The following is a preliminary annotated bibliography of publications which, for a variety of reasons, might be of interest under the above title.
A much more extensive bibliography relating to functionalism may be found in Groom and Taylor, eds., 1975 [44,pp.284-338]. It is without annotations. Since it is more than 25 years old it obviously is only of limited interest for the current debate about the role of Mitrany-type functionalism. But as a complement to the present list it is quite valuable. It stresses Eastern European and third world contributions and therefore might be particularly interesting for historical studies, in particular about what happened in the context of the Council of Mutual Economic Assistance ("COMECON'').
A further list of publications which is of particular interest in the present context is the bibliography of David Mitrany's original work [103,pp.269-284]. If one regards Mitrany's contributions in toto, it is remarkable that again and again he returned to Romanian questions. His first publication is about history and politics in Romania (1915). There is an analysis of the new Romanian constitution (1924) after WW I, several analyses about agrarian conditions and agrarian reform in Romania (1928, 1930, 1933, 1942). His study about `Marx v. the Peasant' (1927) appeared 1930 in Romanian language.1 Thus there is some indication that although he left Romania at about 20 years of age, Mitrany's mind worked with Romanian problems and situations being prevalent during a considerable part of his later scholarly life.
For some researchers, it might be an interesting speculation to find out whether one can detect or reconstruct specifically Romanian roots in Mitrany's thinking - not only with regard to agrarian problems butalso with regard to other aspects of his work, in particular, of course, with regard to his `functionalism'. Mitrany presents this concept in juxtaposition to conceptions of `federalism'. At the time of Mitrany's youth the magnum opus in this field was Popovici's grand design to break up old Austria-Hungary along federalist lines [124] under the perspective of ethnic Romanian interests. One can see in this piece an interesting anti-thesis, or rather: in Mitrany's functionalism one could maybe detect a critical reaction to the grand design of Popovici. It might appear to be rather anachronistic and academic to elaborate this point under present political conditions. Nevertheless, reconsidering Mitrany's critical reception of Popovici could be rather illuminating about the potentials and problems faced by Romania in a historical and geo-political context. It is maybe not a purely academic question whether the situation in Europe after 1989 has become a bit more like the one before World War I than it was during much of the last century. There is at least one scholarly voice which would give an affirmative answer to this question.2
Mitrany himself downplayed the Romanian influence on his theorising - at least he did so in the context of his ideas about `expert government' and his nexus with politics in Romania.3 But his statements to this effect must be taken cum grano salis. In fact, there is evidence that Mitrany tried his hand at scheming in Romanian politics as late as the middle 1920s. Keynes's biographer Robert Skidelsky relates (unfortunately without indicating the source of his knowledge) that Mitrany tried to see Keynes become economics minister of Romania (!) - an offer which Keynes declined.4
In short: not only Mitrany's concept of functionalism is a complex and multifaceted topic. David Mitrany as author, intellectual and visionary is a complex topic himself. Both topics merit further research for a better knowledge of the mental background of recent European history and for a better assessment of the political perspectives offered by European integration.
Reviews Mitrany's functionalism and discerns it from neofunctionalist conceptions. Discusses the relative importance of Mitrany's approach in relation to federalistic conceptions as exemplified by Altiero Spinelli, the general secretary of the federalist movement and one of the forefathers of the European Union (Agence Europe: "Project Spinelli'').
Considered to be a precursor of functionalism. See, e.g., [5], [57], [148].
This reference was suggested by Pentland [118] passim. These authors see "planetization'' ahead - what we now subsume as "globalization''. They argue to prepare for it by establishing a common European ground. They coin the concept of "federalism à la carte'' and hope that with this concept the narrow frame of EEC-membership - six members at that time - could be broken. They advocate special agencies for special European issues like: data processing, space travel, transport, etc.; thus, they are quite near to functionalist thinking. They analise why EURATOM did not work as intended.
Care should be taken to discern this particular conception of "federalism à la carte'' from conventional European Federalists' conceptions.
This book is to some extent a sequel to J.J. Servant-Schreiber Le Défi Américain, Paris, 1967.5
Mentioned by Cram [25] as example of recent revival in (neo-) functionalistic approach in the tradition of David Mitrany.
Referred to by Giering [40], the title of which also contains the term "Zweckverband'', meaning "special purpose association''. This term may be taken to connote functional associations. In this context, [40,p.52] Giering draws attention in particular to the author's discussion on pp.295 ff.
Discusses Mitrany-functionalism (p.30-34) and neo-funktionalism. p.157ff: Die Entwicklung der europäischen Regionalpolitik [The development of European regional policy]
From Kinnas [68], p.80 who quotes his p.162 extensively where Buchan advocates a "sterngthened form of functional cooperation'' along the "Community method'' for further European integration. But he warns against political unification.
