1

The American College of Thessaloniki

Politics 399

Katerina Rigas
 2

Sovereignty and the European Union

In joining the EU, a state forfeits absolute sovereignty in some areas by pooling it

with that of other Member States.

Describe how such sharing (or pooling) of sovereignty affects the substantive

independence of a state. Consider this both in an intra-European context and in

the context of the increasing globalization.

Introduction

The Treaty of Maastricht, or else the Treaty of the European Union, agreed on

December of 1991 and signed two months later, apart from the intention to create a

single currency also stated the intention of establishing a process to create an ever

closer union among the peoples of Europe. 1 However, as the process of its

ratification was met with increasing difficulty by some of the member states, the

initial optimism with which it was perceived gradually receded. Thus, the debate

about the relationships between the member states and the European Union

reemerged, with the opponents of Maastricht claiming that democracy and

sovereignty of the nation state were threatened by the Treaty while the proponents

claimed that the concept of sovereignty at the era on increasingly interdependent

states is parochial, proposing instead the term shared or pooled sovereignty2.

Before attempting to understand the ambiguous concept of a member states

sovereignty in the European Union, it is interesting to note the attempt to connect the

concepts of democracy and sovereignty with the nation state. As the definition of

1
Title 1, Article A in Treaty on European Union, Luxembourg: Office for Official Publications of the
European Communities, 1992, p 7
2
Newman, M. (1996) Democracy, sovereignty and the European Union. New York, St. Martin's Press,
p8
 3

sovereignty has undergone many changes through the centuries, its connection with

democracy has many consequences, particularly for the up to now less contested issue

of the European Unions legitimacy3. This paper, with reference to the context of the

current Euro zone crisis, will attempt to define the concept of sovereignty in the

European Union while investigating its ramifications for the member states.

The evolution of the concept of sovereignty

Concepts allow us to analyze politics by simplifying complex relationships, but they

may also convey particular types of analysis that lead us to very specific

interpretations. The terms democracy and sovereignty are contestable, in the sense

that they can be viewed differently. Just as democracy has a number of

interpretations- direct or representative, local or centralized and so on,4 sovereignty,

according to the conceptual framework one operates can be perceived in a different

light.

The modern European states were created through a series of internal conflicts

between the nobility over controlling the territory and securing their ascendancy

against external sources who claimed rights over the territory.5 Monarchs intended to

defeat internal contenders to the throne and break away from the Papal rule. As many

religious, ideological and political issues were crystallized during these conflicts, a

concept of sovereignty, much removed from the any notion of democracy, emerged to

legitimize the authority of the states that prevailed. Thomas Hobbes was the first to

theorize the concept of sovereignty in modernity, claiming that power should derive

from a single source that wasnt held unaccountable to external and internal

3
Ibid. p21
4
Held, D. (1993) Prospects for Democracy, Oxford/Cambridge: Polity Press
5
Dorn, W. (1963) Competition for Empire 1740-1763. New York, Harper & Row
 4

forces.6As this was intended to legitimize the need for power to be vested on the state

and dispute any contesting claims, it could be termed as state sovereignty.

In an attempt to introduce the concept of democracy, John Austin claimed that the

sovereignty of a monarch derived from the society as long as they habitually obeyed

the laws of the monarch7. While the sovereign had the power to enforce the law, there

was no external force to impose penalties on sovereign authority, thus excluding the

idea of international law. This concept of legal sovereignty is enduring and can be

perceived in the Beijing Consensus, an alternative model of development to the

Washington consensus that rejects the interference of international and supranational

institution in economic relations and advocates the supremacy of state sovereignty.8

Popular sovereignty, a concept developed by Jean-Jacques Rousseau challenges both

concepts of state and legal sovereignty as it proposes that the laws should reflect the

popular will, thus giving the people the ability to contest the state. 9 With the

consolidation of the nation states in the 19th and 20th century, the idea of popular

sovereignty inadvertently provided the bulk for the creation of the concept of

national will, and its subsequent exploitation by totalitarian regimes in pursuing

aggressive foreign policies.10 Thus, at the post-war global environment, such concepts

of sovereignty not only seemed outdated, but were also deemed as threatening.

