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Frank Schimmelfennig

Frank Schimmelfennig
ETH Zurich | ETH Zürich · Department of Humanities, Social and Political Sciences

Prof. Dr.

About

300
Publications
203,357
Reads
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12,283
Citations
Citations since 2016
105 Research Items
6922 Citations
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201620172018201920202021202202004006008001,0001,200
201620172018201920202021202202004006008001,0001,200
201620172018201920202021202202004006008001,0001,200
Introduction
I am Professor of European Politics and member of the Center for Comparative and International Studies at ETH Zurich, Switzerland. I work on European integration with a focus on integration theory, enlargement, democratization, and differentiated integration.
Additional affiliations
September 2005 - present
ETH Zurich
Position
  • Professor of European Politics
September 2002 - August 2005
September 2002 - August 2005
Universität Mannheim
Position
  • Fellow
Education
September 1984 - July 1989
Universität Tübingen
Field of study
  • Political Science and East European History

Publications

Publications (300)
Article
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Brexit constitutes a puzzle for integration theory. Functionalist analyses have not only failed to predict the UK’s exit but have also underestimated the disintegrative dynamics of the withdrawal negotiations. By contrast, postfunctionalism accounts for the disintegrative Brexit process but struggles to explain the unity and defence of supranationa...
Article
The EU’s history exhibits numerous episodes in which member states have sought to re-enforce their national autonomy in the face of deepening integration. Efforts to regain autonomy, however, are often accompanied by legitimate concerns that autonomy will lead to disintegration or will have wider destructive consequences. The EU thus faces a dilemm...
Chapter
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The EU’s history exhibits numerous episodes in which member states have sought to re-enforce their national autonomy in the face of deepening integration. Efforts to regain autonomy, however, are often accompanied by legitimate concerns that autonomy will lead to disintegration or will have wider destructive consequences. The EU thus faces a dilemm...
Article
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Do integration crises reinforce legal differentiation in European integration? Are differentiated EU policies under stress prone to cascading opt-outs? We argue that integration crises as such are unlikely to cause further fragmentation in already differentiated EU regimes. If the EU decides to adopt new treaties and laws in response to the crises,...
Article
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Research on differentiated integration (DI) in the European Union (EU) has focused on the causes, conditions, and patterns of differentiation in European integration. By contrast, we know less about its effects on institutional outcomes and public support; moreover, alternatives to de jure DI in providing flexibility are still rarely accounted for....
Chapter
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Switzerland has a unique position in the geopolitics of Europe. Whereas it is firmly anchored in the Western, liberal-democratic international community, the country is not a member state of either the European Union or NATO. Since the Congress of Vienna in 1814/1815, ‘permanent neutrality’ has been a core principle of Swiss foreign policy, enjoyin...
Chapter
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Even though Switzerland is not a member state, it is part of the EU's transactional and institutional community, from which it benefits massively. Yet, Swiss contributions to the social cohesion of the EU have remained a bone of contention and a bargaining chip in the institutional and regulatory conflicts between the two parties.
Chapter
The chapter describes and explains vertical and horizontal integration and differentiation as related to the Single Market. After sketching out the historical development of this core area of European integration, we test the explanatory power of the four integration theories covered in this book, by applying them to selected steps of market integr...
Chapter
This chapter introduces intergovernmentalism as a theory of European integration. We begin the presentation of intergovernmentalism by explicating its theoretical roots in rationalist institutionalism in International Relations and by identifying four more middle-range rationalist theories that intergovernmentalism uses to explain international coo...
Chapter
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The concluding chapter will, in a first step, systematically review and compare the findings of the book’s empirical chapters on the single market, the EMU, defence policy, and the AFSJ. The empirical material will then be used to contrast the performance of the different integration theories discussed in this book, intergovernmentalism, supranatio...
Chapter
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This chapter introduces constructivism as a theory of European integration. While intergovernmentalism, but also supranationalism emphasize the causal relevance of (material) structures and interests, constructivism stipulates that social structures—ideas, collective identities, and discourses—matter for European integration. This chapter first int...
Chapter
This chapter describes and explains the differentiated vertical and horizontal integration of macroeconomic policy in the EU, comprising both monetary and fiscal policy. Apart from their obvious political relevance for the EU, European monetary and fiscal policy offer rich and interesting data for the study of differentiated integration. First, mon...
Book
Far from displaying a uniform pattern, European integration varies significantly across policy areas and individual countries. Why do some policies, such as the Single Market, attract non-EU member states, while some member states choose to opt out of specific EU policies? Why are some policies deeply integrated, whereas others, such as defence, re...