Has a neofunctionalistic approach.
Author starts out by noting that there is still no `relevant' alternative to the functionalist model of analysing European integration. Complains about its pejorative treatment in the past. Nevertheless, he criticises "Haas-Schmitter-Nye-Model'' for its limitations. Believes to be able to do away with those. Uses the concept of "integration thresholds''.
In the conclusion the author (wrongly) believes that such thresholds will break tendencies for Economic and Monetary Union "for a very long time''.
Ends with quoting Karl W. Deutsch favourably on problems of sovereignty.
Working hypothesis of the book (p.21): "the contemporary process of integration in the EEC can usefully be conceived in functional terms.'' On this basis, the author tries to analyse European integration in empirical terms with the help of time series and correlation analysis.
See Wilson, [163] for an assessment of Carr. The literature sees Carr as a propagator of anti-functionalistic "realism''. In fact, he held views which were very close to those of Mitrany - and, one may add, to Keynes - in stressing economic factors for the world after WW II. Wilson elaborates: "... there is a large element of functionalism in Carr's work. It is not widely known, but Carr was much influenced by the father of international functionalism, David Mitrany, with whom he worked on the Chatham House study group on nationalism which convened during the final stages of the War. One of the interesting things about this is that Mitrany is someone who is conventionally seen as an idealist, though Carr certainly did not see him as such. Carr asserted, for example, in his much overlooked Conditions of Peace published in 1942, that the most `fundamental of problems of the world to-day express themselves in economic terms, and that a political settlement will have little chance of lasting unless it emerges as the crown and coping-stone of successful economic reconstruction'. Such reconstruction would be slow and gradual and guided `by practical needs rather than by preconceived theories'. He contended that the 'urgent need is to alter not the location of frontiers [as happened at Versailles in 1919, GMA], but their meaning'. He urged, in connection with this, that 'men must be induced to determine themselves into different units for different purposes' (and that the national unit had become 'visibly too small' for the control of military and economic policy). He talks of `practical international cooperation' - involving `far-reaching schemes of international public works' - as a `psychological substitute for war'. He talks of `new loyalties' being forged in the performance of `common tasks' and the fulfilment of `newly felt needs'. Allied to this, he talks of the formal shape of the post-war order being determined `not theoretically according to some a priori conception of league, alliance or federation, but empirically as the outcome and expression of a practical working arrangement'. As to the nature and shape of these `practical working arrangements', he advocated, among other things, a European Relief Commission, a European Transport Corporation, a European Reconstruction and Public Works Corporation, a European Central Bank (!) and, most ambitiously of all, a European Planning Authority (`the master-key', he claimed, `to the problem of postwar settlement'). All of these bodies, he further declared, would form part of what he called, with purposeful frugality, the `European Unit', and their `constitutional form would vary according to function'.''
Most of these ideas can be found in the final (10th) chapter on The New Europe.
Carr never quotes Mitrany, however, but repeadely he refers to J.M. Keynes (19196 and 1936!). He realizes that Keynes' (1919) main theme was the fatal disregard of economic aspects of the Versailles peace treaty resp. of the economic conditions of Europe after it.
quoted from the URL http://www.ul.ie/~govsoc/ulper/1996/ARTICLES/Dav.htm on 5 July 2002. The article conveys some of Mitrany's basic ideas.
This Centre was one of the important focusses of debate about European integration. Harrison, [53,p.72 n.22] mentions this particular issue for Spinelli's contribution concerning "La méthode constitutionelle''.
p.3: basic thesis of the paper: "... we are currently witnessing the reversal of the Mitranian logic to integration: instead of `form follows function' (Mitrany, 1943:236), it is increasingly the case that the structural properties of the larger system - ie, the absence of a European constitution, the inchoateness of a European demos, the consensus-seeking practices in the Council of Ministers, the lack of a genuine European social legitimacy, and so on - dictate the depth and range of the regional arrangements. This exemplifies the limits of integration... ''
p.343: " ... a focus on the learning of `integrative habits' as a result of prior cooperation, emphasized by the functionalists (Mitrany, 1943), the communication school (Deutsch, 1953, 1957, 1966) and neo-functionalist scholars (Haas, 1958), has once again begun to come to the fore.''
Covers Mitrany-type functionalism (p.53-55) as well as the later neo-functionalism (p.55-60). Stresses that there is a growing literature which sees the "EU as a system of governance'' (p.65, author's emphasis). Concludes by pleading to bring the societal dimension back into the focus of integration theory.
