Fourth Special Issue of "De Europa" - Natolin's selected theses | 2021-2022

Universitàdegli Studi di Torino

De Europa | Special Issue- College of Europe 2022

SixselectedMaster’stheses

byCollegeof Europe students

GuestEditor

Georges Mink, Titulairedela Chairede Civilisationeuropéenne

Collèged’Europeà Natolin

Directeur de Recherche émérite au C.N.R.S.(ISP)

Collane@unito.it

Università di Torino

ISBN: 9788875902544

Quest’operaè distribuita con Licenza Creative Commons Attribuzione. Condividi allostesso modo 4.0 Internazionale.

Special Issue- College of Europe 2022

De Europa

European andGlobal StudiesJournal www.deeuropa.unito.it

Please note that the views expressed in this publication are those of the authors, and do not represent the officialposition of the College of Europe.

SixselectedMaster’stheses

by CollegeofEuropestudents

GuestEditor

GeorgesMink,Titulaire de la Chaire de Civilisation européenne, Collège d’Europeà Natolin, Directeur de Recherche émérite au C N R S.(ISP)

Les relations entre la Société Civile Polonaise et les institutions européennes face à la tentative d’une harmonisation du cadre légale de l’avortement à l’échelle de l’Union

Jade Iafrate

YouTubers and Streamer: Labour conditions in the EU

Antonino Matafù

The EU use of social media in crisis management: From Afghanistan to Ukraine

Álvaro Garrote Fuentes

The biased deficit bias: exploring heterogeneities in discretionary fiscal policy choices in the EU and the assumption of a deficit bias

Christina Stuart

The use of scientific arguments as a mode of justification. What place does it have in politics and law? A case study of EU GMO regulation

Pierre Walckiers

The trial of the prophet: the problematic relationship between Hegel and nazism

Lorenzo Cornettone

Unless otherwise indicated directly in each article, the date of last consultation of the websites and webpages is30October2022

DeEuropaetleCollèged’EuropeàNatolinselancentpourlaquatrièmefoisdans lapublicationdesmeilleursmémoiresdefind’étudesréalisésparlesétudiants,cette fois-cidelapromotion2021-2022ayanteupourpatronnelajuriste«ÉlianeVogelPolsky»quis’estdistinguéeparsonapportaudroitsocialeuropéen.

Àchaquefois,ils’agitd’unéchantillondetravauxquisedémarquentparleur qualitéintrinsèqueetparladiversitédeleurscentresd’intérêt,avecunpointcommun:celuid’êtreréalisésdanslecadreduprogrammeinterdisciplinaired’étudeseuropéennesdeNatolin.Ainsi,onbâtitensembleunlienacadémiquefort,unesortede traditiond’échangesetdepartage,contribuantàlaconsolidationdel’espaceacadémiqueeuropéen.

LeCollèged’Europeestuneinstitutionunique,composéededeuxcampus,à BrugesetàNatolin.Ilfaitpartied’unpetitnombred’institutionsuniversitairesquiont produitetcontinuentdeproduireunsigrandnombredespécialistesdel’Europeet decadreseuropéens.Sestâchesprincipalessontd’enseignerl’UEet,pluslargement, l’Europedanslemonde.PourcequiestduCollèged’EuropeàNatolin,sesmarques defabriqueetd’excellencesont:

-s’appuyersurunericheinterdisciplinaritédestinéeàdéveloppertouslesangles desétudeseuropéennes;

-créerunecultureetunsavoirsurl’Europe;

-formerlesfuturscadreseuropéens,citoyensimprégnésdesvaleursfondatrices européennesetfinsconnaisseursdel’histoireeuropéenneetdesacivilisation.

Lesmémoiresdefind’année,dontnousproposonsunesélectionici,sontune formedecouronnementdeseffortsconsacrésàl’obtentionduMasteravancéen ÉtudeseuropéennesinterdisciplinairesauCollèged’EuropeàNatolin.Cestravaux ontuneviséeacadémique,maisaussipratique,encequ’ilsproposentdessolutions etdesrecommandations,lorsquecelaestpossible.Encela,cestravauxsontune manifestationdel’ethoscitoyeneuropéen.Lescritèresauxquelsilsobéissentcorrespondentparfaitementàdesnormesdequalitécommunémentadmises,théoriquesetempiriques.Ilsseconformentaussiàuneséried’exigencesméthodologiques,déontologiquesetépistémologiques.Cesexigencessontconsignéesdans unesortedecodedebonneconduite,maisfontaussipartied’unimportantbloc d’enseignementappelé«Séminairederecherche»,oùsontenseignéestoutesles facettesdelabonneconduitedéontologique(notammentenpolitiqued’anti-plagiat)etderigueurépistémologique(préventiondevantdeserreurslogiquesetdes évidencesoudesidéesfixes).

GeorgesMink,TitulairedelaChairedeCivilisationeuropéenneCollèged’EuropeàNatolin, DirecteurdeRechercheémériteauC.N.R.S.(ISP),georges.mink@coleurope.eu

Introduction

Ilestimportantdeprécisericilecadredecestravauxetleformatquececadre impose.Lescours,lesateliersthématiques,lesmasterclass,lesjeuxdesimulation sontenseignésparplusieursdizainesd’enseignantsoudepraticiensreconnus,réputéssurleplaninternationaletvenantdumondeentier.Lesabondantesactivitésextracurriculaires,commelesconférencesinternationales,lesexposésdespersonnalitésinvitées,lesdébatsthématiques,lessortiesdeterrain,complètentlecontenudu programmeinterdisciplinaire.Chaqueannée,ceprogrammeestmisàjouretadapté auxplusrécentesévolutionscontemporaines.DeuxvoiessedessinentdevantlesdiplômésducampusdeNatolin:cesontsurtoutdesétudesprofessionnalisantes;mais unpetitnombredemeilleur(e)sétudiant(e)schoisirontdepoursuivreleursétudes supérieuresens’inscrivantdansdescyclesdePhD.Ilspoursuivrontainsi,pourlaplupart,unecarrièreacadémique.

Lastructureduprogrammefaitqueleformatdumémoiredefind’annéedépend dutempsdédiéàl’exercicedelarédaction.Cependant,prévenusdèsledébutde l’annéedecedéfi,lesétudiantschoisissentleursujetpratiquementdèslepremier semestreetcommencentàdéfinirleurobjetderecherche,lisentlestravauxserapportantausujetàtraiter,puispassentàlaphaseempirique.Cettedernière,forcément,nepeutêtretropcomplexe;carletempspourlarechercheempiriqueestrelativementcourt.Celan’empêchepasunrecoursfréquentàdesentretienspréparés selonlescanonsdesrèglesméthodologiques.Onnes’étonnerapasdeconstaterqu’il s’agit,danslaplupartdescas,d’entretiensqualitatifs,semi-directifs.Letempsconsacréàlavérificationempiriquedeshypothèsesdetravailimposeuneméthodologie restreinteetbiencontrôlée.Enfin,l’écriturefinaleintervientpendantlesdeuxàtrois moisdelafindudeuxièmesemestre,souventenparallèledesactivitésincessantes etdescoursdudeuxièmesemestre.Etpourtant,malgrécescontraintes,ungrand nombredemémoirescomportentdesthèsesinnovantes,originalesetprenantpart àdesdébatsintellectuelsencours.

L’échantillondesmeilleursmémoiresquenousavonssélectionnédonneunetrès bonnemesureetunerichereprésentationdeladiversitédessujetschoisisparnos étudiants,desobjectifsambitieuxpoursuivis,del’élégancedel’écriture,durespect desnormesetdesrèglesenvigueurdanslemondeacadémique,maissurtoutdufoisonnementd’idéesinspiréesparlaqualitédenosenseignements.C’estunevraiegageuredebâtirunerecherchequin’arienàenvierparsaqualitéauxtravauxdesétudiantsquiconsacrent,danslecadredeMaster2,bienplusdetempsàleurmémoire. Lechoixdecesmémoiresn’estguidéqueparleurexcellence.Aulieudeconstituerun corpusthématiqueliéparunthèmecommun,ouuneproblématiqueanalogue,ce corpusmontrelalibertédechoixdesujetsdansleurgrandediversitéthématique.Le kaléidoscopedesthèmeschoisisrecouvreaussilapluridisciplinaritéduprogramme deNatolin,ainsiquesoncaractèreinterdisciplinaire.

Parmilestravauxsélectionnésnousavonsdécidédepermettreauxlecteursde DeEuropadeprendreconnaissanced’abordd’unerecherchemettantenlumièrela

question des mobilisations sociales concernant un sujet « brûlant » dans l’UE. Sous le titre Les relations entre la Société Civile Polonaise et les institutions européennes face à la tentative d’une harmonisation du cadre légale de l’avortement à l’échelle de l’Union, Jade Iafrate aborde la problématique du genre, de la juridiction nationale concernant le droit à l’avortement, dans un pays membre de l’UE, en l’occurrence la Pologne, enfin la question de la tentative d’alignement sur une juridiction communautaire dans ce domaine. Observer les mobilisations sociales autour de ces questions en Pologne signifie se pencher sur une actualité mais aussi essayer de tirer des observations plus générales.

Un tout autre sujet de grande actualité est abordé dans le mémoire d’Antonino Matafù sous le titre YouTubers and Streamer : Labour conditions in the EU. L’ambition de ce travail est de décrire et analyser les lacunes existantes dans le champ social face aux nouveaux métiers, notamment issus de la sphère des médias sociaux. Une interrogation qui mérite d’être mise en débat, les hypothèses formulées par Antonino devraient contribuer à la mise en valeur d’un objet de recherche autant neuf qu’important pour le législateur européen. Comment légiférer sur ces nouveaux phénomènes de communication, comment protéger socialement les nouveaux métiers ?

Le sujet de médias sociaux étant particulièrement d’actualité, beaucoup d’étudiants le choisissent comme objet de mémoire. C’est le cas également de Álvaro Garrote Fuentes qui se penche sur The EU use of social media in crisis management. Point besoin de souligner que son interrogation est intéressante pour éclairer l’utilité de l’usage des médias sociaux dans les différentes politiques de l’UE, comme dans sa politique étrangère, dans ses aspects stratégiques comme face à des problèmes tactiques spécifiques. Le recours aux médias sociaux, comme le démontre l’auteur, facilite grandement la transparence, au temps des crises de gouvernance, et garantit la légitimité démocratique des organes de l’UE.

La pluridisciplinarité des choix des thèmes par les étudiants du Collège à Natolin s’exprime aussi par le choix d’une discipline, parfois étroite, pour approcher un sujet de première importance pour les politiques de l’UE. C’est bien le cas du mémoire de Christina Stuart : The biased deficit bias : exploring heterogeneities in discretionary fiscal policy choices in the EU and the assumption of a deficit bias. Ce quatrième mémoire tourné vers la fiscalité explore l’hypothèse du biais du déficit qui sous-tend une grande partie du cadre fiscal actuel de l’UE. L’originalité de cette recherche tient au fait que très peu de travaux existent pour l’instant sur l’influence du changement du contexte économique sur les règles budgétaires que s’impose l’UE. L’auteure explore ainsi des voies alternatives pour comprendre pourquoi le biais de déficit est plus accentué dans certains pays que dans d’autres, au sein de l'UE.

La richesse des préoccupations de nos étudiants va jusqu’à se confronter à des méta sujets liés à la méthodologie et/ou à l’épistémologie.

C’est le cas du mémoire de Pierre Walckiers : The use of scientific arguments as a mode of justification. What place does it have in politics and law? A case study of EU GMO regulation. Avec ce

travailnoussommesenpleindanslesquestionsdeslégitimationsdespolitiqueset deleurjudiciarisation,exemplifiésparlaquestiondesorganismesgénétiquement modifiés(OGM).Ils’agitd’unsujetdepremièreimportancedanslesdébatsécologiquesactuelsquitraversentl’UE.

Lederniermémoirechoisi,celuideLorenzoCornettone,relèvedelaphilosophie politique:Thetrialoftheprophet:theproblematicrelationshipbetweenHegeland nazism.Onpourraitcroirequecetterecherchenouséloignedelacentralitédesquestionsliéesàl’UE.Bienaucontraire,cetteréflexion,extrêmementstimulanteettrès savante,nousobligeàrevoir,vialetravailcritiquedeKarlPopperdelapenséede Hegel(parexemplelaquestionducommunautarismeopposéaulibéralismemarchand),notrevisiondel’intégrationeuropéenne.

VoicidoncunepalettepluridisciplinaireetinterdisciplinairedesmeilleursmémoiresdelapromotionÉlianeVogel-Polsky2021-2022.Sarichessecommesaqualité sontuntémoignagedelavitalitédesétudeseuropéennesetdurôleduCollèged’EuropeàNatolin.Cedernier,enoffrantauxétudiantsdechaquepromotionl’occasion d’exprimerleurstalents,leursavoir,etenfin,leurengagementeuropéen,joueunrôle incontournabledanslaformationsurl’UEetpourl’UE.

LesrelationsentrelaSociétéCivilePolonaiseetlesinstitutions européennesfaceàlatentatived’uneharmonisationducadrelégalde l’avortementàl’échelledel’Union

JadeIafrate

1.Introduction:

«Jesouhaitequel'onconsolidenosvaleursd'Européensquifontnotreunité,notre fiertéetnotreforce[…]quenouspuissionsactualisercettecharte,notamment pourêtreplusexplicitesurlaprotectiondel'environnementoulareconnaissance dudroitàl'avortement.»¹.

EmmanuelMacron,PrésidentdelaRépubliquefrançaise,19janvier2022

DanslesjourssuivantlaprisedefonctiondelaFranceàlaprésidenceduConseil del’Unioneuropéenne-CUE,EmmanuelMacron,PrésidentdelaRépubliquefrançaise, estvenuprésenterseslignesdirectricesainsiqueson«projetpolitiquecommun» devantleParlementeuropéen.Forceestdeconstaterqu’ils’agissaitdelapremière interventiond’unchefd’Étatsurlascèneeuropéenneenfaveurdudroitetàl’accès àl’avortement,égalementappeléinterruptiondegrossesse-IVG.PrononcéaulendemaindelanominationdelamaltaiseRobertaMetsola,unemembreduParlement européen–MEP,ouvertementopposéàl’IVG² -àlaprésidence,cediscourssetraduit commeunvéritableappelàouvrirledébat-dumoinslechantierlégal-surl’accession decetteinterventionmédicaleautitrededroithumain³.Toutefois,cen’estpasun projetinéditcarlesNationsUnis-ONU,toutcommel’OrganisationMondialepourla Santé-OMS,ontconcluquel’IVGestundroitinhérentàladignitédel’Homme,et qu’ilnes’opposepasaudroitàlavie⁴.Aujourd’hui,l’avortementestmajoritairement légaldanstoutel’Unioneuropéenne-UE.Néanmoins,lesambivalencesetlesdifférencesdesrégimeslégauxenmatièrededroithumainsviennentcréeruninégalaccès d’unpaysàunautre.Lecurseurdecesdifférencesreposesurledélailégald’accèsou

JadeIafrate, Collegeof EuropeinNatolin,jade.iafrate@coleurope.eu

1 Conseildel’UE«DiscoursduPrésidentdelaRépubliquedevantleParlementeuropéenStrasbourg,lemercredi 19janvier2022»(Strasbourg,2022),Consultéle24avril2022,https://presidence-francaise.consilium.europa.eu/ fr/actualites/discours-du-president-de-la-republique-devant-le-parlement-europeen-strasbourg-lemercredi-19-janvier-2022/.

2 VirginieMalingre,«RobertaMetsola,uneMaltaiseantiavortement,prendlaprésidenceduParlement européen», LeMonde,18janvier2022.

3 Cedroitpermetauxfemmesd'interrompreunegrossesseparlebiaisd’uneassistancemédicale.

4 OHCHR,HumanRightCommittee,«GeneralcommentNo.36(2018)onarticle6oftheInternationalCovenant onCivilandPoliticalRights,ontherighttolife»(Suisse,2018),consultéle24avril,2022,https://www.ohchr.org/ sites/default/files/Documents/HRBodies/CCPR/CCPR_C_GC_36.pdf.

LesrelationsentrelaSociétéCivilePolonaiseetlesinstitutionseuropéennesfaceàlatentatived’une harmonisationducadrelégaldel’avortementàl’échelledel’Union

sesmodalités,cequirendlamiseàdispositionsurdemandepresqueimpossible⁵.À lasuitedesdiversestentativesdechangementdelalégislationdébutanten2011et allantjusqu’àladécisionduTribunalConstitutionneldu22octobre2020,laPologne afinalementrestreintsonaccèsàdeuxpossibilités(1)lorsquelavieoulasantédela personneenceinteestmiseendangerparlapoursuitedelagrossesseet(2)lorsque lagrossesseestlerésultatd'unactecriminel(Bucholc2022:73).

Latentatived'introduireuneinterdictiontotalen’estpasnouvelleetseréanime particulièrementdepuislescommencementsdelarefontedeladémocratiepolonaise.EnEuropecentrale,l’IVGaétélégalisépendantlapériodesoviétiqueen1956. BienquelaPologneaitétél'undespayslespluslibérauxd'Europeenlamatière,elle aprogressivementbousculésonsystèmelégalendécidantd’accéderauxinitiatives civiquesportéesparlesorganisationsendéfaveurdecetteinterventionmédicale–OFR⁶.L’accessiondupartipolitiquedroitetjustice–PiS,àlamajoritéparlementaire, etàlatêtedel’exécutif,aconcrétiséaufildesannéescetteinterdictionpresquetotale⁷.Néenréaction,lecasdelaluttepourledroitdel’avortementestsymboliquede laconcrétisationd’unemobilisationd’essenceféministeenPologne.Ils’affirmeégalementcontrel’implicationdel’Églisedanslapolitiqueetlesaffairesgouvernementales.Cesorganisationsdelasociétécivilefavorablesauchoixdel’accèsàl’avortement,etassurantlapromotiond’unaccèssansrisquequiseraitsécuriséparlecorps médicalethospitalier-OFC⁸,telquelemouvement StrajkKobiet⁹ , portentégalement desinitiativesciviquestelsque RatujmyKobiety - Savethewomen (Fafara2018:41).

Cedébatestniveléàdifférenteéchellequimarqueunedifférence,ouparfoisune confusion,entrel’accèsàl’avortementsurdemandeetl’accèsàl’avortementsans risque¹⁰.EnformantunepartieintégrantedelaSociétéCivilePolonaise-SCP,elles s’intègrentdepuisplusieursannéesdansdesmouvementsdecontestationstransnationauxetfonctionnentenréseauxavecd’autresorganisationsailleursenEuropeou danslemonde.Aucoursdecesdixdernièresannées,ellesontnotammentpousséà l’interconnexionentrelesÉtatsmembresdel’Unioneuropéenne–EM,enprovo-

5 Certaineslégislationsconditionnentl’accèsàl’avortementseloncertainesmodalitéstellesque: malformationourisquedesantéimportantpourlefœtus,risquedesantépourlapersonneportantlefœtus, grossesserésultantd’unviol.Quelques-unesdecesmodalitéspermettentégalementd’allongerledélaiinitial d’accèsàl’avortementdanscertainspays.

6 Lesorganisationsdelasociétécivileendéfaveurdel’IVG,militantespoursarestrictionoupoursa délégalisationtotale,serontidentifiéescommelesorganisationsfavorableàlarestriction.

7 Desonappellationcomplète,PrawicaRzeczypospolitej,« ladroitedelaRépublique »enfrançais,estleparti politiquemajoritaireenPolognedepuis2015.Ilaétécrééen2001parlesfrèresKaczyński.Placésurladroite conservatricedel’échiquierpolitique,cepartiestaussiconsidérécommeeurosceptiqueetappartientà l’Alliancedesconservateursetréformisteseuropéen-CRE.

8 Lesorganisationsdelasociétécivilefavorablesàl’accèssurdemandeàl’avortementserontidentifiées commelesorganisationsfavorablesauchoix(OFC).

9 Plusdemillepersonnesdanscent-quarantevillesetvillagespolonaisontmanifestéenoctobre2016.Cette manifestationaétébaptisée«unjoursansfemmes/lagrèvedesfemmes»ou«StrajkKobiet».Elleaégalement étéappelée« CzarnyProtest »,oudanssaversionanglaise« Blackprotest»,enraisonducodevestimentairenoir arboréparlesmilitantesafindesymboliserlemeurtred'undroitsubstantiel.Depuis,cenomestdevenucelui d’uneorganisationentantquetelledontlessymboles,telsquel’éclairrouge,sontreprisparplusieurs organisationsdesOFCenPologne.

10 Seréféreràlanotedéfinitionnelledel’annexen°1.

quantdesréactionsnationalesetdesactesdesolidaritéspoursoutenirlesfemmes polonaises.LerapporteurspécialdelacommissiondesdroitsHumainsdel’ONUestimequeplusde100000polonaisesontvoyagédanslespaysvoisinstelsquela Tchéquieoul’Allemagneoùl’accèsàcetteinterventionmédicaleestbienplusfacilité¹¹.Defait,unphénomènedesolidaritéinternationales’estcrééparlebiaisd’un «systèmedepréférencesgénéralisées»quis’estétenduauxdroitshumains¹².En effet,lespersonnessouhaitantaccéderàunavortement,auraientlapossibilitéde comparer«l’offredesdroitsnationaux»auseindel’UE.Toutefois,cetargumentestà reconsidérerdanslecontexteréeldecequereprésenteladécisionderecouriràun IVG;c’est-à-direunchoix,attachéàunechargeémotionnellelourde,quidoitse prendreàlavitessed’undélaispécifique,uninvestissementdetempsetd’argent poursedéplacerd’unpaysàunautre,etenfinunrisquequantàl’infractiond’une normelégaleenfreinte.DeplusdesEMcommelaBelgiqueontnotammentprisla décisiondefourniruneaidefinancièreafindefaciliterl’accèssurdemandeàl’IVG pourlesfemmesPolonaises¹³.Enrevanche,cesactionssontégalementfrappéespar lacritiquesousladénominationde«tourismemédical».Celle-ciestaccompagnée pardestensionsinterétatiquescommecelaestlecasaveclaTchéquieoùlegouvernementpolonaisdénonceunevolonté« encourageantàviolerledroitdescitoyensPolonais »¹⁴.Ainsi,ladéclarationd’EmmanuelMacronfaitnotammentéchoàla condamnationdelapartdenombreuxdéputéseuropéensdesloisrestrictivesadoptéesenPologne,toutcommeaudénid’accèsauxquelleslesfemmesdoiventfaire facedansdenombreuxpaysdel’UE¹⁵.Étantdonnéquelapolitisationdecettequestionestvenuetrouverunerésonnanceeuropéenne–parl’implicationd’autresEM vis-à-visdudroitdelasanté,droitquitoucheàunecompétencerégalienne-celadémontrequecaractériserlaproblématiquedel’accèsàl’avortementtendàs’interrogersurlescompétencesdel’Unionainsiquesurl’établissementdedroitsaurangde valeurseuropéennes.

1.1.L’intérêtdecréeruneréflexionsurlesliensentretenusentrelaSociétéCivile Polonaisemilitantpourledroitàl’avortementetlesinstitutionsdel’UE

L’intérêtdecemémoirederechercheestdeproposeruneanalysedesrelations entretenuesentrelaSociétéCivilePolonaise-SCPetlesinstitutionseuropéennes (Commissioneuropéenne,Parlementeuropéen,Conseildel’UEainsiquelesagences

11 OHCHR,«Polandhasslammeddoorshutonlegalandsafeabortions-UNexperts»(Suisse,2020),Consulté le15mai2022,https://www.ohchr.org/en/press-releases/2020/10/poland-has-slammed-door-shut-legaland-safe-abortions-un-experts?LangID=E&NewsID=26434.1

12 Cetermeestàl’origineutiliséenréférenceauprocessusmenantàeffectuerdeschoixenfonctiondes avantagescommerciauxetdespécialisationsd’unpayssurunautre.

13 Lesoir,«LaBelgiquelepremierpaysàfinancerdesavortementspourlesfemmespolonaises», Lesoir, 29 Septembre2020

14 ClaudiaCiobanu,“PolandgovernmentrequestsCzechiastopofferingabortionstoPolishwomen”, Reporting Democracy, 3mai2021.

15 Ledénid’accèsàl’IVGcorrespondàlasituationoùunmédecindisposed’undroitdiscrétionnairepour accéderàlademanded’unpatientoud’unepatientesouhaitantavoirrecoursàcetteintervention.

LesrelationsentrelaSociétéCivilePolonaiseetlesinstitutionseuropéennesfaceàlatentatived’une harmonisationducadrelégaldel’avortementàl’échelledel’Union

del’UE)carellesemblecristalliseruneconduitespécifiquedel’élaborationdespolitiquestoutcommeunevolontédefaireémergerdesvaleurseuropéennesquis’étendraientdansdesdomainessortantduchampdecompétencesdel’UE.Letermedesociétécivile-conceptsociologiquedontladéfinitionetlaformationsontlargement discutées–seraidentifiécomme«lacatégoriecomposéed'acteursàstatutspécial, nonétatiquesetnonmarchands»(Gasior-Niemiec,Glinski2007:29-41). Afindemieux qualifierl’implicationdelasociétécivileauseindelagouvernancedel’UE,Barbara Finkerésumececonflitàl’oppositionentrelapositioncommunautaireetlaposition procédurale(Finke2007:1135-1174).Ainsi,ilexisteraitunepositioncommunautaire quiplaceraitaucœurdesaréflexionlasolidaritéensoulignantquelesactivitésentretenuesparlescitoyens,ouauseind’unecommunautépolitique,commeuneconditionsociétalenécessaireàladémocratie.Lapositionprocéduralequantàellepréfèreraitobserverlalibreassociationdesindividuscommeunepossibilitéofferteparle cadrelégislatifquileurpermetd’embrasserleurlibertédelibreexpression.Cetteidée estaffiliéeàcelledulivreblancsurlagouvernanceeuropéenneadoptéen2001,qui considèrequelasociétéciviledoitexprimerlespréoccupationsdescitoyensetproposerdesservicespourrépondreàleursbesoins,et,parconséquentmetenavant quelamultiplicationdecesorganisations-visantàmettreenœuvrecetobjectifseraitlapreuvedel’existencedubonfonctionnementdeladémocratie.Danslebut demieuxcaractériserceconcept,sansouvrirlaporteauxconflitsdéfinitionnelsqu’il recoupe,noussuivronslaréflexionpluralistedeRobertDahlquivientobserverles activitésportéesafindecaractériserlerôlereprésentatifqu’elleincarnedansla«définitiondel'agendadelapolitiquedémocratique»afindegarantirlamiseenévidence du«largeéventaill'opinionpublique»(FOA,EKIERT2016:419-439).Parailleurs,le débatacadémiquesurladéfinitiondelasociétécivileestd’autantplusagrémenté parlachuteducommunismeetl’observationdelatransitiondémocratiqueenEurope. Noussuivronsaussilaréflexiontendantàaffirmerqu’iln’yapaseuderenaissancede cettesociétécivile,maisbienplusunetransformationetunestratégied’adaptation àsonnouvelespace(Devaux2010:11).Eneffet,ilexisteunconflitscientifiquedivisant ceuxquiargumententsurlefaitquelasociétéciviledespaysissusdel’espacepostsoviétiqueseraitdéficiente(Howards2002:157-169),faceauxpromoteursdelathéoried’unetransitionversladémocratiequis’exécuteraitconformémentàl’intégration auseindel’UE.Encesensonobservel’exercicedetransnationalisationdecettesociété civilecommeunsignalfortdurenforcementdecelle-ciparlamiseenréseaudeses activités(FOA,EKIERT2016:419-439).Ainsi,nouspouvonssupposerqueledynamismedelaSCPsurlascèneeuropéennedémontreraitsaforce,sonactivitéetsacapacitéàfairevivreladémocratieparlavoiedesréseauxcitoyensencaractérisantune formededémocratieparticipative.Recoupantdesenjeuxpolitiquesmultiples,àla croiséedelareligionetdupolitique,laquestiondudroitàl’avortementenPologne n’estpasnouvelleetcaractériselapolitisationdesondébat.Parallèlement,lalibéralisationetl’enviegrandissantedepromouvoirune«uniondesvaleurs»semblese heurteràlacultureducompromisamorcéeentrel’UEetlaPologne.Nousobserverons lesrépercussionsdescontestationsmilitantesportéesparlesOFCetleursrelations

avecl’Union.Plusprécisément,ilconviendrad’analyseretd’observerlamiseenréseau decesorganisationsetlalégitiméquileursestaccordéeparlesinstitutionsdel’UE. NotrerechercheinclueégalementunintérêtauxOFRafindecomprendrecomment lemimétismesedéplacedelascènenationaleàl’échelleeuropéenne.

1.2.Leféminismeetlaréflexionautourdugenre:unmoteurdelapolitisationde l’avortement

Adossésàcettelogiquederéflexion,lesconceptsdegenreetdeféminismeserontégalementàl’étudeenétantmisenrapportavecl’objetd’étudedecetteanalyse.Eneffetilspermettentdecomprendrelesenjeuxetlesdynamiquesquisedessinentdanslecadrededialoguesdulocalverslascèneeuropéenne.Ladistinction entrelesexeetlegenreaétéfaitedanslesannées1950.Parlasuite,legenreest devenuunecatégorieheuristiquedanslessciencessocialesaprèsavoirétéutilisé pourlapremièrefoisdansledomainedelapsychiatrieauxÉtats-Unis.Ilsertdecatégorieanalytiqueennouspermettantderendrecomptedufaitqueladistinction binaireentrehommesetfemmesestuneconstructionsocialequicommencedès l'enfance(Butler1990).Parl’usage,etl’expériencemilitante,ilestdevenuunecatégorieglobaliséeetinstitutionnaliséed’actionetdesavoir(Marteu,CîrstoceaetLacombe2019:7-21).Concernantleféminisme,ils’agitd’unmouvementpolitiquevisantàmettreenœuvrelestransformationsnécessairesàlaréalisationdel’égalité entrelessexes.Toutefois,cemouvementsedistingueparsadiversitéplutôtquepar sonuniformité.Cesmouvementsontgénéralementdéfenduladistinctionentrele sexeetlegenre.Enoutre,leconceptde«féminismeglobal»estfondamentalpour notreréflexioncarilnouspermetdemieuxcomprendrecommentrefléterlesintérêtsdescitoyensindividuelsdesdifférentsEM(Ibid).Ilconvientdesouligner qu'aprèslaSecondeGuerremondiale,lesgroupesetlesrevendicationsféministes ontdépassélesdemandesdessuffragettespourledroitdevoted’inclured'autres catégoriesdedroits,telsquelesdroitséconomiques(égalitédesalaire,égalitéd'accèsàl'emploi)puissociaux(accèsàl'avortement,éliminationdelaviolenceàl'égard desfemmes).L’ensembledecesconceptsenlienaveclesétudessurlegenrenous permettrontd’étudierl’influenceetlesstratégiesdelaOFCauseindesinstitutions del’UEparsonrayonnementauseindelascènemondiale.

1.3.Conceptualiserunrégimeeuropéend’égalitédesgenresauseindel’UE

Danslecadredenotreanalyse,ilestintéressantd’observerleprocessusdeconstructiondurégimeeuropéend’égalitédesgenres.Onseréfèreauconceptde«régime d’égalitédesgenres»-REGcommeunestructurepermettantla«promotiondel'analyse systématiquedel'interactiondespolitiques,acteurs,institutionsetdiscourscentraux, destinésàatténuerlesinégalitéséconomiqueetsocialesquivisentlesfemmes»(von Wahl2021:44).Ilaétéplacésouslasupervisiond’uneformedegouvernanceinformelle quientremêlentdesacteursétatiquesavecdesreprésentantsdelasociétécivilequi

LesrelationsentrelaSociétéCivilePolonaiseetlesinstitutionseuropéennesfaceàlatentatived’une harmonisationducadrelégaldel’avortementàl’échelledel’Union

incarnentunrôled’expert(Woodward2004:76-93).NouspouvonsconstaterlaconsolidationetlacroissancedesaspirationsdeceREG,quiétaientinitialementaxéessur lesthèmesdel'emploietdelafamilleetquiontprislaformedequelquesinitiatives isolées.Onpeutl'observer,parexemple,danslamiseenœuvredespolitiqueseuropéennesdédiéesàcettethématiquequiontétéproduitessurdescyclesquinquennaux depuis2010.Àtraverslesthèmesquicomposentcetagenda,nouspouvonsanalyser uneexpansionnotabledesintérêtssurdessujetscommelaviolence,l'avortement, lamigration,laraceetlasexualité,ycomprislaquestiondelalibertéd'orientation sexuelleetlareprésentationdesminoritésgenrées(Ibid).Cettepromotiondel’égalité s’estaffirméedanslesprocessusd’européanisationdesÉtatscandidatàl’UEparles logiquesde top-down et bottom-up (Radaelli 2002:105-136), enfaisantéchoàl’usage delaconditionnalitépolitiquepréalablepourvaliderl’accessiond’unEMàl’UE¹⁶.En plaçantsapromotioncommeprincipefondamentaldelaconstructioncommunautaire etdumodèlesocialeuropéen(Devaux2005),l’UEestconsidéréecommeundessystèmespolitiqueslesplusprogressistesaumondesurlesujet(Jacquot2014:172-176). Encesens,lanotiondeREGpermetdemarquerl'importancedespolitiquesdegenre auniveausupranational(vonWahl2021).Cecadreheuristique,quantàlui,permettrait d'étudierdansletempsetdansl'espacelespolitiques,lesacteursetlesinstitutions. AngelikavonWahlrappellel'utilitédecetoutilcommejaugedel'acceptationdel'idée européenneparlepubliclorsdelaconceptualisationdeceREG.Ensomme,l'UE,et plusparticulièrementlaCommissioneuropéenne,s'efforced'établirunespacejuridique européensuffisantpourl'applicationetlaréglementationdespolitiquespubliques quifavorisentl'égalitédessexes.Àcetégard,lesÉtatsmembresdel'UEsontliéspar desresponsabilitésjuridiquesdansledomainedel'égalité,notammentcellesduTraité del'UE(articles2et3),ainsiquecellesdelaChartedesdroitsfondamentauxdel'UE (article21)¹⁷.Enrevanche,l’avènementd’unelégalitédel’égalitédemeure,même aprèsplusdetrenteans,unchantierencoursdeconstructiondontlesoutilspolitiques s’efforcentdesediffuserpluslargement(Iafrate2021).Plusprécisément,nousétudieronsdanslecadredecemémoirelapolitisationetl’avènementdesmouvements‘antigenre’commeunoutildecontestationduprojeteuropéen.

Hypothèsesetméthodologies

ÉtantdonnéqueleREGreposesurunelogiquedegouvernanceinformelle,nos premièressuppositionss’accorderaientàconsidérerquelesréseauxd’actionsdela SCPpermettentauxinstitutionsdel’UEdedisposerd’uneexpertiselocaleafinde

16 Danslecontextedesnégociationsd'adhésionàl'UE,lapréconditionnalitépolitique,ouconditionnalité démocratique,estdésignéecommela"clausedesdroitsdel'homme"enpolitiqueétrangère.Sesorigines remontentauxtraitésdeRomeetdeMaastricht,etelles'exprimedansunesuccessiond'engagementsquiont aboutiautraitédeNice(voir:OdeJacquemin,«Laconditionnalité démocratiquedel’Unioneuropéenne.Une voiepourl’universalisationdesdroitsdel’Homme?Miseenœuvre,critiquesetbilan», CRIDHOWorkingPaper UniversitédeLouvain,2006.