Chapter
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Postfunctionalism is the most recent addition to the canon of major integration theories. It agrees with the sociological-institutionalist assumption that jurisdictions build on communities of common culture and identity. Postfunctionalism further starts from the assumption that regional integration has become firmly embedded in the democratic mass...
Chapter
Despite the attempt to create a European Defence Community in the 1950s today security and defence policy cooperation in the EU is only weakly vertically integrated and horizontally differentiated. This chapter will first chart the development of security and defence policy cooperation from the 1950s to the present. The second part of the chapter w...
Chapter
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This chapter introduces supranationalism, which has its roots in neofunctionalism, the first fully developed theory of European integration. Supranationalism argues that transnational society and supranational organizations are the most relevant actors, often pushing European integration beyond the level governments had originally intended. Suprana...
Chapter
Chapter 2 proposes to conceptualize the EU as a system of differentiated integration and describes its historic development. We show, first, that the Community has significantly expanded its tasks and competences since its inception; this is what we call ‘vertical integration’. Second, we highlight that the expansion of membership in EU policies (i...
Chapter
The chapter describes and explains vertical and horizontal integration and differentiation as related to the Area of Freedom, Security and Justice (AFSJ). After sketching out the historical development of this at first belated and later stunningly dynamic area of European integration, we test the explanatory power of the four integration theories c...
Book
Krieg, Frieden, Kooperation, Netzwerke, Institutionen: Dieses Buch gibt eine problemorientierte Einführung in die politikwissenschaftliche Teildisziplin der Internationalen Beziehungen. Frank Schimmelfennig stellt die wichtigsten aktuellen Theorien der Internationalen Beziehungen vor und gibt einen Überblick über die zentralen Gegenstände der inter...
Chapter
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This chapter describes and applies the rhetorical action approach to EU–Turkey relations. Generally, rhetorical entrapment denotes the mechanism by which actors are compelled to act in conformance with their prior argumentative commitments. In the context of EU enlargement, member states have committed themselves to enlargement norms and promises i...
Article
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The crises of the European Union and the geopolitical shifts in its international environment have generated a backlash against the post-Cold War ‘debordering’ of European integration. Whereas integration theories focus almost exclusively on the EU’s internal boundaries and developments, this framework paper conceptualizes and theorizes integration...
Article
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Enlargement is the most significant debordering policy of the European Union. In an analysis of debates in the European Parliament and a sample of member state national parliaments, this article examines whether EU enlargement discourse has been characterized by a politicized rebordering process since the mid-2000s. We find that enlargement discour...
Article
International parliaments are on the rise. An increasing number of international organizations establishes 'international parliamentary institutions' or IPIs, which bring together members of national parliaments or - in rare cases - elected representatives of member state citizens. Yet, IPIs have generally remained powerless institutions with at be...
Chapter
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Die vollständig überarbeitete Neuauflage des Handbuchs zur deutschen Europapolitik gibt einen tiefen Einblick in die Verflechtung Deutschlands mit der EU und arbeitet den Einfluss heraus, den Deutschland auf europäische Integrations- und Entscheidungsprozesse hat. Renommierte AutorInnen analysieren Grundlagen und Konzepte deutscher Europapolitik un...
Chapter
The East African Community (EAC) was established in 1967, abolished ten years later, and re-established in 1999. In both cases, it included an international parliamentary institution, the East African Legislative Assembly (EALA). EALA is remarkable for its far-reaching legislative competencies. The EALA is best explained by a combination of diffusi...
Book
International parliamentary institutions (IPIs) are on the rise. Around the world, international organizations have increasingly established or affiliated parliamentary assemblies. At the same time, IPIs have generally remained powerless institutions with at best a consultative role in the decision-making process of international organizations. Thi...
Chapter
This chapter analyses international parliamentarization in the Andean region. Andean integration has seen, first, the creation of the Andean Pact without an international parliamentary institution (IPI) in 1969, followed by the establishment of the Andean Parliament in 1979 and a slight IPI empowerment in conjunction with the foundation of the Ande...
Chapter
This chapter examines the evolution of the parliamentary dimension in Mercosur, from its modest beginnings with the Joint Parliamentary Commission to the establishment of the consultative Mercosur Parliament (Parlasur) in 2005. The context for the establishment and empowerment of an international parliamentary institution was favourable in Mercosur...