The creation of the European Union occurred under the re-conceptualization of

sovereignty, in an effort to produce a state system that would absorb the vacuum of

6
Hobbes, T. (1651) Leviathan http://oregonstate.edu/instruct/phl302/texts/hobbes/leviathan-
contents.html
7
Austin, J. (1969) The Province of Jurisprudence Determined, 1690. New York, Hafiner
8
Ramo, J. (2004) 'The Beijing Consensus' Foreign Policy Center
Publications. http://fpc.org.uk/fsblob/244.pdf
9
Rousseau, J.J. (1762) Du Contrat Social http://www.constitution.org/jjr/socon.htm
10
Newman, M. (1996) Democracy, sovereignty and the European Union. New York, St. Martin's
Press, p7
 5

power that the Second World War left, and bore many similarities to the balance of

power system that characterized Europe in modernity though with the intention to

avoid inherent animosities.11 However, as the nation state still remained the principle

form of organization throughout the 20th century, the concept of national sovereignty

was not wholly abandoned, but rather adapted to the new demands. National

sovereignty was redefined within the European states along the lines of popular

sovereignty, attempting to reflect the democratic ideals. Such a transformation would

ideally be possible if the internal organization of a state was itself democratic.12 That

in practice would entail the creation of democratic institutions that would divide the

power between executive, legislative and judicial branches of government, and

decentralize power and responsibilities within the state. As the European Union was

originally suggested by Winston Churchill as a sovereign remedy13, the proposed

course of action was towards a union resembling the federal organization of the

United States of America. In federal systems of organization, power is not only

territorially divided, but also overlapping between the central and peripheral levels 14.

Thus, this concept of divided sovereignty lead to its variant of shared sovereignty

among the European member states.

International Relations vs. Theories Integration Theories

As previously stated, the concept of shared sovereignty is interpreted differently

according to the theoretical frameworks within political scientists and other observers

operate. The crisis, although initially defined along strict financial and fiscal terms,

11
Morgenthau & Thompson (1950) Principles and Problems of International Politics. New York.
Alfred A. Knopf pp 103-104
12
Newman, M. (1996) Democracy, sovereignty and the European Union. New York, St. Martin's
Press, p13
13
Winston Churchill. Zurich Speech. The New York Times, September 20, 1946, p.2
14
Friedman-Goldstein, L. (2001) Constituting Federal Sovereignty, The European Union in
Comparative Context. Baltimore, The Johns Hopkins University Press
 6

eventually elevated to the level of the political will behind the European Project and

has once again raised the question of how close a union is desired. Although the

European Union never attempted to justify its existence on a particular ideology and

thus being challenged, such as the United States and Soviet Union during the Cold

War, its legitimacy and right to exist are now being questioned.

The concept of sovereignty in the European Union cannot be fully comprehended

without reference to European Integration process. In the discipline of International

Relations, the realist school of thought view states as the fundamental units in

international politics behaving competitively with an inclination to conflict while

acting on basis of the perceived self-interest and survival. From this perspective, EU

can be understood as a mean to manage potential conflict with states pooling their

sovereignty to enhance security15. Indeed, states have often viewed their membership

as a sharing of sovereignty that allows them to gain other powers overall. However, in

the era of increasing interdependence between states, where the term sovereignty has

been redefined, the realist interpretation of the European Union seems outdated.

As the EU was intended to follow the federal example of the United States, the

argument was that, based on the idea of divided or shared sovereignty, the European

Economic Community dealt with the issue of labor at the European level, and was

ultimately responsible for economic market integration, and with the issue of social

welfare at the member state level. As the member states still retained many

responsibilities, this arrangement resembled more an intergovernmental confederation

than to an actual federation. In Alan Milward presented a thesis about the European

15
Morgenthau, H.J (1960) Politics Among Nations, New York: Albert A. Knopf
 7

rescue of the nation state, where the federalist and neofunctionalist views on

European integration have remained normative, than actually describing the process.16

Applying the Federal Model to EU Politics

In attempting of to comprehend the concept of shared sovereignty within the

European Union, there should be an effort to identify the federal traits that it displays.