17 Parlementeuropéen,« L’égalitéentreleshommesetlesfemmes|Fichesthématiquessurl’Unioneuropéenne| Parlementeuropéen» (Strasbourg,2019),consultéle10avril2022,https://www.europarl.europa.eu/factsheets/ fr/sheet/59/l-egalite-entre-les-hommes-et-les-femmes.

mieuxsesaisirdesenjeuxnationauxdanslebutdelesharmoniseràl’échellesupranationale.Danscetravailderecherche,troishypothèsescentralesviennentarticuler notreréflexion:

1)Lapremièredémontrequ’ilyauraituneaffirmationd’uneeuropéanitéàlapolonaise,activesurlesquestionsdugenre,quisedéplaceraitsurlascèneeuropéennetoutenseplaçantencontradictiondesadéfinition.Encesens,nousétudieronslepoidsdel’Histoireetdelaculturepolitiquepolonaisesurlaquestion del’avortement.Prisentreunedésoviétisationetuneeuropéanisationhâtée, doit-onconsidérerquelagarantiedesécuritéd’accéderàuneinterventionmédicalesansencourirderisqueaétésacrifiéedanslecompromiseuropéen?

2)Lasecondeplacelesinstitutionsdel’UEcommeunmoteurfavorisantundialoguedirectaveclesOFC,enconsciencedublocageinstitutionneletlégalque représentel’accèsàunetelledemande.Encesens,peut-onconsidérerqueles relationsentrelesOFCetcesinstitutionsérigentlesfondationsd’unegouvernanceinformellequis’apparenteraitàêtreunediplomatiedugenresansÉtat?

L’existenced’unerelationquiseraitquasi-directenouspousseàinclurel’existenced’unedéfinitionspécifiquedeladiplomatiequiencadreraitlesrelations entretenuespardesentitésnon-étatiquesquisereconnaissentcommelégitimes pourdiscuterdelaconduitedesrelationsinternationales.Enrevanche,nousexcluronslapossibilitédel’existenced’uneasymétriedansledialogueentrele gouvernementpolonaisetlesinstitutionsdel’UEcarlesprincipesunifiantles ÉtatsMembresreposentsurlaparticipationetl’intégrationdechaquereprésentationgouvernementaledanssadéfinition.

3)Enfin,ledernierélémentcentraldenotreobjetderecherchetoucheàlacompétencedel’UEetàsacapacitéàproposerunrégimed’égalitédesgenresàl’intérieur desacommunautéquiengloberaitlesdroitssexuelsetgénésiques.Véritablement, est-cequelesinstitutionsdel’UEdisposentd’unelégitimitépourinfluerlesconditionsd’accèsaudroitàl’avortementdanslamesureoùaucuntextelégalneles pourvoitdecettecompétence?Enobservantl’intégrationdel’égalitécomme critèred’analyseduspectredel’européanisation,onpeuts’interrogersurl’habilité desondroitàs’incluredanscetypedeconditionnalitépolitique.Encesens,nous analyseronslaplacedonnéeàlarésolutionjuridiqueaucasparcas,quiaétéportée devantlaCoureuropéenne.Ainsi,l’intérêtestdeconsidérerlaplacedudomaine judiciaire.Notrehypothèsefinalesoulignelanécessitépourl’élaborationdespolitiqueseuropéennesdebénéficierd’unappuietd’unhistoriquelégalpermettant defavoriserleschangementsoùiln’existeraitpasd’harmonisationducadrelégal européenetvisantdesdomainessortantdescompétencesdel’UE.

Cetravailderecherches’appuiesurdesméthodologiesempruntéesaudomaine dessciencessocialesparticulièrementdelasciencepolitiqueetdel’Histoire.Ilvient égalementpuiserdansledomainejuridiqueafindemieuxdémontrerl’usagejudiciaire etmilitantdudroiteuropéenparlesOFC.Eneffet,lesliensvis-à-visdelaquestionde

LesrelationsentrelaSociétéCivilePolonaiseetlesinstitutionseuropéennesfaceàlatentatived’une harmonisationducadrelégaldel’avortementàl’échelledel’Union

l’avortementenPolognesoulèventunesériedequestionnementsjuridiquesquimatérialisentlesrelationscomplexesavecl’UEnotammentsurl’ÉtatdeDroit.Afinde proposeruneanalysecouvrantl’ensembledesproblématiquesdecesujet,unelittératuresurlesconceptsdesociétécivile,d’européanisation,derégimed’égalitédes genresauseindel’UEetplusspécifiquementdansl’espacepost-soviétiqueestvenue nourrircetravail.Danslescoulissesdecetravailderecherche,l’expérienceenrichissante d’unstageauseindelaCommissioneuropéennedansledomainedel’égalitédes genres(DirectionJusticeetConsommateurs)ainsiquelarédactiondedeuxmémoires derecherchessurlesthèmes«PorterlacausedesfemmesenRépubliquesTchèques: l’exempledelajournéeinternationaledelaFemme»(2020)et«institutionnaliserla problématiqueetl’appellationdes«violencesfondéessurlegenre»danslesnormes del’Unioneuropéenne:L’intégrationdelaquestiondesviolencesenligneauseinde lacausedel’Égalitédesgenres»(2021)ontappuyélaréalisationdecetteétude.Une expériencepersonnelledeterraincomplètecetteenquêtenotammentparlebiais d’observationsetdeparticipationsàdesévénementsorganisésàVarsovie,telsque:

- Lesuividelaprésentationdurapportdel’EuropeanParlementaryForumfor SexualandReproductive rights–EPFintitulé«Lapartieémergéedel'iceberg:Extrémistesreligieux-Lesfinanceurscontrelesdroitsdel'hommepourlasexualité etlasantéreproductiveenEurope»devantParlementpolonaisenprésencede ladéputéePolonaiseJoannaScheuring-WielgusainsiquedelasociologueElżbietaKorolczuketdujournalisted'investigationTomaszPiątek.

- LedéfiléorganisépourlajournéenationaleparlecollectifAntyfa,soutenuparle StrajkKobietle11novembre2021.

- UneveilledescampagnesdigitalesorganiséesparlescomptesInstagramdu StrajkKobiet,LegalnaAborcja,etAborcyjnyDreamTeam ;plusparticulièrement cellesenfaveurdel’activisteJustynaWydrzyńskaaccuséed’avoirassistéune femme«accéderàuneIVGmédicamenteuse».

- Visitedel’exposition« Quiécriral'histoiredeslarmesdesartistessurlesdroitsdes femmes ?»(2021),auMuséed’ArtsNouveaudeVarsovie,uneinstitutionsoutenueparlefinancementdel’UE.

Larestitutiondesrésultatsdenotreanalysesuitunpland’expositionsthématiquesentroischapitresinterdépendants.

2.Del’européanisationàl’européanitéàlapolonaise:laformationd’unrégime d’égalitédesgenresauprimedel’élargissementde2005

«Lesprocessusde:a)construction,b)diffusionetc)institutionnalisationderègles formellesetinformelles,deprocédures,deparadigmespolitiques,destyles,de «façonsdefaireleschoses»etdecroyancesetnormespartagéesquisontd'abord définisetconsolidésdansleprocessuspolitiquedel'UEetensuiteincorporésdans lalogiquedudiscours,desstructurespolitiquesetdespolitiquespubliquesnationales(nationalesetinfranationales).»(Radaelli2004:1–26).

Leconceptd’européanisationempruntelargementsadéfinitionauxrecherches portéesparlePr.Radaelliquiontpermisd’expliquerleprocessuspolitiqueillustrant lesrelationsetdynamiquesentrel’UEetlesÉtatscandidatsàl’accession.Encesens, l’européanisationreposeraitsurunprocessusde top-down quipartiraitduniveauinstitutionneldel’UEversunEM.Ainsi,certainesnormes,entantquepartieintégrante del’acquiscommunautaire,sesontvuaccéderaurangdeconditionnalitépolitique¹⁸. Danscetteperspective,l’intégrationdespolitiquesdugenreauseindespolitiques européennes-etdanscettedialectiqued’européanisation-estsymbolique.Néanmoins,ceconceptenlui-mêmedemeuredisputéparlescritiquesfontvaloirqu’il consistetropsouventàétudiersimplementlaconvergenceoulaconformitéavecles règlesdel'UE(Forest2021:60-77)Toutefois,s’intéresserauxacteurssociauxactifs dansleprocessusdetransfertdemodèle,démontredelaforceduprocessusde bottom-up. Ceprocessuspartantdelasociétécivile,quitenteraitdeseconnecteraux valeurspromuesparl’UEest unélémentdedecompréhensiondanslecadred’analysedel’élargissementdel’UE25.

Lachutedel’Unionsoviétique-URSSestvenuemettreaudéfilessciencessocialesenouvrantlavoieàdenouveauxdomainesd’études,parfoisàlacroiséede plusieursconceptsetdisciplines(Forest,Mink2004).Celaestparticulièrementvisible aveclesquestionsdugenreetd’européanisationquidansunélanpluridisplinaire s’entremêlentauxdomainesdessciencespolitiques,historiquesetjuridiques.Les deuxthèmessontégalementintéressantsàobserverd’unpointdevueinstitutionnel carilspermettentd’analyserl’inscriptiondepolitiquesd’égalitéentreleshommeset lesfemmes–àleursdébuts–danslasphèredespolitiquesd’adhésion¹⁹.Encesens, legenre,commeuninstrumentdepolitiquessociales,s’estintégréprogressivement auxvaleurseuropéennesparl’usagedelaméthodedu gendermainstreaming²⁰ . CommeMaximeForestlesouligne« legenreestunbontestpourl'européanisation. » (Forest2021:60-77),néanmoinsilaaussiétéunemiseàl’épreuvepourlesinstitutionsdel’UEquionttentédemodéliserunespacejuridiqueeuropéensatisfaisant pourl’applicationetlarégulationdespolitiquespubliquespermettantl’égalitéentre lesgenres(Iafrate2021).Eneffet,sonusageseraitlerésultatd'unebrèchedansle TraitédeRomequis'esttransforméeenune« véritablepolitiqued'exceptioninterven-

18 Seréféreràl’annexen°3.

19 Auniveaudel’UE,lespolitiquesenlienavecl’égalitéontd’abordétédéfiniesparlespolitiquesd’égalitéentre lessexes.Àpartirde2010,letermechoisisera «stratégied’égalitéentrelesgenres». Ildemeureaujourd’hui encoredesambivalencesdanslestraductionsdel’anglaisverslefrançaisquicréeuneconfusiondansl’usage desconceptsparl’UE.

20 Surlascèneeuropéenne,elleaétédéfinieparleConseileuropéenen1998commeunoutilpermettantde «réorganiser,améliorer,développeretévaluerlesprocessuspolitiquesvisantàintégrerl'égalitédessexesdans touteslespolitiques,àtouslesniveauxetàtouslesstades,parlesacteursnormalementimpliquésdansl'élaboration despolitiques.»(Conseildel’Europe, Whatisgendermainstreaming?”,(Strasbourg,2022),consultéle10avril 2022,https://www.coe.int/en/web/genderequality/what-is-gender-mainstreaming).

2.1.Lespolitiquesd’égalitédugenre:unmoteurd’européanisationpropulsépar unelogiquedetop-downaléatoireenPologne

LesrelationsentrelaSociétéCivilePolonaiseetlesinstitutionseuropéennesfaceàlatentatived’une harmonisationducadrelégaldel’avortementàl’échelledel’Union

tionnisteetautonome »(Jacquot2009:247-277).Ce gendermainstraiming serait pourvud’unpotentielàsemanifestercommeuneRévolutiondevelours(Verloo 2001:5-23).D’unpointdevuesociologiquelacomparaisonnaitdufaitquecespolitiquesdisposentd’unecapacitéàapparaitrecommerévolutionnairetoutenétant pacifiquecarellemarqueraituneruptureremarquabledanslessystèmespolitiques nationaux.D’autreslesidentifierontcommeunchevaldeTroie(Hoskyns1996),en expliquantquecetoutils’intègreaurécitdu« spillover »,delarépercussioncariloffre unelogiquededoubleconséquencesetd’adéquationàl’européanisation(Forest 2021:60-77).Encesens,l’intégrationdeladimensiondugenres’apparenteàêtre "unexempleclairdesuccessionoud'adaptationdespolitiques,suscitéeparledésir desurmonterleslimitesdespolitiquesexistantes,etlanécessitéderépondreàun environnementpolitiquemodifié"(Mazey2000).Àlalecturedecetteanalyse,nous pouvonsréfléchiràsatranspositionauconceptmêmed’européanisationquiserait cettefois-ciunprocessusd’adaptationàobserveràl’intérieurdesinstitutions.Finalement,l’UE,parlebiaisdelaCE,réutiliseracetteméthodeenladécrivantcomme unesourcede"bonnespratiquesetd'efficacitédanslaconduitedespolitiqueseuropéennes."(Jacquot2003:172-176).

«Lorsdel’adhésiondelaPologneàl’UE,lesparticipantsauxmarchesdesfiertés portaientdestee-shirtsarborantleslogan«Europe=Tolérance»,etlesthèmes choisispourcesmanifestationsinsistaientsurune«culturedeladiversité»considéréecommeappartenantauprojeteuropéen»(Ayoub,PhillipM,DavidPaternotte2016:55-70).

EnPologne,l’effet bottom-up aétévisibledepuislasociétécivile,enthousiasteà l’idéedefairelapromotionetdedéfendrelesvaleurseuropéennesenlesassociantà cellesdelasolidaritéetdumouvement Solidarność. Ainsi,l’européanisationestutiliséepourillustrerlamanièreaveclaquellelesparties-prenantesvontêtreinfluencées parlamiseàl’agendadel’UEetcommentilsagissentàceniveau-làd’actionmais aussicommentilssontdanslacapacitéd’essayerdedéfendreleursintérêtsdansun cadred’actionseuropéens(Devaux2009).Or,legenre,enentrantenpolitique,est devenu,ouaététrèsrapidementconsidérécomme,unobjetsupplémentaire,une formedelitigejuridiquequivientalimenterl’opposition«est-ouest»dansleur conceptiondel’Étatdedroit(Forest2021:60-77).Silavolontéd’entréedansl’UEa étéportéepardesmouvementsmulti-sectoriels,ellen’apaspousséleprojetàêtre accueillidelamêmemanièreouaveclesmêmesespoirsderetombéesdanslespays concourantàl’accession.Encequitoucheaudomainedel’égalité,ladialectique post-intégrationaétéadosséeàcelledel’oppositionenprésentantles«boncandidats»etceuxquipouvaient«améliorerleursystème»parlebiaisd’unmodedecomparaisonnotammentarticuléparl’Instituteuropéend’égalitédesgenres.Cetteméthodereposaitprincipalementsurlavolontédefairenaîtredeséchangesdebonnes pratiques.Ilfautégalementnoterquel’égalitédanssaconceptionparlesinstitutions del’UEtouchentpremièrementlesdomaineséconomiquesetexcludefaitcertaines thématiquesdudébateuropéen,etconduitàreplacerhistoriquementlesattendus.

Àl’aubedel’élargissementde2005,ledroitàl’avortementestcomplètementhorsdu champdeladiscussionauseindesinstitutionsdel’UE,ilestmêmecontinuellement endébatauseindeséchellesnationalesourégionales.Encesens,garantirledroità l’avortementn’ajamaisétéuneconditionnalitépolitiqueenvisageable.Enréalité,il estàconsidérerqu’ilyauraituneéventuelleconvergencedanslavolontéd’omertà decertainssujetsquiapparaitraitcommetropcontroversesàl’approchedelacélébrationdelapremièremoitiédesiècledel’Union.C’estpourquoiilfautconsidérerle débatdanssaréalitéhistorique,soitenfacedel’absencelégaledeprotectionsuffisantepouraccéderàl’avènementdedroitssociauxtouchantaudomainedelasanté. Deuxansplustard,lasignatureduTraitédeLisbonneviendranéanmoinscréerun espacededroitetlibertéeuropéenquipermettraàtoutcitoyendedisposerd’informationssurlesdroitsdesautresEMet,depouvoirvoyagerpourbénéficierdedroits qu’ilspourraientjugercommepluslibéraux,sansrisquerd’êtrepoursuivipardequelconquessanctions.Sanslesavoir,l’UEaouvertlapossibilitéauxsoinsgénésiques transfrontaliersengarantissantlaprotectiondesfemmesquitenteraientd’avoiraccéderàl’avortementdansdesEMauxloispluslibérales(Blagojević,IvanaTucak 2020).Vraisemblablement,lapolitisationdecetteinterventionmédicaleauniveau européenn’aétépossiblequedixansplustardàlasuitedelasommederégressions desonaccèsdanscertainspaysetlescontestationsprovoquéesdefait,toutcomme parlestensionsdiplomatiquesentrelesEMquimettentenavantdesoppositionsde systèmedevaleursetdelibertés.

2.2.«LaPologneaucœurdel’Europe»:unprogrammefondésurlapromotionde lafamilletraditionnelle

Commedanslaplupartdespayssortantdel’orbitesoviétique,ilafalludémêler lesnotionsd’égalité,deféminismeetdegenreenPologne.Considérantqu’avant 1989leféminismeétaitperçucommeunluxequelesdémocratiess’autoriseraient,et que,legenrenejouaitaucunrôledansl'Étatsoviétiqueparl’absencedistinctionbinairedanslestatutdetravailleur,ilyaeuunréelenjeudéfinitionneldansleprocessusde top-down²¹.Eneffet,l’inventiondumythedela« mèretravailleuse »aimpliqué lesfemmesàégaletitredanslespolitiquesdel’emploisoviétiqueenfavorisantl’institutionnalisationdeloislibéralespermettantd’accéderàdessystèmedegarderies ouencoreblanchisseriecollectivepourlestravauxdomestiques(Mespoulet2006: 63).Bienquel’égalitéfûtunconceptthéorique,etqu’ellen’aitjamaissouhaitéatteindrel’égalerépartitiondestâchesdomestiques,oumêmel’égalitédessalaires, elleainduitl’implicationdesfemmesdanslasociété.Cetteinclusions’estaussiétendueauxmouvementsdecontestationpolonaiscarlesfemmesétaientactivesetimpliquéesdansle Solidarność. Ellesontparticulièrementétélesmainsdecetterésistancedanslesaspectstouchantàlacommunicationetàladiffusion(distributionde

21 “Wefrequentlyusethesamewords...yettheircontentisdifferentbecausedifferenthistoricalexperiencesunder liethesameconcept”JirinaŠiklová,«FeminismandtheRootsofApathyintheCzechRepublic», Social Research,vol.64,n°2(1997)258-280.

LesrelationsentrelaSociétéCivilePolonaiseetlesinstitutionseuropéennesfaceàlatentatived’une harmonisationducadrelégaldel’avortementàl’échelledel’Union tractsetdepamphlets,presseclandestine)(Černá2006:73). Parexemple, ungroupe defemmesétaientnotammentàlatêtedelapublicationhebdomadaireclandestine, Tygodnikmazowsze, quiétaientlaplusimportanteetpartagéeàhauteurde60000 copies(Penn2005).Ainsi,danslemodèledetransitiondémocratique,l’égalitéaplus étéperçuecommeunhéritagesoviétique,fondamentalementpeunécessaire,qu’un idéalàatteindre.Leprocessusdedésoviétisationaparticulièrementviséàdiscuterle retraitdel’ordrelégald’unnombreconsidérableimposéparl’envahisseur.Àcetitre, l’avortementaétémissurlatabledesnégociationsencequ’ilaétélibéralisédansles périodesd’occupation,etplusparticulièrementaucoursdelaphasesoviétique.Parallèlement,lerenforcementdel’ÉglisedansladémocratienaissanteenPologneaeu unimpactconsidérabledanslacompréhensionetl’appropriationdecesconceptsde genreetdeféminisme(Mink2015:466).Del’encouragementemplidesolidaritédu PapeJean-PaulIIen1978àsacomparaisondel’avortementd’unfœtusauxvictimes del’Holocaustedansundiscoursen1991,onpeutobserverlepoidsetlarésonnance dureligieuxdanslasphèremoralepolonaise(Ibid).Deplus,l’Égliseavouluincarnercetteaideàladésoviétisationlégale,et, defaitàinstallerledébatauseindelasociétépolonaiseenopposantledroitàlavie etl’accèsàl’avortement.Cettepositiona notammentcontribuéàlamiseenpérilde l’accèsàl’avortementsansrisqueparlacritiquedelaloide1956,quidès1993-après troisansdedébatpublic–aétédélimitéà desmotifsprécis²².Progressivement,ledialoguereligieuxestvenuseconfondreau dialogueéthiqueensoulignantlaviveoppositiondel’Égliseàsonaccès.Celanes’est paspassésansrésistancedelapartdela sociétécivilequiadénoncé«unepertede droitdansunespaceoùl’indépendanceet ladémocratieontétéréinstallées»²³.

Del’accessionàl’UEàcelledupartipolitiquePiSaupouvoir,ilexisteuneattitude hostileàl’accèsàl’avortementdansun contexteinstitutionnalisé.Encesens,son accèsn’estpasencouragé,ilestmêmelargementdécouragéetmalperçuauseinde lasociété(Cullen,Korolczuk2019:6-19).Leurétroitecollaborationavecl'Églisecatholiqueestparticulièrementremarquableencequiconcerneleursvisionsdurôle desfemmesdanslafamille(Sloat2005:427-452).Aucoursdecesdixdernièresan-

22 L’avortementaétélimitéauxcasdegrossessefaisantsuiteàdesactesillégaux,ouàlasuited’une malformationdufœtus.

«Votrecorpsestunchampdebataille», BarbaraKruger(1989)

23 WandaNowicka, Contempororarywomen’shellPolishwomen’sstories, FEDERApublicationpapier,2005.

nées,l'Églisecatholiques’estaussiengagéedansunecampagnedecensurecontrele "genre"etle"sexisme"enportantcelle-ciavecsespropresmœurs(Ibid).Peuàpeu, ledialogueantagonistevis-à-visdel’UEs’estcristalliséparlamobilisationd’undiscourschrétienprotégeantlesvaleursdelafamilletraditionnelle.Àl’instardelaHongrie,laPologneaégalementfaitlechoixdedéfendresonconceptd’européanitéqui s’ancredanslatraditionfamilialechrétienne(Siim,Fiig 2021:472).Vis-à-visdel’établissementdepolitiquesdugenre,elledénonceparticulièrementlecomportement del’UEcommeunetentativededestructiondesesvaleurs.Danslapériodedel’accessionjusqu’à2016,ilestvraiquelesdécisionsetdiscourspolonaisdéfavorablesau droitàl’avortementenPologneétaientabsentdetoutdialogueentrel’UEetcetEM. Ainsi,aulieudeconstruireundialogued’intégration,ilsembleraitquel’objectifde l’UEsesoittransforméenunedialectiquedefaceàfaceaveclePiSquimèneraitàla confrontationdemodèlesdevaleurs.AuseindesdiscourspolitiquesenEuropecentrale,lamontéedel’euroscepticismes’appuienotammentsurundiscoursd’européanitéancrédanslesvaleursfamilialeschrétiennesquiseraientsapéespardesnormes libéralesvisantàpromouvoirlalibertédescorpsetdesmœursauméprisdecestraditions(Forest2021:60-77).DanslesdiscourspolitiquesduPiS,celasetraduitpar desréférencesantagonistesauconceptdegenrequiestdénoncécommeuneidéologie.Cesdiscourssontaussidesactionspolitiquesavecdessymbolesfortscarle gouvernementcombinecetterhétoriqueavecdes«politiquesanti-libérales,antiavortement,anti-pluralistesetanti-féministes»(Siim,Fiig 2021:491).Souscouvert devaleurseuropéennes,lesgroupesnationalistesetultra-conservateurscooptent le(s)programme(s)desdroitsHumainsenprésentantl’agendadespolitiquesdu genrevisantlesdroitsdesfemmesetceuxdelacommunautéLGBTQIcommedignes d'êtreprotégésaumêmetitrequelacroissancedelapopulationnon-européenne,ce quirésumefinalementàlesexclure(Forest2021:60-77).

2.3.Mimétismeettranspositionsdesdynamiquesnationalespolonaisessurla scèneeuropéenne:OrdoIuris,unechambred’échogouvernementale?

«Cequis'estpasséenPolognenes'estpasproduitparcequelaPologneesttraditionnellementconservatriceetcatholique.Cen'estqu'unepartiedel'histoire.En fait,ladirectionqueprendlepaysestlerésultatdesactionsdélibéréesdecertains individusetorganisations,agissantnonseulementauniveaunationalmaisaussi auniveauinternational.»²⁴

NeilDatta²⁵,Secrétairegénéraldel’EFP²⁶,Novembre2020

24 AsiaLeofredd,«InterviewwithNeilDatta:“Theanti-abortionoffensiveinPolandispartofaglobal strategy.”FrankfurterKunstverein, 11novembre2021.

25 Entantquesecrétairegénéraldel’EPF,NeilDattaaétédirectementvisépardesplaintesàsonégarddela partd’OrdoIurisquidénoncel’utilisationd’informationmanipuléeslorsdesaprésentationdevantle Parlementeuropéenetquivioleraientlesdroitsdel’institut.

26 EuropeanParlementaryForumforSexual&Reproductiverights estuneorganisationrassemblantunréseaude parlementairesquisouhaitents’engagerpourlapromotionetladéfensedesdroitssexuelsetgénésiques. L’organisationestnotammentfinancéepardesprogrammesdesNationsUniesetdel’Unioneuropéenne.Ses travauxd’expertisessontparticulièrementréputée,et,leursprésentationsetrestitutionss’effectuentdans l’enceintedeparlementnationauxetduPE.

LesrelationsentrelaSociétéCivilePolonaiseetlesinstitutionseuropéennesfaceàlatentatived’une harmonisationducadrelégaldel’avortementàl’échelledel’Union

Commementionné,laforcedel'Églisecatholiqueaprécipitél’émergencederestrictionssévèressurl'avortement.Toutefois,cediscoursanti-avortementaglobalementétésupportépardesorganisationsdelaSCP.Enl’espèce,deuxinitiativescitoyennesportéesparla FundacjaPro-prawodożycia -Fondationpourledroitde vivre,etla Fundacjażycieirodzina –Fondationpourlavieetlafamille,ontplaidéen faveurdeloisplusrestrictives(Fafara2018).Particulièrementassociéàlapremière fondation, OrdoIuris,ou l’InstitutpourlaculturelégaleOrdoIuris,acontribuéàproduirel’ébaucheduprojetdeloiréduisantcomplètementlechampdesmodalités d’accèsàl’IVGen2016.SeprésentantcommeuninstitutlégalbaséàVarsovie,et avançantl’expertisesdesesmembresavocats,ouprofesseurs,cetteorganisation n’estenréalitéqu’unefondationissuedelasociétécivileabritéeparlaloipolonaise depuis2013²⁷.Toutefois,elledéfendsonstatutd’expertenproposantdesconférencesscientifiquesàdimensionlégale,bioéthique,économique,ouhistorique,et envalorisantunelargesériedepublicationsassociéesàson« institut »depuis2015.

Elles’estlancéeégalementdansledomainedel’éditionenproposantsarevuescientifique, KulturaPrawna, portantsurledroitdelafamilleetsondevoirenvers«lamoralechrétienne»en2018²⁸.Parailleurs,l’organisationdisposed’unsoutienfinancier accordéparl’Étatpolonaisquisoutientsesactivités.Ilapparaitparfoiscommeune chambred’échoauxpolitiquesmenéesparlePiS,et,certainsanciensmembresaccèdentàdesposteshautplacésauseindugouvernement,delajusticeoudela science.Avantl’année2020,oncomptaitdéjà:deuxnouveauxjugesàlaCoursuprême,vice-ministredesaffairesétrangères,unconsultantnationalengénétique,un membre duRadyNarodowegoInstytutuWolności -Conseildel'InstitutNationaldela LibertéetunmembreduConseilnationaldedéveloppementauprèsduPrésidentde laRépubliquedePologne²⁹.Enétantprochedupouvoirenplace,etenayantlacapacitédeproposerdesébauchesdepolitiquespubliquesadoptéesquasimentàl’identiqueparle Sejm,l’organisationcapitaliseunelégitiméetuneinfluencedifficilement concurrencéeparlesorganisationstravaillantsurlaréciproque.

«33membresdupersonnel,16expertspermanents,quatreorganisationspartenairesétrangères.Desformationspourlesétudiantsafind'identifierlesfutursleaders.Uncercledesamis[...]Cen'estpasuneorganisationsnongouvernementales -ONGordinaire.C'estunemachined'influencepolitiqueenmarche.»³⁰.

Commelerappelleunenotepréparatoireproposéeparl’EPF,lesavocatsd’Ordo Iurisontcontribuéàrédigerlestextesdesprojetsdeloivisantàinterdirel'avortement(2016),criminalisantl'éducationsexuelleparl’initiative« Stopàlapédophilie » (2021),restreignantlafécondationinvitro(2021)³¹,lachartecréantles«zonessans

27 EPF, « FoundationOrdoIurisInstituteforLegalCulture,EPFIntelligencebriefing», EPF,2021,Consultéle15 avril2022,https://www.epfweb.org/node/816

28 Wikipedia,«FundacjaInstytutnarzeczKulturyPrawnejOrdoIuris», Wikipedia,Consultéle20avril2020, https://pl.wikipedia.org/wiki/Fundacja_Instytut_na_rzecz_Kultury_Prawnej_Ordo_Iuris.

29 AnnaMierzyńska,«PodbojeOrdoIuris.Torozpędzonamaszynapolitycznafundamentalistów», OKO.press,6 janvier2020.

30 Ibid.

31 EPF,«FoundationOrdoIurisInstituteforLegalCulture,EPFIntelligencebriefing»,2021.

LGBT»(2021).Encesens,l’EPFdénoncelesactivitésdecetteorganisationcomme étantporteusesd’un«projetreligieuxextrémiste»quiapermislarédactiondeslois lesplusrestrictivespourlasantéetdroitssexuelsetgénésiques.Danssonrapport«la faceémergéedel’iceberg»présentédevantleParlementpolonaisenmai2022,l’EPF démontrelesliensdeconnexionsdel’organisationsurlascèneinternationaleen soulignantquesonindépendancepourraitêtrecompromisesparlesfinancements dequelquesbienfaiteurseuropéens,russesetaméricains³².En2019,l’organisation avaitnotammentdéclaréauxautoritéspubliquesavoirgénérélasommede6,34millionsdezlotypolonais,l’équivalentde1,39milliond’euros-cequilaplacecomme l’unedesplusgrandesorganisationsdupays³³.

Surlascèneinternationale,l’organisationgagneégalementenpopularitéen étantmembred’unréseauinternationalappeléTradition,FamilleetPropriété-TFP, uneorganisationquiproposeunmouvementsocialetpolitiquementancréedansles valeursreligieusesetladéfensedelafamilletraditionnelle.Depuislafindesannées 1990,leréseaudisposedesonsiègeàCracovie,ets’estétenduauxpaysvoisinsdela Pologne,enfaisantdel’Europecentralesonnouveaucentredegravité.Deplus, l’exempled’OrdoIurisestparticulièrementintéressantcarils’agitdel’unedesOFR lesplusactivesdanslabullebruxelloisevis-à-visdesinstitutionsdel’UEet,pluslargementsurlascèneeuropéennefaceauConseildel'EuropeetàlaCoureuropéenne desdroitsdel’Homme-CEDH.Parlebiaisdesonsiteinternet,l’organisationpropose denombreuxarticlesenanglaiscommeenpolonaispourdécrireetdécrierlesméthodesutiliséesparl’administrationeuropéennedansl’élaborationdepolitiquequi sortiraithorsdeleurschampsdecompétences.Parexemple,lerapportMatić³⁴,anotammentsuscitélamiseenplaced’unepétitionsurunsitespécialementcréépour l’occasion,traduitdansdixlangues,pour«stopperlerapportMatic!»³⁵.L’organisationdéploieégalementuntrèslargelobbyingpassantparlaremised’opinionauprès desinstitutionsetplusparticulièrementdescommissionsparlementaires.Enoutre, OrdoIuris estaussiintervenucommepartietiercedanslecadredeprocéduresjudiciairesetadministrativespolonaisesetinternationales.Enl’espèce,l’organisationa puprésentersesobservationsécritesdanslecadredenombreuxprocèsdevantla CEDH.Enfin, OrdoIuris estégalementencouragéparladélégationpolonaise.Cesupportestnotammentillustréparlapropositiondecandidatured’AleksanderStępkowski,fondateurdel’organisationetporte-paroledelaCoursuprêmepolonaise,au postedejugeàlaCourdeStrasbourgautitredelaPologne.Bienquesacandidature aitétérefusée,celametenavantl’importancedonnéeà OrdoIuris etdesonconsensusauplushautniveaudelareprésentationdel’Étatpolonais.

32 EPF,«Lapartieémergéedel'iceberg:Extrémistesreligieux-Lesfinanceurscontrelesdroitsdel'hommepour lasexualitéetlasantéreproductiveenEurope», EPF, 2021,consultéle10mai2022,https://www.epfweb.org/ sites/default/files/2022-03/EPF_EN_TOTI_9SEP%20DEF%20-%20FR.pdf.

33 EPF,“FoundationOrdoIurisInstituteforLegalCulture,EPFIntelligencebriefing”,2021.

34 PortantlenomdesonrapporteurleMEPCroatien,FredMatić,cerapportproposeuneévaluationdela situationconcernantlasanté etlesdroitsgénésiquesetsexuelsdansl’Union,danslecadredelasanté des femmes.Ilestparticulièrementcritiqueàl’égarddelaPologne.

35 Pétition«Nonàlaviolationdestraitéseuropéen», Stopmaticreport,consultéle10avril2022,https:// stopmaticreport.org.

LesrelationsentrelaSociétéCivilePolonaiseetlesinstitutionseuropéennesfaceàlatentatived’une harmonisationducadrelégaldel’avortementàl’échelledel’Union

3.Observerlapolitisationdel’accèsàl’avortementenPolognedepuislesinstitutionseuropéennes

Depuislesannées2010,onobserveunemultiplicationdescontestationsface auxmenacesderestrictionsdel’IVG.L'UEreprésenteraitunespacedelibertéplus susceptibled'accueillirlesmobilisationsféministesgrâceàsapromotiond’unensembledenormesetdevaleursplusélevéesqued'autrespays.Lesexemplesdel’Irlande,deMalte,etdelaPolognes’illustrentparun«trianglederéactionnégatif»qui aprovoquédesrassemblementsdecentainesdemilliersdepersonnesdèslorsque desoppressionsetdesrestrictionssontannoncées(Ahrens2018:77–97).Defait,ces paysontouvertlavoieàdeschangementslégislatifsparticulièrementdangereux pourlasantédesfemmesenlimitantl’accèsàl’avortement.Deplus,d’autresloisrestrictivessontdébattuesdansdiversparlementsdesEM,telsquelaCroatie,laSlovaquieouencorelaLituanie,etpermettentd’autantplusdesesaisirdel’importance donnéeàlapolitisationdesquestionsd’accèsàcedroitauseindel’espacedelibertés del’UE.Defait,lapolitisationdelaquestiondel’accèsàl’avortementsansrisquesur lascèneeuropéennenedoitpasêtreobservéecommeunphénomènenouveau. Toutefois,parl’exempledelaPologne,ellerenvoieàdiversparadoxesetnotamment àlavolontéd’ajouterunedimensiondugenreàlathéoriedel'européanisationen tempsde«déseuropéanisation»(Forest2021:60-77).Véritablement,cettevolonté politiquevientcréeruneconvergencedescontestationsnationalesvis-à-visd’une Europequitentedes’établirdansunedimensionplussocialequ’économique.Or,la focaledesinstitutionsdel’UEsurlerespectdel’Étatdedroitprovoqueuneattention déployéeencoreplusparticulièredelapartdecelle-cisurlesdemandesdelasociété civilefavorableauxvaleursidentifiéescommedémocratiqueeteuropéenne.Ainsi,il sembleraitquelaperceptiondesprisesàpartiessurlaquestiondel’accèsàl’avortementaccentueraitunclivagequiopposeraitlibéralismeetconservatisme.Céderface àcebrasdeferseraitpourdepartetd’autrecommeunéchecsensiblefaceàlapromotiondesvaleursqu’ilssouhaitent.

