Hostname: page-component-78c5997874-g7gxr Total loading time: 0 Render date: 2024-11-10T12:05:36.262Z Has data issue: false hasContentIssue false
  • English
  • Français

Paths to Compliance: Enforcement, Management, and the European Union

Published online by Cambridge University Press:  09 July 2003

Jonas Tallberg

Abstract

Core share and HTML view are not available for this content. However, as you have access to this content, a full PDF is available via the ‘Save PDF’ action button.

The contemporary debate on compliance has been framed in terms of two contending perspectives on how best to make states comply with international rules: enforcement or management. Whereas enforcement theorists stress a coercive strategy of monitoring and sanctions, management theorists embrace a problem-solving approach based on capacity building, rule interpretation, and transparency. In this article, I challenge the conception that enforcement and management are competing strategies for achieving compliance. Based on the case of the European Union (EU) and a comparison with other international regimes, I suggest that enforcement and management mechanisms are most effective when combined. The twinning of cooperative and coercive instruments in a “management-enforcement ladder” makes the EU highly successful in combating violations, thus reducing non-compliance to a temporal phenomenon. An examination of regimes in the areas of trade, environment, and human rights lends additional support to this proposition; compliance systems that offer both forms of mechanism are particularly effective in securing rule conformance, whereas systems that only rely on one of the strategies suffer in identifiable ways.

Type
Articles
Information
International Organization , Volume 56 , Issue 3 , Summer 2002 , pp. 609 - 643
Copyright
Copyright © The IO Foundation 2002