Quoted by Mitrany 1965 as witness that regional integration is not very effective for solving economic problems like inequality of incomes or size of product markets.
The subtitle states the main argument of the article.
Survey about Functionalism which focusses repeatedly on Mitrany himself. Kenneth W. Thompson, foreword: "No one has discussed the theory and practice of functionalism with greater analytical rigor than Eastby.''
"State of the Art Report'' about various aspects of the subject matter stated in the title.
Authors attempt economic explanation of success of EU-integration. Neofunctionalism expressly discussed on p.122.
Stresses the character of the EU as a "special purpose association'' which is seen to persist in spite of all the ambitions to form a "union''. In the final passages he refers to [60] and [61], Ipsen being an author who received functionalism in the context of legal interpretation of European integration.
p.31: "Für das, was in Europa bislang [1994, GMA] passiert ist und das, was in nächster Zeit zu erwarten ist, ist der Begriff Europäischer Zweckverband [im Sinne von Ipsen, EuR S.1(7), nr.[61] ] wohl der treffende; in Europa geschieht jedenfalls im Moment wenig, was den Unionsbegriff, der einen gehörigen Schuß Staatlichkeit in ich trägt, ausfüllen könnte.''
Collection of papers delivered 1994 at the University of Kaiserslautern at the "26th Industry Contact Seminar''. The title of this book is somewhat a misnomer. Contributions to this volume have little to say about "Zweckverband'' - special purpose association. Contribution of Ensthaler himself (see nr. [33]) does refer briefly to this concept by referring to Ipsen. Ipsen is the author who, arguing from the legal position, repeatedly stressed this aspect of European integration under express reference to functionalism.
Good overview over "Comitology''. Available at URL http://www.europarl.eu.int/igc1996/fiches/fiche21_en.htm on 20 August 2002
For further details on committees see the research project as discribed in [31] and in particular in [72].
Reference is included because in the last parts of this book the author argues implicitly that the current European situation is in some sense comparable to the one before World War I, at least as far as the relative strength of Great Britain and Germany is concerned. His own conclusion is that as far as Great Britain was concerned, WW I was an (avoidable) waste of effort which took ressources which subsequently were lost for Great Britain in its contest with Germany.
In the present context, this much debated recent book is interesting for two reasons:
1. It shows the continuing relevance of "balance of power'' arguments which were meant to stabilize international politics after the Vienna Congress but in fact had rather de-stabilising consequences.
2. If we are back to pre-WW I conditions with regard to Britain, what about Central Europe? Maybe some of the pre-WW I debates might be of new relevance, if Ferguson were taken seriously. This could give new relevance to some considerations to be found in Popovici [124], the exact nature of such relevance requiring, of course, very careful scrutiny.
In his conclusion, the author stresses that functionalism is a combination of empirical and normative elements. This has often been overlooked. Ernst Haas' neo-functionalis analyses of European integration in the 1950s belonged to a time when behaviouralism was prevalent and that went with an overemphasis on empirical aspects. Later authors, even when favourable to the functionalist view, also put too little stress on normative aspects. Author wants to have shown convincingly that the world view of Haas, Mitrany and Jean Monnet was "left liberal'' - not in a party political sense but in a world visionary sense. Author is convinced (p.25, n.76) that Mitrany had a clear inclination towards Corporatism and therefore liked the ILO.
The term Special Purpose Association connotes a juristic reception of the functional idea of European integration as exemplified in particular by Ipsen 1972. This scholarly dissertation reviews several approaches to the analysis of European integration.
This is a "classic'' of the literature on cooperatives. They are interesting in a functionalistic context because in a narrowly economic sense theycan be seen to cover specific economic functions. The fact that the historical cooperatives can not be limited conceptually to just economic functions might have important implications for the functionalistic conception itself.
Elementary overview about the field by an author much engaged in Mitrany-oriented publications. Author develops the historical background of 1) "realism'', 2) "pluralist'', 3) "structuralist'' approaches to International Relations theory. Describes the revival of interest in Mitrany.
Collection of very readable articles on Functionalism. Among them two by Mitrany himself. In a reprint of [101] he criticises the EEC for its territorially based concept of integration. In [104], Mitrany elaborates his vision of what now may be called "governance'' in a trans-national setting.
A broad and thorough selection of discussions of the topic with a strong - but not un-critical - slant on functionalism and neo-functionalism.