3.1.Lamiseenréseaudesorganisationsfavorablesaudroitàl’avortement:une promotiond’unesociétécivileeuropéennenécessaireàl’établissementdenouvellesvaleurseuropéennes

Depuislachutedel’URSS, StrajkKobiet incarnesansdoutelemouvementmilitant pourlesdroitsdesfemmesleplusdynamiqueetleplusinfluentd'Europecentrale. Sixansplustard,sesactionscontinuentd’êtremassivesetd’impacterlesréseauxtransnationauxféministes.Forceestdeconstaterquele StrajkKobiet est uneorganisation militantepolonaisequi,aucoursdesannées,àaffirmersavolontédesedéployersur lascèneinternationaleenétantactive,etréactive,faceàtoutesrestrictionsdel’avortementenproposantdesactionsdecommunicationsetdesmobilisationsdénonçant lamenacedel’accèsàcedroitsurlascèneeuropéenne(Irlande,«Manifestedes343 européennes»),et,américaine(ÉtatsUnis,et,Chili).Ils’agitégalementd’uneorgani-

sationpolymorphequipromeutlesquestionsLBGTQI+,environnementalesmaisaussi maisaussiplusrécemmentgéopolitiques(l’invasionrusseenUkraineetplusspécifiquementlesviolencessexistesetsexuellescommisessurlesréfugiées)³⁶.Sonsuccès estliéàsacapacitéàinflueretàcréerdessymbolesquiontlacapacitédedevenirdes outilsdecommunication.Àl’heureoùl’Internetestdevenuunoutilderestructuration etdetransformationdurépertoired’actionsdumouvementféministe(Jouët,Niemeyer,Pavard2017:21-57),lemouvementasuutilisercetoutil,particulièrementà traversTwitteretInstagram.Parexemple,le#strajkKobiet–danssaversionpolonaise etnontraduiteversl’anglais-s’estimposédemanièrespontanéedanslestendances deTwitteretdanslesrecherchesinternetdèslemoisd’octobredansunepériodecoïncidentauxfortescontestations(Paradowski2021:239-268).Enéchoàcetteréflexion, uneexpositionàVarsovieestvenueillustrerlescombatsdesfemmesPolonaises,portugaisesetirlandaisesenretraçantleurshistoiresparl’interrogation«Quiécriral'histoiredeslarmesdesartistessurlesdroitsdesfemmes?»àl’hiver2021³⁷.Enchoisissant l’artcommemoyendedénoncer,l’expositionnousrappellelaforcedesmouvements féministesportésdanscesdeuxpaysetleurs capacitésàs’incarnerdansdessymbolesde protestationsquimarquentlesespritsetaccélèrentleurscirculations.L’utilisationde l’éclairrougeanotammentétéglobalement reprisdansdiversesmanifestationspourmiliterpourlacausedesfemmesets’apparente auxnouveauxregistresdessymbolesféministesduXIXèmesiècle(Iafrate2020).Deplus, c’estcesymbolequianotammentpermisau mouvementdegagnereninfluencegrâceà sadiffusiondanslescontestationsetparsa reprisesurlespancartes,enmaquillage,ou vestimentairesdanslemonde.

Outrelefaitquelemouvementdu Strajk

Kobiet sedéploiesouslaformed’antennes danslesvilles,maisaussidanslesuniversités polonaises,ilaaussiunevocationàrassemblersespartisansdanslesgrandesvilles d’Europesurlabasedelamobilisationdela diasporapolonaise,etsurlefonctionnement d’unréseaudesolidarité,quidéplacelacausepolonaisedansunespaceeuropéende contestation³⁸.CetélandesolidaritéaétéparticulièrementvisibledèslorsqueleTri-

36 Seréféreràl’annexen°2.

«Regagnerlaliberté,pouvoirconfisqué.», ElektraKB,présentauseinl’expositionauMusée d’ArtsNouveau(2021)

37 « Quiécriral'histoiredeslarmesdesartistessurlesdroitsdesfemmes ?»,ExpositionauMuséed’ArtsNouveaux àVarsovie,du26/11/2021au13/02/2022.

38 SuiteàladécisionduTCP,denombreusesmanifestationsintitulées«Strajkkobiet(inietylko!)lizbona/ manifestationcontrelanouvellerestrictiondel’avortementenPologne»onttrouvéleuréchodansdesvilles commeBrussels,Paris,ouencoreLisbonne.

LesrelationsentrelaSociétéCivilePolonaiseetlesinstitutionseuropéennesfaceàlatentatived’une harmonisationducadrelégaldel’avortementàl’échelledel’Union

bunalConstitutionnelPolonais-TCPafaitl’annoncedesonchangementlégislatifen 2020.Parexemple,plusdedeuxcentsONGdelasociétécivilemondialesesontopposéesàlapropositiondeloi.Cettedemandeaégalementreçulesoutiendel'ONU etduPE.Lemouvementqu’ilacréépeut-êtrelucommelasommedesfrustrations d'unproblèmedelonguedatearrivantàsonpointculminant(Gurr1980).En2018,le manifestedes343européennes:« MyBody,MyRights »aétépublié,avecpourtitre unhommageàlapétitionfrançaise «Manifestedes343»lancéele5avril1971.Cette dernièreprésentaitunelistede343femmesfrançaises,connuessoitdanslasphère publique,quiaffirmaientavoirsubiunavortementàunmomentdeleurvie.Sonobjectifétaitd’encouragerladépénalisationdel’interruptiondegrossesseenFranceen soutenantleprojetdelaloiVeil.Desoncôté,lemanifesteeuropéenestélaborédans uncontexteuniquecarilrassembledesmilitantesd'organisationsféministesde toutel'Europe.Ils'agitd'unedemandeauxgouvernementsdesÉtatsmembresetàla Commissioneuropéennededévelopperetdegarantirunhautniveaudeprotection desdroitsdesfemmes.Ilplaidepouruneégalitédanslalégalisationdel'avortement danstouslespayseuropéensetl’ouverturedesonaccèssurdemande.Néanmoins, cettemiseenréseaudesOFCpolonaisesavecd’autresONGn’estpasissued’unphénomènespontanémaisrésulted’unlongtravailentreprisdepuislachutedumur. Avecl’exempledel’organisationpolonaisedelaFédérationpourlesfemmesetlaplanificationfamiliale–FEDERAnouspouvonsobserverl’existenced’unepromotionet d’unedéfensedesintérêtsdelasociétépolonaisefavorableàl’accèsàl’IVGportéeau niveauinternationalgrâceàuntravailencollaborationaveclesorganisationsinternationales.Eneffet,cettestructureseconsacreàlapromotiondelasantéetdes droitsreproductifsdepuis1991suiteàlamiseenréseaudecinqorganisations³⁹.En 1999,laFédérations'estvueaccorderlestatutconsultatifspécialauprèsduConseil économiqueetsocialdesNationsuniesetpluslargement,estreconnuesurlascène internationaleentantqu’expert⁴⁰.Également,elleestmembreduréseauAstra,composédeplusdequaranteorganisations,quiestunréseaupourlasantéetlesdroits sexuelsetreproductifsdontlafocalegéographiqueestcelledel’Europecentraleet orientale.Elleestégalementleseulmembreeuropéendela Sexualrightinitiative qui estissuedecoalitionnationaleetrégionaleentreleCanada,l’Inde,l’Égypte,l’Argentineetl’AfriqueduSud.Ainsi,nouspouvonsendéduirequ’ilyauneintégrationdu récitpolonaisdanslastratégiedepromotionetdedéfensedesintérêtsdulobby.De plus,FEDERA,elle-même,disposeégalementd’unestratégiedereprésentationdes intérêtspolonaissurlascèneeuropéennequitémoignedecettevolontédefaciliter lacréationd’undialogueprivilégiéaveclesexpertsdelaOFC:

«Noustravaillonssurleforumdel'Unioneuropéenne,oùnousessayonsd'encouragerlesgouvernementsàs'engagerplusactivementpourlesdroitsdesfemmes.

39 Lescinqorganisationsoriginalesétaient:Liguedesfemmespolonaises(LigiiKobietPolskich),l'Association féministepolonaise(PolskiegoStowarzyszeniaFeministycznego),l'AssociationProFemina(StowarzyszeniaPro Femina),l'AssociationpourunÉtatidéologiquementneutre"Neutrum"(Neutrum–Stowarzyszenianarzecz PaństwaNeutralnegoŚwiatopoglądowoorazStowarzyszeniaDziewcząt) etl'Associationdesfillesetfemmes chrétiennesYWCAPologne(KobietChrześcijańskichPolskaY.W.C.A).

40 FEDERA,«Àproposdenous»,FEDERA,2022,consultéle15avril2022,https://en.federa.org.pl/about-us/.

NoussommesactifsdansdiversesinstitutionseuropéennesetnoussuivonsetfaisonsconnaîtrelesactivitésdesdéputéseuropéensdePologneetdugouvernementpolonais»⁴¹.

L’intégrationderéseauxd’organisationscadresestuneautreméthodeutilisée parlesorganisationsdelaSCPpourdiffuserleursintérêtssurlascènenationaleet danslesmouvementsd’actionstransnationaux. Parexemple, leréseauNetworkof EastandWesternWomen-Europe arejointlelobbyeuropéendesfemmes-EWLbasée enBrusselsdanslesannéesdesacréation.CetteorganisationestnotammentconsultéeparlaCommissioneuropéennedanslecadredel’élaborationdesespolitiques, maisestaussiinvitéeauParlementeuropéenparlacommissionFEMM.Lestatutde membreleurdonnenotammentpourmissiond’assurerlacoordinationdeprojets internationauxetrégionauxpropulsésparlagouvernancedulobby.Deplus,cette miseenréseauetprésenceàl’internationalaétépermiseparl’utilisationdesréseaux sociauxetalargementfavorisésoninfluenceenpermettantdedéployersonrayonnementendehorsdesfrontièresdupays.Elleouvrenotammentlapossibilitéde mieuxpenserlastratégieinternationaledecesOFC,etparticulièrementcellevisant àlarecherchedefinancementssurlascèneeuropéenne.Or,réagirauxappelsàprojetsnécessitel'utilisationd'outilsspécialisésainsiqu’unecertaineconnaissancedes politiqueseuropéennes.Latrèsgrandemajoritédesautresmouvementsféministes polonaisdemeureconsidérablementlimitéparlemanquedefinancementspublics. Cependant,enraisondesonrayonnementetdesonimpactàl’international,ilareçu desfondsd'uncertainnombredeprogrammeseuropéens.Lesinstitutionseuropéennesenassurentégalementleurpromotion.Parexemple,en2019, Ogólnopolski StrajkKobiet areçuleprixdelasociétécivile,organiséparleComitéÉconomiqueet Socialeuropéen(CESE)surlethème:«davantagedefemmesdanslasociétéetl’économieeuropéenne»⁴².Enoutre,lamiseenréseaupermetégalementd’accéderàdes financementsdelapartd’organisationsinternationales.Encesens,nouspouvons noterqueFEDERAfaitpartieduréseauASTRAquiestlui-mêmefinancéparleFond Globalpourlesfemmesetparlacoalitioninternationalepourlasantédesfemmes.

3.2.LeParlementeuropéen,unalliéinstitutionneletungagedelégitimitépour lesorganisationsdéfendantunmeilleuraccèsàl’avortement

«Aucoursdesderniersmois,legouvernementpolonaisafaittoutcequ'ilpouvait pour[...]priverdeleurpouvoirdedécisionsurleurproprecorps[...]Parsadécision, lesoi-disant'Tribunalconstitutionnel's'attaqueauxdroitsdesfemmesdanstoute l'Europe.»

EvelynRegner,MembreduParlementeuropéen,Présidentedelacommissiondesdroitsdela femmeetdel'égalitédesgenresdu10juillet2019au24janvier2022

41 FEDERA,«Stratégiedelobbyingetd’advocacyauprèsdel’UE»,FEDERA,2022,consultéle15avril2022, https://en.federa.org.pl/activities/international-activity/the-european-union/.

42 LeCESEœuvreàl’établissementdelasociétécivileeuropéenneetencourageàladémocratieparticipative. Depuis2008,ilproposeunprixdelasociétécivileafinde« récompenserl’excellencedanslesinitiativesdela sociétécivile »pardesboursesdefinancement.Chaqueannée,unthèmeestarrêtéparlebiaisd’unappelà candidature.

LesrelationsentrelaSociétéCivilePolonaiseetlesinstitutionseuropéennesfaceàlatentatived’une harmonisationducadrelégaldel’avortementàl’échelledel’Union

Encréantetenintégrantdesrelationsstratégiquesaveclasociétécivile,dansle butd’élaborersespolitiques–ausensde policymaking -l’UEinstitutionnaliseencore plusle gendermainstreaming enréduisantledéficitdémocratiqueetenencourageantlaparticipationdesacteursauxpolitiquespubliques(Jacquot2003:172-176). Dansunouvragecollectif,JensSTEFFEK,ClaudiaKISSLINGetPatriziaNANZdélimitentl’existencedetroisgroupesdethéoriesautourdelaquestiondesoriginesde laparticipationdelasociétéciviledanslagouvernanceeuropéenne(Steffek,Kissling,Nanz,2008).Dansleurexposé,ilsdémontrentquel’unedesthéoriesdecette participationsejustifiegrâceàlareproductiondumodèledel’institutionparlementairereprésentative(Ibid).Éluausuffrageuniverseldepuis1979,cettethéories’appuiesurleParlementeuropéencarilreprésentelemoyenleplusdémocratiquede représentationdescitoyensauseindel’UE(Iafrate2020).D’autresconstatentquele problèmeprédominantestliéauxmanquesderesponsabilitéspubliquesdesdécideursdelapolitiqueàl’international(Steffek,Kissling,Nanz,2008).Enfin,lesderniers seconcentrentaucœurd’unespaceglobaldedémocratieetdedélibérationvis-àvisdelagouvernanceeuropéenne(Ibid).Auregarddecesobservations,lesauteurs concluentquel'onnepeutpasvraimentfaireétatd'uneplusgrandeefficacitépour l'unedecesstratégies.Ilsfontunconstatsimple,quiconsisteàfaireémergerdenouvellesmodalitésfaceàcettenouvelleréalitéinstitutionnelle.Parconséquent,lasociétécivilechercheàexercerunpouvoirsurunedémocratiequ'elleestimeêtreen déficit,quecesoitdansunespacelocal,nationalousupranational.(Iafrate2020). L'intérêtestdeconcouriràrenforcerl'efficacitédelapropositiondegouvernancedémocratique.Enréalité,ilappartientàlasociétéciviledesesaisirdesmoyensqu'elle considèrecommelesplusadaptés.Aucoursdesessixdernièresannées,leParlementeuropéenadéveloppéunecapacitéàpromouvoirl’égalitédesgenresenmettantàl’agendal’adoptionderésolutionsfortesensymboles-sanspourautantêtre garantieparlesocleconventionnelledestraitésdel’Union(Siim,Fiig, 2021).Ence sens,FiigetSiimontétudiélesrelationsentrel’institutionetlesmouvementspopulistesquis’emparentdelaquestiondugenre.Ainsi,l’enceinteduParlementeuropéenestelle-mêmemiseaudéfiparlamontédespartiesd’extrêmedroite,tels qu’Identitéetdémocratie-IDou,l’Alliancedesconservateursetréformisteseuropéen–CRE,dontlesreprésentantssontmajoritairementhostilesàl’avortement.En labelisantlegenrecommeune«idéologieillégitime»,ilsrepoussentl’implicationde l’UEenfavorisantlespolitiquesnationales.Toutefois,ilsembleraitqueleParlement demeureencapacitédemainteniruneprésenceetunenvironnementfavorable pourassurerlapromotiondel’égalitédesgenresennormalisantlaprésencedel’opposition(Ibid).C’estpourquoi,lesrésolutionsadoptéesparlacommissiondesdroits delafemmeetdel'égalitédesgenres–FEMMduParlementeuropéenvis-à-visdes décisionsentreprisesparlegouvernementpolonaispourrestreindrel’accèsàl’IVG sontparticulièrementsignifiantescarellesmarquentuneforteoppositionetun «supportauxvaleurslibéralesenrelationaveclafamilleetlesquestionsdugenre.» (Ibid).Ensixans,leParlementadéfendulevotedehuitrésolutionsensessionplénièrevisantàdénoncerlesmesuresprisesparlegouvernementpolonaissurl’accès

àl’avortement⁴³.Cesrésolutions,parfoisassezcourtes,s’intègrentdansunpluslarge conflitentreprisparlesinstitutionsdel’UEvis-à-visdelaviolationdel’Étatdedroit enPologne.Placéesaucentredecelles-cil’intégrationetlapromotiondesquestions dugenre,d’éducationetdesantédeviennentdesargumentspermettantdedémontrerlesentravesconstatéesàladémocratiepolonaise,etdepromouvoirunegouvernanceeuropéenne.LacapacitédecettemobilisationàêtretranspartisanesetàrassemblerplusieursMEPsansqu’ilssoientissusdelamêmecoalitionestaussiintéressante.Parexemple,lespartisPPE, Renew, S&D,Greens/EFAGUE/NGLsontprésents danslesvotesenfaveurdelapremièrerésolutionvisantàcondamnerleTribunal constitutionnelen2020.

«LaPolognede2020estunenferpourles femmes», EvelyneRegnerlorsdesondiscourspendantladiscussiondelarésolution du26octobre2020

Enoutre,onpeutnoter l’expressiondelasolidaritéau StrajkKobiet parlaprésence desymbolesenassemblée.

Plusieursdéputésontnotammentportédest-shirtsaveclessymbolesdumouvement;d’autresontpréférélatenueennoirafind’yfaireréférence.Enlesétudiant,onobserveaussil’utilisationetla référenceau CzarnyProtest,toutcommeauxstatistiquesprésentéesparl’organisationpolonaisedelaFédérationpourlesfemmesetlaplanificationfamiliale-FEDERA. Ils’agitd’unélémentimportantquiprouvelaconnaissanceetlesliensquiexistent entrel’institutionsdel’UEetlesOFC.Danssarésolutiondu11novembre2021,leParlementeuropéenviendrasoulignerleseffortsdel’organisationinternationale avortementsansfrontières ensoulignantl’aidefournieàplusde«34000personnesoriginairesdePologne»pouraccéderàunIVG.Danslesconsidérants,lacommission FEMMs’estégalementappuyéesurlesdonnéesfourniesparlaFEDERAenrapportantqueseulement300femmesavaientlégalementpuaccéderàcetteintervention médicaleaucoursdel’annéesuivantladécisionconstitutionnelle⁴⁴.Enécho,FEDERA viendrasoulignerqueleParlementeuropéenaété«trèsactifvis-à-visdeladégradationdel’ÉtatdedroitetdesdroitshumainsenPologne»etqu’ilexiste« unesolide relationentrelesmembresdelafédérationetleMEPdePologneetd’autresEM »dans sonrapportannuelen2021⁴⁵.Cetteorganisationestnotammentmiseencausepar sonpropregouvernementcarelleestaccuséed’encourageràenfreindrelesloispo-

43 Seréféreràl’annexen°3:listedesrésolutionsadoptéesparleParlementeuropéenenlienaveclaPologneet lenon-respectdel’Étatdedroitetprésentationsdeleursprincipalesvocations.

44 Parlementeuropéen,«RésolutionduParlementeuropéendu11novembre2021surlepremieranniversaire del'interdictiondefaitdel'avortementenPologne»,consultéle15avril2022,https://www.europarl.europa.eu/ doceo/document/TA-9-2021-0455_FR.html.

45 FEDERA,«Rapportannuel»,FEDERA,2021,consultéle10mai2022,https://en.federa.org.pl/2021-annualreport/.

LesrelationsentrelaSociétéCivilePolonaiseetlesinstitutionseuropéennesfaceàlatentatived’une harmonisationducadrelégaldel’avortementàl’échelledel’Union

lonaises.Lasouteniretvalidersesproposcorrespondàunsignalfortdel’institution quivientlégitimiserlesactivitésdecelles-ci.Deplus,cesrésolutionsencouragentà financerlesactionsnonsupportéesauniveaunationalparl’UE:«inviteleConseilet laCommissionàfournirunfinancementadéquatauxorganisationsnationalesetlocalesdelasociété»⁴⁶.Enémettantunetelledéclaration,leParlementeuropéen s’affirmedanssavolontélibérale.Véritablement,ilmetenplaceunfonctionnement différentdeladiplomatieeuropéennequitendraitàconnecterl’UEdirectementàun ancragepluslocalpourfaciliterl’émergenced’unedémocratieparticipativeetencouragerlesactivitésdelasociétéciviled’unEMquirépondraientauxcritèresdu socledesvaleurseuropéennes.Deplus,ilexisteunsuiviactifdel’actualitépolonaise etdesdémonstrationsmilitantesdu StrajkKobiet quiparfoistrouveleuréchosurla placeduLuxembourgàBruxelles.CetteprésenceMEPestaussieffectuéeparunsoutiensurlesréseauxsociauxviaTwitterouInstagramqui,ensignedesoutien, s’abonnentàdespagesdontladiffusionestcomplètementenpolonaisdanslebut defairegrandirlenombred’abonnésdecesorganisations.Enfin,lanominationrécenteduMEPPolonaisRobertBiedrónàlatêtedelacommissionFEMMestaussi symboliquecarilreprésentel’oppositionsurlascènepolonaise.IlestégalementengagésurlesquestionsLGBTQI+.AnciennementéluauParlementPolonais,le Sejm et, représentantdeladélégationpolonaisepourl’assembléeparlementaireduConseil del’Europede2011-2014,ilapuobserverl’avènementdesdébatssurlesquestions dugenrequ’ils’agissedesdiscussionsdesortiedelaConventiond’Istanbulcomme desdiversépisodesjuridiquesderestrictionsdel’avortement.Ilfutégalementun membredugroupeconsultatifsurlathématique«genre,déplacementforcésetprotectiondesréfugiées»créeparleHaut-commissairedesréfugiésdesNationsUniesUNHCR.En2020,ilavaitlancéunappelàlaCommissioneuropéennepourélargirle spectredel’article7duTEUafindeprotégerl’accèssansrisqueàl’interventionmédicale.Enréalité,ilestpossiblequesapromotionaurangdeprésidentdelacommissionpuissepermettred’augmenterlasensibilitéduParlementeuropéenàlacause desfemmesPolonaises,et,permettreunrenforcementdesliensaveclesOFC.Toutefois,sacontestationsurlascènenationalepeutaussiêtreunedifficultécarilrenforceralescritiquesd’une«idéologiedugenre»dontl’accèsaudébatnes’ouvriraient pasàdesgroupes-commeOrdoIuris-quisecomplaisentdanscetteexclusion⁴⁷.

4.Intégrerl’avortementaucadrelégaleuropéendesdroitsHumains:entre échosàlaSociétéCivilePolonaiseetlimitesinstitutionnelles

Bienquel'objectifdedéfendrelalégalitédel’égalitésembleêtreinstitutionnalisé auniveaueuropéen,lesmoyensrestententrelesmainsdesgouvernementsnationaux

46 Parlementeuropéen,«RésolutionduPEdu26novembre2020surl’interdictiondefaitdudroità l’avortementenPologne,Parlementeuropéen»,consultéle10mai2022,https://www.europarl.europa.eu/ doceo/document/TA-9-2020-0336_FR.html.

47 OrdoIuris,“EUtopushpro-abortionagendainUN–radicalEuropeanParliamentresolution”,OrdoIuris,2020, consultéle14mai2022,https://en.ordoiuris.pl/life-protection/eu-push-pro-abortion-agenda-un-radicaleuropean-parliament-resolution.

carlamajoritédesobjetsabordésparlagouvernancedegenresonthorsduchamps decompétencedel’Union(Iafrate2021).Ilenestdemêmepourlesréflexionsliées audroitàl’avortementetàsonaccèsquilientétroitementunautredomaineexclu decechamp:lasanté.Lesstratégiesd’égalitédesgenresdel’UEsontàrepenserdans lespectrederationalitédeseffortsdel’administrationeuropéennevis-à-visdelavolontédesÉtatsàs’impliquerdavantagedansleprojetd’uneEuropepolitique.Dans cecontexte,bienqueportésparl’aspirationdeproduiredespolitiquesambitieuses surlaquestiondel’égalité,oudumoinsdeprotectiondesdroitsdelasantédes femmes,lesfonctionnairestravaillantsurcesquestionssedoiventdeconcentrerleurs effortsdanslespectred’unecertainerationalité(Dratwa2014:86-121).Àceteffet,le conceptintroduitparRadaellisurlesmodèlestechnocratiquesderationalitédansl'élaborationdespolitiquespeutêtreutilisépourcaractériserleprocessusdécisionnel conduisantàlaformulationdeschoixpolitiquesdansleprocessusd'élaborationdes politique.Entrerationalité,possibilitélégale,etopportunitésdesécuriserunhautniveaudepromotionetdematérialisationdesdroitshumains,l’accèsàl’avortement semblerépondreàunesériededéfisquirendentuneuniformisationducadrelégal del’UEdifficileàenvisager.Ainsi,ilestintéressantderepenserl’accèsàcetteinterventionmédicaleparlespossibilitéslégalesaccordéesàl’UEtoutenconsidérantlamise audéfiindexéeparlaSociétéCivilePolonaiseetleParlementeuropéen.

4.1.Créer,défendreetconstruireunestratégieeuropéenned’égalitédesgenres:

Delapériodeallantdesonaccessionjusqu’à2016,lesdécisionsetdiscourspolonaisdéfavorablesàl’accèssurdemandedel’avortementenPologneontétéabsents detoutesinteractionsentrecetEMetl’UE.Toutefois,laconstatationdedifférences desystèmededroitshumainsauxfrontièresdesEMcomposantl’Unionestapparue trèsrapidementsurlascènepolitiqueeuropéennecommeproblématiqueàl’ouverturedel’espacededroitetliberté.Proposantunelibrecirculationdescitoyensetcitoyenneseuropéennes,celle-ciaamenéàdestensionsdiplomatiquesentrelesÉtats sedisputantlapossibilitédevoirleurssystèmeslégauxcontournés.Nouspouvons égalementvoirunefailledansl’idéaldevivreensemblepromuparl’institutionqui apparaitdanscettelogiquedecomparaisondecequepourraitcontenirleur«troisièmecorbeille.»⁴⁸.Aucœurdenotreétude,nousavonspuconstaterqueledomaine del’égalités’intègredanscetespacedelibertéetparmivaleurspromuesparl’UE.Or, créer,défendreetconstruireunestratégieeuropéenned’égalitédesgenresàl’échelle européenneestunexercicedifficiledansl’espacelégaloffertparl’UE.Parailleurs,cette stratégieestlimitéeparlapartrelativementfaibledédiéeauseindubudgetdel’UE pouragirafind’entreprendredesactionsdanscedomaine(Iafrate2021).Eneffet,ces politiqueseuropéennesontoccupéunepositioninstabledèsleurapparitiondansle

48 Référenceàl’expressionutiliséepourinclurelaquestiondesdroitsdel’Hommedanslesnégociations entreprisesentreleblocdel’Estetdel’OuestaucoursdelaConférencesurlasécuritéetlacoopérationen Europequis’estétendude1973à1974.

ledéfisduconsensusinstitutionnel

LesrelationsentrelaSociétéCivilePolonaiseetlesinstitutionseuropéennesfaceàlatentatived’une harmonisationducadrelégaldel’avortementàl’échelledel’Union

cadreeuropéen.Ceciestdirectementliéàl'imprécisiondelaréférencejuridiquedans laquelleellespuisentleurvalidité(Jacquot2006:33-54).Encesens,lesquestionsdu genreontdûêtreplacéessouslasupervisiond’unegouvernanceinformelle(Woodward2004,76-93).Lathéoriedu«triangledevelours»défendnotammentlasituation danslaquellelesacteursgouvernementaux,lesexpertsetles« fémocrates » ⁴⁹ interagiraientdanslebutdeparveniràl’élaborationd’untelprojetpolitique(Woodward 2004,76-93).Encesens,érigeruneréflexionsurlesquestionsdugenres’apparente àvaliderlalégitimitéd’acteursnon-institutionnelssouhaitantprendrepartàlaréflexion.Or,commenousavonspulevoiraveclescontestationsformuléesparOrdo Iuris,maisaussid’autresmouvementsanti-genre,cettechambred’échocrééepour faciliterlaréflexionpeutêtremiseencausepoursondétachementdelaglobalitéde lareprésentationdesidées.Cettesuppositionmèneraitàobserveruneformedediscussionseulementouvertauxorganisationsdéfendantdesvaleurspluslibérales.Toutefois,elleestrationnaliséeparl’appuidestravauxdeconsultationsd’opinionouvertes auxcitoyens,d’analysed’impactetd’évaluationmenéesenamontdesdirectivespar laCE.Parailleurs,lesréflexionsautourduREGpeuventvoirleursambitionsetpropositionsvidéesdeleurssensdèslorsqu’ellessedéplacentdansunearèneinstitutionnelledediscussiondifférente,etpotentiellementplushostileàsonétablissementpar lapluralitéconceptuelleexistantautourdeladéfinitiondugenre.CelaestparticulièrementvisibleauniveauduCUEqui,danslacontinuitédutrainlégislatif,vientdonner sonavaloubienfrapperdesonoppositionlesdirectivesproposéesparlaCommission européenneetlePE.Véritablement,ilsembleraitquelesEMsoientconfrontésàdeux ambitions.D’unepart,lesleursetcellesdeleurssociétésciviles,quipeuvententrer encoalition,d’autrepartcellesdesaccordsbilatérauxouinternationauxauseindesquelsils’estengagé.Encesens,lesdiscussionsfinalesauseinduCUEsontlegage ultimedecontrôledurespectduspectrederationalité.Àceteffet,ladirective «women’s onboard– lareprésentationdesfemmesdanslesconseilsd’administration » estrestée bloquéeauCUEpendantplusdedixannées⁵⁰.Defait,ilpeutexisteruntempsréellementlongentrelaconcordancedesstratégiesduREGetladisponibilitédesEMà rendresesattentesréelles.Cetempspeutparfoisrendrelaréflexioncomplètement dépassée.Enl’espèce,laConventiond'Istanbulestsymboliquedanscetteobservation carelleconstitueleprincipaloutiletsocledevaleursetdestandardsàmettreenplace etdéfendredanscedomaine⁵¹. Néanmoins,ellereposesurdesbasesfragilescarcer-

49 Lemot«fémocrates»ou«féministesétatiques»désignelesféministes,ouanciennesmilitantespourledroit desfemmes,quitravaillentauseindelafonctionpubliqueencontinuantdedéfendrecesidéaux.Parleur légitimitéellessontencapacitédeconstituerdesrelaisentrel'Étatetlemouvementféministes.

50 Parlementeuropéen,«Représentationdesfemmesdanslesconseilsd'administration:feuvertpourlancer lesnégociationsaveclesÉtatsmembers”,(Strasbourg,2022),Consultéle24avril2022,https:// www.europarl.europa.eu/news/fr/press-room/20220314IPR25412/parite-dans-les-entreprises-feu-vert-auxnegociations-avec-les-etats-membres.

51 LaConventiond’Istanbul,ConventionduConseildel'Europesurlapréventionetlaluttecontrelaviolenceà l'égarddesfemmes.Elleaétératifiéeparvingt-unÉtatmembre.LasortiedelaTurquie,àl’anniversairedes trenteansdelaconventionen2021,aparticulièrementmisenévidencelesdifficultésd’harmonisationdes payspartisauConseilEuropéensurlesquestionsd’égalité.Cetteconventionestnotammentunebaseutilisée parlesinstitutionsdel’UEdansl’élaborationdesonREG.

tainsEMnel'ontpasencoresignéeouratifiée,tandisqued'autres,commelaPologne, menacederevenirsurleurspromesses.Enoutre,lerécentdébatsurlaratificationde l'UEesttoujoursensuspens,rythméparlesconclusionspeuenthousiastesdel’avocat général,etdansl’attentedel'arrêtdéfinitifdelaCourdejustice.

Parcetexposé,nous pouvonsendéduireque laCommissioneuropéenne,danssaforced’initiativepréliminairevisant àrépondreauxstratégies fixéesparlaPrésidence, demeurelimitéedanssa manœuvre.Cependant,le déplacementdelapolitisationdudébatportant surl’IVGsurlascèneeuropéenneamènel’institutionàobserverplusattentivementlacartedeson accèsenEuropeafindecaractériserl’existenceou d’unproblèmejustifiant sonintervention(figure1).

Or,unefoisencore,lasortie duchampdecompétencesdemeureproblématique.Larécentepropositiond’unedirectiveenlienavec lacriminalisationdesviolencesfondéessurlabasedugenre,et,saréceptionsurla scèneinternationaledémontredelacrainted’unepertedesouverainetédesÉtats. Encesens,penserunaccèsdifférentielàundroitinhérentàlaconditionhumaine, commeceluidel’avortement,danslecadredesviolencesfondéessurlabasedugenre, aétéexcludeladiscussion.Toutefois,lespectrederationalitéimposéeparlavolonté d’établirunREGasansdoutefermécettefenêtred’opportunité.Afinqu’unenorme européennepuissevoirlejourilestnécessaireétablirledegréd’acceptationdesÉtats composantlatabledenégociation,maisaussidesparlementairessemobilisantpour l’amendementdutexteproposé.Ainsi,l’avortements’estdistinctdudébatdesviolencesbienqu’ilsoitremisenévidenceparlesdiscussionsparlementairesdelacommissionFEMM.Àcejour,laCommission,entantqu’institutionportantpourmission dedéfendrelavaleureuropéenne,nes’estpaspositionnéesurlatentatived’établir uneharmonisationducadrelégaldel’avortement.Danssesprisesdeparoleenpublic, laCommissaireenchargeduportefeuilledel’égalitédesgenres,faitsimplementle rappelauxEMdeleurobligationdeseconformeretderespecterlecadreinternational desdroitshumains.Ellemanifesteégalementsasolidaritédes«femmesPolonaises quidémontrentleurrésilienceetleurrésistance»danslaperspectiveoùelledéfende

Figure1:Accèsàl'IVGenEurope,CenterforReproductiveRights(2021)

LesrelationsentrelaSociétéCivilePolonaiseetlesinstitutionseuropéennesfaceàlatentatived’une harmonisationducadrelégaldel’avortementàl’échelledel’Union

unniveauplushautetplusfortdeprotectiondudroitdesfemmes⁵².Entantquefemme Maltaise,elleappelleégalementàémettredesréflexionssurleschangementsdelois àtendancerestrictivedanssonpayset«passeulementsurlaPologne»⁵³.