References

Abbott, Frederick. 2000. NAFTA and the Legalization of World Politics: A Case Study. International Organization 54 (3):519–47.CrossRefGoogle Scholar
Alter, Karen J. 2000. The European Union's Legal System and Domestic Policy: Spillover or Backlash? International Organization 54 (3):489–518.CrossRefGoogle Scholar
Alter, Karen J. 2001a. Establishing the Supremacy of European Law: The Making of an International Rule of Law in Europe. Oxford: Oxford University Press.Google Scholar
Alter, Karen J. 2001b. International Legal Systems, Regime Design and the Shadow of the Law in International Relations. Unpublished manuscript, Northwestern University, Chicago, Ill.Google Scholar
Alter, Karen J., and Vargas, Jeannette. 2000. Explaining Variation in the Use of European Litigation Strategies: Community Law and British Gender Equality Policy. Comparative Political Studies 33(4):452–82.CrossRefGoogle Scholar
Armstrong, Kenneth, and Bulmer, Simon. 1998. The Governance of the Single European Market. Manchester: Manchester University Press.Google Scholar
Audretsch, H. A. H. 1986. Supervision in European Community Law. 2nd ed. Amsterdam: North-Holland.Google Scholar
Axelrod, Robert. 1984. The Evolution of Co-operation. London: Penguin.Google Scholar
Axelrod, Robert, and Keohane, Robert O.. 1986. Achieving Cooperation Under Anarchy: Strategies and Institutions. In Cooperation Under Anarchy, edited by Oye, Kenneth A., 226–54. Princeton, N.J.: Princeton University Press.CrossRefGoogle Scholar
Bayard, Thomas O., and Elliott, Kimberly. 1994. Reciprocity and Retaliation in U.S. Trade Policy. Washington D.C.: Institute for International Economics.Google Scholar
Brown, Weiss Edith, and Jacobson, Harold K., eds. 1998. Engaging Countries: Strengthening Compliance with International Environmental Accords. Cambridge, Mass.: MIT Press.Google Scholar
Burley, Anne-Marie, and Mattli, Walter. 1993. Europe before the Court: A Political Theory of Legal Integration. International Organization 47 (1):41–76.CrossRefGoogle Scholar
Börzel, Tanja A. 2000. Why there is no ‘Southern Problem’: On Environmental Leaders and Laggards in the European Union. Journal of European Public Policy 7 (1): 141–62.CrossRefGoogle Scholar
Börzel, Tanja A. 2001. Non-Compliance in the European Union: Pathology or Statistical Artefact? Journal of European Public Policy 8 (5):803–24.CrossRefGoogle Scholar
Chayes, Abram, and Chayes, Antonia Handler. 1995. The New Sovereignty: Compliance with International Regulatory Agreements. Cambridge, Mass.: Harvard University Press.CrossRefGoogle Scholar
Chayes, Abram, Chayes, Antonia Handler, and Mitchell, Ronald B.. 1998. Managing Compliance: A Comparative Perspective. In Engaging Countries: Strengthening Compliance with International Environmental Accords, edited by Weiss, Edith Brown and Jacobson, Harold K., 39–62. Cambridge, Mass.: MIT Press.Google Scholar
Cichowski, Rachel A. 2002. Litigation, Mobilization and Governance: The European Court and Transnational Activism. Ph.D. diss., University of California, Irvine.Google Scholar
Conant, Lisa. 2002. Justice Contained: Law and Politics in the European Union. Ithaca, N.Y.: Cornell University Press.CrossRefGoogle Scholar
Cowles, Maria Green, Caporaso, James, and Risse, Thomas, eds. 2001. Transforming Europe. Europeanization and Domestic Change. Ithaca, N.Y.: Cornell University Press.Google Scholar
Daintith, Terence C., ed. 1995. Implementing EC Law in the United Kingdom: Structure for Indirect Rule. Chichester: Wiley.Google Scholar
Dehousse, Renaud. 1998. The European Court of Justice: The Politics of Judicial Integration. London: Macmillan.CrossRefGoogle Scholar
Dorn, A. Walter, and Fulton, Andrew. 1997. Securing Compliance with Disarmament Treaties: Carrots, Sticks, and the Case of North Korea. Global Governance 3 (1):17–40.CrossRefGoogle Scholar
Downs, George W., Rocke, David M., and Barsoom, Peter N.. 1996. Is the Good News about Compliance Good News about Cooperation? International Organization 50 (3):379–406.CrossRefGoogle Scholar
European Commission. 1996a. Thirteenth Annual Report on Monitoring the Application of Community Law (1995). COM (96) 600 Final. 28.2.1996.Google Scholar
European Commission. 1996b. The Single Market and Tomorrow's Europe: A Progress Report from the European Commission. Luxembourg: Office for Official Publications of the European Communities.Google Scholar
European Commission. 1996c. Memorandum on Applying Article 171 of the EC Treaty. Official Journal, No. C 242/6–8. 21.8.1996.Google Scholar