Chapter
In this chapter, we provide statistical analyses of the establishment and empowerment of international parliamentary institutions (IPIs) in seventy-three relevant international organizations. We analyse whether IPI establishment was systematically associated with the conditions of parliamentarization and find robust and strong positive associations...
Chapter
This chapter examines the international parliamentarization of the Economic Community of West African States (ECOWAS). ECOWAS was founded in 1975 without an international parliamentary institution (IPI). An IPI was only created in 1993 in the context of general treaty reform. In particular, the democratization process in the region, the promotion o...
Chapter
This chapter presents a case study of the NAFTA, the North American Free Trade Agreement. NAFTA is a case of ‘non-parliamentarization’ in a democratic, albeit task-specific organization with low authority, and narrow scope created after a momentous governance success—the end of the Cold War and collapse of the Soviet Union—in a regional environment...
Chapter
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This chapter examines two Eurasian international organizations in comparison, the Commonwealth of Independent States (CIS) and the more recent Eurasian Economic Union (EAEU), a project of more advanced economic integration. It starts with the puzzling observation that the CIS established an IPI, whereas the EAEU did not, in spite of higher authorit...
Chapter
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This chapter describes the universe of international parliamentary institutions (IPIs): their attributes, their historical development, their regional variation and their organizational features. It shows that, while the first IPI dates from the nineteenth century, IPIs have only emerged in larger numbers after World War II and in particular during...
Chapter
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This chapter presents the results of a Qualitative Comparative Analysis (QCA) of the case studies on the establishment and empowerment of international parliamentary institutions by international organizations. The analysis looks for patterns in the necessary and sufficient conditions of international parliamentarization as well as for distinct and...
Chapter
This chapter analyses the reasons why governments rejected a formal recognition of the ASEAN Interparliamentary Organization/Assembly for a long time, but finally established an official affiliation during the Charter-making process in 2008/10. Until today, ASEAN provides a comparatively unfavourable context for parliamentarization because the orga...
Chapter
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The chapter analyses the development of the European Parliament (EP) since the European Coal and Steel Community (1952). Specifically, it includes the establishment of an international parliamentary institution (IPI) in 1952, the initial creation of legislative powers in the Single European Act (1986), the renegotiation of legislative powers ahead...
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This chapter concludes the book and presents its key findings and takeaways. It reiterates the argument of strategic legitimation in international organizations: that governments establish international parliamentary institutions to pay tribute to global norms of democratic governance and legitimate international organizations that have become both...
Chapter
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This chapter lays out the theoretical framework for the study of international parliamentary institutions (IPIs). First, it argues that IPIs display few of the functional benefits that are commonly associated with the delegation of competences to international institutions. Second, it claims that the assumption of normatively committed member state...
Chapter
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Talking about Eurosceptic parties in Switzerland requires a serious recalibration of the concept. No Swiss party advocates a fast and full EU membership. The main debate is about maintaining vs. undoing the Bilateral Way—the Swiss Sonderweg of close cooperation and deep market access through a series of intergovernmental agreements and unilateral l...
Preprint
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Differentiation has become a durable feature of European integration but we know little about its effects on citizens. Does differentiated integration improve the democratic quality of the European Union and strengthen citizens’ support – or does it promote political divides and foster citizens’ alienation from European integration? This article de...
Article
Social media may help civil society organize and mobilize for different campaigns. However, the extent to which social media campaigns simply recruit like-minded individuals as compared to exerting a causal impact on joiners’ attitudes is difficult to disentangle. We test both the organizational and transformative potential of a civil society campa...
Chapter
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Integrationstheorien haben den Anspruch, die Entstehung, den Prozess und den Stand der europäischen Integration zu erklären. Die Entwicklung der Integrationstheorien ist einerseits mit der Theorieentwicklung in der Politikwissenschaft, andererseits mit der Entwicklung der EU eng verbunden. Im Lauf der Zeit haben sich drei wesentliche Theoriestränge...
Article
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Politicisation in the EU is mostly analysed as a domestic-level process constraining EU-level actors. Yet EU actors also engage in strategic politicisation management. This article theorises the conditions under which EU actors engage in either depoliticisation or politicisation strategies when they react to bottom-up pressures. It stipulates that...
Chapter
This chapter examines negotiations on differentiated disintegration in the case of Brexit. It includes the efforts of the British government to renegotiate its EU membership prior to the referendum in June 2016 and the subsequent negotiations of the Withdrawal Agreement. The chapter shows that the same factors that explain demand for differentiated...