Contains [54], [151], [152]
A "classic'' of neo-functionalist literature. Coined the concept of "spill-over''. But see the criticism by Laura Cram [25]: ''Haas' focus on shifting loyalties is often misconstrued. For Haas (1958: 15-16), it was more likely to be the convergence of a very disparate set of interests which would drive the process of integration and result in the establishment of a new political community, than any mass conversion to the doctrine of `Europeanism'. Ultimately, a self-interested shift in loyalty, or in the focus of political activities, by the political elite would, he argued, increase the dynamic towards the development of the new political community, whether it resulted from positive or from negative long-term expectations of the integration process (Haas, 1958: 297).''
Niemann, nr. [111] below, relates this author's "epistemic communities '' to neofunctionalism. The concept extends the analytical focus from civil servants and interest groups to communities of experts who can shape a community's vision and its sense of urgency for action. This concept may be subsumed under the heading of "cultivated spillover''.
Taylor [149,xi, note] considers this to be an excellent survey.
Stresses that the European Community is the object of neo-functionalism.
Author criticises the lack of interest which the academic community displays with regard to institutional foundations of peaceful conditions in Europe. Refers several times to "functionalists around David Mitrany''.
Available under the URL http://www.uni-tuebingen.de/pol/taps/tap38.htm on 5 July 2002.
p.14: "The first and most enduring grand theory of European integration is neo-functionalism (see for example Haas, 1958, 1961; Lindberg, 1963, Lindberg and Scheigold, 1970, 1971)''
p.226: "One of the precursors of functionalism, Norman Angell, noted in 1909 already, that both capital and labour were becoming increasingly internationalised, and foresaw an insipient tension between the state system and the development of an international economy''.
Investigates `the multinational company as a functional organisation' and `multinational companies and international integration'.
Criticises neo-functionalist approach on the grounds that it was allegedly unable to explain stagnation of European integration after Luxembourg Compromise of 1966 (which permitted to force unanimity voting in European Council by declaring special national interest in the issue to be voted upon).
Ipsen is one of the most pronounced propagators of the view that the European Communities are "special purpose associations''. In fn.46, p.199 he expressly scolds German Sociology and Politology not to have received the American "Functionalism''. Mentions Haas, Lindberg, Zellentin and others.
Author insists on his functionalistic view of European Communities as "special purpose associations''. Pours derision on Art.8 of the (then) planned EU-Treaty for decreeing EU-citizenship because such a legalistic or constitutionalistic approach does not heed realities which are not in accord with such a proclamation.
pp.7-9: Author refers to his earlier interpretation of the European Communities as "special purpose associations''. Sees this view confirmed by the German Federal Constitutional Court's decision of 12 Oct 1993 concerning the Maastricht Treaty. Criticises the Court for using the term "Staatenverbund'' (combination of states) for the EU because it suggests a technical welding together which he considers as juristically unhelpful.
The author ctiticizes old functionalism for its lack of political science and neo-functionalism for its very narrow conception of politics, too much oriented towards US- American "pluralism'' :
pp.64-65: "Institutionenpolitik im Sinne bewußt gestaltender, unterschiedliche Optionen politischer Organisation abwägender Politik hat in diesem Rahmen [neofunctionalistisch à la Haas (1968), GMA] keinen Sinn. Zwar verzichtet die neofunktionalistische Theorie nicht wie die alte funktionalistische Theorie der internationalen Politik (Mitrany 1943) vollständig auf eine Theorie der Politik, aber diese bleibt eine Theorie der Anpassung an gesellschaftliche Zwänge. Ideen werden nur als irrationale nationalistische Ideologie konzeptualisiert, die von dramatisch-politischen Akteuren (gemeint war de Gaulle) mobilisiert werden.
See also p.86: "Die Rolle des Staates blieb dabei [referring to neofunctionalism, GMA] seltsam unterbelichtet. Dies wirkt um so befremdlicher, als der Neofunktionalismus ja gerade angetreten war, um dem alten Funktionalismus Mitranys eine Theorie der Politik an die Seite zu stellen. Der Grund hierfür ist wohl, daß der Neofunktionalismus von einer Vorstellung des innenpolitischen Prozesses ausging, die sehr stark der amerikanischen Pluralismustheorie verpflichtet war.''
Although critical of Functionalism (old and new), author does see important insights along this line. Talks about " inclusion'' of individuals through new rights obtained through the EU (p.12: "Inklusionswirkung durch individuelle Rechte, die oft genug der eigene Staat nicht gewährt.'')
