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Haverland, 2006
Haverland, 2006
RESEARCH NOTE
This study ties into the debate about the effect of the EU on its member states. Most
studies do not include non-EU cases in their investigations. Therefore, it is difficult to
establish the (isolated) causal effect or relative importance of the EU. Moreover,
studies with an exclusive focus on EU cases tend to be biased towards EU-level
explanations, at the expense of domestic or global explanations. The article examines
three strategies to demonstrate the causal importance of the EU. It points to the limits
of process tracing and counterfactual reasoning and advocates the comparison of EU
member states with non-members or, if research is restricted to EU countries, cases
where the source of an EU effect is present with cases where the source is absent.
case selection. In the remainder, I will first elaborate on the specific problem
identified with regard to case selection: the lack of variation in the
independent–EU-level–variable. Then, two remedies put forward in the
literature to cope with the no-variance problem are examined: process
tracing and counterfactual reasoning. This discussion will reveal some
shortcomings of these strategies. Therefore, the final section will discuss
another strategy: comparing EU cases with non-EU cases. I will argue in
particular that ceteris paribus the inclusion of moderately similar non-EU
cases is a promising strategy to deal with the no-variance problem and will
accordingly help to answer one of the core questions of Europeanisation
research: whether and to what extent the EU makes a difference.
tracing with a strong emphasis on the temporal dimensions time, timing and
speed (Goetz 2000); counterfactual reasoning (Anderson 2003; Haverland
2003b; Schmitter 1999); and the inclusion of non-EU cases in the research
design as a control group (Anderson 2003; Eising 2003).
Process tracing that takes alternative explanations explicitly into account
potentially allows for establishing the relative importance of the EU even if
research is restricted to EU cases, if observable implications can be derived
that contrast with EU-level theories. A number of scholars looking at
economic policy adaptation, for instance, have added global or domestic
factors to their explanatory framework from the outset, or as they ‘came
across’ these factors in the course of their study. That the inclusion of
alternative explanations cast doubts on the strength of the EU effect is
revealed by Schmidt’s review of her own and others’ work on the impact of
the EU on domestic economic policies. Only in seven out of 21 cases has the
EU been the dominant source for adaptation pressure; in seven cases global
pressures have been decisive; and in two cases internal pressures. In the
remaining cases combinations of two of the three sources of adaptation have
been at work (Schmidt 2002).
However, establishing the causal effect of the EU is far from easy even if
one takes full account of alternative explanations. One problem is that
factors and mechanisms we associate with European integration often
generate similar empirically observable implications rather than rival
implications for domestic developments. Take economic globalisation: the
lowering of domestic policy standards might be caused by increased
competitive pressures spurred either by the single market programme or by
economic globalisation. Likewise, the ‘decline of the classical public
bureaucracy’ can be related to the EU but also to economic and
technological developments and the rise of new public management (Goetz
2000: 225).
Moreover, these developments might exhibit similar temporal patterns.
European integration, globalisation, neo-liberal ideas, new public manage-
ment, new information and communication technologies or the
individualisation of society emerged in the second half of the last century
and intensified in recent decades. Given its restriction to cases where the EU
source of pressure, incentives or models is present, there is the danger of
biased conclusions. As Anderson reminds us with regard to globalisation
‘[n]o matter how careful the empirical process tracing . . ., there is always the
risk of analytical oversight – of failing to see how integration’s effects are
overshadowed by, or a straightforward function of, broader forces of
globalization’ (Anderson 2003: 51).
The results of the few studies that have included non-EU cases for control
suggest that there is indeed a problem of analytical oversight. In a
quantitative study of OECD countries, Verdier and Breen investigated the
impact of economic globalisation and/or European integration on broad
patterns of interest representation. With regard to interest representation in
138 M. Haverland
the capital market, an area quite likely to be affected by the EU, no effect of
European integration could be found (Verdier and Breen 2001). Levi-Faur
also provides evidence that in areas where most scholars would probably
expect an EU effect developments are actually driven by other factors. In his
comprehensive qualitative study of telecommunication and energy reforms
in 28 countries, he found that ‘it is highly plausible that the major features
of the liberalisation would have been diffused to most member states even
if the Commission and other agents of Europeanisation had not existed’
(Levi-Faur 2004: 25).
The fact that studies that systematically control for other variables
through their case selection find a rather weak effect of EU-level variables in
cases where strong effects are expected suggests that only taking alternative
explanations into account is not sufficient. We need to include non-EU cases
for control. Before that strategy is discussed, I will turn to another possible
remedy against the no-variance problem, counterfactual reasoning.
The counterfactual concept of causation does not necessarily lead to the
inclusion of real cases that approximate the hypothetical situation of the
absence of the EU-level factor. Instead, the researcher can engage in a
‘thought experiment’ and speculate about what would have happened in the
case under investigation if the EU-level factor had been absent. Schmitter,
for instance, forcefully argued that ‘no realistic or compelling assessment of
the impact of the EU on domestic democracy can afford to ignore taking
counterfactuals [emphasis original] into account’ (Schmitter 1999: 296).