European Commission. 1999. Sixteenth Annual Report on Monitoring the Application of Community Law (1998). COM (99) 301 Final. 9.7.1999.Google Scholar
European Commission. 2000. Seventeenth Annual Report on Monitoring the Application of Community Law (1999). COM (2000) 92 Final. 23.6.2000.Google Scholar
European Commission. 2001. Eighteenth Annual Report on Monitoring the Application of Community Law (2000). COM (2001) 309 Final. 16.7.2001.Google Scholar
Golub, Jonathan. 1999. In the Shadow of the Vote? Decision Making in the European Community. International Organization 53 (4):733–64.CrossRefGoogle Scholar
Greene, Owen. 1998. The System for Implementation Review in the Ozone Regime. In The Implementation and Effectiveness of International Environmental Commitments: Theory and Evidence, edited by Victor, David G., Raustiala, Kal, and Skolnikoff, Eugene B., 89–136. Cambridge, Mass.: MIT Press.Google Scholar
Haas, Peter M. 1998. Compliance with EU Directives: Insights from International Relations and Comparative Politics. Journal of European Public Policy 5 (1):17–37.CrossRefGoogle Scholar
Haas, Peter M., Keohane, Robert O., and Levy, Marc A., eds. 1993. Institutions for the Earth: Sources of Effective International Environmental Protection. Cambridge, Mass.: MIT Press.Google Scholar
Harlow, Carol, and Rawlings, Richard. 1992. Pressure through Law. New York: Routledge.Google Scholar
Helfer, Laurence R., and Slaughter, Anne-Marie. 1997. Toward a Theory of Effective Supranational Adjudication. Yale Law Journal 107 (2):273–391.CrossRefGoogle Scholar
Héritier, Adrienne. 1995. “Leaders” and “Laggards” in European Clean Air Policy. In Internationalization and Economic Policy: Convergence or Diversity?, edited by Unger, Brigitte and Van Waarden, Frans, 278–305. Aldershot: Avebury.Google Scholar
Hooghe, Liesbet, ed. 1996. Cohesion Policy and European Integration: Building Multi-level Governance. Oxford: Oxford University Press.Google Scholar
Ioakimidis, P. C. 1994. The EC and the Greek Political System: An Overview. In Greece and EC Membership Evaluated, edited by Kazakos, Panos and Ioakimidis, P. C., 139–53. New York: St. Martin's Press.Google Scholar
Jackson, John H. 1998. The World Trade Organization: Constitution and Jurisprudence. London: Royal Institute of International Affairs.Google Scholar
Jacobson, Harold K., and Weiss, Edith Brown. 1998. Assessing the Record and Designing Strategies to Engage Countries. In Engaging Countries: Strengthening Compliance with International Environmental Accords, edited by Weiss, Edith Brown and Jacobson, Harold K., 511–54. Cambridge, Mass.: MIT Press.Google Scholar
Jönsson, Christer, and Tallberg, Jonas. 1998. Compliance and Post-Agreement Bargaining. European Journal of International Relations 4 (4):371–408.CrossRefGoogle Scholar
Keohane, Robert O., and Levy, Marc A., eds. 1996. Institutions for Environmental Aid: Pitfalls and Promise. Cambridge, Mass.: MIT Press.Google Scholar
Keohane, Robert O., Moravcsik, Andrew, and Slaughter, Anne-Marie. 2000. Legalized Dispute Resolution: Interstate and Transnational. International Organization 54 (3):457–88.CrossRefGoogle Scholar
Knill, Christoph, and Lenschow, Andrea. 2000. New Concepts—Old Problems? The Institutional Constraints for the Effective Implementation of EU Environmental Policy. Paper presented at the Annual Conference of the International Studies Association, March, Los Angeles.Google Scholar
Krislov, Samuel, Ehlermann, Claus-Dieter, and Weiler, Joseph. 1986. The Political Organs and the Decision-Making Process in the United States and the European Community. In Integration through Law. Vol. 1, Book 2, edited by Cappelletti, Mauro, Seccombe, Monica, and Weiler, Joseph, 3–110. Berlin: De Gruyter.Google Scholar
Levy, Marc A., Keohane, Robert O., and Haas, Peter M.. 1993. Improving the Effectiveness of International Environmental Institutions. In Institutions for the Earth: Sources of Effective International Environmental Protection, edited by Haas, Peter M., Keohane, Robert O., and Levy, Marc A., 397–426. Cambridge, Mass.: MIT Press.Google Scholar
Liefferink, Duncan, and Andersen, Mikael Skou. 1998. Strategies of the “Green” Member States in EU Environmental Policy Making. Journal of European Public Policy 5 (2):254–70.CrossRefGoogle Scholar
Maher, Imelda. 1996. Limitations on Community Regulation in the UK: Legal Culture and Multi-Level Governance. Journal of European Public Policy 3 (4):577–93.CrossRefGoogle Scholar