Chapter
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This chapter maps the development of differentiated integration over the entire history of the EU and across all member states and policies. It shows that differentiation has been on the rise in treaty law and legislation. Yet, relative to the dramatic growth in EU authority and member states over time, there is no evidence for a trend towards ‘eve...
Chapter
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This chapter evaluates the implications of differentiated integration for the legal order, democratic quality, degree of solidarity, and further development of European integration. The chapter argues that eschewing differentiation would entail serious opportunity costs for the EU. Forgoing differentiation and limiting European integration to a cle...
Book
Differentiated integration is a durable feature of the European Union and a major alternative for its future development and reform. This book provides a comprehensive conceptual, theoretical and empirical analysis of differentiation in European integration. It explains differentiation in EU treaties and legislation in general and offers specific a...
Chapter
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This chapter offers a concise conceptualization of differentiated integration. It argues that differentiated integration can be understood as the differential validity of EU legal rules across the member states and is, thus, different from other forms of flexibility and non-compliance. Furthermore, the chapter introduces different modes of differen...
Chapter
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Focusing on the 2004 and 2007 Eastern enlargement of the European Union, this chapter traces the ‘normalization’ of differentiated integration after new countries become member states. The chapter explains pre-accession tensions between demands of member states to limit the membership benefits of the applicant countries, and demands of the applican...
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This chapter offers a regional perspective on differentiated integration. It shows that the EU has developed a variegated set of membership grades, cross-cutting the formal boundary between member and non-member states. The chapter shows that internal and external differentiation are driven by the logics of instrumental and constitutional different...
Chapter
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This chapter explores the path-dependence of differentiated integration in the case of the Eurozone. In the aftermath of the Euro crisis, differentiated integration grew significantly in this already highly differentiated domain. Why did differentiation become path-dependent? The analysis suggests that DI becomes self-reinforcing if a shock hitting...
Chapter
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This chapter theorizes differentiated integration based on the major schools of thought in the study of European integration: liberal intergovernmentalism, neofunctionalism, and postfunctionalism. The chapter distinguishes differentiation from uniform integration and non-integration. It explains demand for differentiation on the basis of cross-nati...
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This chapter offers an empirical analysis of member state opt-outs from EU legislation throughout the history of European integration. The analysis shows that similar factors, including wealth, existing opt-outs, and Eurosceptic governments explain legislative and treaty differentiation. The analysis also shows a historical shift from instrumental...
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This chapter offers an empirical analysis of the conditions under which member states negotiate opt-outs from EU reform and enlargement treaties, covering all treaties since the Maastricht Treaty on European Union. The analysis suggests that constitutional and instrumental logics of differentiation co-exist in European integration. In reform treati...
Chapter
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How did the Eurozone bailouts affect national democracies? Recent research, including by Klaus Armingeon and his colleagues, indicates strong citizen detachment from democracy due to the external constraints imposed by bailout programs on national autonomy. This chapter re-examines the detachment thesis with the help of the generalized synthetic co...
Article
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International parliamentary institutions (IPIs) have become an established feature of international politics. While scholars of international institutions have extensively studied why states delegate to international organizations (IOs) in general, they have said little about the creation of parliamentary bodies. Moreover, IPIs do not fit the funct...
Article
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Migration is arguably the single most salient issue in in Western democracies today. Anti-immigrant attitudes have fueled the rise of right-wing populist parties, have proved decisive in swaying a slim margin of the British public to support Brexit and have catalyzed delicate democracies down authoritarian tracks. We contend that because of predomi...
Article
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Referendums, and negative referendums in particular, are an important constraint on European integration and the most direct way in which politicization affects EU-level decision-making. Yet governments retain considerable room of maneuver in responding to them. Whereas there is a rich literature on referendum campaigns, voting behavior, and interg...
Article
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How did the Eurozone bailouts affect national democracies? Recent research indicates strong citizen detachment due to the external constraints imposed by bailout programs on national autonomy. This paper re-examines the detachment thesis by broadening the view towards multiple dimensions of democracy and effect heterogeneity across time and space....
Article
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The External Incentives Model (EIM) was designed to explain the Europeanization of the Central and Eastern European countries (CEECs) through the EU’s accession conditionality. This article asks how relevant the model remains beyond its original context. We examine recent data and research on the EU’s impact in two additional contexts: post-accessi...
Article
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On the intergovernmentalist account, differentiated integration is an institutional design helping to overcome negotiation deadlock caused by international heterogeneity. Heterogeneity of state preferences, dependence and capacity creates demand for differentiated integration. Whether differentiated integration will actually be realized, however, a...
