AULA NEOFUNCIONALISMO 27.08.2014

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Integração Regional: Teorias e Processos
2º. 2014
NEOFUNCIONALISMO
WIENER, A. & DIEZ, T. (2009)
Princípio:
...integration leads to tensions, contradictions, and demands, which can only be resolved by taking further integrative action.
 1) bringing more sectors under the governance of the Community, and
2) expanding the territorial scope of the integration project. (2009: 76)
An evolving theory...
Situada entre as disciplinas de Relações Internacionais e de Política Comparada
Com potencial para explicar um processo de integração sem precedentes. (2009: 78)
Generally speaking, the neofunctionalist research agenda predominantly focuses on explaining EU decision processes and outcomes. 
Décadas de 1960 e 1970
HAAS e LINDBERG: 
Combinaram mecanismos funcionalistas com objetivos federalistas
Imprimiram considerável importância à influência autônoma das instituições supranacionais e ao papel emergente dos interesses organizados
Enfatizaram as mudanças nas atitudes das elites
(2009: 60)
1958: the Uniting of Europe (HAAS)
Filiações Intelectuais do Neofuncionalismo:
funcionalismo, federalismo e teoria da comunicação
Indiretamente: teoria dos grupos de interesse (EUA)
Proposta do Capítulo
1) Definir os principais conceitos, pressupostos e hipóteses do neofuncionalismo
2) Mapear as críticas e controvérsias que a teoria suscita
3) Apontar os desenvolvimentos recentes da teoria
DEFINIÇÕES. Integração: processo ou resultado?
Haas defined integration as:
the process whereby political actors in several distinct national settings are persuaded to shift their loyalties, expectations and political activities toward a new Centre, whose institutions possess or demand jurisdiction over the preexisting national states. The end result of a process of political integration is a new political community, superimposed over the preexisting ones. Haas (1958: 16)
Definições...
Lindberg offers a somewhat different definition:
(1) The process whereby nations forego the desire and ability to conduct foreign and domestic policies independently of each other, seeking instead to make joint decisions or to delegate the decision making process to new central organs: and (2) the process whereby political actors in several distinct settings are persuaded to shift their expectations and political activities to a new centre. Lindberg (1963: 6)
PRESSUPOSTOS:
1) Uma teoria GERAL da integração: atores racionais e auto interessados, capazes de aprender e de alterar suas preferências (2009: 61/62)
2) Integração como um processo; (versus intergovernamentalismo liberal: eventos isolados, p. e., tratados internacionais);
3) Natureza pluralista do neofuncionalismo; (versus pressupostos realistas do Estado Unitário e considerado como único ator relevante)
Pressupostos ...
4) Ênfase no papel das elites não governamentais (Haas) e governamentais (Lindberg);
5) Pressuposto implícito de crescimento econômico ininterrupto na Europa e explícito do fim das ideologias. 
DEFINIÇÕES: o conceito de spillover
Este conjunto de pressupostos forma a base da explicação inicial do neofuncionalismo para o processo de integração européia. Sua concepção de mudança está encapsulada na noção de spillover. 
The term was first applied in two distinctive manners: (I) it was used as a sort of shorthand for describing the occurrence of (further) integration; and, (2) it was used to identify the driving force and inherent logic of integration via increased functional/ economic interdependence.' 
SPILLOVER
The idea is that some sectors are so interdependent that it is impossible to isolate them from the rest. Thus, the integration of one sector at the regional level is only practicable in combination with the integration of other sectors, as problems arising from the functional integration of one task can only be solved by integrating yet more tasks. 
Functional Spillover
the situation/process in which the original integrative goal can be assured only by taking further integrative action, which in turn creates circumstances that require further action
Political spillover
the integrative pressures exerted by (national governmental and especially non-governmental) elites realizing that problems of substantial interest cannot be satisfactorily solved at the domestic level
Social spillover 
'Social' spillover is separated from political spillover for a more clear-cut explanation of reflexive learning and socialization processes.
The concepts of communicative and norm-regulated action are incorporated into social spillover to describe and explain these processes more adequately. Learning and socialization are no longer regarded as constant (as implied by early neofunctionalists) but as being subject to conditions.
Outros tipos de spillover
cultivated spillover, the integrative pressure exerted by supranational institutions
'geographical spillover‘: to the geographical expansion of the ECSC and EEC
'exogenous spillover’: the conceptual link to the outside world/international realm 
Críticas e Controvérsias
From the mid-1960s, the theory was criticized increasingly, particularly because of several adverse empirical developments
In the late 1960s and early 1970s neofunctionalists made attempts to revise some of their hypotheses and claims, but in the mid-1970s Haas declared the theory to be obsolete. 
Novos Desenvolvimentos
With the resurgence of the European integration process in the mid-1980s, however, neofunctionalism made a substantial comeback. Since the 1990s, some endeavours have been made to newly revise the original approach. (2009: 59)
Philippe Schmitter
In terms of the basic driving forces of integration Schmitter not only points to endogenous tensions and contradictions related to the regional integration project, but also to the importance of external/exogenous factors-not just as an impediment but as a potentially facilitating factor in the integration process. 
Schimitter model of decision cycles
'Initiating cycles‘
'priming' cycles 
'transforming cycle‘: where the potentialities for functionally integrating their economies (would) have been exhausted and the emphasis would be placed on the integration of polities. (2009: 69)
Schimitter
As regional processes begin to have greater effect, national actors may become more receptive to changing the competencies and authority of regional institutions. However, in his revised theory Schmitter rejects the 'automaticity of spillover' assumption. Strategic responses other than spillover are conceptualized, such as (I) 'spill-around', the proliferation of functionally specialized independent, but strictly intergovernmental, institutions; (2) 'build-up', the concession by member states of greater authority to the supranational organization without expanding the scope of its mandate; (3) 'muddle-about', when national actors try to maintain regional cooperation without changing/adjusting institutions; and (4) 'spillback', which denotes withdrawal from previous commitments by member states. 
Arne Niemann (cf. Niemann 1998, 2000, 2004, 2006).
Taking early neofunctionalism as a starting point, he departs from the original approach in several ways. First, the ontological scope is slightly broadened-somewhat beyond what Haas (2001) post hoc described as 'soft rational choice' for the original neofunctionalist account-towards a wider and more inclusive ontology by encroaching 'soft' constructivism to a larger extent than Haas (2001) attributed to early neofunctionalism. This extension was undertaken for two reasons.
 