Author describes this process as follows: ibid. :"DerWirkungsmechanismus in diesem Bereich ist die Maximierung von individuellem Nutzen: Umweltgruppen entdecken, daß ihnen das Europarecht Mitwirkungsmöglichkeiten gibt, die ihnen das Planungsrecht eines Mitgliedstaates bisher verweigert, Frauen nutzen die Dienstleistungsfreiheit zur Liberalisierung der irischen Abtreibungspraxis oder zur Durchsetzung ihres Wunsches nach Waffendienst in der Armee. Diesen Mechanismus der Schaffung einer breiten und quer zu den üblichen Konfliktlinien liegenden Zahl von Befürwortern aus Eigeninteresse hatten schon die Neofunktionalisten entdeckt. Er ist bis heute wirksam. Problematisch dagegen ist und bleibt die affektive Unterstützung bzw. die grundsätzliche Übereinstimmung mit den Zielen und Werten des Systems - in erster Linie deshalb, weil noch gar nicht klar ist, worin diese eigentlich bestehen.''
From the author's abstract: "We analyze European integration as a process leading to a political order encompassing and transforming its member states, thus putting it into the context of a general discussion on responsive and responsible governance. Drawing from a wide range of theoretical and empirical literature from international as well as domestic approaches, we reconsider present integration theories in this light.'' In this context, they offer some disasociated views at neo-functionalism and refer to some of old and some more recent discussion of neo-functionalism.
Entry is here in view of Wilson's [163] point that Carr was personally and intellectually quite near to Mitrany.
Author (Department o Political Science, Iowa State University, ykihl@iastate.edu relates details of current peace process in Korea to David Mitrany's A Working Peace System. His conclusion (p.139): " KEDO, in short, has instituted "A Working Peace System'' which is a welcome and hopeful development that can assist the Korean peninsula finally to overcome the legacy of the Cold War.''
This booklet is dedicated to AJR Groom, one of the experts of functionalism, neo and "paleo''.
The associations mentioned in particular (Table 1.1, p.15) are those which exist between ECE, resp. Council of Europe, ECSC, EEC, EFTA, CMEA on the one hand and Cyprus, resp. Finland, West-Germany, East-Germany, Greece, Malta, The West-German "Land'' Saar, Switzerland, Turkey, UK, Yugoslavia on the other hand.
Has a section (p.79) on "Association and the Functional Imperative in Europe''. There he sees great potential in this combination. General evaluation: very thoughtful and inspiring, although writing from a rather outdated perspective. Quotes favourably Buchan 1969, [8]. Mentions in that context Laski - without source - who advocated a functional-federal synthesis as an approach for future European integration.
As one of the judges acting at the time when the Maastricht Treaty was challenged before the German constitutional court in 1993, this article conveys some of the reasoning in that quarter. The expectation that judicial review could reign the factual implementation of the European Monetary Union is expressed here. For the factual development of EMU this turned out to be inconsequential.
Contains Jachtenfuchs 00
Discerns five different types of committees:
"- The "expert'' committees which provide the Commission with external advice during the elaboration of EC proposals;
- The role of institutions with consultative status such as the Economic and Social Committee and the Committee of the Regions;
- The "working groups'' and the Committee of Permanent Representatives (COREPER) which prepare the decisions of the Council of Ministers;
- The standing committees of the European Parliament through which the latter exercises its legislative powers;
- The "comitology committees'' which assist the Commission in exercising its implementing functions delegated to it by the Council and the Parliament.7''
Gives on overview over integration theories and their respective views of administrative interaction (pp.79ff.) and expressly discusses neo-functionalism in this context.
quoted by Hix99 p.14
In a section on "The development of EMU: from Werner to Maastricht'' the author lists seven alternative analytical approaches. Nr. 4 is "the `neo-functionalist' explanation, which is based on the concept of spillover (Haas 1958 )'' see [46], GMA.
See also p.330: "the Maastricht model [of monetary integration, GMA] throws up concerns about the democratic accountability of economic policy''
Very dilligent collection of documents on European Integration plans and projects, like, e.g. Altiero Spinelli's "Ventotene Manifesto'' on European federalism. Scholarly introduction and comments.
from: Theories and Models of European Integration,
Andrew MacMullen ; a.l.macmullen@durham.ac.uk
Contents:
The Functional Approach, Functionalism and Beyond; David Long and Lucian M. Ashworth
Science, Politics and Conflict in the Functional Approach; J.D. Cooper
Functionalism and Modernity in International Relations; J.H. Eastby
Mitrany and the Enjoyment of Nationalism; L.M. Ashworth
The Functional Approach, Organization Theory and Conflict Resolution; C.N. Murphy
The United Nations and Functional Conflict Management; J.P. Sewell
The Security Discourses of the European Union; D. Long
The Functional Approach to the Management of Trade Conflict; R. Wolfe
Practical Things, Constricted Interests: David Mitrany and the False Security of Ecofunctionalism; R. Boardman
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