Article
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Even though differentiation has become a core feature of the EU, the grand theories have focused almost exclusively on uniform integration. In this article, we derive hypotheses about differentiated integration from liberal intergovernmentalism, neofunctionalism, and postfunctionalism. In an analysis of EU treaty making between 1992 and 2016, we fi...
Chapter
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Switzerland is a non-member state without membership aspirations. In fact, less than one in five Swiss have been in favour of EU membership in recent years. Switzerland’s stake in the future of the European project is thus generally limited to managing and developing “bilateralism” – its unique relationship with the EU. At the same time, the politi...
Chapter
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Originally, studies of Europeanisation have almost exclusively focused on the Central and Eastern European (CEE) candidates, which became member states in 2004 and 2007. It remains to be seen, however, to what extent the conditions that have proven relevant for the CEE countries are also applicable to the candidate states from the Western Balkans....
Article
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The “polycrisis” of the European Union (EU) presents integration research with major conceptual and theoretical challenges. In the interest of an adequate understanding of current developments in European integration, this contribution argues for opening the dominant concept of integration in order to systematically include the integration of the E...
Chapter
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This chapter focuses on liberal intergovernmentalism (LI), which has acquired the status of a ‘baseline theory’ in the study of regional integration: an essential first-cut explanation against which other theories are often compared. The chapter argues that LI has achieved this dominant status due to its theoretical soundness, empirical power, and...
Article
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The Euro, Schengen and Brexit crises pose important explanatory challenges to liberal intergovernmentalism (LI). In contrast with the historical context in which LI originated, they have threatened existing integration regimes with disintegration in a highly politicized domestic environment. How relevant does LI remain under these circumstances in...
Article
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The European Union has gone through major crises of its two flagship integration projects of the 1990s: the euro and Schengen. Both crises had structurally similar causes and beginnings: exogenous shocks exposed the functional shortcomings of both integration projects and produced sharp distributional conflict among governments, as well as an unpre...
Article
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The decision of the Cameron government to renegotiate the terms of UK membership and to hold an in-out referendum has triggered a novel process in European integration: differentiated disintegration, the selective reduction of a member state's level and scope of integration. The article starts from an established postfunctionalist explanation of di...
Article
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Regional integration theory seeks to explain the establishment and development of regional international organizations. Key questions are why and under which conditions states decide to transfer political authority to regional organizations, how regional organizations expand their tasks, competencies, and members, and what impact they have on state...
Chapter
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Nach dem Zweiten Weltkrieg ist in Europa eine internationale Ordnung entstanden, die sich durch ein außergewöhnlich hohes Maß an supranationaler Integration auszeichnet. Sie erstreckt sich auf eine große Bandbreite von Politikfeldern und verleiht der Europäischen Union (EU) in einigen von ihnen exklusive Zuständigkeiten. Supranationale Organe – die...
Chapter
Full-text available
Integrationstheorien haben den Anspruch, die Entstehung, den Prozess und den Stand der europäischen Integration zu erklären. Die Entwicklung der Integrationstheorien ist einerseits mit der Theorieentwicklung in der Politikwissenschaft, andererseits mit der Entwicklung der EU eng verbunden. Im Lauf der Zeit haben sich drei wesentlichen Theoriesträng...
Article
Full-text available
This contribution introduces the concept of integration capacity and summarizes our research on the European Union (EU)’s integration capacity in Eastern enlargement. Integration capacity refers to the ability of the EU to prepare non-members for membership (external integration capacity) and to preserve its functioning and cohesion once they join...
Article
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Against the background of theoretical arguments and the historical record, enlargements of the European Union tend to increase differentiated integration. The actual development of differentiation of the 2004 and 2007 accession countries can, therefore, be seen as an indicator of the Union’s integration capacity. We map the newcomers’ differentiate...
Article
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This contribution assesses the EU’s external political integration capacity: its ability to promote democracy and governance effectiveness in non-member and new member states. Based on macro-quantitative data, we examine the political trajectory of Central European, South-east European, and post-Soviet countries. We find that democracy and governan...
Article
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The study of European integration has traditionally focused on organisational growth: the deepening and widening of the European Union (EU). By contrast, this article analyses organisational differentiation, a process in which states refuse, or are being refused, full integration but find value in establishing in-between grades of membership. It de...
Chapter
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What is the effect of European Union (EU) enlargement on differentiated integration? And is it driven by the relative bargaining power of old and new member states or by the equal or even preferential treatment of weaker candidates? This article analyses differentiation in EU treaty and secondary law across the EU's six enlargement rounds. It shows...

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