NIEMANN...
1. While some elements of (early) neofunctionalism can be solidly located in the rational choice tradition, with rational, intentional, and self-interested actors (cf. Burley and Mattli 1993: 54-5), other elements were more reminiscent of constructivist thought with actors capable of learning processes, and his account places more explicit emphasis on socialization, deliberation, and learning than did
Haas's early neofunctionalism for explaining EU decision outcomes.
 
2. Whereas early neofunctionalism viewed agents as predominant and paid relatively little attention to structure, Niemann's revised neofunctionalist framework attributes to structure and agency a more equal status. Embracing the concept of structuration (Giddens 1984), he emphasizes the interdependence of structures (e.g. functional interdependencies, the EU/international system of states/institutional order) and agents (ranging from governmental elites to private and supranational actors). Hence, structure and agency mutually constitute each other. (2009: 69)
NIEMANN – Functional Spillover
Functional spillover is a structural pressure and structures need agents to translate those pressures. Functional pressures do not 'determine' behaviour in any mechanical or predictable fashion. They contain an important element of human agreement. However, we can approximate when actors are more likely to perceive such pressures are persuasive, namely when the original issue area and the objectives therein are (considered) salient, and when the interdependence with areas where further action is (regarded as) strong (cf. Niemann 2004, 2006).14
NIEMANN: countervailing forces
Countervailing forces: stagnating (directed towards standstill) or opposing (directed towards spillback) in nature. 
Two concrete countervailing forces: 
1) sovereignty-consciousness; 
2) domestic constraints and diversities: constraints by actors (e.g. lobby groups or coalition partners) or structural limitations (such as a country's economy, demography, or legal tradition) in the domestic political system. 
Concluindo…
According to this theory, regional integration is an intrinsically sporadic and conflictual process, but one in which, under conditions of democracy and pluralistic representation, national governments will find themselves increasingly entangled in regional pressures and end up resolving their conflicts by conceding a wider scope and devolving more authority to the regional organizations they have created. Eventually, their citizens will begin shifting more and more of their expectations to the region and satisfying them will increase the likelihood that economic-social integration will “spill-over” into political integration.