Power is divided between the central decision-making institution (the European

Commission, the European Council and the European Parliament) and regional

decision making institutions (the governments of the member states). While the

governments are national in character, the central decision making institutions are

both supranational (the Commission and the Council), and intergovernmental (the

Council). This division is specified in the Treaties, which are the equivalent of

constitutional documents, and the European Court of Justice (ECJ) has the authority

to adjudicate in the event of disputes over this division of power. In both the

supranational and intergovernmental level reside power and responsibilities for public

policy, with those of the supranational level pertaining to especially the economic

sphere.17 That being said, even with the creation of the institutions of the President of

the European Union and the High Representative on Foreign Affairs in the Lisbon

Treaty 18 , the development of a common foreign policy, security and defense and

citizenship rights are met with resistance from the member states. Even in the

seemingly not so contested field of research and education, the Bologna Declaration,

16
Milward, A. S. (2000) The European rescue of the nation-state. London, Routledge.
17
Friedman-Goldstein, L. (2001) Constituting Federal Sovereignty, the European Union in
Comparative Context. Baltimore, The Johns Hopkins University Press
18
Title 3, Article 9 on Amendment to the Treaty on European Union and to the Treaty Establishing the
European Community, Luxembourg: Office Journal of the European Union, 2007 p 8
 8

which does not bind the signatory states and allows the national government ability to

deviate, has been met with fervent domestic resistance.19

Sovereignty and Euroscepticism

In the current global context, any approach to the issue of shared sovereignty and its

ramifications for the member state would be incomplete without reference to the rise

of Euroscepticism. Euroscepticism, whether intended as a positive critic or as a

pessimistic contestation to the current developments, has the particular attribute of

questioning European integration. The need to redefine the member states

relationships to the European Union prevails upon the perception of sovereignty and

vice versa. The rise of Euroscepticism has been particularly observed in the states of

Southern Europe, the EU periphery that has suffered greatly, often with the danger of

defaulting on its debts, during the Euro zone crisis, and where coincidently there has

been minimal popular consultation on the issues of European integration.20

The Euro as the Removal of Sovereignty

While the creation of the common currency can be viewed as the final step towards

the completion of the common market in its conception, it is far removed from the

aim of political integration in its application. The concept of shared sovereignty has

undergone dramatic alteration in its perception by the member states during the Euro

zone crisis, as the need for drastic measures, that were by definition in absolute

contrast with the community method that defined the process of European integration

so far, was eventually satisfied by implementing unpopular policies on the domestic

19
Huisman, J. (2004) The EU and Bologna: are supranational and international initiatives threatening
domestic agendas European Journal of Education 39 (3)
20
Verney, S. (2011) 'Euroscepticism in Europe: A diachronic Perspective' South European Society and
Politics. 16 (1): pp. 1-29.
 9

level that had been decided upon on a central level. The perceived dictation of the

rules by Brussels, personified in Germany, the apparent hegemony of the European

Union, and the redefinition of the concept of solidarity, which had during the good

times of the EU characterized member state relationships, facilitated the rise of a

much anticipated contestation in the form of questioning not only the nature of the

policies, but EUs legitimacy in designing policies. The issue of the perception of

democratic deficit within the European Union has inadvertently reemerged, as the

legitimacy of the unpopular austerity policies that are being enforced is being

contested. The apparent centralization of power and decision making within the

supranational institution such as the Commission and the European Central Bank has

in many ways surpassed the division of power in a federation, the ultimate goal of the