Enoutre,lapriseencompteetlaconstructiond’undialogueprivilégiéentrela SCPmilitanteenfaveurdel’accèsàl’avortementsansrisqueestnotammentmarqué parlerapportparlementaireMatićadoptéen2021.Cetextedémontredel’intérêtet l’urgenced’accéderàunsoclededroitsexuelsetgénésiquesauniveaudel’Union.Il visedirectementlespaysquiontoptépourlechoixdelarestrictioncommeMalteet laPologne.S’inscrivantdansuncontextepost-COVID,ilsouligneégalementlerecul desdroitsdesfemmesàlasuitedelapandémie,etnoteparticulièrementl’influence decefacteursurl’accèsàl’avortementquiaétémisàmalpardesrefusetréorientationsoudésorientationsdesfemmessouhaitantyaccéder.Defait,ildéfendlebesoin debénéficierd’unsocledevaleurenlamatièretoutencaractérisantsonsoutien pourlesorganisationsmilitantpourconserverunhautdegrédeprotection.Aucours deleurtravail,lesdéputésontnotammentsubidespressionsenfaisantl’objetde messagesd’appelàlahainesurlasphèreenligneparlebiaisdecourriels,d’attaques surlesréseauxsociaux,commephysiquesavecdescourriersetmanifestationsàleurs égard.Entantquerapporteur,FredMatićanotammentétécomparéàHitleretareçu despoupéesenplastiquesreprésentantdesfœtusàsonbureau⁵⁴.Cecidémontrede lacapacitéàagirdesorganisationsanti-genreetanti-avortementpourinterpellerles parlementairesamenésàétablirdesrégulationsdansledomaine.Parailleurs,ilfaut noterquecerapportaégalementcontroverséàl’intérieurmêmeduPartipopulaire européen-PPEquiavaitproposédeuxalternativesdifférentesàcetexte⁵⁵.Ainsi,bien quetranspartisanes,laquestiondel’avortementneprovoquepasunconsensusà toutniveau,mêmedansl’enceinteparlementaireoùledébatetlescondamnations enversl’étatpolonaissontvivementclamés.

Ensomme,lapromotionetdéfensede l’accèsàl’avortementsembles’imagerparun échiquierinstitutionnelcontrariépourunsujetprobablementencorepluscontroversé quel’ensembledesquestionsinhérentesà l’agendadesquestionsdugenre.

Twitter,photoillustrantletweetdeRaphaelGlucksmann,MEPdu Socialiste&Démocrates-S&D: «Touslesfœtusenplastiqueenvoyéspardesassociationsfanatiquesn’ontpasempêchélesdéputés européensd’adopteràl’instantlerapportMaticsurledroitàl’avortementetlalibertédechoixdesfemmesauseindel’UE.Par378voix vs255,nousavonsvainculesdingues!»

52 GiedrePeseckyte,«EUParliamentcondemnsPoland’srestrictivelawonabortion», Euractiv,12novembre2021.

53 LauraCalleja,«NotjustPoland:DallicalledtoreflectonMaltaabortionban», MaltaToday, 24février2021.

54 MaïadelaBaume,«AbortiondebateintheEuropeanParliamentsparksdivisionandhatred», Politico, 23juin2021.

55 Ibid.

4.2.Dépasserlesrestrictionsàl’avortement:uneénigmejudiciairequiserésout aucasparcas

Bienqueleverrouinstitutionneleuropéensoitconséquentdèslorsquel’ons’attacheàréfléchirhorsdesonchampdecompétence,lesmécanismesjudiciaires peuventêtredescanauxpermettantdesécuriserl’avènementdedroitsetlibertés fondamentaux.Enréalité,lavoiedelajudiciarisationeuropéenne,parlebiaisdela CEDH,estunpivotintéressantvis-à-visdel’Étatdedroit.Lorsqu’unjudiciable,ressortissantdesÉtatspartiesauConseileuropéen,aépuisélesvoieslégislativesinternes ausystèmededroitdesonÉtat,ilpeutdéposerunerequêtedevantcejuge.Parla suite,laCEDHexaminelesrequêtesetrendsdesarrêtscontraignantsquipeuvent permettreauxjusticiablesdesevoirdédommageretreconnaîtreraison.Cesdécisionspeuventnotammentindexerdeschangementslégislatifsdanslecadreoù,par exemple,unenon-conformitédestraitésinternationaux,ouuneirrégularitédela procédurejudiciaireseraientconstatées.LesarrêtsdelaCour,enincarnantunejurisprudence,constituentunesourcedudroiteuropéen.Ausujetdelaquestiondel’accèsàl’avortement,onobservel’existenced’untravaildepublicisationdelapartde certainesorganisationsdelaSCP,plusparticulièrementdesOFC,consistantàmettre enavantlapossibilitédepoursuivresonÉtatdevantlaCEDH.PourFEDERA,cela passeparunereprésentationouunsoutiendirectvis-à-visdesfemmesquiontsubi desdommagescausésparlemanqueoulerefusd’accèsàl’avortementsansrisque. L’organisationmetnotammentenavantsaparticipationdanslesprocèsvictorieux menéscontrelaPologne:Tysiąc(2017),P.etS.(2012),etR.R.(2017)⁵⁶.Cesaffaires sontsymboliquescarellescaractérisentlesviolationsdesdroitshumainsenconfirmantlarecevabilitédecesaffaires.AprèsladécisionduTCPde2020,l’enjeupourles plaignantsestdedémontrerquemêmelesmodalitésd’accèslégalàl’IVGnesontpas uniformiséesetgarantiesàl’échelledupays.Lesdisparitésrégionalesetlesclauses deconscienceoffertesaucorpsmédicalviennentréduiresalégalisation.Enmars 2022,unnouveaudécèsd’unefemmePolonaiseâgéede37anssuiteàundénid’accèsàl’avortementdelapartducorpsmédical,aétéprovoquédevivescondamnationsdelapartdelaSCPdevantlesiègeduPiSàCracovie,toutcommedansd’autres villes⁵⁷.Mèrededeuxfillesâgéesdedix-neufansetdedouzeans,maiségalement d’unfilsdehuitansatteintd’autisme,letraitementquecettefemmeareçuàl’hôpital aprovoquéd’importantretentissementsauseindesmédiasetdelasphèrepublique polonaise.Eneffet,ellemetlegouvernementfaceauxréalitésetauxrisquesencourusparladécisiondeprioritariserlefœtussurlaviedesfemmes.Elleromptégalementavecladialectiquedepromotiond’unefamilletraditionnellecardanscecasla mèredécédéelaissederrièreelleunefamilleavecdesenfants.Deplus,cescontestationsontétéalimentéesparlesdéclarationsdelafamillequiréclamejusticeetdont l’affairepourraitêtreprochainementpropulséedevantlaCourdeJusticepolonaise⁵⁸.

56 FEDERA,«TheEuropeanCourtOfHumanRights»,FEDERA,2022,consultéle10mai2022,https:// en.federa.org.pl/activities/international-activity/the-european-court-of-human-rights/.

57 EuronewsviaAFP,«Polishactivistscondemnabortionlawafterdeathofanotherpregnantwomen» Euronews,26janvier2022.

58 AnitaKarwowska,WaldemarPaś,«KażdąPolkęmożespotkaćto,comojąsiostrę» Wyborcza,4févier2022.

LesrelationsentrelaSociétéCivilePolonaiseetlesinstitutionseuropéennesfaceàlatentatived’une harmonisationducadrelégaldel’avortementàl’échelledel’Union

Lorsdesa1419ème réunion,le ComitédesministresduConseileuropéenaprisunedécisionconcernantlaPologne,etlestroisdécisions précédemmentcitées,oùill’exhorte vivementàadopter,sansplusattendre,desprocéduresclairesetunifiéespourtousleshôpitaux,afinde garantirl'accèsauxsoinsetauxinformationsenmatièred'avortement.Ladécisionsouligneparticulièrementl’enjeumédicalvisantàassurerlasantédespatientesenceintes.Ellevientégalementmettre enévidencelamultiplicationdes contestationsportéesparles femmespourdonnersuiteàleurrefusd’accèsàl’avortementpourdes raisonsmédicalesetdemandeà l’étatd’agirpourgarantirlesmodalitésd’accès,rendulégalparladécisionduTCP. Detellesprisesàpartiepeuventêtrebénéfiquespourpropulserleschangements légauxvisantàprotégerl’intégritédespersonnesetleursdroitshumains.En somme,latransnationalisationdesquestionsdedroitsanotammentpermisd’accéderàdenombreuxavènementenmatièred’agendadugenre.Parexemple,lareconnaissancedesmariagesentrelespersonnesdemêmessexesdontl’unionaeu lieudansunautrepaysadonnélieuàunereconnaissancedujugeeuropéen.Sans forcerl’instrumentalisationd’unREGharmonisé,ilsembleraitquelejugeeuropéen emprunteuncertainélanlibéralistepourreconnaîtreetfaireconvergercertaines normeseuropéennes.

Cesprocèsentreprisparlescitoyenneseuropéennesontégalementàreplacer danslecadred’unbrasdeferentrelaCommissioneuropéenneetlaPolognequise déplacedanslaCourdeJusticedel’UE-CJUE.Lapériodede2015à2020illustre cettemiseencauseduPiSparl’UEquisoulignesesinquiétudesvis-à-visdel’indépendancedelajusticepolonaise.D’abordleParlementeuropéenaémisdesrésolutionsnon-contraignantesafindedénoncerlenon-respectdel’Étatdedroit(voirannexen°3).Puisprogressivement,cetteoppositionaétéinstrumentaliséedansles discourspolitiqueduPiSpourdénonceruneatteinteàlasouveraineté.Encesens, cesdéclarationsclamentlasupérioritédudroitpolonaissurledroiteuropéen. Contrairementàcequiaétéclaméauxcommencementsduprocessusd’intégration àl’Union-soitlavolontéd’«uneeuropéanisationcommeunprocessusdemodernisation»mêmeenl’absencede droitdur parlesparlementairespolonais-ilsembleraitqu’ilaituneaffirmationconcrètedelatentativede«déseuropéanisation»(Forest2021:60-77).Dès2017,laCommissioneuropéenneamenacélegouvernement

AfficheduStrajkKobietensouvenird’Agnieszka(2022)

polonaisdedéclencherlaprocéduredel’article7duTUE⁵⁹.Elleengageraunepremièreprocédurele29juilletenconséquencedelamiseenplaced’uneloipropulsant ledépartanticipédesjugesàlaretraite.Puis,unesecondele2juilletpourdonner suiteàunesecondemiseàjourdecerégimederetraite.Cesdeuxprocéduresdéboucherontsurlasuppressiondecesloisdel’ordrejuridiquepolonais⁶⁰.Pourdonner suiteàdiversrappels,etàlaquatrièmeoppositiondelaPolognequiaadoptéuneloi permettantdesanctionnerlesjugesquicritiqueraientlesréformesentreprisesdans ledomainedelajustice,ellealancéuneprocédured’infraction⁶¹.Ensomme,ilestà considérerquesesoppositionsjudiciairesalimententlesdiscoursduPiSquiaffirme encoreplusuneeuropéanitépolonaiseparlaprotectiondesasouveraineténationale.Defait,legenreetlapromotiondel’égalitéontétéinstrumentalisésetprisà partieauseind’undébatpopulistecommeunoutild’opposition.

Toutefois,lajudiciarisationeuropéennes’affirmedansuntempsextrêmement longcarilestsoumisauxrouagesdesinstitutionsàlafoisnationalesetinternationales.Ainsi,laprojectiond’unchangementlégalgrâceàl’indexionsdelajurisprudencelibéraledelaCEDHneseraitsatisfairel’agendacontrariédesquestionsdu genredontlesdébatsapparaissentdeplusenplusclivantssurlascèneeuropéenne. Néanmoins,ilconstitueungagerévélateurdelanécessitédepenserledébatetde l’ouvriràundegréinstitutionnalisépourl’Union.Enrevanche,lesprocéduresd’infractionsdelaCommissioneuropéennesemblentbénéficierd’unpoidsjuridique plusefficaceets’affirmentdansuntempsplusrapide.Or,ilestàconsidérerquel’institutionnepeutpoursuivrel’intégralitédesmesurespolonaisesquinesauraientsatisfairelesvaleurseuropéennes.CelareviendraitàuneremiseencausequirenforceraitlediscoursduPiSetisoleraitd’autantpluslepaysdelasphèreeuropéenne.En conséquence,lecurseurdessanctionsetdudialoguedoitsebalancerdanscettedichotomievisantàvaloriserl’acquiscommunautairesansromprelesrelationsdiplomatiquesavecunEMetengarantissantunhautdegrédeprotectiondudroitdes femmes.Ensomme,cedilemmecornélienmatérialisel’énigmedel’agendadugenre enmatièred’harmonisationducadrelégaldel’avortementauniveaueuropéen.

5.Conclusionetréflexions

L’avènementdel’avortemententantqu’interventionmédicaleestàlacroiséede débatsbioéthiques,religieuxetmoraux.S’ilnefaitaucundoutequel’interruptionde grossessevolontaireexisteparlapratique,sonaccèssécuriséetsansrisquerestel’enjeudesdiscussionsautourdesalégalisation.L’objectifdecetterechercheétaitde mettreenlumièreledéplacementdescontestationsetdialectiquesd’oppositionde

⁵⁹ Cetteprocédureamèneàlacontastationparlesvingt-sixautresEMd’unrisque« d’uneviolationgravede l’étatdedroit» enPologne.ElleentrainedefaitladémissiondesfonctionsdedroitdevoteauConseil.Ellen’a paspourl’heurejamaisétéactivée.

60 LucasDaSilva,«Etatdedroit:chronologieduconflitentrel’Unioneuropéenne,laPologneetlaHongrie», Toutel’Europe,consultéle10mai2022.https://www.touteleurope.eu/fonctionnement-de-l-ue/etat-de-droitchronologie-du-conflit-entre-l-union-europeenne-la-pologne-et-la-hongrie/.

61 Ibid.

LesrelationsentrelaSociétéCivilePolonaiseetlesinstitutionseuropéennesfaceàlatentatived’une harmonisationducadrelégaldel’avortementàl’échelledel’Union

laSociétéCivilePolonaiseausujetdel’avortementsurlascènepolonaiseversla scèneeuropéenne.Enconsidérantledegrédelapolitisationqu’elleaacquisdepuis 2016,forceestdeconstaterquelasaisiedecettequestionpasseparl’analysedes possibilitéslégalesd’harmonisationenvisageablesauniveaudesinstitutionseuropéennes.Bienquenotrerechercheseconcentresurlasociétépolonaisepourcomprendrelesdemandesportéesparsasociétécivile,ilfautrappelerquelereculde l’accèsàcedroitestvisibledansplusieurspaysmembresdel’Union,etinterpelleun nombregrandissantdedécideurspolitiques.Enréalité,l’Unioneuropéennenedisposed’aucunecompétencepourassurerlapriseenchargedecedébat,ellenepeut ques’ensaisirenayantlagarantielégitimecitoyenne,c’est-à-direenobservantdes mouvementsdecontestationquis’institutionnaliseraient,ets’incarneraientpardes décisionsjudiciaires,démontrantdelanécessitéd’unchangementpourprotégerles droitshumains.Le«triangledevelours » proposéparl’agendadesquestionsdu genrevientinduireunegouvernanceinformellequiappellelesinstitutionsàredoublerd’effortpourtenterd’indexerdestransformationsetgarantirlesambitionsde l’établissementd’unrégimed’égalitédesgenres.Ledébatautourdel’IVGanotammententrainélaconfusionentrelesdemandesmilitantpourl’accèsàl’avortement sansrisqueetl’avortementsurdemande.Ilestparticulièrementintéressantd’observerlapositionduParlementeuropéenquidepuissixans,s’attacheàincarner,demanièredeplusenplusaffirmée,lapromotionetladéfensedecedroit.Lesliensqu’ils existententrecetteinstitutionetlesorganisationsenfaveurdel’accèssansrisqueet surdemandeàl’IVGreflètentlamiseenplaced’uncourt-circuitdansledialogueinterétatique.Cesrelationspermettentnotammentdefinanceretdedonnerunelégitiméauxorganisationsquibienquecontestéeàleurséchelleslocales,assumentun rôledepromoteurdesvaleurseuropéennes.Enoutre,lavivacitédesorganisations delasociétécivile,enfaveurdel’ouverturecommedelarestrictiondoiventêtreanalyséeselonleursforcesàs’incarnerdansunesphèreendehorsdeleuréchellenationale.Cetélémentvientnotammentmettreàmallesthéoriesdécriantlafaiblessedes sociétéscivilesdespaysétantsortiesdelasphèresoviétique.Defaçonévidente,elle vientmêmesoulignerleurcapacitéàêtrelesmoteursd’unedémocratieeuropéenne.

Enrevanche,ouvrirledébatsurl’harmonisationdel’avortementàl’échelleeuropéenneestunemissionparticulièreàl’heuredela«déseuropeanisation »polonaise induiteparleprogrammepolitiqueduPiS.Laprotectiondelasouverainetédel’État, etlapromotiond’uneeuropéanitéàlapolonaise,appuyéeparl’Égliseetassuréepar desrelaisdelasociétécivile,s’accordentàdénoncerlegenrecommeuneidéologie ettentederéduirelerôlequelesinstitutionsdel’UEpourraitjouerdansl’écriture d’unelégislationtouchantàl’égalitéouàlasanté.C’estpourquoil’observationdela politisationdesquestionsdugenreenPologneestàlirecommeunestratégiedeplus grandeampleurvisantàjustifierlamiseenrécitd’unevisionspécifiquedel’Europe.

Danslemêmetemps,elleestàanalyserdansuncontextededivisiondelasociété Polonaisequihésiteetsedéchireentrelechoixdel’apostasieetlerenforcementdes prérogativesdel’Églisedanslapolitiquedel’État.Ainsi,l’avortementn’apasétéla grandequestionsacrifiéeducompromiseuropéenmaisbienplusuneprisederisque

impossibleàamenersurlestablesdesnégociationsduConseildel’UE.Incapable d’obteniruneratificationdelaConventiond’Istanbuletunconsensus,ilsembledifficiled’imagineruneéventuellerégulationsurunsujetheurtantàtantdeproblématiquesetconsidérationssocialesauniveaueuropéen.Deplus,ilexisteunedifficulté résiduelledanslefaitquelaprisedepositionenfaveurdel’avortementdemeurelimitéeaucercledelacommissiondesdroitsdesfemmesetdel’égalitédesgenres, soitàl’enceinted’undesvingt-troisgroupesdetravaildel’institution,quiestdavantagesensibiliséfaceàlanécessitédefaireévoluerlecadrelégaleuropéendel’égalité. Pourl’heure,bienqueladéclarationduPrésidentEmmanuelMacronrésonne commeunevolontéd’ouvrirledébat,elleapparaitcommehasardeusefaceàl’immensechantierlégaletlestensionsinterétatiquesetreligieusesquisecachentderrièrel’avortement.Encesens,ilsembleraitquesacraliserl’accèsàl’avortementsans risqueaurangdedroitHumains,etenfaireunevaleurpromueparl’UE,s’apparente davantageàundialoguereligieuxqu’àundéfistrictementlégal.Ensomme,consacrerl’avortementsansrisquetémoigneraitdelapremièreéventualité,etadmettre sonaccèssurdemandeparsurcroît,unparirejoignantlesdeuxenjeux.Ainsi,ledébat surl’avortementoscilleentreconsécrationdesvaleurseuropéennesetconsensusinterétatiques.

Comprisecommeuneréellemiseàl’épreuvedurégimeeuropéend’égalitédu genre,uneréellefenêtred’opportunitéapparaitpourlesinstitutionsdel’UEquantà l’uniformisationdelalégalisationmieuxétabliedecetteinterventionmédicale.Il s’agiraitnotammentdesatisfairelescritèresonusiensengarantissantundegréde protectiondelasantédesfemmesdansledomainedesdroitssexuelsetgénétiques. Encesens,lesprocéduresd’infractionsprisesàl’encontredelaPolognepermettent deprotéger–enrappelantlapossibilitéd’unecriminalisation-l’Étatdedroit.Par ailleurs,l’éventualitéquelasaisinedujugeeuropéenpuisseavoiruneffetpositifsur defuturesrégulationsn’estpasàexclure.Lamultiplicationdesaffairesvenant condamnerlaPolognepourraitconstitueraufildesannéesunesourcejuridiquepermettantdejustifierl’interventiondel’UE.Pensercedébatrevientàcomprendrele jeudeslimitesinstitutionnellesafindemieuxévaluerlespossibilitésd’actionémanantduspectrederationalitéinstitutionnelle.BienquelaCommissionn’aitpasadmiscettepossibilité,l’inégalaccèsàl’avortementsansrisqueauseindel’espaceeuropéendelibertépourraitsevoitdéfinircommeuneinégalitéd’accèsentreles genresdansledomainedelasanté.Auprismed’uneUnionsouhaitantagirdansle domainesanitaireaprèsl’épisodepandémiquedelaCOVID-19,laréflexiondel’avortementpourraitêtreouvertedanscequ’ellenécessiteuneharmonisationdel’accès àl’informationetauxsoinsmédicauxdel’ensembledescitoyens.

Àlalumièredecetterecherchequelquesprospectionssontàfairequantàl’avenirdecedébat.Toutd’abord,ilestfascinantd’observerquelegouvernementpolonaisaprisladécisionhistoriqueenavril2022depoursuivreunemilitanteayantfacilitél’accèsàlapiluleabortive-JustynaWydrzyńska–faisantsuiteàlademande d’unefemmesouhaitantavorterd’unegrossesserésultantdeviolencesdomestiques.L’ouverturedelapossibilitédepoursuivrelesmilitantsestparticulièrement

LesrelationsentrelaSociétéCivilePolonaiseetlesinstitutionseuropéennesfaceàlatentatived’une harmonisationducadrelégaldel’avortementàl’échelledel’Union

inquiétantecarellepourraitsetransformerenunrecoursfréquentquipourraitreviendraitàsaperl’énergiedéployéeparlesmilitantsenlesplaçantdansl’illégalitéet parlamêmenuireauxprincipesdereprésentationdel’ensembledesintérêtsausein d’unedémocratie.

Deplus,lesrécentstémoignagestelqueceluidelafamilled’Agnieszka,commenceàmettreenavantl’existenced’uneirrégularitédanslesystèmelégaldel’avortementactuel.L’appuidelaCEDHencesenspourraitêtreunpivotnécessairepour vérifieretveilleraurespectdesnormes–trèsrestrictives–polonaises.

Enoutre,ilfautexplorerlapossibilitéselonlaquellelaguerreenUkrainepourrait créerunereconfigurationdelapromotionetdéfensedesintérêtssurlascènenationale.Eneffet,enréactivantl’oppositionàlaRussie,plusprécisément,anti-Poutine, lesrelaisdelasociétécivileinsistentsurlacraintedel’envahisseurrusseetchercheà exclurecesderniersdesréseauxd’influencedansl’espacepublic.Cettedialectique estparticulièrementutiliséeparlemouvementpolymorphe StrajkKobiet quitente dorénavantdesesaisirdesquestionsgéopolitiquesafindemieuxdénoncer OrdoIuris etsesliensavecsesfinanceurs.Décriéepoursesliensaveccertainsoligarques russes,ilestpossiblequel’organisationsoitconfrontéeàunprocèssocialquipourrait laconduiraàexprimerdavantagedetransparencesursonbilanfinancier.Ainsi,les événementfuturetlaforcedecettecontestationpourraientêtredéterminantssurla scènenationale,enparticulieràl’approchedesélectionsduParlementpolonaisen 2023.

Enfin,laforceetl’influencedelaPrésidencefrançaiseduConseildel’Unioneuropéenne,et,labrèvementionconsacrantl’accèsàl’avortementaurangd’unevaleur européenneseraàobserverdanslacontinuitédestroissemestresqu’elleainitiées. Ainsi,ils’agirad’observers’ilexisteunecontinuitédecedébatdanslesprésidences TchèquesetSuédoiseetsicelle-cimarqueralecurseurdecesprioritésàunaccèssécuriséousurdemandeauniveaueuropéen.

Annexen°1

Définitionsetconceptsautourdel’avortement

L’avortement,ouinterruptionvolontairedegrossesse,estdéfinieparl’interventionmédicaleàlaquellelesfemmesenceintespeuventrecourirpourinterrompreleurgrossesse.En cesens,ils’intègreauxdroitssexuelsetgénésiques.

Danslecadremédical,ilexistedeuxméthodesd’interruption:

- IVGchirurgical

- IVGmédicamenteuse

D’unpointdevuejuridique,l’avortementestlégalenEuropeàl’exceptiondu Vaticanetd’Andorre.Enrevanche, chaquelégislationconditionnel’accèsà l’avortementseloncertainesmodalités tellesque:malformationourisquede santéimportantpourlefœtus,risquede santépourlapersonneportantlefœtus, grossesserésultantd’unvioloud’uninceste.Ledélaid’accèsestégalementun enjeupermettantdevaloriseretd’évaluerl’avènementdecedroit.

Danslecadredenosrecherches,le droitàl’avortementestcentral.Faireétat deladéfenseetdecedroitamèneàparticulièrementdifférencierdeuxintérêts découlantdesaconceptualisation:

-Accèsàl’avortementsansrisques: correspondàl’accèsàl’interruption degrossessevolontairedansun cadregarantissantunégalaccèsaux informations,aucorpsmédicalet hospitalier.

Cartedelalégalitédel’avortementparpaysouterritoire (Wikipedia,2022)

-Accèsàl’avortementsurdemande: correspondàl’accèsàl’interruptiondegrossesse volontairequinecomporteraientaucunelimitespécifique.Celacorrespondàlasituationoùlalégalitédel’avortementseraittotaleoudumoinslimitéseulementparundélaiindiqué.

Demanièreconcomitante,lapromotionetladéfensedel’accèsàl’avortementsurdemande entrainelesoutiendelarhétoriquedesonaccèsquidoitêtreassuréparlecorpsmédicalet hospitalier.

LesrelationsentrelaSociétéCivilePolonaiseetlesinstitutionseuropéennesfaceàlatentatived’une harmonisationducadrelégaldel’avortementàl’échelledel’Union

Annexen°2

CompteInstagramduStrajkKobiet,miseenévidencedescampagneanti-Poutineet contrelaguerreenUkraine,12mai2022

Annexesn°3

ListedesrésolutionsadoptéesparleParlementeuropéenenlienaveclaPologneetle non-respectdel’Étatdedroitetprésentationsdeleursprincipalesvocations :

Aucœurdecetteannexe,chacunedesrésolutionsadoptéesparleParlementeuropéen danslapériodeallantde2016à2022estbrièvementmisenlumièreparsesprincipauxbuts etobjectifs.L’intérêtdecettenoteétaitd’appuyerleproposavancédanslechapitre2au sujetdel’implicationdecetteinstitutioneuropéennedansl’établissementd’uncadrenormatifharmonisévisantl’accèsàl’avortementsansrisquedansl’ensembledel’UE.

RésolutionduParlementeuropéendu14septembre2016surlesrécentesévolutionsen Pologneetleursconséquencessurlesdroitsfondamentauxinscritsdanslachartedes droitsfondamentauxdel'Unioneuropéenne :estlapremièredécisionvenantdirectement soulignerl’absenced’un« tribunalconstitutionnelpleinementfonctionnel »etmarquersapréoccupationque «pourraientconstituerdesviolationsdudroitdel'Union,delajurisprudencede laCoureuropéennedesdroitsdel'hommeetdesdroitsfondamentaux,ycomprislesdroitsdes femmes ».

RésolutionduPEdu15novembre2017surlasituationdel’ÉtatdedroitetdeladémocratieenPologne :affirmesonsoutienvis-à-visdesOFC,et,critiquetoutesrestrictionssur l’accèsàl’avortement:« critiquevivementtoutepropositionlégislativequiinterdiraitl'avortementencasdemalformationgraveoufataledufœtus(…)réaffirmefermementsonsoutienaux organisationsdedéfensedesdroitsdesfemmes,étantdonnéqu'ellesontrécemmentétélacible depoursuitesjudiciaires ».

RésolutionduParlementeuropéendu14novembre2019surlacriminalisationdel’éducation sexuelleenPologne : dénoncedesdécisionsenlienaveclasantéetl’éducation,soitdeux compétenceshorsduchampsdel’UE:« réaffirmeavecvigueurquel’accèsàdesinformations complètes,etadaptéesàl’âgedelapersonneciblée,surlesexeetlasexualitéainsiquel’accèsà dessoinsdesantésexuelleetreproductive,ycomprisl’éducationàlasexualité,lesservicesdeplanificationfamiliale,lesméthodesdecontraceptionetunavortementsûretlégal,sontessentiels pourfaireensortequel’approchedelasexualitéetdesrelationssexuellessoitpositiveetrespectueuse ».

RésolutionduParlementeuropéendu17septembre2020surlapropositiondedécision duConseilrelativeàlaconstatationd’unrisqueclairdeviolationgrave,parlaRépubliquedePologne,del’étatdedroit :proposeunvoletthématiquesurla« santéetdroits sexuelsetgénésiques »afindedénoncerlestentativesdelimitationdudroitàl’avortement etsouligner qu’ellesontété «interrompuesen2016eten2018enraisondel’oppositionmassivedescitoyenspolonaisexpriméedansles«Marchesnoires».

RésolutionduPEdu26novembre2020surl’interdictiondefaitdudroitàl’avortement enPologne :pourlapremièrefoiscondamnedirectementunedécisionpriseparuneinstancesuprêmedejuridiction:« condamnevivementl’arrêtduTribunalconstitutionneletlereculdelasantéetdesdroitsdesfemmesenmatièredesexualitéetdeprocréationenPologne ».

RésolutionduParlementeuropéendu24juin2021surlasituationconcernantlasantéet lesdroitsgénésiquesetsexuelsdansl’Union,danslecadredelasantédesfemmes : fait actedesprécédentesrésolutionsvisantàcondamnerladécisionpriseparleTribunalpolonaisen2020,et,placedanssesconsidérantsunedénonciationdupoidsdesOCRdansles changementsjuridiquesdeslégislationsnationales.

LesrelationsentrelaSociétéCivilePolonaiseetlesinstitutionseuropéennesfaceàlatentatived’une harmonisationducadrelégaldel’avortementàl’échelledel’Union

RésolutionduPEdu11novembre2021surlepremieranniversairedel'interdictionde faitdel'avortementenPologne :réaffirmesadécisionpriseunanauparavantennotant qu’aucunevolontédechangementn’aétéentreprisparlegouvernement.

RésolutionduParlementeuropéendu5mai2022surlesauditionsencoursautitrede l’article7,paragraphe1,dutraitéUEencequiconcernelaPologneetlaHongrie :faitréférencedanssesconsidérantsàlarésolutiondu11novembre2021etparlamêmel’utilise commemotifpourcaractériserlenon-respectdel’Étatdedroit.

Annexen°4

Observationparticipante-Présentationdurapportdel’EuropeanParlementaryForum forSexualandReproductiveright–EPF intitulé «Lapartieémergéedel'iceberg:Extrémistes religieux-Lesfinanceurscontrelesdroitsdel'hommepourlasexualitéetlasantéreproductive enEurope »devantleParlementpolonais.

Le13avril2022, l’EuropeanParlementaryForumforSexualandReproductive rights-EPFaprésentésonrapportenprésence deladéputéepolonaiseJoannaScheuringWielgusmembreduréseau,ainsiquedelasociologueElżbietaKorolczuketdu journalisted'investigationTomaszPiątek.LaprésentationdirigéeparNeilDattas’estétenduesuruneheureetn’aété marquéeparaucuneinterventiondelapartdel’opposition.Moinsd’unedizainedepersonnesétaientprésentdanslasalle, et,quatreontsuivilaréunionenligne.Celle-ciétaitretransmisesurlesiteofficielduParlement.Lerapportaétémisà dispositiondanssaversionpolonaiseetanglaise.

LesrelationsentrelaSociétéCivilePolonaiseetlesinstitutionseuropéennesfaceàlatentatived’une harmonisationducadrelégaldel’avortementàl’échelledel’Union

Annexen°5

Photospersonnellesdel’exposition « Quiécriral'histoiredeslarmesdesartistessurlesdroits desfemmes ?»(2021),auMuséed’ArtsNouveaudeVarsovie.

PancartesutiliséesparlesmanifestantpolonaislorsdesmanifestationscontreladécisionduTribunalConstitutionnelen octobre2020(bas),Drapentissuutiliséparlesmanifestantslorsdesmanifestationsenfaveurdel’avortementenIrlandeen 2016(haut).

LesrelationsentrelaSociétéCivilePolonaiseetlesinstitutionseuropéennesfaceàlatentatived’une harmonisationducadrelégaldel’avortementàl’échelledel’Union

Annexen°6

PhotospersonnellesdudéfiléorganisépourlajournéenationaleparlecollectifAntyfa, soutenuparleStrajkKobietle11novembre2021.

PhotosmontrantenavantlesmanifestantsmarchantavecledrapeaudelafiertéreprésentantlacommunautéLGBTQI+.De lamêmemanière,uncertainnombredeparticipantsétaithabilléd’unecouverturedesurvisdestinéeàdénoncerlemanque d’aideinternationaleetgouvernementalevis-à-visdesréfugiéssituésàlafrontièreBélarus-polonaise.

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YouTubersandStreamers:LabourConditionsintheEU

Introduction

WithintheGigEconomyphenomenon,anemergingtrendisincreasinglygainingeconomicandmediaticrelevance:theCreators'Economy.

Asamatteroffact,inthelastyears,theGigEconomy’sacademicandlegislative focuswasontheworkingrealmof‘riders’.However,sincethelaunchofplatforms suchasYouTubeandTwitch,‘contentcreators’havegraduallyconqueredafundamentalpieceofthemarket,whichallowsthemtomakealivingbycreatingcontent. Moreover,aftertheCovid-19pandemic,thisphenomenonhadanothersignificant boostduetothesuitabilityofthisprofessiontorespectthedistancingmeasuresimposedbygovernmentsallovertheworld.

AsthedatacollectedbySignalFireshows(figure1.),withmorethan50million workersinmoreorlesstenyears,beingacontentcreatoristhefastest-growingtype ofsmallbusiness.Inthe‘BenchmarkReport2021’,NeoReach,inpartnershipwithInfluencerMarketingHub,estimatedthetotalCreatorEconomymarketsizeasaround $104.2Billion,ontheroadtoreachingtrillionsshortly(Geyser2022).

Figure1:TAM(totaladdressablemarket) analysisprovidedbySignalFire (Constine,Yuan2021)

Asusualintheworkingrelationship,andmaybeeven morethantheaveragedueto thesize–andconsequential negotiatingpower–ofthese platforms,thereisanevident asymmetryofpowerbetween thetwobargainingparties.

policies,thesuddenandnotconcertedchangesinthealgorithms,thelackofhuman assistancebytheplatforms’staff,andthedisciplinarysanctionswithoutawayofappealarejustexamplesofhowthecontentcreatorsareinevitablyandstrongly affectedbyunilateralplatforms’decisions.

AntoninoMatafù

AntoninoMatafù, Collegeof EuropeinNatolin,antonino.matafu@coleurope.eu

Thiscategoryofworkersclearlyneedsprotection¹.Thus,thelegislatorshould stopconsideringthecreatoreconomyaminorphenomenonor,worse,understating contentcreatorsasamateursandnotasworkers.Infact,theheateddebateonthe ‘categorisation’ofcontentcreators–iftheyhavetobeconsideredemployees,selfemployedorwhateverothercategories–shouldnotimpedetheultimategoalof grantingtheprotectionsoftheirfundamentalrights.

Theobjectofthisworkistheassessmentofthelabourconditionsofthecontent creatorsworkingintheEuropeanUnion.

However,itisessentialtounderstandhowitisimpossibletobuildasinglereconstructionofthewholecategoryofcontentcreators.Dependingmainlyontheplatform(beitYouTube,Twitch,Instagram,TikTok,orelse),butalsoonthenatureofthe contenttheyprovide(evenwithinthesameplatform),theyhaveacompletelydifferentjobroutineand,consequently,differentissues.

Thus,thescopeofthisresearch,inherentlylimitedbythenatureofaMaster’s Thesis,willbelimitedtoapartialoverviewofthelabourconditionofcreatorswho produceaudio-visualcontentonYouTubeandTwitch.Moreover,evenifIwilldraw upondifferentaspectsoftheworkinglifeofthesecreators,thefocusofthisdissertationwillbeontheissuesofcontentmoderationanddisciplinarymeasuresadopted bytheplatform.