Marks, Gary. 1993. Structural Policy and Multilevel Governance in the EC. In The State of the European Community. Vol. 2. The Maastricht Debates and Beyond, edited by Cafruny, Alan W. and Rosenthal, Glenda G., 391–410. Boulder, Colo.: Lynne Rienner.Google Scholar
McCubbins, Mathew D., and Schwartz, Thomas. 1984. Congressional Oversight Overlooked: Police Patrols versus Fire Alarms. American Journal of Political Science 28 (1):165–79.CrossRefGoogle Scholar
Mendrinou, Maria. 1996. Non-compliance and the European Commission's Role in Integration. Journal of European Public Policy 3 (1) :1–22.CrossRefGoogle Scholar
Miles, Edward L., Underdal, Arild, Andresen, Steinar, Wettestad, Jørgen, Skjærseth, Jon Birger, and Carlin, Elaine M.. 2002. Environmental Regime Effectiveness: Confronting Theory with Evidence. Cambridge, Mass.: MIT Press.Google Scholar
Mitchell, Ronald B. 1994. Intentional Oil Pollution at Sea: Environmental Policy and Treaty Compliance. Cambridge, Mass.: MIT Press.Google Scholar
Mitchell, Ronald B. 1999. Situation Structure and Regime Implementation Strategies. Unpublished manuscript, Stanford University, Stanford, Calif.Google Scholar
Mitchell, Ronald B. 2000. Transparency's Three Paths of Influence. Paper presented at the Annual Conference of the International Studies Association, March, Los Angeles.Google Scholar
Mogg, John. 1996. Editorial. Single Market News 5:1.Google Scholar
Neyer, Jürgen. 2000. Domestic Limits of Supranational Legal Integration: Explaining the Relative Effectiveness of European and International Trade Policy. Paper presented at the workshop on ”Comparing Compliance at the National, European and International Levels,” December, European University Institute, Florence.Google Scholar
Olson, Mancur. 1965. The Logic of Collective Action: Public Goods and the Theory of Groups. Cambridge, Mass.: Harvard University Press.CrossRefGoogle Scholar
Parker, Charles F. 2001. Controlling Weapons of Mass Destruction. An Evaluation of International Security Regime Significance. Ph.D. diss., Uppsala University.Google Scholar
Petersmann, Ernst-Ulrich. 1994. The Dispute Settlement System of the World Trade Organization and the Evolution of the GATT Dispute Settlement System since 1948. Common Market Law Review 31(5):1157–244.CrossRefGoogle Scholar
Pollack, Mark A. 1997. Delegation, Agency, and Agenda Setting in the European Community. International Organization 51(1): 99–134.CrossRefGoogle Scholar
Pridham, Geoffrey. 1996. Environmental Policies and Problems of European Legislation in Southern Europe. South European Society and Politics 1 (1):47–73.CrossRefGoogle Scholar
Raustiala, Kal, and Victor, David G.. 1998. Conclusions. In The Implementation and Effectiveness of International Environmental Commitments: Theory and Evidence, edited by Victor, David G., Raustiala, Kal, and Skolnikoff, Eugene B., 659–707. Cambridge, Mass.: MIT Press.Google Scholar
Raustiala, Kal and Slaughter, Anne-Marie. 2002. International Law and Compliance. In Handbook of International Relations, edited by Carlsnaes, Walter, Risse, Thomas, and Simmons, Beth, 538–58. London: Sage.CrossRefGoogle Scholar
Sands, Philippe, Mackenzie, Ruth, and Shany, Yuval, eds. 1999. Manual on International Courts and Tribunals. London: Butterworths.Google Scholar
Sbragia, Alberta. 1996. Environmental Policy: The “Push-Pull” of Policy-Making. In Policy-Making in the European Union, edited by Wallace, Helen and Wallace, William, 235–55. Oxford: Oxford University Press.Google Scholar
Siedentopf, Heinrich, and Hauschild, Christoph. 1988. The Implementation of Community Legislation in the Member States: A Comparative Analysis. In Making European Policies Work: The Implementation of Community Legislation in the Member States. Vol. 1, Comparative Syntheses, edited by Siedentopf, Heinrich and Ziller, Jacques, 1–87. London: Sage.Google Scholar
Siedentopf, Heinrich, and Ziller, Jacques, eds. 1988a. Making European Policies Work: The Implementation of Community Legislation in the Member States. Vol. 1, Comparative Syntheses. London: Sage.Google Scholar
Siedentopf, Heinrich, and Ziller, Jacques, eds. 1988b. Making European Policies Work: The Implementation of Community Legislation in the Member States. Vol. 2, National Reports. London: Sage.Google Scholar
Slaughter, Anne-Marie, Sweet, Alec Stone, and Weiler, Joseph H. H., eds. 1998. The European Court and National Courts: Doctrine and Jurisprudence. Oxford: Hart Publishing.Google Scholar
Snyder, Francis. 1993. The Effectiveness of European Community Law: Institutions, Processes, Tools and Techniques. Modern Law Review 56 (1):19–54.CrossRefGoogle Scholar
