Tranholm-Mikkelsen, Jeppe, 1991. "Neo-functionalism: Obstinate or
Obsolete? A Reappraisal in the Light of the New Dynamism of the EC",
_Millenium: Journal of International Studies_. Vol 20, No 1, pp 4-6 (of
1-21).

----- An excerpt -----

*The Logic of Spill-Over*

The central thesis of neo-functionalism is that integration within one
sector will tend to beget its own impetus and spread to other sectors.
The establishment of supranational institutions designed to deal with
functionally specific tasks will set in motion economic, social and
political processes which generate pressures towards further
integration. This is the logic subsumed under the headings of
'spill-over' or 'the expansive logic of sector integration'.16

There are three aspects of this snowball effect: functional spill-over,
political spill-over and cultivated spill-over."

(a) *Functional Spill-Over.* This is a mechanism arising from the
inherent technical characteristics of the functional tasks themselves.
The idea is that some sectors within industrial economics are so
interdependenlt that it is impossible to treat them in isolatiom. Hence,
attempts to integrate certain functional tasks will inevitably lead to
problems which can only be solved by integrating yet more tasks.18

This was the type of spill-over envisaged by Jean Monnet. To him, it
seemed obvious that the integration of basic industries, such as coal
and steel must evenltually lead to a need for integration first of other
energy sectors and later of the whole economy.19 It is important to
note, however, that this conception of integration was firmly bound up
with the idea of *dirigisme* (i.e., indicative planning in order to
further industrial modernisation). In Monnet's view, the High Authority
should engage in such intervention modelled on the practice of the
French *Commisariat du Plan*, of which he was the head.20

Lindberg, on the other hand, emphasised the inherently expansive nature
of the tasks assigned to the EEC. In the EEC treaty, the integrative
potential was identified not in indicative planning, but in the attempts
to create 'a real customs union'. The merging of six economies, he
argued, 'will require action transcending the borders of any one state',
hence making it difficult for the new institutions to avoid making
'centralising policies'.21 He thus foresaw spill-over from what came to
be known as 'negative integration' (i.e., the removal or discrimination
between economic agents of the member states) to 'positive integration'
(i.e., the adoption of coordinated and common policies).22

(b) *Political Spill-Over.* This mechanism arises from the pluralist
nature of Wesl European societies. In such societies, it was argued,
politics is based on conflict between groups, each of which pursue their
own (welfare) aims.23 Moreover, these groups are represented by highly
bureaucratised organisations, thus making it possible to confine the
analytical focus to their leaders - the 'elites'.24 This conception of
politics owes much to the early 'group theorists' of American political
science.25

The idea is that such elites will undergo a learning process, developing
the perception that their interests are better served by seeking
supranational rather than national solutions. They will therefore
refocus their activities, expectations and perhaps their loyalties to
the new centre. Such reorientation will lead to calls for further
integration, hence providing the process with political impetus.

Lindberg, in particular, stressed the importance of governmental elites
in this connection. He noted that the EEC had led to a vast and complex
bureaucratic system, involving thousands of national and Community
officials in a continuous decision-making process. This was due to the
establishment of the Committee of Permanent Representatives (COREPER)
and of a tremendous number of sub-committees and study groups. Thus, a
system of 'bureaucratic interpenetration' had developed in which
governments found it increasingly difficult to function as gate-keepers.
National officials would 'just pick up the phone' rather than use the
formal channels. Moreover, the involvement of these officials would tens
to 'engage' them personally in the process, perhaps even leading to
'informal co-optation'.26 This is the process which has later come to be
known as *engrenage*.27

Haas, on the other hand, dealt almost exclusively with non-governmental
elites. His focus was on the behaviour and perceptions of leaders of
political parties, trade associations and trade unions. He identified
the changes happening at the national level as well as the establishment
of umbrella organisations at the supranational level. To him, the 'chief
finding' was that such groups will generate pressures which 'will spill
over into the federal sphere and thereby add to the integrative
impulse'.28

(c) *Cultivated Spill-Over.* Although the processes outlined above in
themselves provide strong pressures towards further integration, both
Haas and Lindberg placed much emphasis on the role of central
institutions, especially the Commission.29 Such institutions were to
embody the common interest and hence function as midwives for the
integration process.

This idea was elaborated by Haas in an article published in 1961. He
argued that classical diplomatic negotiations rarely move beyond the
'minimum common denominator'. In such settings the outcome will be
determined by the position of the least co-operative partner. If
mediatory services are provided, however, negosiations may move somewhat
further and involve 'splitting the difference'. This entails a solution
which lies somewhere between the final bargaining positions of the
parties. Finally, where accommodation can be facilitated by an
autonomous and institutionalised mediator, such as the Commission, the
result may be based on 'upgrading of the common interest'. In this case,
the outcome involves a redefining of the conflict and almost invariably
implies the expansion of the powers of an international agency.30

The prime role of the Commission, therefore, is to offer solutions which
involve an 'upgrading of the common interest'. The outcome of the
integration process will to some degree be dependent on its ability and
will to perform this function. Thus 'cultivated spill-over' contitutes a
voluntaristic element in an otherwise rather deterministic theory.

*Summary and Predictions*

Haas and Lindberg developed a theory of regional integration on the
basis of studies of the early experiences of the European Community.
Their main thesis was that sectoral integration was inherently expansive
- integration of some functional tasks would tend to spill over into
integration of other tasks. This logic was based on three distinct
processes: functional, political and cultivated spill-over.

On the basis of this analysis, Haas argued that an acceleration of the
integration process could be 'safely predicted' and that it might lead
to a 'political community of Europe' within a decade.31 Lindberg
generally shared Haas's optimism, but cautiously added that '[t]here are
a number of ways in which the processes of political integration might
be interrupted'.32