Myintentionistoshowtheacademicandlegislative lacuna onthetopicbyanalysingthecreators’economyfromanewlabourperspectivethatgoesbeyondthe categorisationandtheformalgrantofrightstothecreators,focusinginsteadonthe obligationsupontheircounterparts(i.e. theplatforms)andthepracticalenforceabilityoftheresultingrightsforcreators.Theendgoalistoidentify–withinthefragmentedEUlegalframeworkonthistopic–thelackofprotectionand,consequently,to proposewhichsafeguardsshouldbeimplementedattheEuropeanUnionlevel.

Followingthisintroduction–devotedtoprovidingbackground,currentsituation,andrelevanceofthecontentcreators'economy–thefirstsectionwillbea premiseontheessentialdefinitionsforthistopic.

Afterthat,thesecondsectionwilldealwiththeactuallabourconditionofEU contentcreators.Forthesakeofeffectiveness,IhaveconductedinterviewswithcontentcreatorsworkingindifferentEUmemberstatestoknowtheirpersonalstories andproblemswiththeplatforms.Iwouldliketoexpresstothemmyheartfeltgratitudeforthetimetheyhavedevotedtome.

Afterwards,thethirdsectionwillbefocusedonreconstructingthescarceand fragmentedEUlegalframeworkthatrelatestocontentcreators–thereisnoprovisionaddressingthemdirectlyandcomprehensively–withtheaimofpointingout thelackofprotection.Theresearchdesignhasbeenthelegalanalysisofthevarious

1 SeeUberBVandothersvAslamandothers,No.UKSupremeCourt(19February2021).ThisjudgementonGig Economyshowshowemploymentlaw–whosepurposeistoprotectvulnerableworkersfromunfairtreatment duetocontractualimbalance–mustadapttonewcategoriesofworkers.Nomattersthedivisionadoptedby thenationallabourlegislation–theUKdifferentiatesbetweenemployees,workersandindependentcontractors (self-employed)–itisessentialtogobeyondtheformalcategorisation.Ifthereareelementsofsubordination and/ordependency(fromtheplatform),theworkershavetobeprotectedbythegovernment.

presentEUlegalinstrumentsindirectlyaddressingtheworkofcontentcreators,plus thescrutinyofspecificlegislativeproposalswhicharelikelytochangetheirlegalsituationinthenearfuture.

Thisanalysiswillbethestartingpointforthefourthsection,inwhichthefindingsoftheprevioustwosectionswillbeputinrelation.Aftershortlysummingupthe problemsexperiencedbycreators,wewillassessiftheEULegalFramework–both presentandfuture(underdiscussion)–iscapableofaddressingthem.Ifthereisa lackofprotection,wewillsuggesthowtointerveneattheEUlevel.

Lastly,theconclusionwillbedrawnbasedonthefindingsoftheprevioussections.

1.Definitions

Inordertounderstandthescopeofthisresearch,apremiseonthedefinitionsis essential.

WithintheGigEconomy,itispossibletodistinguishtwotypesofwork.

Ontheonehand,in‘On-locationwork’,(a)thematchingisonline,while(b)the executionphasetakesplaceinthephysicalworld.Anexampleisthatofriders².

Ontheotherhand,in‘On-line work’,both(a)thematchmakingbetweendemand andsupplyoflabourand(b)theexecutionoftheworkisvirtual.Anexampleisthat ofcontentcreators³.

Theformer’sworkrelationshipresemblesmoreofanemploymenttype,thusrequiringsomeofthecautionsnormallygrantedtoemployees.Whereasthelatteris mostlikelytofallwithinthescopeofself-employmentorsmallentrepreneurialrealities,whichnonethelessneedprotectionintermsoffairnessandtransparencyofthe conditionsandthedecisionsimposedbytheplatformthroughwhichtheyexercise theiractivity(Scialdone,Greco,Bennato2021).Infact,thishybridcategorisation–formallyindependentcontractorbut,asamatteroffact,economicallydependenton theplatforms’policiesanddecisions–istheleadingcauseofthelackofprotection.

Consequently,duetotheintrinsicdifferencesintherelationshipwiththeplatform,itiscrucialtoresistthetemptationofcopyingorextendingtheregulatorysolutionadoptedfortheridersorforotheron-locationworks.Weshouldavoidanautomatic‘riderisation’ofdigitalcreatives;theycannotbecategorisedasemployees⁴. However,tailor-madelegalprotectionismuchneeded.

Next,itisfundamentaltodrawanotherdistinction,thistimewiththecategory ofthe‘influencers’.Theseactorsstipulateacontractualrelationwiththird-party brands,agreeingonconveyingpromotionalmessagesthroughthecreationofcontent–whichwillbespreadononlineplatforms–toinfluencethemarketchoicesof followersinfavourofthatbrand(Antonucci,Biagioni,Notarianni2021).Theplat-

2 Otherexamplesaredrivers,domesticcleaningservicesorothermanualworkmatchedonline.

3 Otherexamplesaretranslation,programmingorotherservicesmatchedandexecutedviaplatforms.

4 Asimilarattempthasbeenmadebythe11th PermanentCommissionoftheItalianChamberofDeputy(Public andprivateemployment).Inthefact-findingsurveyon ‘workersengagedindigitalcontentcreationactivities’, madefrom28/04/2021to09/03/2022,thestartingpointwastheassessmentof“thepossibilityofextendingto thesecategoriesofworkers[contentcreators]theprinciplesandprotectionsrecentlyintroducedfordigital platformhomedeliveryworkers[riders]”.

YouTubersandStreamers:LabourConditionsintheEU

formsthroughwhichtheyconveythiscontentarethesameasweareanalysing.In fact,contentcreatorsoftenworkas‘influencers’:thankstothesizeandconnection withtheircommunity,theyareveryappealingsubjectsforthird-partybrands.

Nonetheless,brandedcontentisasourceofearningsforcontentcreatorsthatdo notstemdirectlyfromtheplatform.Thus,itgoesoutsidethescopeofthisresearch. Moreover,asignificantpartofthecreators’incomedepends,instead,ontheplatform onwhichtheywork,aswearegoingtoseeinthesecondsection.

Thus,itwouldbereductivetooverlapthesetwoworkingprofiles.

Lastly,anothercriticaldistinction,thistimewithinthesamecategoryofcontent creators,istheonebetween‘amateur’and‘professional’.

Theextentoftheamateur’scategorisationisoftendebated,especiallyforthose whogoagainsttheconsiderationofcontentcreatorsasworkers.Forthesakeofthis work,inthesecondsection,wewilldrawaclearlinebetween‘amateurs’and‘professionals’thankstotheplatforms’policies,whichclearlystatetherequirementforthe partnership.

Moreover,itisessentialtopointoutthatlegislativeprotectionisneedednotonly forthe‘stars’oftheseplatforms–whichusuallyconstitutemediumorlarge-sized companies–butespeciallyfortheminorprofessionalwho,nonetheless,makealivingwiththecreationofcontent.

2.TheActualLabourConditionsofYouTubersandStreamers

ThissectionwillbedevotedtotheanalysisofthelabourconditionsofEUcontentcreatorsoperatingonTwitchandYouTube.

Thesetwoplatformshavealotincommon:theaudio-visualnatureofthecontentdelivered;theexistenceofapartnerprogram;theroleofAIinthecontrolprocedures;thebusinessusersandtheconsumers'basis.Moreover,bothareinapositionofcontractualimbalanceintheirfavourduetothefactthattheyentirelyarrange thecontract.

Nonetheless,inthefollowingsub-sections,somecrucialelementsthatdistinguishthetwoplatforms–thus,justifyingtheirexistenceandcompetition–willbe pointedout.Forthisreason,acomparativeanalysiscanbehelpfultounderstandbetterthedifferentfeaturesoftheworkingrelationshipwithcontentcreators.

Inordertounderstandtheconcreteproblemsofthiscategoryofworkers,thus transformingameretheoreticalworkintoaneffectiveone,IhaveconductedinterviewswithcontentcreatorsfromseveralEUmemberstatestoheartheiractualstories.

Forthediscussion,Ihavepreferredaflexiblescheme,ratherthanafixedscript,in ordertogivethemthepossibilitytotelltheirjobstoryandthedifficultiestheyface intheirworkinglife.Iwouldliketothankonceagainallofthemfortheircontribution. Itwasessential.

Theworkingframeworkofcontentcreatorswillbedividedinto(1)substantial rightsandobligationsand(2)proceduralrightsandobligations.Thefocusofthisdis-

sertationwillbeontheproceduralaspect,wherewewillseethecrucialroleplayed byAIandalgorithmsinthereportingsystemandtheverydiscretionalpowerofthe platforms,especiallywithregardtocontentmoderationanddisciplinarymeasures.

2.1Twitch

Twitchisaninteractivelive-streamingserviceownedbyAmazon.com,launched onthemarketon06June2011.Inthelightofits‘live’nature,hereinafter,wewilluse theterms‘streamers’or‘broadcasters’inreferencetocontentcreatorsonTwitch.

Theplatformisbuiltonasystemoftwoprogramsthatallowstreamers,atthe fulfilmentofspecificrequirements,toenjoyeconomicandtechnicalbenefits.

Thefirststepisthe‘AffiliateProgram’,thankstowhichbroadcasterscanstart earningrevenues.Therequirementtosatisfyare(Twitch.Tv-AffiliateProgram):

a)Streamforatleast500totalminutesoverthelastmonth;

b)Atleastsevenuniquebroadcastdayswithinthelastmonth;

c)Averageconcurrentviewershipof3ormoreoverthelastmonth;

d)Atleast50Followers.

Theprocess,completethroughtheCreatorDashboard,willleadthestreamertosign theTwitchAffiliateAgreementagreeingtothetermsoftheprogram.

Afterbecomingan‘Affiliate’,thestreamershavethepossibilitytoadheretothe ‘PartnerProgram’.Inordertodoso,theyneedtofulfilthefollowingrequirements (Twitch.Tv-Partners):

a)Streamforatleast25hoursoverthelastmonth;

b)Atleast12uniquebroadcastdayswithinthelastmonth;

c)Concurrentviewershipof75viewerswithinthelast30days.

Thepassagefrom‘Affiliate’to‘Partner’isnotautomatic.Itneedsaformalrequest madebythestreamer,whichwillbeassessedbytheplatform.Moreover,someofthe streamerscomplainabouttheslownessofthisprocess,whosepaceseemstovary dependingonthenumberofactualpartnersandrequestsforpartnership⁵.

ThemainadvantagesofbecomingaPartnerconsistof(1)thepossibilitytonegotiatetheearningshares⁶;(2)channelcustomisation(e.g. VerifiedUserBadge);(3)the extensionofVODstorage⁷;(4)prioritysupport;(5)VideoTranscodes–e.g.qualityoptions,whichallowviewerstoadjustthequalityinwhichtheyviewabroadcast (Twitch.Tv-Partners).

5 ThiswasthecaseforMarioSturniolo.

6 DuringtheinterviewsthecreatorsconfirmedthatthereisthepossibilitytonegotiatewithTwitchtheshares. Yet,evidently,thebargainingpowerchangeswithrespecttothesizeofthechannel.Themoresignificantis youraudience,themorefavourablesharesyoucannegotiatewiththeplatform.Moreover,thesefavourable clausesareoftenfollowedbyaspecifictargettofulfilbythestreamer(likea‘bonus’).Forinstance,havingat leastXhoursofstreamingforYnumberofdaysinordertobringTwitch’ssharesdowntoZ%.

7 “AVOD(VideoonDemand)isanarchiveofcontentpreviouslystreamedliveonTwitch.UtilizingVODscan helpgrowyourchannelandalsoallowyourcommunitytowatchcontenttheymayhavemissedotherwise” (Twitch.Tv-VideoOnDemand).

Thislastfeatureseemstobemostwantedbytheaffiliates.Thisisbecausealarge partoftheviewersdoesnothaveaninternetconnectioncapableoffollowingafull HDlivestream.Thus,thepossibilityofdownsizingthequalityofthebroadcastmeans havingmoreviewers.Thismakesahugedifferenceforthestreamers(fl0nki2022).

2.1.1SubstantiveRightsAndObligations

2.1.1.1Earnings

TherearefourwaysthroughwhichstreamerscanmakealivingonTwitch.

Firstly,thesubscriptions(hereinafter,‘Sub’).Thistoolallowstheaudiencetoeconomicallysupportthebroadcasterinexchangefor‘rewards’,buildingaswellfidelisationoftheviewer.DifferentSub’slevels(alsocalled‘tier’)correspondtodifferent pricestopayandtodifferentrewardsobtained.FromtheSub,Twitchwithholds,on average,50%oftheprice(Twitch.Tv-AffiliateAgreement)⁸.Moreover,thesubscriptiontoAmazonPrimegivesthepossibilityofafreeSubtoonestreamerforamonth. Inthisway,AmazonpaysthepricefortheSub,grantingsupporttothestreamerand fidelisationtotheviewer.

Secondly,theadvertisement(hereinafter,‘ADS’).Twitchgivesthebroadcasterthe possibilitytoairadsevery8minutes⁹.Themoreliveviewerstherearewhentheyair, themorethestreamerearns.However,partnersonlyearnashareoftherevenue, whichisagreeduponinthepartnershipagreementand“maychangefromtimeto timeinTwitch’ssolediscretion”.Moreover,itcannotexceed75%ofapplicableNetAdvertisementRevenues(Twitch.Tv-AffiliateAgreement).

Thirdly,the‘bits’.TheseconstituteasortofTwitch’scryptocurrency.Theusers convertmoneyintobitsthattheycanusetobuydigitalgoodsorservicesfromthe streamer(e.g.emoji,alert)¹⁰.Intheend,thebitscollectedbythestreamerwillbeaddedtothemonthlypaymentsbyTwitch.

Lastly,thedonations.Userscandonateanyamountatanymoment;thus,itisa veryvolatilesourceofearningsonwhichstreamersdonotrelytoomuch.The streamerisgoingtoreceivethedonationwithfeesalreadydetractedbythepayment system(mostlyPayPal).Inordertofosterdonations,thebroadcasterintegratesthem intotheirformatsbylinkingeachdonationmadetoahappeningduringthelive show(e.g. startofaspecificsong).

Toconclude,alltheseearningscomingfromtheplatform¹¹ –afteralreadybeing subjectedtolowsharesimposedbytheplatforminapositionofmonopoly–need tobe(1)convertedfromthedollartothestreamers'nationalcurrencyand(2)taxed followingthespecificnationallegislation.

8 Moreover,somecreatorsstatethatusuallythepartneragreementsetTwitch'ssharesdependingonthelevel ofthetier:lv.150%,lv.240%,lv.30%.

9 Partnerscandeterminethelengthandfrequencyofmid-rolladvertisementsthroughtheirdashboards.

10 Forinstance,theviewercanbuyviabitsanaudioalert–setinadvancebythestreamer–whichwillbe reproducedduringthelivestream.

¹¹ AsidefromtheearningsrelatedtoTwitch,thestreamerscanmakealivingthroughprivatecontractsforLive EventsandBrandedcontent.

Inordertomonitorthesesourcesofincome,TwitchofferstheChannelAnalytics toolforacomprehensivelookatthestreamer’srevenue,viewerandengagement statisticsoveradefineddaterange(figure.2).Theforecastchangesdaybyday,for instance,duetotheendoftheindividualsubscription.Moreover,itisessentialtonoticethatitistheplatformthathascompletecontrolofthemetricsandthusoverthe calculationofremuneration.

Inconclusion,Twitch’spoliciesandAIsystemarethekeyelementswhichinfluencethevisibilityofthestreamerand,thus,theearnings.Consequently,alackofclarityonthevisibilityrulesandbestpractices(e.g. howtogettotheFrontPage¹²)isvery detrimentaltothestreamers’work(fl0nki2022)¹³.

2.1.1.2CommunityGuidelines

TheTwitchstreamers’codeofbehaviourissetbytheCommunityGuidelines (Safety.Twitch.Tv-CommunityGuidelines).TheseGuidelinesencompassaseries ofconductsthatunderminesthesafetyofthecommunity.Theviolationofthese ruleswillleadtothedisciplinaryprocedurewearegoingtoseeinthefollowing sub-section.

Asitisunrealistictoregulateeverypossiblehumanbehaviour,theGuidelines needtobeascomprehensiveaspossible.However,thereisasignificantpresenceof

¹² Twitch’s‘FrontPage’isthefirstwebpageusersseewhenaccessingontheplatform.Thus,beingshownin there,automaticallymeansasignificantboostinvisibility.

¹³ Duringtheinterview,theDutchstreamer‘fl0nki’complainedaboutthediscoverabilityonTwitch.Inorderto startanewchannel,shesuggestedusingotheronlineplatformstomakeyourselfvisible.

Figure2:TwitchStatsChart(Help.Twitch.Tv-ChannelAnalytics)

ambiguitiesthatnotonlyleadtounjustifieddiscriminationbetweenstreamers¹⁴ but alsoareexploitedbyTwitchinthedisciplinaryprocess.

Therearecountlessexamplesofdifferentinterpretationsofthesamerule,which resultedindifferenttreatmentforsimilarcasesand,thus,unfaircompetition.Justto takeoneexample,letusseethecaseofTwitch’spolicybanningnudity–evenpartial nudity–withsomeexceptions.

Thestreamer‘Amouranth’startedatrend,latercalled‘hottube’,whereshe streamswearingaswimmingcostumeinasmallinflatablepoolinherroom.Thepurposeofheractionisclear:tocircumventTwitch’spoliciesduetotheirambiguityand thusattractmoreaudiencethankstoherbody.

Firstly,Twitchindefinitelysuspendedthesponsorshipactivitiesofherchannel withoutanynoticetoher.Thisshowshowabehaviourallowedcan,withnochange intheplatform’srule,besuddenlyprohibitedinatotallydiscretionalmannerbythe platformonthegroundsthatitisnotsuitableforadvertisers.

Then,Twitchchangeditsidea.Themostcriticalonthewebarguethatafterthe ban–whichservedtosettheplatformasa“championofmoralsandjustice”–Twitch realisedthattherewasasignificantdropinrevenues.Theformatof‘Amouranth’–lateronadoptedbyotherstreamers–wasveryeffective;thus,theplatformflipped itsvaluesfollowingtheprofit:itmadeforthemaseparatecategorynamed“Pools, HotTubs,andBeaches”,inwhichwearingaswimsuitisconsideredas"contextualexception"tonudityandattirepolicy(McLaughlin2021).

Followingthiscase,otherstreamers–suchasxQc–complainedaboutthedisparityoftreatmentbyTwitch.Mentioninghiswords

thesameruleviolations,fivetimesintwomonthsareonlyworththreedaysban?I wasafraidofbeingpermabannedafterviolatingittwice,permabannedforrepeatedviolationseightmonthsapart!(Powned.it2021)

Lastly,theItalianTwitchcommunityalreadygatheredtoargueforlackoftransparencywhichleadstoavoidablesuspension“Streamerswerebannedforincitingviolencewhensimplycommentingonthenews,otherswerebannedforself-harmbehaviourbecausetheyweredoingslapstickhumour”(NoStreamDay.com2021).

Wearegoingtodevelopthisaspectinsection2.1.2.3.

2.1.1.3LiveContentExclusivity

OneofthemostdistinguishingfeaturesofTwitchistheexclusivityclauseon‘Live TwitchContent’¹⁵,uponwhichstreamersneedtoagreeinordertobecomepartners.

Thisclauseobligesthebroadcasterto“norpermitnorauthoriseanythirdparty tobroadcast,stream,distribute,exhibitandotherwisemakeavailablesuchLive TwitchContentinanymanner”for24hours.Thus,suchLiveTwitchContentisexclus-

14 Discriminationbetweenstreamerscanresulteitherfromtechnicalproblems–suchastheinsufficient numberofmoderators,orthelackofreports(inthisrespect,inthenextsubsectionwearegoingtoseethe disparitybetweenlargeandsmallerchannels,withtheformerreceivingmanymorereports)–orfrom corporatechoices,likeintheexampleofthe‘HotTube’streamers.

15 Anyliveaudio-visualworkprovidedbythestreamerconstitutes‘LiveTwitchContent’.

ivetoTwitch(eventothestreamer)foroneday.Afterthisperiod,thestreamergains fullownershipofthecontent(Twitch.Tv-AffiliateAgreement).

Theimpactoftheexclusivityclauseonthecontentcreators’workissignificantdue tothefactthatthiskindofworkeroftenoperatesondifferentplatformsatthesametime.

Asamatteroffact,thisclausecutofffromthecompetition'slivecontentonYouTube.Infact,mostofthecreatorshavechangedtheirhabitsby(1)leavingYouTube, (2)usingYouTubeasarepositoryfortheLiveshostedonTwitch,and(3)changingthe formatofthevideoonYouTubefromLivetopre-recorded.

Moreover,thisisanaspectthataffectsremunerationandterminationofthe workingrelationship.Thus,itshouldbesubjecttonegotiation,whichwillleadtothe adequationofthestreamers’earnings.

2.1.2ProceduralRightsandObligations

2.1.2.1ReportingSystem

Twitch’sreportingsystemreliesverymuchon reportsbytheviewers duetothenumericlimitationsofthehumanmoderationteam¹⁶.Thisleadto discriminationduetothe factthat,forthesamebehaviour,abiggerchannel risktobereportedmore thanasmallerchannel.

Inthisregard,Gianpiertexplainedtomethat thetendencyofTwitch's biggeststreamersistodeletetheVODortokeep themjustforthesubscribers.Thisstrategyworksasadisincentiveforthegroupoforganisedflaggers,which gathertogethertointentionallydamagethestreamer’schannelforpersonalreasons (so-called‘haters’).Ifthosepeopleneedtopaythesubinordertoflag,theymight giveupontheirplanofamassiveflag(Santoro2022).

Thereportingsystemhasproblemsalsoontheothersideofthecoin:moderationoftheusers.TheDutchstreamer‘fl0nki’talkedwithmeaboutthedifferentcommunitiesonTwitchandthehardtimestreamers’–especiallywomen¹⁷ –haveinmoderatingtoxicusers(fl0nki2022).

16

17 Wemustnotforgetthegenderdimensioninasociety,historically,moredangerous–bothpsychologically andphysically–forwomenexposedtothepublic.

Figure3:AnexampleofAuto-ModtoolsofferedbyTwitchtothestreamers (dashboard.twitch.tv)

Duringtheinterviewsnoneofthecreatorswasabletogivemeanumberonthedimensionoftheplatform team.

Twitchprovidesdifferenttoolsforstreamerstoauto-moderatetheircommunity (figure.3).Nonetheless,oftenthejointworkoftheautomaticsystem,streamersand volunteers¹⁸ isnotenough.Therefore,recently,theplatformhaschangedsomepolicies inordertoenhancestreamerprotection.Forinstance,itbuiltasystemofIPtracking toavoidbanevasion (figure4).

Inconclusion,the problemsduetothe shortageofTwitch’s humanmoderation team–openlycriticisedbytheItalian community¹⁹–alsoreflectsonthenextpart oftheprocedure:the disciplinary.

2.1.2.2DisciplinaryProcedure

Twitchissues‘enforcements’againstaccountsthatviolatetheTermsofService and/orCommunityGuidelines(Help.Twitch.tv-AboutAccountEnforcementsand ChatBans).

Theleastsignificantmeasureisthe‘warning’,whichisacourtesynoticeformore minorviolations.Itmightbeassociatedwiththeremovalofcontroversialcontent.

Themostintrusivemeasureisthesuspension(moregenerallyknownas‘ban’) fromusingTwitch’sservices.Thesuspensioncanbetemporary(‘temporaryban’)–rangingfrom1to30days–orindefinite(‘permaban’).Thelatterisauniquefeature ofTwitch.

Ineithercase,itispossibletofilearequestforappealtotheplatform.However, thisappealisjustan ex-post measure,whichwillnotinterruptthenegativeconsequenceofthebanduringthelengthoftheassessmentprocess,norwillitleadto compensationfortheeconomiclossesandthedamagetohisimageincaseofasuccessfulappeal.

Moreover,thestreamers’communityasksfortherighttohaveahumancheckson thepreviouscontent,thestreamer'shistory,andanin-depthevaluationofthecasebefore proceedingwiththesuspension.Nevertheless,itallgoesbacktotheshortageofthe localTwitchmoderationteam,whichdoesnothavetheresourcestograntthisright.

18 Volunteermoderatingthelive-streamchat,withnoeconomicalagreementwiththestreamer.

19 The#NoStreamDayManifestostates:"Moreover,weasktodiscusstheexpansionoftheItalianmoderation team.Thenumberofstreamersisincreasingrapidlyandtheyneedsupportthat,rightnow,cannotbe supplied."

Figure4:Thetooltoavoidbanevasion(dashboard.twitch.tv)

Nonetheless,thereareothermeasures–notdeclaredbytheplatform–related tothevisibilityofthechanneland/oritscontent.Theabsolutepoweroftheplatform goesfromthede-indexationofthechannel’scontenttotheso-called‘shadowban’²⁰. Inbothcases,everythingoperatessecretlyonthebackendwithconsequenceson thefrontendoftheplatform²¹.Inshort,thestreamervisibilitywillbepenalised withoutanynoticenor–eventually,ifthecreatorrealisesthesituation–explanation. Consequently,asseenintheprevioussections,lessvisibilityautomaticallymeansa proportionaldropinearnings.

2.1.2.3Permaban:thecaseofSdrumox

Duringthesuspension,thestreameriswhollycutofffromtheTwitchcommunity. Itisfundamentaltounderstandthatthisimpliesnotonlytheprohibitionofcreatingotheraccounts;infact,evenshowingup–physicallyorjustasavoice–inthe streamofathird-partychannel(forinstance,afriendoraflatmate)willcausea‘domino’ bantothechannelinquestion.Therefore,abannedstreamerhastobeconstantly worriedtobethepossiblecauseofabanforhiscolleague.

Thishasenormousimplicationsforaworkerwhoisusedtolivinginthesameenvironmentasher/hiscolleagues,beitinanoffice,house,orcommunityevent.Thepermabannedstreamerisgoingtobecutofffromthepreviouscommunitylifeforthesake oftheothers'workingsafety²².Thishasclearlysignificantpsychologicalimplications.

On9December2020,theItaliancommunityofTwitchstreamerslaunchedthe #NOStreamDay,astriketoprotestagainstAmazonduringwhichstreamersdidnot golive,andparticipatingviewersdidnotjoinTwitch.

ThewholeinitiativewasbornafterthepermabanimposedonSdrumox(nicknameofthestreamerDanieleSimonetti)withanobjectionableprocedure.The streamersdonotcontestthebanitselfbutratherTwitch’sabuseofthedisciplinary process.Infact,formonths,theplatformsuspended‘Sdrumox’ –thus,blockinghis primarysourceofincome–andgavehimconflictingandinconclusiveinformation aboutthestatusofthedisciplinaryprocess.Inthemeantime,hewasunableto “see hisfriendswhentheywerestreamingandoutofajobwithoutthechancetostream onotherplatforms”. In theend,aftersixmonths,hediscoveredthatthebanwould havebeenpermanent. “Thiswouldnotbeallowedinanyworkplace”(NoStreamDay 2021).BelowisasnapshotofpartoftheManifesto(Figures5,6.).Nonetheless,the protestdidnotleadtoanypolicychange.

20 The‘ShadowBan’impliesthetotalorpartialblockoftheuserorofitscontent.Thecreator,orthecontent,will beinvisibleforpartofthecommunity.Thismayoperateonmultipleaspects:notificationtosubscribers, generalfeedortrending,searchbar,andsoon.However,withintheinterviewswithcreators,Ifoundoutthat norTwitchnorYouTubecommonlyarriveattheextremeofshadowbanningtheuser perse.Morefrequently, theiractiondirectlyaffectsthecontent,thusindirectlythecreator’searnings.

21 Awebsite’s‘backend’isconstitutedbyalltheprocessesonthe‘backstage’,hiddentothepublic,butessential toprocessandsendtheinformationtothefrontend,wheretheendresultwillbedisplayedtotheuser.

22 "AlotofstreamersdoliveIRL,whichmeansinreallife:theygoaroundcommentingonwhattheysee.If you'vebeenbanned,forexample,you'dbetteravoidGamesWeek,becauseifyouendupinsomeoneelse's livestream,they'willbebannedtoo.Or,andthishashappened,youshouldbeafraidtogotoaclubwhereyour streamerfriendsare,becauseifyouendupinaliveIRLofoneofyourcolleagues,youmakehimlosehisjob too".CommentfromthecreatorMrMarra(Open2020).

2.2YouTube

YouTubeisaplatformthat allowsmultimediacontentto besharedanddisplayedon thenetwork.Itisownedby GoogleLLC,anditwas launchedon23April2005. Hereinafter,wewillusethe word‘YouTubers’inreference tocontentcreatorsonYouTube.

Thefirstcleardistinction betweenYouTubeandTwitch isthat,whilethelatteris basedonlivestreaming,the formerreliesmuchmoreon theuploadofpre-recorded content.

ThishasseveralconsequencesonhowtheYouTubersorganisetheirwork, mainlyduetothepossibility topre-record,pre-uploadand thenplanthepublicationof thevideos.

However,thisdoesnot meanthatYouTubehasnolive functions.Infact,Google’s platformsofferthepossibility to(1)livestreamand(2)uploadapre-recordedvideoas alivestreaminawaytofollow livewiththevieweratthemomentofthepublication(so-called‘Premiere’).Inthisregard,itisalsoworthnoticingthatYouTubehasnoLiveContentExclusivityclause.

Otherdistinctionsstemfromtheproceduralside.AsopposedtofromTwitch,YouTube’sreportingsystemismainlygovernedbyalgorithms.Moreover,thedisciplinary procedurereliesmainlyonthesanctionofexclusionfrommonetisation.

YouTubeisbuiltsolelyononesystem–called‘YouTubePartnerProgramme’–which allowsYouTubers,atthefulfilmentofspecificrequirements,toenjoytechnicalandeconomicbenefits:(1)CreatorSupportteams,(2)accesstotheCopyrightMatchTool,(3) accesstomonetisationfeatures.

Thekeyplayerinthisprocessistheadvertisementagency‘GoogleAds’,intowhich theYouTubersneedtoopenanaccountandsubmitanapplicationviaaregistrationform.

Figure5:ManifestoNOStreamDay(NoStreamDay.com2021)

Figure6:ManifestoNOStreamDay-Theeffectsofapermaban (NoStreamDay.com2021)

ToparticipateinthemonetisationofaYouTubechannel,oneneedstohave(YouTubeHelp-YouTubePartnerEarningsOverview):

a)morethan400hoursofvalidpublicviewsinthelast12months;and b)morethan1000subscribers

TheYouTubermustsignacontractthatisunilaterallypreparedbytheplatform–thereisnowaytonegotiate–agreeingtofollow“YouTube’sCommunityGuidelines, TermsofService,Copyright,GoogleAdSenseprogrampolicies,andAdvertiserfriendlycontentguidelines”(YouTubeHelp-YouTubeChannelMonetization Policies).

2.2.1SubstantiveRightsandObligations

2.2.1.1Earnings

TheprimarysourceofYouTubers'earnings–withintherelationshipwithYouTube²³ –istheso-called‘monetisation’ofthevideos,thatis,themicroadvertisements placedbytheplatformbeforethevideos.Thecontentgeneratesearningsasmuchas itisviewed.Thisisafundamentalpointforseveralreasons.

Firstly,therevenuesoftheYouTuberaredeeplydependentontheindexationon theplatform.YouTubedecidestheindexingthroughitsalgorithm,unilaterallysetby theplatformandchangedquiteoften.Consequently,YouTubers'earningsaresubjecttovariationsindependentoftheiraction²⁴ becauseof(1)unclearrulesonsome ofthemainvisibilityfeaturesoftheplatform²⁵,(2)thelackoftransparencyandexplainabilityofthealgorithm–whichforcestheYouTubertoatrialanderrorapproach totestingthealgorithmresponse²⁶–,(3)thesuddenchangesofthealgorithmsoperatedbytheplatform,whichnullifythepreviouseffortofthecreatorandputatriskall her/hisinvestment²⁷.

Secondly,YouTubersarguethattheplatformdoesnotdoenoughtoprotect themfromtheviewers’usageof‘Ad-Blockingsystems’,whichsignificantlyimpact theirincome.

Lastly,theplatform’sdiscretionalandforcedmanipulationofstreamers’visibility, aswearegoingtoseeinsection2.2.2.

23 AsidefromtheearningsrelatedtoYouTube,thestreamerscanmakealivingthroughprivatecontractsfor LiveEventsandBrandedcontent.

24 ItisimportanttoreflectonthefactthattheStreamers’competitiveadvantagedependsonmechanismsover whichtheyhavenocontrol.

25 TheproblemwehaveseenforTwitch’sFrontPagehereissimilartotheYouTubeTrendingPages.Moreover, YouTube’srulesonvisibilityarealsoproblematiconhowactuallymakethecontentvisibleonthethreadofthe followers,thisiswhyYouTubersalwayspushviewersnotonlytosubscribebutalsotoactivatethe‘bell’.

26 DuringtheinterviewwithMatteoFlora,Ifoundoutthatthealgorithmhasadifferentimpactonthereachof aviewdependingonthedimensionofthechannel.Whileforhimitimpactsaround50%ofthevisual,fora biggerchannelitcanreach90%.

27 Justtoprovideanexample:ifacontentcreatorbuildsher/hisformatontalkingaboutagiventopic(for instance,cigarettes)andtheplatformsuddenlydecidestobanthatspecifictopicfromthemonetisableones, thecreatorlossabruptlyher/hismainsourceofincomewithoutanypossibilityofplanninginthepastanother solution–sincethereisnopreviouscommunicationoftheplatform–norappealingthedecision.

Onthissourceofearnings,theplatformholdsashare,dependingonthetermof thespecificpartneragreement(YouTubeHelp-YouTubeChannelMonetization Policies).Onaverage,Googlekeepsbetween6%and45%foritself.Moreover,itis Googlethatcountstheviewsandmakesthemknowntothecreators;thecreatorhas nopossibilitytoverifyandcomparewhathasbeencommunicatedtohimbythe platform(Scialdone,Greco,Bennato2021).

Thesecondsourceofearningsofferedbytheplatformisrelatedtoapaidsubscription(called‘ChannelMembership’),onwhichYouTubehold30%afterlocalsales taxandotherfeesarededucted,withthepaymentprocessingfeescurrentlycovered bytheplatform(YouTubeHelp-BecomeaChannelMemberonYouTube).

Lastly,YouTubehasasystemofdonationsrelatedtoitsPremiere’sfeature,named ‘SuperChat’.Basically,aviewerwatchingthepre-recordedvideoonLivestreamcan makeadonationinordertofixtheircommentintheupperpartofthechatinsucha waythatitgetsvisibilityforaperiodoftimeproportionaltotheamountofthedonation(YouTubeHelp-ManageYouTubeSuperChat&SuperStickersforLiveChat).

2.2.1.2CommunityGuidelines

Aswehaveseen,respectforCommunityGuidelines,TermsofService,Copyright, GoogleAdSenseprogrampolicies,andAdvertiser-friendlycontentguidelinesisnecessarytomonetisevideos.Thiseconomicdependenceontheplatform,inlightof ambiguityandthediscretionaryinterpretationofsuchterms,putindangertheYouTubers,bothonacommunitylevelandonanindividualone.

Firstly,onthecommunitylevel,themostimportanteventinthehistoryofYouTubeistheso-called‘YouTubeAdpocalypseCrisis’(hereinafter,Adpocalypse),which startedinMay2017.