European Union that had so far been carefully avoided. At this very crucial moment

in the history of European Integration, where any decision will undoubtedly reflect

the political will of the member states governments, the issue of sovereignty is more

pending than ever before. The crisis has suggested that the absence of a tighter

banking and fiscal union has been one of deficiencies in the creation of the single

currency, as a result of the power to design fiscal policies remaining within the
21
member state level. However, the crisis did very painfully reveal the

interdependency among the states in the international level, thus challenging not only

the definition of sovereignty, but the relevance of the term in the globalized world,

bringing into awareness that perhaps the state may not be equipped to deal with the

consequences of the economic crisis. That being said, the introduction of the austerity

measures along with the effort to liberalize the markets has come into conflict with

the social welfare that was being managed on the state level in the European Union,

21
Osterholt, K. (2013) Is the EU fiscal compact enough to avoid another euro crisis? [S.l.], Grin
Verlag.
 10

cannot be envisioned as sustainable policy, and since it reflect the dominant view of

the elites at the current moment, the question of European integration should not be

approached just yet, or under the current conditions.

Sovereignty and Citizenship in the European Union

Like the allied concept of democracy, citizenship has undergone many theoretical and

practical transformations. As the question of the legitimacy of the EU, along the lines

of state sovereignty is discussed, there is this impression of an increasing gap between

the government and the governed. The welfare level of the European peoples is being

downgraded and the social provisions are gradually being reduced, making them less

inclined to an ever closer union of the present conditions. If there is an urgent call

for the redefinition of sovereignty in the EU, while questioning its legitimacy that

derives from democratic procedures, the concept of European citizenship should be

inevitably revised. After centuries of humans trying to theorization of politics, if

nothing else, there is pattern that can be observed; there is a trade-off between social

rights and political rights.22 Whether this is perceived as a phenomenon that can be

attributed to any particular political ideology or it derives from the individual

tendency not to challenge a comfortable state of being, it does apply to the question of

the European Union. The redefinition of the concept of European citizenship has

political connotations for the future of the European Union. In doing so, the answer to

whether a common European identity exists will provide insights to the concept of

sovereignty in the European Union and will designate the path forward, or regrettably

backwards.

Word Count: 2.603

22
Bellamy, R. (1999) Citizenship, A very short Introduction. Oxford
 11

Bibliography:

Books:

Newman, M. (1996) Democracy, sovereignty and the European Union. New

York, St. Martin's Press

Held, D. (1993) Prospects for Democracy, Oxford/Cambridge: Polity Press

Dorn, W. (1963) Competition for Empire 1740-1763. New York, Harper & Row

Morgenthau & Thompson (1950) Principles and Problems of International

Politics. New York. Alfred A. Knopf

Morgenthau, H.J (1960) Politics Among Nations, New York: Alfred A. Knopf

Friedman-Goldstein, L. (2001) Constituting Federal Sovereignty, the

European Union in Comparative Context. Baltimore, The Johns Hopkins
University Press

Austin, J. (1969) The Province of Jurisprudence Determined, 1690. New

York, Hafiner

Milward, A. S. (2000) The European rescue of the nation-state. London,

Routledge

Verney, S. (2011) 'Euroscepticism in Europe: A diachronic Perspective' South

European Society and Politics. 16 (1)

Huisman, J. (2004) The EU and Bologna: are supranational and international

initiatives threatening domestic agendas European Journal of Education 39
(3)

Osterholt, K. (2013) Is the EU fiscal compact enough to avoid another euro

crisis? [S.l.], Grin Verlag.

Bellamy, R. (1999) Citizenship, A very short Introduction. Oxford

Internet Sources:
 12

Hobbes, T. (1651) Leviathan

http://oregonstate.edu/instruct/phl302/texts/hobbes/leviathan-contents.html

Ramo, J. (2004) 'The Beijing Consensus' Foreign Policy Center

Publications. http://fpc.org.uk/fsblob/244.pdf

Rousseau, J.J. (1762) Du Contrat Social

http://www.constitution.org/jjr/socon.htm

Other Sources:

Title 1, Article A in Treaty on European Union, Luxembourg: Office for

Official Publications of the European Communities, 1992, p 7

Winston Churchill. Zurich Speech. The New York Times, September 20,
1946, p.2