Stein, Arthur A. 1983. Coordination and Collaboration: Regimes in an Anarchic World. In International Regimes, edited by Krasner, Stephen D., 115–40. Ithaca, N.J.: Cornell University Press.Google Scholar
Stein, Eric. 1981. Lawyers, Judges, and the Making of a Transnational Constitution. American Journal of International Law 75 (1):1–27.CrossRefGoogle Scholar
Steiner, Josephine. 1995. Enforcing EC Law. London: Blackstone Press Limited.Google Scholar
Stone, Sweet Alec, and Brunell, Thomas L.. 1998. The European Court and the National Courts: A Statistical Analysis of Preliminary References, 1961–95. Journal of European Public Policy 5 (1):66–97.Google Scholar
Stone, Sweet Alec, and Caporaso, James A.. 1998. From Free Trade to Supranational Polity: The European Court and Integration. In European Integration and Supranational Governance, edited by Sweet, Alec Stone and Sandholtz, Wayne, 92–130. Oxford: Oxford University Press.CrossRefGoogle Scholar
Tallberg, Jonas. 1999a. Making States Comply: The European Commission, the European Court of Justice, and the Enforcement of the Internal Market. Ph.D. diss., Lund University.Google Scholar
Tallberg, Jonas. 1999b. Sverige och Efterlevnaden av EU:s Regelverk: Ett Samarbetsdilemma. In Sverige i EU, edited by Johansson, Karl Magnus, 55–76. Stockholm: SNS Förlag.Google Scholar
Tallberg, Jonas. 2000a. Supranational Influence in EU Enforcement: The ECJ and the Principle of State Liability. Journal of European Public Policy 7 (1):104–21.CrossRefGoogle Scholar
Tallberg, Jonas. 2000b. The Anatomy of Autonomy: An Institutional Account of Variation in Supranational Influence. Journal of Common Market Studies 38 (5):843–64.CrossRefGoogle Scholar
Tallberg, Jonas. 2002. Delegation to Supranational Institutions: Why, How, and with What Consequences? West European Politics 25 (1):23–46.CrossRefGoogle Scholar
Underdal, Arild. 1998. Explaining Compliance and Defection: Three Models. European Journal of International Relations 4 (1):5–30.CrossRefGoogle Scholar
Victor, David G. 1998. The Operation and Effectiveness of the Montreal Protocol's Non-Compliance Procedure. In The Implementation and Effectiveness of International Environmental Commitments: Theory and Evidence, edited by Victor, David G., Raustiala, Kal, and Skolnikoff, Eugene B., 137–76. Cambridge, Mass.: MIT Press.Google Scholar
Victor, David G., Raustiala, Kal, and Skolnikoff, Eugene B., eds. 1998. The Implementation and Effectiveness of International Environmental Commitments: Theory and Evidence. Cambridge, Mass.: MIT Press.Google Scholar
Vogel, David, and Kessler, Timothy. 1998. How Compliance Happens and Doesn't Happen Domestically. In Engaging Countries: Strengthening Compliance with International Environmental Accords, edited by Weiss, Edith Brown and Jacobson, Harold K., 19–37. Cambridge, Mass.: MIT Press.Google Scholar
Weiler, Joseph H. H. 1991. The Transformation of Europe. Yale Law Journal 100:2403–83.CrossRefGoogle Scholar
Weiler, Joseph H. H. 1994. A Quiet Revolution: The European Court of Justice and Its Interlocutors. Comparative Political Studies 26 (4):510–34.CrossRefGoogle Scholar
World Trade Organization. 2001. Overview of the State-of-Play of WTO Disputes, March 23 2001. Available at ⟨www.wto.org/english/tratop_e/dispu_e/dispu_e.htm⟩. Accessed May 9 2001.Google Scholar
Yarbrough, Beth V., and Yarbrough, Robert M.. 1992. Cooperation and Governance in International Trade: The Strategic Organizational Approach. Princeton, N.J.: Princeton University Press.CrossRefGoogle Scholar
Yarbrough, Beth V., and Yarbrough, Robert M.. 1997. Dispute Settlement in International Trade: Regionalism and Procedural Coordination. In The Political Economy of Regionalism, edited by Mansfield, Edward D. and Milner, Helen V., 134–63. New York: Columbia University Press.Google Scholar
Young, Oran R. 1979. Compliance and Public Authority: A Theory with International Implications. Baltimore: The Johns Hopkins University Press.Google Scholar
Young, Oran R. 1992. The Effectiveness of International Institutions: Hard Cases and Critical Variables. In Governance without Government: Order and Change in World Politics, edited by Rosenau, James N. and Czempiel, Ernst-Otto, 160–94. Cambridge: Cambridge University Press.CrossRefGoogle Scholar
Young, Oran R. 1999. Governance in World Affairs. Ithaca, N.Y.: Cornell University Press.CrossRefGoogle Scholar
Zürn, Michael. 2000. Law and Compliance at Different Levels. Paper presented at the workshop on “Comparing Compliance at the National, European and International Levels,” December, European University Institute, Florence.Google Scholar