1. Expansion to the East: EU and NATO Introduction and overview
Lecture 1
7 May 2009

2. Overview Why EU and NATO were created Why enlarge these organisations
Theoretical explanations
End of the Cold War: a new world
Enlarging to Eastern Europe: problems and benefits
Enlarging to South Eastern Europe: obstacles and incentives

3. Post-war urge for peace
Integration as a tool to promote and sustain peace
Tie up Europe’s states tightly together
Contain Germany (Coal and Steel)
Keep Soviet Union “happy”

4. EU enlargement Four rounds: 1. UK, Denmark, Ireland (1973)
2. The Mediterranean enlargement: Greece, Spain, Portugal (1981 and 1986)
3. The EFTA Enlargement: Austria, Finland and Sweden (1995)
Enlargement/Big Bang :Estonia, Latvia, Lithuania, Poland, Hungary Czech Republic, Slovakia, Slovenia, Malta and Cyprus (2004), Romania and Bulgaria (2007)

5. Integration Both deepening and widening a relationship
Political or Economic?
Four aspects of (EU) integration studies
EU is an international organisation, integration=IR
EU is regional, and can be compared with NAFTA, etc. IR a reasonable theory umbrella
EU as a tool for studying policy making dynamics= focus on the inside of the organisation. Organisation studies
EU as a sui generis, a particular case in itself.

6. Integration Three roots for integration theory Federalism
Functionalism
Transactionalism

7. Federalism Political movement Create a European Federation
Promote peace, efficiency and democracy
How to realise it?
Direct formula (Consitution)
Gradual popular movement
Federalism a political movement to raise awareness and promote the project

8. Functionalism I
Main assumption: rational peaceful progress is possible
Function not form
Human beings need to be:
rational about needs
creative regarding institutional design
Focusing on the function of the institutions
Technocratic approach to governance
State and politicians ar not taken as given
Functional institutions on different (transnational) levels

9. Functionalism II
Peace because loyalty does not lie with the nation state
Technocrats (bureaucrats) should solve needs and design institutions
Functionalism is not compatible with European integration (Mitrany)
Criticism:
Technocratic exercise highly political
Hopelessly naive

10. Transactionalism
Central concern is to prevent war (post enlargement?)
Security communities
People have to be integrated
Share a sense of community
Amalgamated (EU?)
Pluralistic (NATO?)
Communication and mutual transactions help establish such communities (building of trust)

11. Neofunctionalism I The “true” integration theory?
Goes hand in hand with the creation of the EU (“Monnet method”)
Federal Union
Technocratic process
Functionalistic (incremental and strategic)
ECSC 1950
Economic integration through purposeful institutions lead to political unity

12. Neofunctionalism II Spillover
Integration in one sector creates pressure for integration in another sector
Economic and technological integration requires political integration

13. Enlargement?
The founding fathers stated that “all European states” can become members (Rome Treaty)
Not discussed per se
Not an issue until the fall of the Berlin Wall