Table I

Modes of Regulation in the EU

High level of obligation Low level of obligation
High level of discretion New Instruments
economic, communicative, framework regulation
OMC
Open method of coordination
Low level of discretion Regulatory Standards
substantive, procedural
Self-regulation
in the shadow of the state
 
 
 
 
 

Table II

Steering Mechanisms and Types of Regulation

Regulatory Standards New Instruments Self-regulation OMC
Coercion ++
legally binding standards
+
framework and procedural rules
+
shadow of hierarchy
+
reporting and monitoring
Incentive structures 0 ++
changes of procedural and/or material opportunities
++
private actors influence regulatory standards
+
peer pressure
Learning 0 0 +
communication in private networks
++
best practice models
Hierarchy model:
power of coercion
Public delegation model:
traditional subsidiarity
Private delegation model Radical subsidiarity model:
public learning approach

Legend: ++ dominant mechanism; + relevant mechanism; 0 irrelevant mechanism

 
 
 
 
 

Table III

Regulatory Modes and Problem-solving Capacity

Regulatory Standards New Instruments Self-regulation OMC
Adjustment flexibility Low Low High High
Danger of capture High Low, but depending on national transposition High Low, but depending on national transposition
Context responsiveness Low High Low High
Predictability of outcomes High Low High Low

Table IV

Democratic legitimacy of four regulatory modes

Regulatory Standards New Instruments Self-regulation OMC
Democratic Mandate EU level:
deficient
EU-level:
deficient
EU-level:
mostly poor
EU-level :
acceptable
National level:
good
SR-level:
typically biased
National level:
good
Due Process Participation
at the discretion of the EU executive
Participation
on EU-level as RS; emphasised on national level
Participation
great reliance on "those affected", but danger of bias
Participation
stakeholder participation on both levels of governance
Substantive equality
yes – disregarding local circumstances
Substantive Equality
partial – combined with responsiveness to local conditions
Substantive Equality
yes – assuming authority of self-regulatory network vis-à-vis its members
Substantive Equality
weak – indirect encouragement of local adjustments
Accountability Control
deficient on EU level
Control
deficiency on EU-level is partly corrected on national level
Control
weak in practice, but possible in theory
Control
ambiguous on EU level; traditional + soft mechanisms applied to national activity

©2003 by Knill & Lenschow
formated and tagged by S.H., 11.2.2003