preparation. List of Abbreviations
Art. Article ARC Accounting Regulatory Committee ASB Accounting Standards Board ASC Accounting Standards Committee ATIBT Association Technique Internationale des Bois Tropicaux (International Technical Tropical Timber Association) BGB Bürgerliches Gesetzbuch (German Civil Code) BIAC Business and Industry Advisory Committee BilKoG Bilanzkontrollgesetz (German Accounting Control Act) BIS Bank for International Settlements CCAB Consultative Committee of Accounting Bodies CFSP Common Foreign and Security Policy CISG UN Convention on the International Sale of Goods CSO civil society organization DGRI Deutsche Gesellschaft für Recht und Informatik (German Association for Law and Informatics) DIS Deutsche Institution für Schiedsgerichtsbarkeit (German Institution of Arbitration) DNS Domain Name System DPKO Department of Peacekeeping Operations EAG Education at a Glance EC European Community ECB European Central Bank ECJ European Court of Justice ECOSOC UN Economic and Social Council EEC European Economic Community EFRAG European Financial Reporting Advisory Group EPC European Political Cooperation ESDP European Security and Defense Policy EU European Union FASB Financial Accounting Standards Board FRP Financial Reporting Council GAAP Generally Accepted Accounting Principles GASB German Accounting Standards Board GASC German Accounting Standards Committee
xii List of Abbreviations xiii
GD Holz Gesamtverband Deutscher Holzhandel (German Timber Trade Federation) GDP gross domestic product GHS Globally Harmonized System of Classification and Labeling of Chemicals GMO genetically modified organisms GTZ Gesellschaft für technische Zusammenarbeit HGB Handelsgesetzbuch (German Commercial Code) IANA Internet Assigned Numbers Authority IAS International Accounting Standards IASB International Accounting Standards Board IASC International Accounting Standards Committee IASCF International Accounting Standards Committee Foundation ICAEW Institute of Chartered Accountants of England and Wales ICANN Internet Corporation for Assigned Names and Numbers ICC International Chamber of Commerce ICT information and communication technology IdW Institut der Wirtschaftsprüfer IFRS International Financial Reporting Standards ILO International Labor Organization IMF International Monetary Fund INES International Indicators of Educational Systems IO international organization IOSCO International Organization of Securities Commissions ITU International Telecommunication Union KapAEG Kapitalaufnahme-Erleichterungsgesetz (German Capital Raising Act) KonTraG Gesetz zur Kontrolle und Transparenz im Unternehmensbereich (German Control and Transparency Law) LDC least-developed countries MoU Memorandum of understanding NAFTA North American Free Trade Agreement NATO North Atlantic Treaty Organization NGO non-governmental organization NLGA National Lumber Grades Authority NPT Nuclear Non-proliferation Treaty OECD Organization for Economic Co-operation and Development xiv List of Abbreviations
OMC Open Method of Coordination OSCE Organization for Security and Co-operation in Europe PC personal computer PISA Programme for International Student Assessment PSC Political and Security Committee PTT postal, telegraph and telephone organization Q&A questions and answers SEC Securities and Exchange Commission SME small and medium sized enterprises SSR Security Sector Reform UK United Kingdom UN United Nations UNCITRAL United Nations Commission on International Trade Law UNCTAD United Nations Conference on Trade and Development UNESCO United Nations Educational, Scientific and Cultural Organization UNIDROIT International Institute for the Unification of Private Law U.S. United States USA United States of America USAID United States Agency for International Development VAT value added tax WHO World Health Organization WIPO World Intellectual Property Organization WSIS UN World Summit on Information Society WTO World Trade Organization WWW World-Wide Web Notes on Contributors
Ralf Bendrath is a Research Fellow (Political Science) at the Collaborative Research Centre ‘Transformations of the State’, University of Bremen (Bremen, Germany).
Gralf-Peter Calliess is Professor for International and Comparative Business Law, at University of Bremen (Bremen, Germany).
Thomas Dietz is a Research Fellow (Political Science) at the Collaborative Research Centre ‘Transformations of the State’, University of Bremen (Bremen, Germany).
Martin Herberg is a Research Fellow (Sociology) at the Collaborative Research Centre ‘Transformations of the State’, University of Bremen (Bremen, Germany).
Jeanette Hofmann is a Senior Researcher (Political Science) at the Social Science Research Centre Berlin (WZB) (Berlin, Germany).
Achim Hurrelmann is Assistant Professor of Political Science at Carleton University (Ottawa, Canada).
Wioletta Konradi is a Research Fellow (Law) at the Collaborative Research Centre ‘Transformations of the State’, University of Bremen (Bremen, Germany).
Volker Leib is a Research Fellow (Political Science) at the Collaborative Research Centre ‘Transformations of the State’, University of Bremen (Bremen, Germany).
Stephan Leibfried is Professor of Political Science Director of the Collaborative Research Centre ‘Transformations of the State’ and Co- Director of the Centre for Social Policy Research, at the University of Bremen (Bremen, Germany).
Kerstin Martens is Assistant Professor of International Relations at the Collaborative Research Centre ‘Transformations of the State’, University of Bremen (Bremen, Germany).
xv xvi Notes on Contributors
Peter Mayer is Professor of International Relations at the Institute for Intercultural and International Studies, University of Bremen (Bremen, Germany).
Sebastian Mayer is a Research Fellow (Political Science) at the Collaborative Research Centre ‘Transformations of the State’, University of Bremen (Bremen, Germany).
Holger Nieswandt is a Research Fellow (Economics) at the Collaborative Research Centre ‘Transformations of the State’, University of Bremen (Bremen, Germany).
Fabian Sosa is a Solicitor, and was 2002–06 Research Fellow (Law) at the Collaborative Research Centre ‘Transformations of the State’, University of Bremen (Bremen, Germany).
Jens Steffek is Assistant Professor of Political Science at the Collaborative Research Centre ‘Transformations of the State’, University of Bremen (Bremen, Germany).
Susanne Uhl is a Research Fellow (Political Science) at the School of Humanities and Social Sciences, Jacobs University Bremen (Bremen, Germany).
Silke Weinlich is an Associate Researcher (Political Science) at the Institute for Intercultural and International Studies, University of Bremen (Bremen, Germany).
Ansgar Weymann is Professor of Sociology at the University of Bremen (Bremen, Germany).
Jochen Zimmermann is Professor of Accounting at the University of Bremen (Bremen, Germany).
Michael Zürn is Professor of Political Science, Dean of the Hertie School of Governance and Director at the Social Science Research Centre Berlin (WZB) (Berlin, Germany).