Afterthemonetisationofcontroversialcontent²⁸,theinvestorsstartedtofearrepercussionsontheirbrandand,thus,threatenedYouTubetoquittheadvertisement systemifthissituationwouldnotbefixedsoon.Theansweroftheplatformwasthe creationoftwocategories–whichtheYouTuberhastoselectintheuploadofher/his video–‘cleancontent’(monetisationallowed)versus‘miscellaneous’(notmonetisable).Evidently,thisdivisionpenalisedthosewhodealwith‘adult’content(forinstance,politics,war,etc.).ManyYouTubershavesufferedavastearningloss.Theconsequentreactionsweredifferent,yetthemaintwoweretheopeningofaPatreon²⁹ orthemigrationonTwitch³⁰.

Nonetheless,thissolutionwasnotadefinitiveone.Infact,inNovember2017, therewas‘Adpocalypse2.0’(BreakingItaly2017)duetocontroversialcontentinthe ‘safe’categoryofYouTubeKids³¹;andin2019,therewasthe‘Voxpocalypse’(Breaking

28 Thecontroversialcontentwasavideodemonstratingtheineffectivenessofpolicemen’sbulletproofvests. Weshouldconsiderthisa‘securityinvestigation’or,instead,anincitementtokillpolicemen?

29 BreakinItaly,whichhada70%dropinearnings,startedaPatreontosavetheproject.Pateronisaplatformin whichthecreatoroffersthefollowersbenefits–suchasexclusivecontent,communitychat,etc.–inexchange foramonthlysubscription.

30 PewDiePie,thebiggestYouTuberintheworld,movedonTwitch.

31 Thecontroversialvideowasafake‘PeppaPig’cartoon,showingadultswithcostumesofambiguousand violentbehaviour.

Italy2019),whichledtotheissueofnew–stricter–rulesononlinebullyingand,consequentlythelostmonetisationofdozensofchannels³².

Inconclusion,YouTubeistryingtobuildapolicysystemabletobalancebetween notdispleasingcreatorsandnotdispleasingadvertisers,withaninevitableprioritisationofthelatterduetotheeconomicinterestofthefirm.Theconsequenceofthis uncertaintyisthatthebiggestcreatorsstartedtorelyon‘brandedcontent’–witha specificthirdpartysponsoringthevideos³³ –whilethesmalleronesfinditdifficult tomakeendsmeet³⁴.

Ontheindividuallevel,theambiguityofthepoliciesleavesroomfordiscretional interpretationand,thus,discriminationbetweentheYouTubers.Asalways,countless examplescanbemadeaboutmostoftherulestakenindividually.However,forthe sakeofthisresearch,wearegoingtoseejustoneexample.

AsdiscussedintheinterviewwiththeYouTuber‘Flip’,itrelatestotheguidelines on‘reusedcontent’.

From2018to2022,hismainformatconsistedofcompilationsofthebestclips oftheweektakenfrommultipleTwitchchannelsthatcollaboratedwithhim.On25 January2022,YouTubetookawayFlip’schannelmonetisationfor‘reusedcontent’, explainedbytheplatformas“channelsthatrepurposesomeoneelse'scontent withoutaddingsignificantoriginalcommentaryoreducationalvalue”.Moreover, withintheexamplesprovidedbytheplatform,thereisthe“promotionofother people'scontent”,evenifyouhavepermission(YouTubeHelp-YouTubeChannel MonetizationPolicies).

Thereisaclearbasisforcontestingtheassociationofhisproductwiththenotionof reusedcontent.Firstly,heexplainedtomethat

itusedtotakeme3-4daystocreatethevideos,downloadalltheclips,grouptogetherthefunnyparts,editthemwithvariouszooms,transitionsandmoreand thenuploadthefinalproducttoYouTube.Sothisisalreadywrongbecauseit doesn'tfitmyviolationsincethereiseditingworkbehindit.

Moreover,hequestionedtheabove-mentionedexample

soanykindofchannelthatiscreatedbyacompanyandreceivesconsentfromthe originalcreatortouploadandpromoteitscontentdoesnothavetherighttomonetise?ThisruleisalsoverystrangebecausetherearealotofYouTubechannelsthat dothisandstillmonetisewithoutproblems;YouTubeshouldspecifyaminimum (DeGiorgio2022).

³² ForarecapofalltheAdpocalypse'swavesseeWikitubia-YouTubeAdpocalypse.

33 ‘Gianpiert’explainedtomethatnowadaysitisalmostimpossibletomakealivingonYouTubewith monetisation.YouTubehasbecomejusta‘window’usefultomakeyourselfvisiblefromtheoutsideworldand, thus,tofindsponsors(Santoro2022).

34 PiotrUrbanczyk,oneoftheadministratorsofthepolishYouTubechannel‘Copernicus’,confirmedthatthe situationissimilarinPoland.ThesmallerYouTubers,withlesshistoryofcontentinthechannel,trytodotheir besttounderstandandgoalongtheYouTube'sAIsystemandguidelines,buttheyhardlysurvive.Inhiswords, theviewsofthecontentand,ingeneral,thevisibilityofachannelisledbythe‘fortune-telllady’.No predictability,nosafety(Urbanczyk2022).

YouTubersandStreamers:LabourConditionsintheEU

‘Flip’triedtocontactthesupportviachat(i.e. directconfrontation)andviaemail,askingforexplanations,buttherepliesjustreferredtotheofficialpolicieswithoutany furtherexplanation.Intheend,hedeletedallthecompilations,sentbackthepartner requestafteronemonth(theminimumamountoftimetowaitimposedbytheplatform)andwasacceptedtoreturntomonetisingcontent.

2.2.2ProceduralRightsandObligations

2.2.2.1ReportingSystem

DifferentlyfromTwitch,YouTubereliesonanautomaticGooglealgorithmtodetect forbiddenwordswithinthecontent–title,tags,script,etc.–whichleadtodemonetisationwithoutcheckingwhatactuallyisthemessageconveyedbytheYouTubers. Thisisa‘preventivepolicy’.Therefore,thecreatorhasnochanceofdefencepriorto thedemonetisation.OnlyaftertheYouTubercanrequestahumanreview

which,duetotheamountofmaterialtobeinspected,alwaysarrivestoolatewith respecttotheviewingpeaks,completelyeliminatingallthepotentialgainsthat wouldhavebeenmadewiththeadvertisementsintheperiodprecedingtheapprovalofthehumanoperator(theWiseMagazine2020).

YouTuberstrytocircumventthisproblemwithtwostrategies.

Firstly,byrelyingonpre-uploadedcontent,thushopingthattheperiodoftime betweentheuploadandtheactualpublicationwillbeenoughtohaveahuman checksincaseofalgorithmflagofthecontent.However,thisisnotasolutionfeasible foreveryone,especiallyforthechannelsthathaveadailyformat.TheseYouTubers riskseeingtheirworknullifiedsincethelossofmonetisationfor–inthebest-case scenario–twoorthreedaysmeanslosingthepeakoftheaudienceduetothedaily natureofthecontent.

Secondly,bytrickingthealgorithmbychangingsomeletterswithinthekeywords toavoidflagging.Forexample,inthefirstperiodoftheCovid-19pandemic,allthecontenthavingtheword‘Covid’inthetitlewereautomaticallydemonetised.Thus,oneof thesolutionsfoundwastowrite‘C*ovid’or‘C vid’instead.However,allthesetrial-anderrorsolutionsarefarawayfrombeingdefinitive.Everytimetheplatformchangesthe algorithmslightly,YouTubershavetostartfromzerointheirtestingoftheAI.

AswellforYouTube,thereiswidespreadcriticismfortheinsufficiencyofthe moderationteam.Inreality,theinteractionwiththeplatforms’moderationteamdependsonmultiplefactors:(1)thesizeofthechannel,withthebiggestoneshaving theadvantageofbeingmoreassistedthanthesmallerones³⁵;(2)thenatureofthe channel,withsomecontentfavouredbytheplatformforpolicyreasons;(3)thepersonalcontactwiththehigh-levelstaffoftheplatforms³⁶.

35 ‘Gianpiert’–thankstohisworkforbigYouTubechannelssuchas‘Croix89’and‘FaviJ’–explainedtomethat thebiggestchannelshaveafastercommunicationchannelwiththeplatform.Thisdoesnotautomatically meanthattheyenjoyaspecialtreatmentforthecontentofthedecisions(Santoro2022).

36 Forinstance,MatteoFlora,duetohispastworkinteractionwithGoogleandMeta,hadtheopportunityto interactdirectlywiththeheadsofthemoderationprocess.Consequently,therevisionprocesswasfasterthan thenormalprocedure(Flora2022).

JulienPotié–chiefofstaffandproducerforHugoDécrypte–describestheirrelationshipwiththevariousplatforms’channelmanagersasverygood(Potié2022)³⁷. Forinstance,mostoftheirproblemswithflaggedcontenthavebeensolvedwiththe helpofthemoderationstaff³⁸.Nevertheless,hehimselfrecogniseshowtheirchannel is‘lucky’inthisregard,havingamorefavourabletreatmentcomparedwithother ones.Thereasonsaremultiple.

Firstly,takingtheexampleofYouTube,eveniftheirnumbersdonotplacethem withinthestarsoftheplatform,thetypeoftheircontent³⁹ isconsidered‘highlyvaluable’bytheplatform,thusmovingthemtothesamelevelofassistanceastheone giventothetop10Frenchchannels⁴⁰.

Secondly,FranceisanimportantmarketforGoogle(andthus,forYouTube).This isduetothesizeandtheengagementoftheFrenchaudiencewithYouTube,thesituationofalmostmonopolyofGoogleintheusagebytheFrenchpopulation,andthe institutionalframeworkwhichmakesFrancethemosteffectiveStateinwhichto lobbyfortheplatform’sinterestatEUlevel.Anexampleofthisconnectionistheconstructionofoneofthefirst‘YouTubeSpace’⁴¹,withinEUmemberstates,inParisin 2015,nexttotheheadquartersofYouTubeFrance.Theconsequenceofthisbond betweenYouTubeandFranceisthattheYouTubeteamhasasignificantnumberof resourcesthathelpinrelievingthepressure.

2.2.2.2DisciplinaryProcedure

Aswealreadymentioned,demonetisationisthestandardmeasureadoptedby theplatform.Theabove-mentionedexampleof Flip showedboththediscretional–anddiscriminatory–interpretationoftheguidelinesandthelengthandinconclusivenessoftheprocessofassistance.However,YouTubecanalsoissueothersanctions.

Infact,theplatformreliesona‘Strike’system.Thismeansthatwhenyourcontent violatestheCommunityGuidelines,thechannelwilllosesomeprivileges.Themostimportantisthedeprivationofthepossibilityofuploadingvideos,livestreams,orstories.

Withthefirststrike,thechannelwillrestorefullprivilegesautomaticallyafterone week,butthestrikeremainsonthechannelfor90days.Ifwithinthe90-dayperiod yougetasecondstrike,thesanctionswilllastfortwoweeks.Ifwithin90daysfrom thesecondstrike,yougetathirdstrike,thechannelwillbepermanentlyremoved fromYouTube(YouTubeHelp-CommunityGuidelinesStrikeBasics).

37 Inthisregard,theprojectHugoDécrypteworksthroughmostofthemainplatforms:YouTube,Twitch, Instagram,andTikTok.Thus,MrPotiéismakingreferencetothestaffofallthoseplatforms.

38 Theprocedureisusuallythefollowing:theuploadedcontentisflagged;theyapplyforanappeal;sincethere isnofastanswer,theycontactthechannelmanagertopushforspeedinguptheprocess.Thisprocedureis evenslowerinsummer,duetotheholidaysofthemoderationteam.

39 Thisisnotauniversaltruth.Infact,contentfavouredinonecountrycanbepenalisedinanotherone.An examplecanbeseendrawingacomparisonbetweenHugoDécrypte(France)andBreakingItaly(Italy), differentlyaffectedbytheapocalypseandmonetisation.

⁴⁰ Infact,thechannelmanagerwhofollowstheirchannelisthesameasforthetop10channels.

41 ‘YouTubespaces’arephysicallocationsbuiltbyGoogleandleftattheserviceofYouTubecontentcreatorsin ordertofostercreativityandcollaboration.ThefirstonewasbuiltinLondonin2012,whilethesecondandthe thirdoneswerebuiltinParisandBerlinin2015.

Thirdly,YouTubelargelyusesthemeasuresaffectingvisibilitymentionedinthe previoussectiononTwitch.Differentlyfromthepreviousexample,onYouTubethe effectisevenmoredisruptiveduetothehighernumberofcontentuploaded.Thus,if thesubscriberstothechanneldonotreceiveanotificationwhenthevideoisuploaded, ifthegeneralaudiencedoesnotseethevideointhereferraloronthehomepage,the organicviewofthevideodiminishesdrastically,andsotheearningsofthecreator.

Thelack,orthelength,oftheinteractionwiththemoderationteamisstillasignificantproblemforcreators,asreportedby‘ThePruld’.Duringtheinterview,hetold methatsomeofhiscontentwasflaggedbyFromSoftware⁴² forallegedcopyright infringement.Thisallegationwasmanifestlynotfoundedsincethesoftwareusedto makethevideo,‘SourceFilmMaker’,hadtherightstousethemodelfromtheFrom Software’sgameinquestion.Eventually,theappealtoreviewtheflaggedcontent receivednoanswer(Cardinali2022).Inthefollowingsub-section,wearegoingto developfurtherthisproblembyfocusingonthepolicywhichcausesmostofthe flags:copyright.

2.2.2.3Copyright:YouTube'scrucialpolicy

Now,wewillgothroughthreeexamples–comingfromtheinterviewIconducted–regardingthereportingsystemandthedisciplinaryprocedure,whichrelatesto themostcommonproblemforYouTubers:copyright.

Thefirstandthemoststraightforwardcase,almosta‘noproblem’,isthetestimony madebyPiotrUrbanczyk(onbehalfofthechannel‘Copernicus’).Inshort,theyrandomly experienceproblemswiththemusiccopyright;thesystemflagstheirvideoevenif themusicusedisof‘stocktype’(thismeansthatitisfreetouse).Nonetheless,the processtocontesttheflagandrehabilitatethevideoisquitefast,withtheneedjust tofillinaformwithinformationaboutthestockmusic(Urbanczyk2022).

Ontheotherhand,thefollowingtwocasesareverycomplex.

TheworkingstoryofParideCardinali–inart‘ThePruld’–canbedefinedasan ongoingandexhaustingfightwiththemusiccopyrightoftheplatform(Cardinali 2022).

Oneofhismostfamousvideos,named‘Wearethesouls’,wasfirstmadewitha songbyChristinaPerri.Consequently,thecontentwasflaggedandremovedbythe platform.Then,Paridemadeacoverofthesongandre-uploadedthecontent.The platform'sanswerthistimewasdifferent:itgaveallthemonetisationtoChristina Perri.Now,aquestionarisesnaturally:whydoallthefruitsofhiscreativework–especiallyforthevisualpart–havetobeneglectedandtransferredtoamusicauthor justbecauseoftheuseofacoverofhersong?Shouldnotitwillbebetteradivision oftheearningscomingfromthatvideo?Moreover,ChristinaPerri’ssonginquestion hasseenitsviewsonYouTubemultiplyingexponentiallyafterParide’svideo.Forthis positiveexternality,Paridehadnorecognition.

42 FromSoftwareisaJapanesevideogamecompanywhoproduced‘DarkSouls’,thegamewhoseimagesare inquestioninthisexample.

Moreover,between2015and2016therewasasignificantchangeintheplatform:aswitchtowardsamoreaggressivecopyrightsystem,whichretroactively flaggedordemonetisedmostvideosonParide’schannel.Thisgavemultipliedthe above-mentionedproblems–oftenwithbigmusichousesliketheWarnerMusic Group–thusgivinghimnochancetosurviveontheplatform.Hehadtofindworking solutionselsewhere.

Thisisnoteverythingyet.Infact,Paridealsoexperiencestheothersideofthe copyrightdilemma:hisoriginalcontentareconstantlyfreebooted⁴³.Theplatform doesnothelpthecreatorinthisregard.Whenfreebootedcontentisidentified–oftenthankstotheworkofthecommunity–YouTubegivestheowneronlythepossibilityto(a)deletethefreebootedcontentor(b)leaveit.Evidently,comparingthetwo above-mentionedsituationsexperiencedbyParide,theplatformdifferentlytreats thecontentcreatorsandthebigmusichousesandartists.WhydoesParidehaveno possibility(c)tomonetiseonthefreebootedcontentfromhim?Hisdisappointment isnatural

YouTubeprotectsonlythegiants[…]itgivescreatorsawindowofopportunityto makemoney,butintheend,ittakesawayeverything[…]ifyouareasmallcreator, youhavenopowertofightwiththeplatform.

Afterhavingseentheimpactofdemonetisation,theworkingstoryofPaoloPirruccio–intheart‘Nocoldiz’–presentstheextremeconsequencesofthestrikesystem(Pirruccio2022).

Aftertheopeningofhischannelin2010,hegotaminorseriesofbothersome strikesrelatedtovisualcopyrightduetothenatureofhischannel⁴⁴,butnonewent overthe90daysperiodwithoutreachingthethirdstrikeandtheterminationofthe channel.

In2016hegotthepartnership–thankstoathird-partyintermediary–andthe strikesweredealtwithbythemanagementofthisintermediarywithnoworriesfor himasacreator.

Between2018and2019YouTubestretchedthelimitsofitsdemonetisationand banningpolicies.Then,Paololosthischannel(310ksubscribers,20kfixedviewsplus 20kvariable)viadirectban–probablyduetohisstrikehistory,butstillnotfollowing thethree-strikeprocedure–for‘spam,scams,misleadingvideos’.Therewasnopossibilityofhavingfurtherexplanationsincehisattemptledonlytoanautomaticanswerbythesystem.Evenhischannelmanagerhadnoanswerforhim,duetothe secretimposedbytheplatform.

Afterthat,Paolore-openedanewchannelandwentthroughseveralother strikesduetothenatureofhiscontent.Heknowsaboutthevolatilityofhischannel’s life,whichmeanshecannotbuildajobonhispassionforsatiricalvideoediting.

43 Thephenomenonof‘freebooting’consistsoftheunauthorizedusageandsharingofsomeone’selsedigital contentpresentingitasoriginalwork.

44 ‘Nocoldiz’mainformatistheso-called‘YouTubePoop’:amashupcreatedbyremixing/editingpre-existing video,whichconveysasubculturalmeaningforhumorousandsatiricalpurposes.

3.TheEULegalFramework

TheEUlegalframeworkoncontentcreatorsisscarceandfragmented.Thereisno provisionaddressingdirectlyandcomprehensivelythefigureofcontentcreators. Thus,thefirstpartofthissectionwillbedevotedtothereconstructionofalltheprovisionswhichindirectlyaffectthecontentcreatorsworkinglife.Subsequently,the secondsub-sectionwillassessthepossibleimpactoftheproposalsindiscussionat thepresentmomentwithintheEUlegislativeprocess.

3.1Thepresentlegalframework

Thissectionrelatestothecurrentlegalframework.

Wearegoingtoanalyse:(1)Regulation2019/1150onpromotingfairnessand transparencyforbusinessusersofonlineintermediationservices(hereinafter,'Platform-to-Business'or'P2B');(2)Regulation679/2016ontheprotectionofnaturalpersonswithregardtotheprocessingofpersonaldataandonthefreemovementof suchdata,andrepealingDirective95/46/EC(hereinafter,'GeneralDataProtection Regulation'or'GDPR');(3)Directive(EU)2019/790oncopyrightandrelatedrightsin theDigitalSingleMarketandamendingDirectives96/9/ECand2001/29/EC(hereinafter,'CopyrightDirective').

However,beforedivingintotheanalysisofthesecondarylegislation,itisessentialtomakeaminorpremiseontheEuropeanCharterofFundamentalRights(hereinafter,CFR).

TherelevantCFR’sprovisionsforcontentcreatorsarearticle16,whichgrants freedomtoconductabusiness;article17(2),whichprotectsintellectualproperty; article27,whichgivesworkerstherighttoinformationandconsultationwithinthe undertaking;article31thatguaranteefairandjustworkingconditions⁴⁵;and,lastly, article47thatestablishtherighttoaneffectiveremedyandtoafairtrial⁴⁶.

3.1.1Platform-to-BusinessRegulation

ThisRegulationprovidesaseriesofsafeguards–withregardstotransparencyof termsandconditions,proceduralguaranteesfollowingdisciplinarymeasuresand effectiveredressintheeventofdisputes–tothebusinessuserstocompensatefor thedisproportionateplatforms’powerincomparisontoself-employedbusiness userswhooperateonthem. However,theRegulationdoesnotcoverothervitalaspects,suchastransparencyandhumanmonitoringofautomateddecision-making systems(otherthanranking).

45 Article31CFR:“1.Everyworkerhastherighttoworkingconditionswhichrespecthisorherhealth,safetyand dignity.2.Everyworkerhastherighttolimitationofmaximumworkinghours,todailyandweeklyrestperiods andtoanannualperiodofpaidleave.”.

46 Article47CFR:“EveryonewhoserightsandfreedomsguaranteedbythelawoftheUnionareviolatedhas therighttoaneffectiveremedybeforeatribunalincompliancewiththeconditionslaiddowninthisArticle. Everyoneisentitledtoafairandpublichearingwithinareasonabletimebyanindependentandimpartial tribunalpreviouslyestablishedbylaw.”.

Firstofall,forwhatconcernsthescopeofapplicationoftheRegulation,article2 setsoutthenotionsof'onlineintermediationservices'andof'businessuser'.

Ontheonehand,thenotionof'onlineintermediationservices'isconstitutedby threerequirements:(a)tobeaninformationsocietyserviceswithinthemeaningof Article1(1b)ofDirective2015/1535⁴⁷;(b)toallow “businessuserstooffergoodsor servicestoconsumers[…]”;(c)tobeprovidedtobusinessusersonthebasisofcontractualrelationships.YouTubeandTwitchareonlinecontent-sharingservices,aspecificformofinformationsocietyserviceswithinthemeaningofDirective2015/1535. Moreover,bothplatformssatisfytherequirementofP2Bdirectivebyallowingcreatorstooffercontenttoconsumersonthebasisofaspecificpartnershipprogram. Thus,YouTubeandTwitchfallwithinthescopeofapplicationofthisRegulation.

Ontheotherhand,theconceptof'businessusers'refersto

anyprivateindividualactinginacommercialorprofessionalcapacitywho,orany legalpersonwho,throughonlineintermediationservices,offersgoodsorservices toconsumersforpurposesrelatingtoitstrade,business,craftorprofession.

Inconsiderationoftheanalysisoftheworkingstatusinthefirstsection,Ifirmly believecontentcreators–asgenuineself-employed–fallwithinthescopeofthenotionof'businessusers'and,thus,theRegulationisapplicabletothem.

Thelastelementwithregardtothescopeofapplicationisarticle1.Thisarticle establishesthatwhatmattersfortheapplicationofthisRegulationisthecountryof destination(businessusersandconsumerslocatedintheEU)andnotthecountryof origin(placeofestablishmentorresidenceoftheproviders).

Forwhatconcerntermsandconditions,article3obligesplatformstoprovide easyaccesstoinformation–clearandintelligible–thatcovers:(a)“groundsfordecisionstosuspendorterminateorimposeanyotherkindofrestriction”,(b)“additionaldistributionchannelsandpotentialaffiliateprogrammes”,(c)“ownershipand controlofintellectualpropertyrights”.Nonetheless,themostcriticalpartofthisarticleistheobligationonplatformsto“notify,onadurablemedium,tothebusiness usersconcernedanyproposedchangesoftheirtermsandconditions”andwaitat least15daysbeforeimplementingthosechanges.

Moreover,exarticle8,theeventualchangestotermsandconditionscannotbe retroactiveunlesstheyare“requiredtorespectalegalorregulatoryobligationor[…] arebeneficialforthebusinessusers”.

Inconclusion,theRegulationaddressesthedisciplinaryproceduresviathreearticles.

Article4isthecriticalprovisionwhichtriestorespondtotheneedforguarantees inregardtotherestriction,suspension,anddeletionoftheaccountsofprofessional

47 Article1(1b)ofDirective2015/1535:“‘service’meansanyInformationSocietyservice,thatistosay,any servicenormallyprovidedforremuneration,atadistance,byelectronicmeansandattheindividualrequestof arecipientofservices.Forthepurposeofthisdefinition:‘atadistance’meansthattheserviceisprovided withoutthepartiesbeingsimultaneouslypresent;(ii)‘byelectronicmeans’meansthattheserviceissent initiallyandreceivedatitsdestinationbymeansofelectronicequipmentfortheprocessing(includingdigital compression)andstorageofdata,andentirelytransmitted,conveyedandreceivedbywire,byradio,byoptical meansorbyotherelectromagneticmeans;(iii)‘attheindividualrequestofarecipientofservices’meansthat theserviceisprovidedthroughthetransmissionofdataonindividualrequest.”.

users.Forallthesemeasures,theplatformhasthedutytoprovidetheuserwith“a statementofreasonsforthatdecisiononadurablemedium”.Thecontent,evidently, mustreferto“thespecificfactsorcircumstances[…]aswellasareferencetotheapplicablegrounds”.Thetimingofthenoticeperiodchangesaccordingtothenatureof themeasure.Infact,thestatementofreasonsforrestrictionandsuspensionhasto bedelivered“priortooratthetimetakingeffect”,whereas,fortermination,ithasto bedelivered“atleast30dayspriortotheterminationtakingeffect”.Therearecases inwhichthisnoticeperioddoesnotapply,inparticularwhenthebusinessuserconcerned“hasrepeatedlyinfringedtheapplicabletermsandconditions,resultingin thetermination”.

Secondly,theplatformsmustestablishaninternalcomplaint-handlingprocess (ex article11),withinwhichthebusinessuserhastheopportunitytoclarifythefacts andcircumstances.Thisprocesshastobebasedonprinciplesoftransparency,proportionalityandequaltreatment.Moreover,ithastobeeasilyaccessible,freeof chargeandworkwithinareasonabletimeframe.Ifattheendoftheinternalprocedurethemeasureisdeemedunjustifiedandthusisrevokedbytheplatform,thebusinessusermustbereinstatedwithoutunduedelay.

Inconclusion,consideringthatthecomplaintscannotalwaysberesolvedbythe internalcomplaint-handlingprocess,article12setsouttheplatforms’obligationto identify“twoormoremediators”totrytoreachanout-of-courtagreement.IfthemediatorsdonotoperatewithintheEU,platformsmustensurethat businessusersconcernedarenoteffectivelydeprivedofthebenefitofanylegal safeguardslaiddowninUnionlaworthelawoftheMemberStates.

3.1.2GeneralDataProtectionRegulation

TheGDPRgrantsrightstopeopleperformingplatformworkregardlessoftheiremploymentstatus.

Withinsection2,Article13obligesthecollectorofthepersonaldatatoprovide certaininformationtothedatasubject.Paragraph2prescribesinformationnecessarytoensurefairandtransparentprocessing.Inparticular,itrequiresinformationon (f)theexistenceofautomateddecision-making,includingprofiling,referredtoin Article22(1)and(4)and,atleastinthosecases,meaningfulinformationaboutthe logicinvolved,aswellasthesignificanceandtheenvisagedconsequencesofsuch processingforthedatasubject.

Withinsection4,article22(1)establishestherightofthe“datasubject”tonotbe subjecttoadecision“basedsolelyonautomatedprocessing[…]whichproduces legaleffectsconcerninghimorherorsimilarlysignificantlyaffectshimorher.”.Even ifthesecondparagraphprovidesthreegroundsforexemptionfromthisright⁴⁸,the provisioncontinuesrequiringthedatacontrollerto

48 Article22(2)“Paragraph1shallnotapplyifthedecision:(a)isnecessaryforenteringinto,orperformanceof, acontractbetweenthedatasubjectandadatacontroller;[…]or(c)isbasedonthedatasubject'sexplicit consent.”.

implementsuitablemeasurestosafeguardthedatasubject'srightsandfreedoms andlegitimateinterests,atleasttherighttoobtainhumaninterventiononthepart ofthecontroller,toexpresshisorherpointofviewandtocontestthedecision. However,itisworthpointingouttwolimitsofthisprovision.

Firstly,therights ex article22(1)arebasedonunstableground.Infact,anykind ofhumaninteractionwithautomatedprocessingwillinterferewiththenotionofa decision“basedsolelyonautomatedprocessing”,thusexemptingtheplatformfrom theapplicationofthisarticle(Hacker etal.,2020).

Secondly,thedifficultyindrawingaline“betweenalgorithmicdecisionsthatdo ordonotaffectworkersinasufficiently‘significant’way”makesithardforpersons performingplatformworktoasserttheirdataprotectionrightsinthecontextofalgorithmicmanagement(PlatformWorkingDirective2021).

Recital71,otherthanre-statingtherightsexpressedinarticle22(1),alsospeaks aboutthe“righttoobtainanexplanation”.However,theRecitalisnotbinding.Forthis reason,somescholarshavetriedtogivethisrightbindingforcethrougharticle15.In fact,thisarticle–paragraph1h–establishestherightofthedatasubjecttoobtain fromthecontrollerin

theexistenceofautomateddecision-making,includingprofiling,referredtoinArticle22(1)and(4)and,atleastinthosecases,meaningfulinformationaboutthelogicinvolved,aswellasthesignificanceandtheenvisagedconsequencesofsuch processingforthedatasubject.

Forsomeauthors,thescopeofthemandatoryinformationisonlyaboutthegeneralstructureandarchitectureofthesystem.Forothers,thatinformation

canonlybemeaningfulifithelpsthedatasubjecttoexerciseherrightsunderArt. 22(1)and(3)GDPR,[…]Therefore,ifspecificexplanationsofthedecision,including theweightsandfactorsusedtoreachit,arenecessarytochecktheaccuracyofthe protectionandtopotentiallychallengeitscorrectness,suchinformationneedsto beprovided.

Inanycase,thediscussionontheinterpretationmustbesettledbytheCJEU (Hacker etal,2020).

Inconclusion,theGDPRdoesestablishrightsfortheindividual.Nonetheless,this Regulationhascertainlimits,especiallyforwhatconcernslabourlaw’scollectiveaspects.Infact,article88callsfor“morespecificrulestoensuretheprotectionofthe rightsandfreedomsinrespectoftheprocessingofemployees'personaldatainthe employmentcontext”.

3.1.3CopyrightDirective

Lastly,theCopyrightDirective–viaarticle17–establishestwoguaranteesfor creators.

Ontheonehand,paragraph7protectsthecreativeprocessofcreatorsbycoveringthemwithcopyrightexceptionsorlimitationsrelatedto“quotations,criticismor

reviews”ortheuseofworksfor“caricature,parodyorpastiche”purposes. Ontheotherhand,paragraph9obligestheMemberStatestoassurethatthe

onlinecontent-sharingserviceprovidersputinplaceaneffectiveandexpeditious complaintandredressmechanismthatisavailabletousersoftheirservicesinthe eventofdisputesoverthedisablingofaccessto,ortheremovalof,worksorother subjectmatteruploadedbythem.

3.2.Theproposalsunderdiscussion

Withinthelegislativeprocess,therearesomeinstrumentsunderdiscussionthat canchangetheplayingfield.

From2020,thereisthe(1)ProposalforaRegulationonaSingleMarketforDigital Services(hereinafter,'DigitalServicesAct'or'DSA').ThisAct,togetherwiththeDigital MarketsAct(hereinafter,'DigitalMarketAct'or'DMA'),constitutethepillarsofanEU digitalregulationuniqueintheworld.Theyaimtofacethenewdigitalworldchallengesposedbydigitalgiants,alsoforwhatconcernstheirbusinessusers.

Whereas,in2021,therearethe(3)'Proposalforadirectiveonimprovingworking conditionsinplatformwork'(hereinafter,'PlatformWorkingDirective'or'PWD')and the(4)proposalforaregulationlayingdownharmonisedrulesonartificialintelligence(hereinafter,'AIAct').

Lastly,thenew2022(5)ProposalforaDirectiveonCorporateSustainabilityDue DiligenceandamendingDirective(EU)2019/1937(hereinafter,'CorporateSustainabilityDueDiligence'or'CSDD').

Theaimofthissub-sectionistoassesshowtheseinstruments–iftheypassthe legislativeprocesssuccessfully–willaffectthelabourconditionofcontentcreators. Inordertodoso,letushighlight,respectively,thekeyprovisions.

3.2.1DigitalServicesAct

Expectedtocomeintoforceinthefirstquarterof2024,theDSAwillapplytoall onlineintermediariesprovidingintermediaryservicesintheEU,“irrespectiveofthe placeofestablishmentoftheprovidersofthoseservices”.

TheaimoftheRegulationistoenhancebothconsumerprotectionandprivacy. Forwhatconcernscontentcreators,Article1pointsouttheaimto“setoutuniform rulesforasafe,predictableandtrustedonlineenvironment,wherefundamental rightsenshrinedintheCharterareeffectivelyprotected.”.Thecoreissues–relatedto theworkingconditionsofcontentcreators–concerncontentmoderation⁴⁹,transparencyonalgorithmsanddisputeresolutionmechanisms.Thisconstitutesabigrevolution,withmorepowerfortheindividual,hopefullyleadingtobetterusageof dataandartificialintelligence.

49 DefinedbyArticle2as:“theactivitiesundertakenbyprovidersofintermediaryservicesaimedatdetecting, identifyingandaddressingillegalcontentorinformationincompatiblewiththeirtermsandconditions, providedbyrecipientsoftheservice,includingmeasurestakenthataffecttheavailability,visibilityand accessibilityofthatillegalcontentorthatinformation,suchasdemotion,disablingofaccessto,orremoval thereof,ortherecipients’abilitytoprovidethatinformation,suchastheterminationorsuspensionofa recipient’saccount”.

Article2isfundamentaltounderstandingwhichobligationapplies.

Thearticledivides'intermediaryservice'intothreecategories:'mereconduit', 'Caching',and'Hosting'.Thelattercategoryconsistsof“thestorageofinformation providedby,andattherequestof,arecipientoftheservice”.

Subsequently,thearticleprovidesalsothedefinitionof“onlineplatform”,meant asa“providerofahostingservicewhich,attherequestofarecipientoftheservice, storesanddisseminatestothepublicinformation”.Moreover,article25defines“very largeonlineplatforms”(hereinafter,VLOPs)asthoseplatformsthat“providetheirservicestoanumberofaveragemonthlyactiverecipientsoftheserviceintheUnion equaltoorhigherthan45million”.

Lastly,thenotionof“recipientoftheservice”refersto“anynaturalorlegalperson whousestherelevantintermediaryservice”.Thus,contentcreatorsfallwithinits scope.

Takingintoconsiderationtheseprovisions,TwitchandYouTubearesubject–cumulatively–totheobligationssetoutfor(a)verylargeonlineplatforms,(b)online platforms,and(c)hostingservices.So,letushavealookatthemostrelevantduties –imposedonthesetwoactors–inregardtocontentcreators.

Section1referstothe“provisionsapplicabletoallprovidersofintermediaryservices”.

Article12obligestheprovidersofintermediaryservicestosetout,clearlyand withoutambiguities,intheirtermsandconditionsalltheinformationregarding“any restrictionsthattheyimposeinrelationtotheuseoftheirservice”,includinginformationon“anypolicies,procedures,measuresandtoolsusedforthepurposeofcontentmoderation,includingalgorithmicdecision-makingandhumanreview”. Moreover,thesecondparagraphrequiresthemtoactina“diligent,objectiveand proportionatemanner”intheapplicationandenforcementoftheabove-mentioned restrictions.