Note that counterfactual reasoning does not need to result in unlimited
speculation. Several authors have suggested criteria for the development of
compelling counterfactuals (see for instance Ned Lebow 2000; Tetlock and
Belkin 1996). The criteria of clarity, for instance, demands that researchers
should make explicit which variables are changed in his or her thought
experiment and which remain unchanged. Historical consistency is also
important. Hence variables should be specified in a way that requires few
changes to historical facts. Also, the hypothesised linkages between the
(mentally changed) independent variable and the dependent variable
should be consistent with well-established empirical and theoretical
generalisations.
Yet counterfactual arguments are problematic in complex situations. For
instance, to establish the overall net impact of the EU on a specific member
state, or one of its institutions or policy sectors, researchers would have to
explore what had happened without the existence of the European Union, or
at least without that particular member state being a member of it. In that
case, however, one would have to rewrite history quite drastically and the
story would become more speculative and therefore less compelling as by
implication many more phenomena may be different as well. Generally
speaking, the more changes we make the greater the number of
consequences and the lower their predictability, in particular when there
are also interaction effects between ‘independent’ variables. Therefore it is
Does the EU Cause Domestic Developments? 139
often advisable to include in the research design ‘real’ cases where the EU
effect is absent.
There are several studies that follow this strategy (e.g. Sciarini et al. 2004).
Unfortunately, the cross-section design suffers from the same trade-off as the
cross-country design. Comparing sections where EU pressure, incentives, or
models exist with other sections comes close to the ideal of the most-similar-
systems design, because the investigator can keep all national factors
constant. At the same time, because the country is a member of the European
Union it might be difficult to argue that the cases are independent from one
other. Horizontal effects, from one section to another, may be at work. This
horizontal impact, driven for instance by diffusion or learning, may have had
its origin at the European level. Thus not only borders between members and
non-members become blurred but also boundaries between sections within
member states. For example, if the investigator wants to research whether
partnerships between sub-national governments and business in regional
economic policy are causally related to EU regional policy, it might be
problematic to compare it with regional vocational training policies, as the
norm of partnership may have diffused via regional economic policy to
vocational training policy as well. If this is the case, then the EU has caused
changes in vocational training policy even though it has almost no formal
competences in this area. In this example, it would be important here to
choose sections that are ‘disconnected’ from each other. In general, it is
important to choose sections that are not too similar with regard to
theoretically relevant properties. For instance, if policy fields are concerned,
it is often wise to choose fields that are regulated by different ministries.
As in the cross-country design, however, a design that selects most different
sections may suffer from over-determination. If the hypothesised effect occurs
in sections subject to EU pressures but does not in sections that are not subject
to such pressures, the variation could be caused by section-specific properties.
For instance, if the researcher hypothesises that the incentive to lobby the EU
results in a professionalisation of interest groups and he or she compares
interest groups in telecommunications with interest groups of teachers of
primary education, one could argue that if telecommunications interest groups
are indeed more professionalised, it is related to economic globalisation or
technological changes rather than European integration. Therefore, in
choosing sections it is important to control for section-specific variables.
Again, it is worth noting that concrete selection criteria depend very much on
existing theories and hypotheses. A crucial aspect is whether the relevant
theories hypothesise direct or indirect effects.
Conclusion
This analysis has addressed the issue of case selection in Europeanisation
research and has detected a no-variance problem. In many studies, case
selection is confined to instances where potential EU pressures, incentives or
ideas are present. Control cases are lacking. Following the counterfactual
notion of causality, that informs most empirical political science, it is
144 M. Haverland
Acknowledgments
I would like to thank Karen Anderson, Peter Bursens, Antoaneta
Dimitrova, David Levi-Faur, David Lowery, Peter Mair, Ellen Masten-
broek, Mark Rhinard, Bertjan Verbeek, and the anonymous referees for
helpful comments on previous drafts of this paper.
Notes
1. Note, however, that Norway (and Iceland and Liechtenstein) are part of the European
Economic Area, and Switzerland has engaged in bilateral treaties with the EU. As far as
issues are concerned that fall under the scope of such agreements, the respective country
cannot be regarded as non-EU case (Sciarini et al. 2004; Sverdrup 1998). Moreover,
countries that seek membership of the EU, i.e. candidate countries, cannot be regarded as
control cases either, as it is quite likely that the EU has already had an effect there.
2. I would like to thank Peter Mair for pointing me to the potential opportunities arising from
the historical dimension of the integration process and from its current flexibility.
3. In addition, one has to make sure that these countries do not adapt to the EU in order to
‘keep the door open’.
4. In the remainder of the paper I will use the term ‘sections’ as a general label for all units of
comparison except countries, e.g. policy fields, economic sectors, institutions, elites, interest
organisations.
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