Article13enhancesthetransparencyoftheprovidersbyestablishingadutyto, atleastonceayear,publishclearanddetailedreportsontheircontentmoderation. Withinitscontent,theremustbeinformationregarding thenumberandtypeofmeasurestakenthataffecttheavailability,visibilityand accessibilityofinformationprovidedbytherecipientsoftheserviceandtherecipients’abilitytoprovideinformation,categorisedbythetypeofreasonandbasisfor takingthosemeasures.

Section2establishesadditionalobligationsforhostingservices,includingonline platforms.

Article15obligestheproviderofhostingservices–whenit“removesordisables accesstospecificitemsofinformationprovidedbytherecipients”–toinformtherecipientaboutthedecisionandto“provideaclearandspecificstatementofreasons forthatdecision”.Thecontentofthisstatementhastoinclude:themeasurestakenby theprovider,therelevantfactsandcircumstances,theuseofautomatedmeans (whenapplicable),thegroundforincompatibilitywiththetermsofthecontract,and theredresspossibilitiesavailabletotherecipient.

Section3establishesadditionalobligationstoonlineplatforms.

Article17requirestheplatformstoprovidetherecipientwithaccesstoan“internalcomplaint-handlingsystem”afterdecisionsontherecipient’sinformation(removeordisableaccess),account(suspensionortermination),andthepossibilityto usetheservice(suspensionortermination).Theaccessmustbegrantedforaperiod ofatleastsixmonthsfollowingtheabominationdecisionsandmustallowtherecipienttosubmit“sufficientlypreciseandadequatelysubstantiated”complaints.The platformsshallhandlethecomplaintsina“timely,diligentandobjectivemanner”, eventuallyreversingthedecision–withoutunduedelay–ifthecomplaintissuccessful.Moreover,theplatformshallinformtherecipientaboutthepossibilityof“out-ofcourtdisputesettlement[…]andotheravailableredresspossibilities”.Lastly,and mostimportantly,theplatformsshallensurethatthedecisions“arenotsolelytaken onthebasisofautomatedmeans”.

Article18setsoutthe“out-of-courtdisputesettlementmechanism”–available totherecipients–withacertifiedbodywithwhomonlineplatformsshallengagein goodfaithandrespectitsdecision.

Article23addssomeothertransparencyrequirementsconnectedtotheobligationsexarticle13byrequiringtheprovidersofonlineplatformstoincludeinthereport:(a)thenumber,theoutcomesandtheaveragetimeneededforcompletingthe disputessubmittedtotheout-of-courtdisputesettlementbodies;[…];

(c)anyusemadeofautomaticmeansforthepurposeofcontentmoderation,includingaspecificationoftheprecisepurposes,indicatorsoftheaccuracyoftheautomatedmeansinfulfillingthosepurposesandanysafeguardsapplied.

Section4establishesadditionalobligationsfor“verylargeonlineplatformsto managesystemicrisks”,identifiedbytheabove-mentionedcriteriaexarticle25.

Article26obligesVLOPstoconduct–atleastonceayear–anassessmentofthe “significantsystemicrisksstemmingfromthefunctioningandusemadeoftheirservicesintheUnion”,withaspecificfocuson“anynegativeeffectsfortheexerciseof thefundamentalrightstorespectfor[…]theprohibitionofdiscrimination”andtakingintoaccounthowtheir“contentmoderationsystems[…]”influencethoserisks. Consequently,article27imposesonthemtheobligationtomitigatethoserisksby adoptingtailored,reasoned,proportionateandeffectivemeasures.

3.2.2PlatformWorkingDirective

ThemainpurposeofthePlatformWorkingDirectiveistosetcommondefinitions (Article2)andtograntthecorrectdeterminationofemploymentstatusonthebasis oftheprincipleofprimacyoffacts(Article3).ForthesakeofthisMaster’sThesis,we willonlyaddresstheprovisionswhichcouldapplytocontentcreators.

Firstofall,itisfundamentaltopointoutthedivisionbetween“platformworker” –whichrefersto“anypersonperformingplatformworkwhohasanemployment contractoremploymentrelationship”–and“personperformingplatformwork”–whichmeans“anyindividualperformingplatformwork,irrespectiveofthecontrac-

tualdesignationoftherelationshipbetweenthatindividualandthedigitallabour platformbythepartiesinvolved”.

Article4isthecoreoftheDirective.Itestablishesarebuttablelegalpresumption ofanemploymentrelationshipiftwoofthefollowingcriteria–relatedtotheconcept of'controllingtheperformance'–arefulfilled

a)effectivelydeterminingorsettingupperlimitsforthelevelofremuneration;

b)requiringthepersonperformingplatformworktorespectspecificbindingrules withregardtoappearance,conducttowardstherecipientoftheserviceorperformanceofthework;

c)supervisingtheperformanceofworkorverifyingthequalityoftheresultsofthe work,includingbyelectronicmeans;

d)effectivelyrestrictingthefreedom,includingthroughsanctions,toorganise one’swork,inparticular,thediscretiontochooseone’sworkinghoursorperiods ofabsence,toacceptortorefusetasksortousesubcontractorsorsubstitutes;

e)effectivelyrestrictingthepossibilityofbuildingaclientbaseorperformingwork foranythirdparty.

Inconsiderationoftheprevioussection,itisclearhowcriterion(a)ismet:Twitch andYouTubeareeffectivelydeterminingthelevelofremunerationofcontentcreators.However,alltheothersarelesslikelytobeconsideredfulfilled.Thus,contentcreatorsfallwithinthelattercategoryas'genuinelyself-employed'.

Inmyview,theonlydebatablecriterionisthesecondoneduetotheroleofthe platforms’guidelinesinlimitingtheoutputofcontentcreators’creativity.Nonetheless,IbelievethatconsideringcontentcreatorsasanemployeeofTwitchandYouTubedoesnotmirrortherealityoftheirwork.

Havingestablishedthatcreatorsdonotfallwithintheconceptof'platformworkers',letushavealookattheprovisionsofChapterIIIonAlgorithmicManagement whichapplytothem.

Article10statesthatarticles6,7(1),7(3),8“shallalsoapplytopersonsperforming platformworkwhodonothaveanemploymentcontractoremploymentrelationship”withoutprejudiceofP2Bregulationifapplicable.

Article6relatestothetransparencyofanduseofautomateddecision-making systems.Firstly,itimposesanobligationonplatformstoprovideinformationtodigitalplatformworkerson

automateddecision-makingsystemswhichareusedtotakeorsupportdecisions thatsignificantlyaffectthoseplatformworkers’workingconditions,inparticular theiraccesstoworkassignments,theirearnings,theiroccupationalsafetyand health,theirworkingtime,theirpromotionandtheircontractualstatus,including therestriction,suspensionorterminationoftheiraccount.

Thenitspecifiestheinformationneeded:theuseofsuchsystems,thecategories ofdecisions,theparameterstakenintoaccountwiththeirrelativeimportance,and lastly

thegroundsfordecisionstorestrict,suspendorterminatetheplatformworker’s account,torefusetheremunerationforworkperformedbytheplatformworker, ontheplatformworker’scontractualstatusoranydecisionwithsimilareffects. Thatinformationhastobeprovidedinawrittenform(maybeelectronic)

atthelatestonthefirstworkingday,aswellasintheeventofsubstantialchanges andatanytimeupontheplatformworkers’request

Moreover,theinformation“shallbepresentedinaconcise,transparent,intelligibleandeasilyaccessibleform,usingclearandplainlanguage”.

Article7imposesonthedigitallabourplatformstheobligationto“regularly monitorandevaluatetheimpactofindividualdecisionstakenorsupportedbyautomated[...]decision-makingsystems,onworkingconditions.”.Inordertodoso,the platformsmust“ensuresufficienthumanresources”which“shallhavethenecessary competence,trainingandauthoritytoexercisethatfunction”and“shallenjoyprotectionfromdismissal,disciplinarymeasuresorotheradversetreatmentforoverriding automateddecisionsorsuggestionsfordecisions.”.

Article8establishestherightforplatformworkersto“obtainanexplanation” fromtheplatformfor“anydecisiontakenorsupportedbyanautomateddecisionmakingsystemthatsignificantlyaffectstheplatformworker’sworkingconditions”. Morespecifically,theplatformsareobligedtoprovideworkerswithaccesstoa contactperson[…]todiscussandtoclarifythefacts,circumstances,andreasons havingledtothedecision[…]withthenecessarycompetence,trainingandauthoritytoexercisethatfunction.

Additionally,theplatformsareobligedtoprovidetheworkerwitha writtenstatementofthereasonsforanydecisiontakenorsupportedbyanautomateddecision-makingsystemtorestrict,suspendorterminatetheplatform worker’saccount,anydecisiontorefusetheremunerationforworkperformedby theplatformworker,anydecisionontheplatformworker’scontractualstatusor anydecisionwithsimilareffects.

Moreover,iftheworkersare“notsatisfiedwiththeexplanationorthewrittenstatementofreasonsobtainedorconsiderthatthedecisionreferredtoinparagraph1infringestheirrights”,theDirectivegrantsthemtherightto

requestthedigitallabourplatformtoreviewthatdecision[…]withasubstantiated replywithoutunduedelayandinanyeventwithinoneweekofreceiptoftherequest.

ChapterIV–“Transparencyonplatformwork”–prescribeasetofrelevantinformationthattheplatformsareobligedtosharewith“thecompetentlabourand socialprotectionauthoritiesoftheMemberState”andtoupdateregularly.Themain informationregardsthenumberandthestatusofpersonsperformingplatformwork ontheplatform,togetherwiththegeneraltermsandconditionsofthosecontractual relationships.

ChapterV–“Remediesandenforcement”–grantstopersonsperformingplatformworktherightto

haveaccesstoeffectiveandimpartialdisputeresolutionandarighttoredress,includingadequatecompensation,inthecaseofinfringementsoftheirrightsarising fromthisDirective.

Moreover,theDirectiveimposesonplatformsthedutytocreatecommunication channelsforpersonsperformingplatformwork,refrainingfromaccessingandmonitoringthosecommunications.

3.2.3AIAct

ThisEPproposalaimstocreateanEUAImarketthatrespectsfundamentalrights, especiallyinthecontextofalgorithmicmanagement.Equaltreatment,accountability,transparency,traceabilityandexplainabilityarethepillarsoftheobligationsset forAIproviders,allinplacetofacilitatetheimplementationoffundamentalrights. Firstofall,article6definestheso-called“High-riskAIsystems”.Paragraph2refers toAnnexIII,whoseparagraph4includessystemsthatrelateto

Employment,workersmanagementandaccesstoself-employment[…]AIintendedtobeusedformakingdecisionsonpromotionandterminationofwork-relatedcontractualrelationships,fortaskallocationandformonitoringandevaluatingperformanceandbehaviourofpersonsinsuchrelationships.

Subsequently,theAIActprovidesspecificrequirementson“transparencyandinformationtousers”,whichallowspersonsperformingplatformworktohaveaccess totheinformationtheyneedtooperatewithintheplatform’sAIsystem.Infact,article13requirestheHigh-riskAIsystemstobedesigned anddevelopedinamanner thatusersareabletounderstanditsimplicationandthewaytousetheminthe properwayforworking.

Moreover,thisprovisionrefersaswelltothe“humanoversight”mechanismof article14.Thismechanismisaimedat“preventingorminimisingtheriskstohealth, safetyorfundamentalrights”byestablishingthecontrolofanaturalperson.These personsshallbeableto“fullyunderstandthecapacitiesandlimitationsofthehighriskAIsystemandbeabletodulymonitoritsoperation”andto“correctlyinterpret thehigh-riskAIsystem’soutput,takingintoaccount,inparticular,thecharacteristics ofthesystemandtheinterpretationtoolsandmethodsavailable”.

Inconclusion,theprotectiveextentofthisAIActislimitedsinceitdoesnot “providesafeguardsinrelationtotherespectofworkingconditionsforthepeople directlyaffectedbytheuseoftheAIsystems,suchasworkers”(PWD2021).

3.2.4CorporateSustainabilityDueDiligence

Thepurposeofthisproposalistolaydownruleson“obligationsforcompanies regardingactualandpotentialhumanrightsadverseimpactsand[…]onliabilityfor

violationsoftheobligationsmentionedabove”.TheAnnexspecifiesthat“violationof therighttoenjoyjustandfavourableconditionsofwork”constitutes“adversehuman rightsimpact”withinthemeaningoftheDirective.

Article2pointsoutthatthisDirectiveappliestoextra-EUcompanieswhichhave a“netturnoverofmorethanEUR150millionintheUnioninthefinancialyearpreceding thelastfinancialyear”.Thus,YouTubeandTwitchfallwithintheirscopeofapplication.

TheDirectiverequirestheMemberStatestoensurethatcompaniesconducthumanrights“duediligence”throughdifferentactions:integratingduediligenceinto theirpolicies,monitoringtheeffectivenessofthosepoliciesandpubliclycommunicatingitsstrategy;identifying,preventingpotentialadverseimpacts,ormitigatingand bringingactualadverseimpactstoanend.Lastly,andmostimportantly,article9sets outanobligationtoestablishandmaintainacomplaintsprocedureaccessibleto personswhoareaffectedorhavereasonablegroundstobelievethattheymight beaffectedbyanadverseimpact[…]tradeunionsandotherworkers’representativesrepresentingindividualsworkinginthevaluechainconcerned.

3.2.5Summary

Toconclude,Iwouldliketohighlightthekeychangestheseproposalscanbring iftheypassthelegislativeprocesssuccessfully.

Inthefirstplace,theyarelikelytoenhancetheprotectionofcreatorswithinthe contextofautomateddecision-makingsystems.

ThePWD–inthecaseoftheuseofsuchaninstrument–establishesthecreators’ righttoobtainanexplanationandtointeractwithahumantodiscussandclarifythe situation.Moreover,italsoestablishestheneedtodevotesufficienthumanresources tomonitorthoseautomatedmeans.

TheAIActrequiresplatformstoexplaintheirAIsysteminawaythatcreatorscan usethemintheproperwayforworking.

Finally,theDSAobligesplatformstoreportontheuse,purposeandaccuracyof thisautomatedmeansforcontentmoderation,togetherwiththesafeguardsrelatedtoit.

Inthesecondplace,theseprovisionsprovideforseveralfundamentalguaranteesthroughoutthewholedisciplinaryprocess.

TheDSAimposeanobligationtonotifythecreatorsofanylimitationsrelatedto theircontent.Then,itestablishestherighttoaccessaninternalcomplaint-handling systemwithspecificrequirementsofprecisionandspeedinessoftheprocess. Moreover,itgrantsthecreatorstherighttohaveanout-of-courtdisputesettlement withacertifiedbody.

Lastly,PWD’schapterVestablishesthecreators’righttorequestadequatecompensationiftheinternalclaimissuccessful.

Inconclusion,onamoregeneralbasis,theDSArequiresplatformstoassessyearly thesystemicriskwithregardtotheuseoftheirservices.Moreover,itimposestheobligationtomitigatetheriskdiscovered.Thisencompassesalltheaspectsseenabove.

4.ProblemsandSolutions:PresentandFuture

Thelastpartofthisdissertationaimstoputinrelationtothefindingsoftheprevioustwosections.

Therefore,wewilladdressonebyonetheproblemsthatemergedinthesecond sectionbydividingthemintosubsections.Consideringthesignificantsimilarities betweenthedifficultiesexperiencedbyYouTubersandStreamers,wearegoingto beginconsideringthemasawhole.However,somespecificsolutionswillbepointed out.

Afterhavingidentifiedtheproblem,wewillassessiftherealreadyareEUlegal instrumentscapableofaddressingit.Then,wewillcheckifandhowtheproposalin discussionwithintheEUlegislativeprocess–highlightedinyellow–canaddressthe issue.Lastly,ifthereisalackofprotectionbothinthepresentandfutureEULegal Framework,wewillsuggesthowtointerveneattheEUlevel.

4.1Earnings

4.1.1Metrics

Inthefirstplace,theplatformshavethemonopolynotonlyinsettingtheshares oftheearningsbutalsoonthecountsofthemetrics,whichwillleadtothecalculationoftheremuneration.Thus,thecreatorshavenopossibilitytoverifyandcompare whathasbeencommunicatedtothembytheplatform.

Inthelackofpresentorfuturelegislativesafeguards,Iwouldhighlighttheneed forathirdpartywhoisabletocheckandcertifythisfundamentalprocess.

4.1.2Visibility

Inthesecondplace,thecreators’earningsareinherentlydependentonvisibility totheviewers,whichinturnisunilaterallydeterminedbytheplatformsviapolicies andAIsystems.Thus,asignificantpartoftheearningsissubjectedtovariationsindependentofthestreamers’actions.

Thelackoftransparencyandclarityonbothmainvisibilityrulesandbestpracticesisverydetrimentaltothestreamers’work⁵⁰.Onthesamepoint,thereisalackof explainabilityonthealgorithmicprocess,whichrulestheindexationontheplatform.

Ontheverylastpoint,articles13(2f)and15GDPRmaygrantsomesafeguards. Thesearticlesobligetheplatform–incaseofusageofautomateddecision-making systems–toprovidethecreators“meaningfulinformationaboutthelogicinvolved,aswellasthesignificanceandtheenvisagedconsequencesofsuchprocessingforthedatasubject.”.Moreover,Recital71alsospeaksaboutthe“rightto obtainanexplanation”.However,consideringthatitisnotbinding,thereisa heatedscholars’debateonwhethertheRecital–readjointlywitharticle15–imposesmandatoryinformationonlyaboutthegeneralstructureandarchitectureof thesystemormorespecificexplanationsofthedecision“includingtheweights

andfactorsusedtoreachit,arenecessarytochecktheaccuracyoftheprotection andtopotentiallychallengeitscorrectness”.

AsolutioninthisregardmightbeprovidedbyArticle8PWD,whichestablishesthe rightofthepersonperformingplatformworkto“obtainanexplanation”fromthe platformfor“anydecisiontakenorsupportedbyanautomateddecision-making systemthatsignificantlyaffectstheplatformworker’sworkingconditions”.More specifically,theplatformsareobligedtoprovideworkerswithaccesstoacontact person“todiscussandtoclarifythefacts,circumstances,andreasonshavingledto thedecision”with“thenecessarycompetence,trainingandauthoritytoexercise thatfunction”.

Thisledcreatorstoa“trialanderror”approachtotestingthealgorithmresponse. However,suddenchangesinthealgorithmsoperatedbytheplatformsnullifythe previouseffortofthecreatorsandputatriskalltheirinvestments.

Onthetopicofchangingtermsandconditions,article3P2Bobligesplatformsto “notify,onadurablemedium,tothebusinessusersconcernedanyproposed changesoftheirtermsandconditions”andwaitatleast15daysbeforeimplementingthosechanges.

Inthelastplace,talkingspecificallyaboutTwitch,the“liveexclusivityclause”isan aspectthataffectsremunerationandterminationoftheworkingrelationship.Thus, itshouldbesubjecttonegotiation,whichwillleadtotheadequationofthestreamers’earnings.

Atthemoment,therearenolegislativeprotections–neitherpresentnorfuture–inthisregard.

4.2CommunityGuidelines

Aswehavediscussedabove,consideringthatitisunrealistictoregulateeverypossiblehumanbehaviour,theGuidelinesneedtobeascomprehensiveaspossible. However,theirsignificantpresenceofambiguitiesisthecauseoftwotypesofissues.

4.2.1UnequalTreatment

BothonYouTubeandTwitch,theplatforms’discretionalinterpretationoftheir policyguidelinesleadstounjustifieddiscriminationbetweencreators.Somecanbe punishedbytheplatformforbehaviourthatothersconductwithnoconsequences. ForTwitch,wehaveseentheexampleof‘Amouranth’;forYouTube,the‘Adpocalypse gate’andthecaseof‘Flip’.Moreover,thehistoryofsuspensionisfullofeasilyavoidablesuspensions,asmentionedintheNOStreamDay’sManifesto.

Onthelatterpoint,Article17(7)GDPRprotectsthecreativeprocessofcreatorsby coveringthemwithcopyrightexceptionsorlimitationsrelatedto“quotations,criticismorreviews”ortheuseofworksfor“caricature,parodyorpastiche”purposes. EspeciallyforwhatconcernsYouTube’sAI-basedreportingsystem,thesituation mightbeimprovedbyAIAct.Article13requirestheHigh-riskAIsystemstobede-

signedanddevelopedinamannerthatusersareabletounderstanditsimplication andthewaytousethemintheproperwayforworking.

Moreover,abigchangecanbebroughtbytheDSA.Article26obligestheplatform toconduct–atleastonceayear–anassessmentofthe“significantsystemicrisks stemmingfromthefunctioningandusemadeoftheirservicesintheUnion”,with aspecificfocuson“anynegativeeffectsfortheexerciseofthefundamentalrights torespectfor[…]theprohibitionofdiscrimination”andtakingintoaccounthow their“contentmoderationsystems[…]”influencethoserisks.Consequently,article 27imposesonthemtheobligationtomitigatethoserisksbyadoptingtailored, reasoned,proportionateandeffectivemeasures.

4.2.2ExploitationbythePlatforms

Theissueofdiscrimination–flowingfromtheambiguityofthepolicies–isnot onlyduetothetypeofreportingsystem(onTwitch)ortotheinnerlimitsofthe platforms’moderationteamsbutalsotothehiddenentrepreneurialdecisions madebytheplatforms,whosehavethewholecontrolonwhatcanbedoneand whatnot.Theambiguitiesarepurposelyexploitedbytheplatformswithinthedisciplinaryprocess.

Onthispoint,Article11P2Brequiresaninternalcomplaint-handlingprocessbased onprinciplesoftransparency,proportionality,andequaltreatment. Moreover,forwhatregardsYouTube’sAI-basedreportingsystem,Article23DSArequiresplatformstoreporton“anyusemadeofautomaticmeansforthepurposeof contentmoderation”including“aspecificationoftheprecisepurposes,indicators oftheaccuracyoftheautomatedmeansinfulfillingthosepurposesandanysafeguardsapplied”.

Lastly,itisworthmentioningagainYouTube’scopyrightrulesandthecaseof ‘ThePruld’.Creatorsusingcopyrightprotectedmusic–evenifitisaremake–see theirvideodemonetisedinfavouroftheownerofthesongwithoutanyrecognition ofthevisualandeditingworkdone.Whereas,whenthecreators’contentisfreebooted,theplatformsofferthemnopossibilitytomonetise,justtobanthefreebootedcontent.

4.3ReportingSystem

Forwhatconcernsthereportingsystem,wehaveseendifferentproblemswithin YouTubeandTwitchduetotheirdifferentstartingpoints.

OnTwitch,theproblemisthreefold.

Firstly,thereisdiscriminationbetweenthesmallerchannelsandthebiggerones. Consideringthatthesystemisbasedonviewers'reports,thebiggerchannelsare morelikelytobereported,whileforthesamebehaviours,smallerchannelsaremore likelynottobenoticed.

Secondly,thereareaswellgroupsoforganisedflaggerswhoexploittheuserbasedreportingsystemtoimpairtheworkofcreatorswhomtheydonotlike.

Thirdly,theothersideofthecoinisthemoderationofthecommunity.Theplatformsusuallygivecreatorssometoolstoauto-moderatetheirchannel,yetthereisa lotmoretodo.

Ontheotherhand,YouTubeheavilyreliesonthealgorithmicflagofcontent. Thisisapreventivepolicywhichleavesthecreatorswithnodefencepriortothe demonetisation.Onlyaftertheflagcreatorscanrequestahumanreview.However, thehumanchecksusuallyarrivetoolatewithrespecttotheviewingpeaks,thuscompletelyeliminatingallthecreators’potentialearnings.Creatorstrytocircumventthis systemintwoways.

Firstly,pre-uploadingthecontentdaysinadvance.However,thereareformats thatrelyondaily(orelse,frequent)publicationandthuscannotbepre-uploadedin advance.

Secondlyby“trialanderrorsolutions”.However,thosesolutionsarefaraway frombeingdefinitive,consideringthateverytimetheplatformchangesthealgorithmslightly,creatorsneedtostartfromzerointheirtestingoftheAI.

AcrucialprovisioninthisregardisArticle7PWD,whichimposesontheplatforms to“ensuresufficienthumanresources”for“regularlymonitorandevaluatetheimpactofindividualdecisionstakenorsupportedbyautomated[...]decision-making systems,onworkingconditions”.

4.4DisciplinaryProcedure

Lastbutnotleastisthedisciplinaryprocedure.Theprocessofappealingaplatform’sdecisionisveryproblematicforcreators.Letusaddressthecommonissues betweenYouTubeandTwitch.

Firstly,thisisanex-postmeasurewhichdoesnotinterruptthenegativeconsequencesofthedisciplinarymeasure.

Furthermore,thelengthandinconclusivenessoftheprocessofassistancefrustrateevenmoretheearningsofthecreators.Insomecases,especiallywiththeTwitch permabanmeasure,thelengthandunpredictabilityofthisprocessaredevastating fortheworkinglifeofthecreator,aswehaveseeninthecaseof‘Sdrumox’.

Article11P2Brequiresthattheinternalcomplaint-handlingprocesshastowork withinareasonabletimeframe.

Art.17(9)CopyrightDirectiverequiresaneffectiveandexpeditiouscomplaintand redressmechanism.

Thenewproposalsarelikelytostrengthencreators'rightssignificantlyinthisregard.

Ontheonehand,article17DSAobligesplatformstograntcreatorsaccess–fora periodofatleastsixmonthsfollowingthedisciplinarydecision–toaninternal complaint-handlingsystemwhichmustallowtherecipienttosubmit“sufficiently preciseandadequatelysubstantiated”complaints.Moreover,itrequirestheplatformstohandlethecomplaintsina“timely,diligentandobjectivemanner”,eventuallyreversingthedecision–withoutunduedelay–ifthecomplaintissuccessful.

Ontheotherhand,article6PWDimposesanobligationonplatformstoprovide informationtodigitalplatformworkersontheuseofautomateddecision-making systems,thecategoriesofdecisions,theparameterstakenintoaccountwiththeir relativeimportance,andlastly,thegroundsfordecisions.Moreover,theinformation“shallbepresentedinaconcise,transparent,intelligibleandeasilyaccessible form,usingclearandplainlanguage”.Moreover,article8grantscreatorstheright to“requestthedigitallabourplatformtoreviewthatdecision”witha“substantiatedreplywithoutunduedelayandinanyeventwithinoneweekofreceiptof therequest”.

Asitwasnotenough,eveninthecaseofasuccessfulclaim,creatorshaveno righttocompensationfortheeconomiclossesandthedamagetotheirimage.

Atthepresentmoment,Article4P2Bjustestablishestheplatforms’dutytoreinstatethebusinessuserwithoutunduedelay.

ThePWDcanmakeahugedifference.Infact,ChapterVgrantsthecreators“have accesstoeffectiveandimpartialdisputeresolutionandarighttoredress,including adequatecompensation,inthecaseofinfringementsoftheirrights[…]”.

Secondly,thereisaclearlackintermsofhumanchecks.

Ononeside,theinteractionwithautomaticassistance–oftenuselesstounderstandtheissueatstake,withjustreferraltoageneralpolicyguidelinewithoutfurther explanation–substitutesmostofthetimethepossibilityofspeakingwithahuman moderator.

Ontheotherside,thereshouldbeahumanchecksonthepreviouscontent,the streamer'shistory,andanin-depthevaluationofthecasebeforeproceedingwiththe suspension.

Article22(1)GDPRgrantscreatorstherighttonotbesubjecttoadecisionSOLELY (however,anykindofhumaninteractioninterfereswiththeapplicationofthisprovision)basedonautomatedprocessingwhichproduceslegaleffectsSIGNIFICANTLY(yet,itishardforthecreatorstoactuallydemonstratethisblurredrequirement)affectsthem.Consequently,theprovisionrequiresthedatacontrollerto“implementsuitablemeasurestosafeguardthedatasubject'srightsandfreedoms andlegitimateinterests”,atleast“therighttoobtainhumaninterventiononthe partofthecontroller,toexpresshisorherpointofviewandtocontestthedecision”.

Asmallchangecanbebroughtbyarticle17DSA,whichobligesplatformstoensurethatdisciplinarydecisions“arenotsolelytakenonthebasisofautomated means”.

Thirdly,bothplatformsmanipulatecreators’visibilitywithoutanynotification. ThispracticeismoredisruptiveforYouTubersthanforStreamersbecausetheformer seestheirorganicviewdiminishingdrastically,andsodotheirearnings.

Article4P2Brequirestheplatforms–thatimposerestrictionorsuspensionofthe serviceprovidedtothecreators–tonotifythecreatorsofthemeasurewithastatementofreasonswhichreferstothespecificfacts,circumstancesandgrounds.

TheDSAgoesinthesamedirection.Article12specifiesthattheplatformsshallact

ina“diligent,objectiveandproportionatemanner”intheapplicationandenforcementoftheabove-mentionedrestrictions.Article15obligestheproviderofhostingservices–whenit“removesordisablesaccesstospecificitemsofinformation providedbytherecipients”–toinformtherecipientaboutthedecisionandto “provideaclearandspecificstatementofreasonsforthatdecision”.

Lastly,atthemoment,creatorshavenopossibilitytorefertothird-partyentities toappealplatformdecisions.

Article12P2Bobligesplatformstoidentifytwoormoremediatorstodealwithcreators’complaints.Moreover,itstatesthat,inanycase,creatorsmustalwaysbeable toenjoyeffectivelegalsafeguards.

TheDSAcanbringsignificantchangesonthispoint.Article17obligestheplatformstoinformtherecipientaboutthepossibilityof“out-of-courtdisputesettlement”–whichhastobeestablishedexarticle18–and“otheravailableredresspossibilities”.

Conclusion

TheobjectiveofthisdissertationwastoassessthelabourconditionsofYouTubersandStreamerswithintheEU.

Evidently,thisworkcouldnotprovideadetailedanalysisofthenumerouslegal issuesthatariseinthisnewkindofwork.Suchanalysiswouldgofarbeyondthe scopeofthisworkandmustnecessarilybelefttolaterstudies⁵¹.Rather,thefocusis onprovidinganinitialoverviewofthelawissuesrelatedtotherelationshipwith VLOPs–suchasYouTubeandTwitch–inparticularconcerningcontentmoderation anddisciplinarymeasures.

Nonetheless,thisnarrowanalysishasrevealedseveralgapsinthecurrentEU legalframework,eveninlightoftheupcominglegislation.Thelegalanswertofill thesegapshastocomeattheEUlevelratherthananationalone.Thisisbecauseof theintrinsiccross-bordernatureoftheplatformservicesinquestion:“regulatory fragmentationwillseriouslyunderminethefunctioningoftheSingleMarketfordigitalservicesaswellasthefunctioningofdigitalmarketsatlarge”(DMA2020).

WeneedEUharmonisation;weneedacomprehensiveinstrumentwhichaddressesthefigureofcontentcreatorsandofallpeopleperformingplatformwork thatcannotbeclassifiedasanemployeebutstillareeconomicallydependentonthe choicesoftheplatformsonwhichtheyoperate.

Evenif,intheend,contentcreatorsaregoingtobecategorisedasself-employed, theyperformanewkindofself-employment,whichcallforprotectionfromtheunilateralandunfairdecisionoftheplatformsthathostthem.Thetailoredprotection

51 Therearenumeroustopics–thatIhavediscussedwithcreatorsduringmyinterviews–leftasidefromthis Dissertation.Justtobrieflymentionthem:thepsychologicalpressurewhichderivesfromtheneedtobe presentonplatformtonotlosetheposition(e.g.,givingnoeffectiveholidaybreaktoStreamers)andupdated withrules,andtrendstonotlosethecompetitiveadvantageandtheorganicview;thelackofaclearVAT number,whichleavecreatorsinariskypositiontobeataxevader;thestruggleoftradeunion/syndicates movements;thenationalinstitutelackofdataaboutthecreatoreconomyphenomenon;andsoon.

neededcanbeachievedbyswitchingthefocusonthelatteractor:consideringplatformsasresponsibleentitiesforcompliancewithabasketofrightsandobligations–withthelegislativepresumptionthatcreatorsqualifyfortheserights–isafeasible solution.

Listofabbreviations

ADS- Advertisement

AI- ArtificialIntelligence

CFR- EuropeanCharterofFundamentalRights

CJEU- CourtofJusticeoftheEuropeanUnion

CSDD- CorporateSustainabilityDueDiligence

DMA- DigitalMarketAct

DSA- DigitalServicesAct

EU- EuropeanUnion

GDPR- GeneralDataProtectionRegulation

PWD- PlatformWorkingDirective

VLOPs- VeryLargeOnlinePlatforms

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theWiseMagazine.‘YoutubeAdpocalypse,lafinedell’Internetcomeloconoscevamo’,11January2020.https://www.thewisemagazine.it/2020/01/11/adpocalypse/.

‘YouTubeChannelMonetizationPolicies-YouTubeHelp’.Accessed11April2022.https://support.google.com/youtube/answer/1311392?hl=en.

‘YouTubePartnerEarningsOverview-YouTubeHelp’.Accessed11April2022.https://support .google.com/youtube/answer/72902?hl=en#zippy=%2Cwhats-my-revenue-share.

‘YouTubePartnerProgramOverview&Eligibility-YouTubeHelp’.Accessed11April2022.https:/ /support.google.com/youtube/answer/72851?hl=en&ref_topic=9153642.

Yuan,Yuanling,andJoshConstine.‘SignalFire’sCreatorEconomyMarketMap’.Accessed7 April2022.https://signalfire.com/blog/creator-economy/.

TheEUuseofsocialmediaincrisismanagement:fromAfghanistanto Ukraine

ÁlvaroGarroteFuentes

Introduction

TheformulationoftheLisbonTreatyin2007reshapedthepolitical-institutional frameworkoftheEuropeanUnion.Thetransferofcompetencestosupranational bodieswasgrantedwiththeendorsementofthenationalsovereigntyofthedifferentmemberstates,reinforcingtheideaofasovereignEurope.Thisinstitutionalreformgrantedclearcompetencesintermsofwhohasthedecision-makingcapacity intheeventofapossiblecrisis.

Avolatilesocietysuchastoday'sneedstobeclearabouthowtoactatanygiven moment,althoughforecastingisdifficulttoestablish,evenmoresowhenthereis suchinterdependencebetweenglobalactors.Inthiscontext,theobjectiveofthisresearchistogainaninsightintothefunctioningoftheEuropeanUnioninthefieldof crisismanagement.Todoso,itwillstartwiththeinstitutionalframeworkandtheprocedurethathasbeenprogressivelyestablishedinthisfield.

Thefocusofthisresearchgoesbeyondlookingatquestionsofcompetencesassignedbythetreaties,butwillpresentanempiricalapproach,inordertofindout howthedifferentEUinstitutionsactuallyact.Forthisreason,thestudyofcrisismanagementfromtheperspectiveofcommunicationisproposed.Isthereajointsocial communicationstrategylaunchedbytheEUintimesofcrisis,andwhatarethehallmarksofthemessagesissuedbyEUcrisismanagementactors?Thesearesomeofthe questionsthatmotivatethisresearchandtowhichthereaderwillfindanswers.

ThegreatlackofconfidencethatEuropeancitizenshaveintheEUprojectisdue toalackofknowledgeabouttheactivitiesofitsinstitutionsandthebenefitsitcarries.Basedonthispremise,theaimistoanalysethecommunicationmanagement carriedoutbythemajorEuropeanpoliticalactors.Todoso,wewillusethesocialmediachannelTwitter,aconsolidatedmediuminpoliticalcommunication,sinceit providesaplatformforalltheseactorstocommunicateand,atthesametime, providecontentfortheircommunication,asitenablesinformationtobesimultaneous,differentiated,retransmittedandreceivedbyallparties(CamposRodríguez 2017:786).

Stronginstitutionsrequirelegitimacyonthepartofcitizens,andforthistohappen,communicationmustbeatthecentreofaction.Intimesofcrisis,citizensare

ÁlvaroGarroteFuentes, Collegeof EuropeinNatolin,alvaro.garrote_fuentes@coleurope.eu

TheEUuseofsocialmediaincrisismanagement:fromAfghanistantoUkraine

particularlyvulnerableandwanttobeinformedatalltimes.Ifinstitutionsfailatsuch times,trustwillfallandinstitutionalfatiguewillspreadamongthepublic,threateningtheveryexistenceoftheEuropeanproject.

WhatnumberdoIcallwhenIwanttospeaktoEurope?ThisideaofHenryKissinger'swouldservetoexplainwhatishappeninginpoliticstoday.Moreover,there arediscussionswithinacademiaonthisissue,analysingtheshiftinpoliticsatthenationallevelfrompartyaffiliationtocandidatepolitics,wherepoliticalleadersare everything,inlinewiththeso-calledpersonalisationofpolitics¹.Agoodleaderisa guaranteedvictory,whileabadleaderwillnotwinsupport.AttheEuropeanlevelit isthesame,whoisthedecision-makerattheEuropeanlevel,whohasthefinalsay. Citizenshavenotaclearidea;communicationisflawed.

Fromacommunicationpointofview,thestrategyusedtodisseminateonemessageoranotherhastobeplanned,sincealargepartofthesuccessandthepossible connectionwithcitizenscancomethroughthischannel.Inunstabletimesandthe riseofpopulist-nationalistforces,theEuropeanUnionmustactfirmlyandreachout tocitizensthroughallavailablechannels.

Informationandcommunicationtechnologieshaveacquiredafundamentalrole inpost-modernsociety,multiplyingthepossibilitiesforinstitutionstopracticecommunicationandpublicdiplomacy.Atthesametime,thisevolutioncanbeadeterrent,asotheractorsmaydevelopthesamestrategytoensurethattheirmessage hasanimpactonsociety.

Theempiricalcharacterofthepresentresearchisproducedthroughtheanalysis oftwocasestudies,allowingcomparisonstobemadebetweenthetwoandaseries ofconclusionstobedrawn.Ontheonehand,thefocuswillbeoneventsinAfghanistaninAugust2021.Since1979,withtheSovietinvasionoftheterritory,thecountryhasbeenmarkedbyconflictandwar.Today,wefindacountryonthebrinkofcollapse,botheconomicallyandsocially.

Theinternationalcommunity'sresponsetohumanitariandemandshasalleviatedthecatastropheintheterritory,withpeaceandceasefireappearingtobeanecessityinthearea.ThefocusonthisconflictistomeasuretheroletheEUplayedin mediatingwhatwasprovokedbytheTalibantakeoverofKabul,thusendingthe country'spseudo-democraticregime².

Foritspart,Russia'sinvasionofUkrainianterritorychallengedtheinternational securityparadigm.TheEUasaglobalactorhasmobilised,unanimouslycondemning theactionsofRussianforces.Similarly,uptofivesanctionspackageshavebeenimposedontheKremlinbytheEU.Therehasbeennoshortageofsolidarityintermsof humanitarianaidfromthe27memberstates,aswellasmechanismsforactionby Europeaninstitutions.Analysingthecommunicationstrategyinthisscenariowillbe

1 VanAelst,Peter,TamirSheafer,andJamesStanyer.“ThePersonalizationofMediatedPoliticalCommunication: AReviewofConcepts,OperationalizationsandKeyFindings.”, Journalism 13,no.2(February2012):203–220, https://doi.org/10.1177/1464884911427802;McallisterIan.“ThePersonalizatonofPolitics” TheOxford HandbookofPoliticalBehaviour (2007).

2 DanielRajmil,LucíaMorales,ToniAira,MarionaCardonaValles,“Afghanistan:Amultidimensionalcrisis”, Peace Review (2022):1-10doi:10.1080/10402659.2022.2023428

crucialtounderstandwhetherproximityisanelementtotakeintoaccountwhen designingthecommunicationstrategy.

Ingeneralterms,acomparisonofthetwocasestudieswillallowustoidentify whethertherereallyisastrategyintermsofsocialcommunication.Inthisway,itwill bepossibletoidentifywhetherthereisamultiplicityofmessagesfromtheEuropean institutionsorwhether,onthecontrary,thereisrealcommunicationcoordination. Furthermore,itwillbeinterestingtocomparethetwocases,aselementssuchasgeographicalproximitytotheconflictcanplayanimportantroleindefiningcrisiscommunication.Thepresentationoftheframeworkprovidedbythetreatiesandthecase studieswillshowwhetherthereisrealcooperationandcoordinationbetweenEUinstitutionsandbodies.

Atthispoint,andgiventheimportanceofcrisismanagementbytheEU,itisobvious thatcitizenswanttoknowwhatishappeningandwhatactionsarebeingtakento solvetheproblems.Thisisbecauseaglobalisedworldmeansthattheconsequences ofconflictscanhaveadirectimpactoncitizens.TheEU'slegitimacyisatrisk,asisits integrity.Usingacontentanalysismethodology,theEU'scommunicativestrategyin thefaceoftheaforementionedinternationalcriseswillbeobserved.Communication mustbeefficientandeffectivesothatpublicopinionisnotfilledwithnegativeperceptions,andtheEU'sexternalcommunicationpolicyhasacrucialroletoplayinthis.

1.Literaturereview

HowtheEuropeanUnionhastriedtoworkandactfromitsinstitutionswithcrisis managementleadsustomakethistheoreticalpresentationofwhatthedifferentauthorshavesaidandinvestigatedonthisissue.Inthiscontextwehavetounderstand thatweareapproachingthetopicfromtwoperspectives,eitheronthesideofthe institutionsoronthesideofthecitizens.

TheEuropeaninstitutions,likeanyotherorganisation,seektoachieveconfidenceonthepartofcitizensandtheyshouldbeperceivedbythemaslegitimateand efficient.Trustininstitutionsiseverything,astheyneedittocarryouttheiractions onaday-to-daybasis.GrayandBalmerexplorehowimportantreputationcanbefor anorganization.Theydefinereputationas“theaggregateevaluationconstituents makeabouthowwellanorganisationismeetingconstituentexpectationsbasedon itspastbehaviours”(GrayandBalmer1998:696).Inthissense,theresearchersconcludethatthemaintenanceofthereputationallowstheinstitutionnottospendtime repairingthepossibledamage(GrayandBalmer1998:696).

However,itwillnotbeeasytoachievethis,asmanyfactorscomeintoplay.The wayinwhichtheEuropeanUnionactstoalleviatecrisissituationswillbepresented inthefollowingparagraphs.

TheactionstakenbytheEUpoliciestendtoconsolidate,accelerateorevento initiatewhenthreatsassailtheUnion(SperlingandWebber2019:228).Thomas Persson,CharlesF.ParkerandStenWidmalmpresenttheideathat

1.1EUasacrisismanager

Transboundaryeventsofthiskindornationaleventsthatexceedthecapabilitiesof asinglecountrytohandlealonearesomeoftheprincipalreasonswhytheEUhas assumedanincreasinglycentralroleinthemanagementofcrises(2017:102).

InthiscontextithastobepresentedthattheTreatyontheFunctioningoftheEU includesinitsArticle222thesolidarityclauseinwhichtheEuropeanUnionandallits MemberStateshavetheobligationtoassisteachotherincaseaMSmaypotentially beaffectedbyexternaltreat³.TheEUseekstocoordinateglobalactionduetoeffective crisismanagement“dependsonthecapacityofmanagers,decision-makers,involved organisations,andstakeholderstocontributetothevariousspecificphasesandactivitiesthatmakeupcrisismanagement”(Persson,Parker,andWidmalm2017:99).

ThesolidarityattitudeisnotaneasyonetofollowbytheMS.Theconceptualisationofsovereigntyiscrucialinthisaspect.Inordertoactivatethesolidarityclause, whoshouldbetheoneinchargeofdeclaringthestateofemergency?Amongthe reflectionspresentedbytheacademicNikolayPavlov,wecanfindtheideathatwas pointedoutbyCarlSchmitt,theGermanconstitutionaljurist.Smithdefinedthesovereign“astheonewhocanproclaimastateofemergency”(Pavlov2015:25).Overall, inordertoshapeEUcrisismanagementpolicyitshouldbetakenintoaccountthe relationbetweencrisismanagementandnationalsovereignty,mostlybecausethe MSarereluctanttorelinquishpowers(Pavlov2015:25).

TheEuropeanUnionisidentifiedasthemainplayerintheseoperations.Itissince 1999thattheEUhasincorporated“newproceduresandstructuresforthedeploymentofmilitaryandciviliancrisismanagementintheframeworkofESDP”(Gourlay 2004:405).AccordingtoPavlov,thisoccursbecausetheinternationalagendawasinterruptedbytheendoftheSovietblocandtheKosovoCrisis,generatingasignalin theEUinstitutionalframework(Pavlov2015:24).Inthissense,Pavlovfollowsthediscussionpointingoutthat

unliketheNorthAtlanticTreatyOrganization(NATO)whichhascrisismanagement asacoretaskfromtheoutset,theEuropeanUnionwasnotdesignedtoplaythe roleofacrisismanager(Pavlov2015:23).

ItisalsoforthisreasonwhytheEUworksincooperationandinpartnershipwith otherorganizationsliketheUN,NATOandtheOSCE(Stewart2008:229).

WhenitcomestocrisismanagementwefindthatComfort etal. explainthaton thissubject,wecandifferentiateseveralactivitiessuchas“threatassessment;preventionandmitigationactivities;preparedness/earlywarning;response;andrecovery”(Demchak,Boin,Comfort2010).Allinall,thegoalistoreduceriskandpresent resilienceasaninstitution.Inthecontextconcerningthecurrentresearchweneed topointoutthattheEUcrisismanagementpolicyhasbeenfed,ontheonehand,by theEUsecurityanddefencepolicy,and,ontheotherhand,byEUemergencyand disasterpolicy(Pavlov2015:25).

Followingthesameline,theincreasedimportanceofthetopiccanbenoticedin theacquisitionofalegalstatusandrecognitionbytheTFEU.Pavlovdiscussthat

3 Article222,"ConsolidatedVersionofTreatyontheFunctioningoftheEuropeanUnion."October26,2012.OJ C326/47

withinthediscourseoftheCommonSecurityandDefencePolicy(CSDP)theterm ‘crisismanagement’includesthePetersbergTasks–humanitarianandrescuetasks, peacekeepingtasks,tasksofcombatforcesincludingpeace-making(Pavlov2015: 25).

Animportantremarkthathastobemadeatthisstageisthetreatmentthatis madebythelegalframeworkofEUoftheconcept“crisis”.Whatwehavepointout sofaristherelationoftheconceptwiththemilitaryenvironment,butintheTFEUit isreferredtomonetarypolicy,indeed,economicaspects⁴.Pavlovreflectsonthe ideathat

[theterm]isnotdirectlyreferredtointhepartonEUExternalAction(whereCSDP issituated)orinthespecialprovisionsontheCommonForeignandSecurityPolicy (CFSP)whichtechnicallyremainpartoftheTreatyontheEuropeanUnion(TEU)” (Pavlov2015:27).

TheLisbonTreatygeneratesahugeadvanceintermsofoutliningtheEUcrisis managementsystem.SomeofthecomponentsofthisnewsystemaretheestablishmentoftheStandingCommitteeonOperationalCooperationonInternalSecurity andthefunctionoftheHighRepresentativeoftheUnionforForeignAffairsandSecurityPolicyandVicePresidentoftheEuropeanCommission(HR/VP)-givingacoherentshapetotheEUexternalaction-andsetuptheEuropeanExternalActionService (EEAS)(Pavlov2015:27).

AnotherimportantideadevelopedbytheLisbonTreatywastheattributionof competencesinthefieldofcrisistothedifferentinstitutions.Inthissensewecansee thetasksofeachinstitution.

Firstly,weshouldpayattentiontotheroleoftheCounciloftheEuropeanUnion. SincetheLisbonTreaty,thisinstitutionhasbeenseenasthekeydecision-makingorganintimesofcrisis,mostlybecauseitactsasaForeignAffairsCouncil.Itstillmust bementionedthatintheyear2000withintheCouncilwasfoundedthePoliticaland SecurityCommittee,inchargeof“exercisingpoliticalcontrolandstrategicdirection ofEUcrisismanagementoperations”(Pavlov2015:33).TheEuropeanCouncilremains“asthemajorpoliticalpeace-setteractingonaconsensualbasisandgovernmentscannotbeoutvotedthere”(Falkner2016:955).Itshouldbemarkedthatas evolutionofthepoliticalbodytheformalconsensusrequirementshavebeenrelaxed overtime(Falkner2016:955).

Secondly,webringthenewly(incomparisonwiththeothers)establishedEEAS. Fromthisposition,theHR/VPtriestohelptheEuropeanUnionbecomemorevisible andeffectiveattheinternationallevelthroughforeignpolice.Inotherwords,theEU triestodevelopviatheEEASacoherentforeignpolicyandbeintermsofsecurity policiespresenceintheworld(Csernatoni2021:87).Inspiteofthat,oneofthecritics arrivesatthestagerelatedtothepolicy-makingbyEEAS,presentinglotsoflimitations.

ThomasE.HenöklpresentstheEEASas“anorganisationalhybridwithinbuiltambiguities,stemmingfromthepre-Lisbonpillarstructure,withcompetenceareasdi-

TheEUuseofsocialmediaincrisismanagement:fromAfghanistantoUkraine

videdbetweencommunityinstitutionsandthemembers”(Henökl2015:680).Bátora agreeswithHenöklinthe“hybrid”characterofthisinstitutionalbody.Heremarks thattheEEASholdsa“character,combiningpolitical,diplomaticandadministrative structuresandtasks”(Bátora2013:603).Someconcreteactionsandresponsibilities wecanalludetoareco-responsibilityforforeignaidanddevelopment,civilianand militarycrisismanagementordefencecooperation(Bátora2013:607).Wecanconcludethatdealingwithcrisisandprovidingapotentialresponseisataskattributed totheEEAS,dueintheorganisationchartitselfcanbedistinguishhowCharlesFries wasappointedasDeputySecretary-GeneralforCommonSecurityandDefence Policy(CSDP)andcrisisresponse,beingthelastresponsiblefortheDirectorateofIntegratedApproachforSecurityandPeaceandSecurityandDefencePolicyDirectorate(Csernatoni2021:93).

AmongalltheacademicsthathavebeenworkingabouttheEEASshouldalso mentionedPowellandColyvas.Forthemthehybridcharacterthatwaspointedout representsalackofclarityregardingresponsibilities.Thisgeneratesopacityinterms ofgoalsandvision.Theauthorsalsoseehowtheoverlappingofthejurisdictions cangeneratedysfunctionalcontrolandoversightmechanisms(Powell,Colyvas 2008:283).

AtthisstageitshouldbementionedthatthepositionoftheHR/VPwasdeterminedandcorsetedbytheownLisbonTreaty,sotheroomtoactisnotreallybig.The missionsattributedtothatportfolioweremostlybasedontwolinesofaction.Onthe oneside,he/sheshouldactasabridgebetweentheEUandthememberstatesforeignministers.Ontheotherside,theHR/VPsharesexternalpolicycompetenceswith someCommission’sDirectorateGenerals.

Lastly,andcomingbacktothequestionaboutlegitimacy,theHR/VPisinvoketo theEuropeanParliament,havingtoaccountandjustifyhis/herpolicieschoices(Powell,andColyvas2008:283).Inaddition,“theHRhastherighttoputforwardforeign policyproposalswiththememberstates”(Vanhoonacker,Pomorska2013:1316) basedontheArticle30.1oftheTEU.SophieVanhoonackerandKarolinaPomorska manifestthat“havingtherightofinitiativelikeinthecaseoftheCommissionisan importantassetbutnotaguaranteeofsuccessfulpolicyinitiation”(Vanhoonacker, Pomorska2013:1320).

OnthelastdivisionwepresenttheEuropeanCommission.WithintheCommission,theGeneralDirectorateforCivilProtectionandEuropeanHumanitarianAidOperations(DGECHO)playsthemostimportantroleconcerningcrisismanagement. TheDG,foundedin1992,holdstheCivilProtectionCommunityMechanismandthe EmergencyResponseCoordinationCentre(ERCC),beingoneofthemostvaluable instrumentsforEUcrisisresponse(Pavlov2015:34).Inrelationwiththeactionstaken bytheEuropeanCommission,thereisahugechangewiththeimplementationofthe LisbonTreaty.Atthepre-Lisbonstagetheywerethememberstatesthosewhowere actingasmotorofcooperationandintegration.Attheafter-Lisbonsettingthe EuropeanCommissiongainedpowerwiththeCommonForeignandSecurityPolicy (Vanhoonacker,Pomorska2013:1318).

Allinall,wecannoticehowdifficultitistoachievepoliciesinthefieldofsecurity anddefencecanbe.EmmaJ.Stewartsupportsthatideamostlybecauseshethinks thatwithinthisinstitutionalframeworkcreatingacoordinatedconflictprevention policyisnotaneasytaskduethepolicy-makingactionsbeingsplitamongdifferent pillarsandinstitutions(Stewart2008:230).Sheadds“conflictpreventionisindanger ofbecomingatokenobjectiveclaimedbybothinstitutions-referringtotheCouncil andtheCommission-,butpractisedbyneither”(Stewart2008:246).

1.2 Communicationintimeofcrisis

Inthepreviousparagraphs,theideaoftrustintheEU'sinstitutionswaspresented,andbythesametoken,theideaofperceptionplaysanimportantposition.The perceptionthatthecitizenshaveabouttheEuropeanUnionasawholeorabouta specificinstitutioncanbechangedandcanmigratefromapositiveonetoanegative oneandviceversa.

Atthislevel,itisworthytomentiontheresearchconductedbyKimand Cameron,whichshowsthatwhenitcomestoevaluatingacompany(thesameapply toinstitutions)citizensareguidedbyemotionsinducedbynewsframes(Kimand GlenT.Cameron2011:830).Wecanappreciatethelinkbetweenorganisationsand citizens,anditisinthisscenariothatwewanttohighlighttheimportanceofcommunicationingeneral.

ItisinthislinewherethemajorityofcriticsthattheEuropeanUnionspherereceivescome.Mazzolenipresentedin2010theideathatduetotheEuropeanUnion beingapoliticalsystemitshoulddevelopapoliticalcommunication.Heunderstood politicalcommunicationas“thepublicexchangebetweenthepoliticalsystem,the massmediaandthecitizens”(MazzolenicitedinRivasdeRoca,GarcíaGordillo2021: 2).Inthesameline,Habermastheorisedabouttheideaofpublicsphere,reflecting aboutitlike“acommonspace,[where]citizensactasaholdersofdemocraticlegitimacythankstothemediatedroleofmedia”(HabermascitedinRivasdeRoca,García Gordillo2021:2).

WhenitcomestocommunicationandactionstakenbytheEU’sInstitutionswe needtomentionthe2001LeakenDeclarationandthe2006WhitePaperontheEuropean CommunicationPolicy.Afterhisresearch,AndrinoSanCristobalfoundthattheEUhas showngreatconcernabouthowtocommunicateandhowtodevelopexternalcommunication(AndrinoSanCristobal2014).Ontheotherhand,academicslikeMoravcsik followtheideathattheEUisdistanttothepublic(Moravcsik2002:603-624).

ThiscommunicationgapbetweentheEuropeanUnionandcitizensmaygeneratethedisconnectionandillegitimacygivenbythecitizenstotheEUsphere.Thisdescribedscenariotendstobeavoidedduringcrisismanagementsituations.

TheEuropeanUniontosecurethepublicsupport,resourcesandlegitimacy neededtobuildwell-functioningcrisismanagementanddisasterresponseinstitutions”andthebestwayisthroughcommunication(Persson,Parker,Widmalm 2017:100).

FromthetheoreticalperspectiveTimothyCoombslaunchedtheSituational CrisisCommunicationTheory(SCCT)inordertoassessreceiversofinformationand theirperceptionsandtheattributionofresponsibilitytotheorganizationsthatthey maygenerate(Coombs2004:270).Theimportanceofthistheoryandwhyitis presentedisduetoithelpingcrisismanagersto

Identifythebestoutletstorelaycrisisresponsesanddevelopstrategiestotarget keysourcesthatmighthelporhinderattemptstomaintainorganizationalreputationormanagepublics’emotionstowardtheorganizationexperiencingacrisis (Coombs2004:270).

Indeed,thefocusshouldbedoneinthecommunicationstrategythatisdoneby theinstitutions.

Intermsofstrategy,ChristianKreuder-Sonnenlaunchedthatthemaingoalsto achievethroughtheestablishedstrategyarethecontrolofthepublicperceptiontowardsthreat,inordertoavoidthepanic,andtoavoidadeteriorationofthecrisissituation(Kreuder-Sonnen2018:966).Inthisregard,KirkHallahandefinesstrategiccommunicationas“thepurposefuluseofcommunicationbyanorganizationtofulfilits mission”(Hallahan etal. 2007:3).Theideathatcomeswithintheorganisationisthat everyactionintimesofcrisiscanbeseenasaformofcommunication,inthissense, everybodyinsidetheinstitutionalframeworkshouldseethemselvesaspotentially strategiccommunicators(Hallahan etal. 2007:11).

Whenitcomestocrisiscommunications,ifyoualwaysfocusonbuildingarelationshipwithyourcustomers,fans,andfollowers,youwillalwaysfindyourselfcommunicatingintherightdirection(Buama2018:63).

Withthisstatement,MelissaAgnes,internationalcrisismanagementspeaker, triestoapproachtheideaofhowimportantthereceptor,thepersonthatisreceiving themessage,isforthesender-messagepart.Inhishandbookaboutcrisiscommunicationandcrisismanagement,ChesterC.Buamarecognisesthatshouldbetheability ofthecommunicatortoidentifythegroupsthatneedtocommunicatetoandbe goodinordertoadaptthemessagetoallofthem,inordertocreateaneffectivecommunicationprocess(Buama2018:64).

Thekeyaspectofcrisiscommunicationistocommunicate.Thetargetaudience maybeaffectedbythecrisis,ormaybenot,buttheinstitutionhastoshareallthe informationtheyhaveinordertocombatalltypesofrumoursthatmayappear.The maingoalistoinfluenceandinformtheaudience,anaudiencethathavegreatexpectationstotheauthorities.Itisatthisstageiswherewefindagainthat"ifauthoritiesfailtomeettheseexpectations,thepublictendstoloseconfidenceinthemanagement”(Buama2018:66)inchargeoftheinstitution.

Consequently,Buamaidentifiesthataninstitutiondealingwithcrisisshould maintainitscredibility,betransparent,beaccessibleandhaveandshowexpertise throughitsactions(Buama2018:67-68).Inthesameline,thementionedCoombs suggeststhatinstitutionscananticipatetocrisisthankstothepotentialcrisiscommunicationplan(Coombs2015:143).AccordingtoBuama,thecrisiscommunication

couldbedividedinthreestages:crisisplanning,crisisresponseandcrisisrecovery (Buama2018:76).

Inrelationwiththefirststage,crisisplanning,themaingoalistoassesstheorganisationitself.Itmeansidentifyingvulnerabilities,allocatingresponsibilitiesand developinganinterfaceformediainteraction.Communicationisakeycomponent whileassessingandcreatingafunctionalcrisisplan.Thesecondstageconcernsthe crisisresponse.Alltheactionstakenareunderminedbytheowncrisis.Theinteractioncreatedwiththemediainthefirststageisexploitedhere,duetheskilledmedia spokespersonthatwouldbetheconnectionoftheinstitutionwiththeexternal worldthroughthischannel.Theelementsmentionedbefore(transparency,accessibility…)arerequiredandshouldbeexhibitedatthisphase(Buama2018:76).

Whenthecrisisisover,theinstitutionshouldstarttherecoverypath.Itwillallow gettingbacktothenormaloperations,besideitwillbedifficulttoachieveafullrecovery.AsBurmaexplains"thecrisisprovidesanopportunityfortheorganizationsto introspectownprocessesandsystem”orinotherwords“aperiodofrenewalanda recommitmenttothecoreprinciplesunderwhichtheorganizationwasfounded” (Buama2018:77).

Allinall,duringthisprocessitwashighlightedhowimportantitistopracticean activecommunicationduringcrisis,inbothaninternalandexternalway.Theimpact ofthemessageisakeyaspectcrisismanagerneedtodealwith.Amongfeaturesthat agoodmessageshouldhavewefind:simplicity,consequence,cleartone,keypoint presenceandcredibilityonthebehalfofthepersonpresentingit(Buama2018:105).

Inthiscontext,andasapartofanevolvingsociety,technologiesaregainingan importantpositiontohelporganisationsandpoliticianstobeconnectedwithcitizens.NicholasMichelsenandThomasColleyidentifythat“theemergenceofdigitised,networkedmediaecologyhasmadecommunicationappearincreasinglyimportanttoachievingoutcomesininternationalpolitics”(MichelsenandColley2019: 61).Itisimportanttohighlightthatmostoftheconductedacademicresearchhas beenfocusedinanalysingtheusageofsocialmediaduringpoliticalelection. Moreover,thisisanimportantargumenttosupporthowimportantsocialmediacan beinthepoliticalarena.

Buama,thepreviousmentionedacademic,includesamongitsstepsincrisis communicationsalistofkeyactors,likethe“socialmediamanager”.Accordingtohim thispersonwouldbe“responsibleformanagingthesocialmediacontentandcommunicationfortheorganizationduringthecrisis”(Buama2018:81).Theonlinepresencethroughsocialmediachannelscanhelpasapowerfultooltoreducethepossiblepanicandrumorssituations.AstheAmericanresearchersLaShonda,L.Eaddy andYanJinreferintheirarticle,“Crisishistorytellersmatter”,“thecrisiscommunicationliteraturesuggeststhatorganisationscanbenefitfromtellingtheircrisisinformationbeforeothersourcessuchasmediaoutlets”(LaShonda,Eaddy,Jin2018:230). Tofulfilthispurpose,socialmediachannelsarethebesttools.

Certainly,socialmediabringslotsofbenefitswhenitcomestocrisisresponse andresolution,butatthesametime,thesamesocialmediaisaformofcrisisthreat.

TheEUuseofsocialmediaincrisismanagement:fromAfghanistantoUkraine

Everythingdependsontheusagethatsocialmediamanagerscarryout.Coombsreflectsthat“justbecauseyoucommunicateduringcrisisdoesnotmeanyounecessarilymakethesituationbetter”(Coombs2015:141).Atthesametimethementioned crisisresponsestrategyshouldavoidthisscenarioandprotecttheorganisationby eliminatingorreducingreputationaldamage(AllenandCaillouet1994:50).

Ifwepayattentiontothereceptorposition,LucindaAustin etal. exposethatin timesofcrisisaudiencetrendtousesocialmediatocheckthelatestnewsandevents (Austin,Liu,Jin:2012:191).Institutionsdealingwithacrisissituationneedtoconsiderthat“duringcrises,audiencesturntosocialmediatofindawidevarietyofinformationandsupport,especiallyemotional”(Hilyard etal. 2010:2294-2301).

Overallwecanconcludethischapterwiththereasoningthatcommunicationin generalandsocialcommunicationinparticular,thankstodigitalisation,areanintegralpartofcrisiscommunication.Themostimportantelementisthatwecanfindhow communicationadaptstothenewparadigmsofsociety.

1.3Aboutcrisis

Inthepreviousparagraphs,differentconceptsandideashavebeenpresented. ThroughtheliteraturecompilationwecouldidentifywhatresearchersandacademicshavestudiedintermsofhowtheEuropeanUnioninstitutionsdealwithcrisissituation.Furthermore,theusageofcommunicationandsocialmediatoconnectthese institutionswiththecitizenryhasbeenalsopointedout.

Despiteallthis,thereisoneideamissinginthisliteraturereview.Themain conceptwearedealingwithiscrisis,andforthisreasonthepresentationofthis conceptshouldbedone.Aboveall,thetermislackofawidelyaccepteddefinition. TheresearcherE.Sternconsiderscrisisas

asituation,derivingfromachangeintheexternalorinternalenvironment,characterizedbythreenecessaryperceptionsinresponsibledecision-makers:threatto basicvalues,urgencyanduncertainty(Stern2003:7-8).

ThelastelementisaddressedbyChristianKreuder-Sonneninhisarticle“Political secrecyinEurope:crisismanagementandcrisisexploitation”. Kreuder-Sonnen agreesthat“crisisaretypicallycharacterisedbyahighdegreeofuncertainty” (Kreuder-Sonnen2018:958-980).Thisuncertaintymostlyarrivesduethereisalackof knowledgepossessedbycrisismanagersintermsofnature,causesandconsequencesofthepotentialcrisis.

Abasicideathatshouldbeincludedintheconceptualisationofcrisisisthatitis asocialconstruct,basedonindividuals’perceptions.Thatmeansthatacrisissituation isnotdeterminedbyanobjectivereality,inotherwords,“itisaspecificmultidimensionalpoliticalperceptionofacertainreality”(Pavlov2015:24).Atthisstageiswhere theideaof“agenda-setting”appears.Thereareissuesandsituationsthatoftenarise muchmorequicklythanothers.Ifthereisaglobalperceptionandidentificationthat aneventisconsideredasacrisisthefocuswillbeautomaticallyaroundtheconflict. ThesameideaissharedbyKleinnijenhuis etal. thosewhoassertthat"itcanevenbe

saidthat,althoughcriseshavearealorigin,intheendtheyareconstructedfromthe interactionbetweenvariousactors,whoseperceptionsproducerealconsequences” (Kleinnijenhuis,Schultz,Oegema2015:19).

Inthislastideapresentediswherewecanfindthelinkbetweentheimportance ofcommunicationandthecrisissolution.Ascrisisisanaspectsubjecttointerpretation,crisismanagersshouldacttoavoidthepossibledowngradingoftheinstitution. Connectedwiththisideawecanfindtheneoinstitutionalisationtheorypresentedby AllenandCaillouetthatshowsthat“anorganizationisgrantedlegitimacyifstakeholdersbelieveanorganizationisgoodand/orhastherighttocontinueoperations” (Allen,Caillouet1994:47).Thistheorycanbesummarisedwithoneoftheideas presentedintheverybeginningandthatwehavebeendefending“acrisisisathreat orchallengetoanorganization’slegitimacy”(Allen,Caillouet1994:48).

Inthesameline,itisworthytopresenttheroleplayedbypublicdiplomacy.This conceptualisationisfundamentalincrisisscenariosbetweeninternationalactors,and itcanbeconsideredasafundamentaltooltomanagethesituationsthatemergefrom thedifferentcrisis.Inthisregard,communicationstillplaysanimportantrolebecause “diplomacyhasfallenunderthescrutinyofthemediaandpublicopinion”(Gilboa2008: 55).Abouttheideaofpublicdiplomacytheory,thereisimportantworkdoneinorder todevelopafurthertheorisation.Inthisrespect,EytanGilboaconfirmsthat despitethesignificantgrowthofpublicdiplomacyinthestudyofcontemporary internationalrelations,scholarshavenotyetsufficientlycaughtupwithorpromotedtheoreticalresearchinthisfield (Gilboa2008:73).

Nevertheless,inthefieldofIRtheinterestaboutpublicdiplomacyisnotnew.For example,socialconstructivism’sscholarsshowedaninterestinthestudyofpublic diplomacyconsequencesincrisismanagement.FortheacademicNicholasCull,publicdiplomacyisconsiderasan“internationalactor’sattempttomanagetheinternationalenvironmentthroughengagementwithforeignpublics”(Cull2009:12).The sameideaiscollectedbyneo-liberalpractitionerssuchasJosephNye,whoconsiders publicdiplomacyasatooltogaininfluenceintheinternationalarenathankstoofferingattractiontocertainactors.Followingthesameidea,forNyepublicdiplomacyis aconcretemechanismtodeploysoftpower(Nye2008:97).

Afterthediscussionaboutcrisisimplications,wecanconcludebypresentingthe crisisdefinitionmadebyTimothyCoombs,previouslymentionedacademic,thatfully synthesisesallthathasbeenpointedout:crisisas“theperceptionofanunpredictable eventthatthreatensimportantstakeholderexpectationsandcanseriouslyaffectan organization’sperformanceandgeneratenegativeresults”(Coombs2015:146).

2.Methodology

2.1Contentanalysisontwitter

Oncethecontextual-theoreticalcontentshavebeenpresented,wecanproceed toexplainthemethodusedtocarryoutthismasterthesis.Themethodologyhasbecomethecornerstoneofthescientificwork,asitisthemostappropriateforachiev-

TheEUuseofsocialmediaincrisismanagement:fromAfghanistantoUkraine

ingthespecificmotivationforthisresearch.Inthisscenarioitisnecessarytopresent theobjectivestobeachievedattheendofthestudy.Thesecanbeseenbelow,split intoageneralobjectiveandtwospecificobjectives:

- Generalobjective:TostudytheresponsemechanismtowarcrisesthattheFundamentalTreatiesoftheEuropeanUniongranttothedifferentEuropeaninstitutionsandsupranationalbodies.

- SpecificobjectiveI:Toanalysethecommunicationstrategiespromotedbythe differentEuropeaninstitutionsthathavebeenassignedcompetencesinthefield ofcrisisandconflictresolution.

- SpecificobjectiveII:ToquantifythedigitalimpactontheTwittersocialmediaof theinstitutionaldiscourseontheconflictinUkraineandAfghanistanaccording totheresourcesandstrategiesapplied.

Thefulfilmentofthedesignedobjectiveswillallowthefollowinghypothesesto beverifiedattheendoftheresearch:

- HypothesisI:TheEuropeanUnionshowsagreaterdegreeofcommitmentto eventsdeterminedbyproximitycriteria.Anapproachthatcanbeobservedin thedisseminationofmessagesonTwitterabouttheconflictsinUkraineand Afghanistan.

- HypothesisII: ThedegreeoftheEuropeanUnioninvolvementininternational conflictswillbegreaterintheearlystagesofconflicts.Thistrendcanbeseenin thecaseofUkraine,tothedetrimentofAfghanistan,asthefirstconflictisanew cycleininternationalrelations.

- HypothesisIII:ThemultiplicationofvoicesintheEuropeanUnionfailstounify themessageandtoachieveacommonpositionandacommonvoiceintimesof crisis.ThisapproachisobservedduringtheconflictsinUkraineandAfghanistan.

Bearingthesepremisesinmind,themethodologyappliedtocompletetheresearchrespondstotheapplicationofastudytechniquebasedonacomparativecontentanalysis.ForK.Krippendorff,contentanalysis"maybecomeoneofthemostimportantresearchtechniquesinthesocialsciences"(Krippendorff2004:11)andfurthermoredetailsthat"[contentanalysis]seekstounderstanddatanotasasetof physicaleventsbutassymbolicphenomena,andinthiswayapproachestheirdirect analysis"(Krippendorff2004:11).ToKrippendorff,consideredthefatherofcontent analysis,RaymondCollereflectsthatcontentanalysiscanbeconceivedas asetofresearchmethodsandtechniquesdesignedtofacilitatethesystematicdescriptionofthesemanticandformalcomponentsofalltypesofmessages,andthe formulationofvalidinferencesaboutthedatacollected"(Colle2011:93).

Inthisway,theapplicationofthecomparativecontentanalysismethodology, bothquantitativeandqualitative-discursive,isdemonstrated.Theanalysisfocuses onreviewingtheactivityandbehaviourofpoliticalleadersattheinter-statelevel, inthecontextoftheEuropeanUnion,throughsocialmedia,specificallythrough Twitter.Tothejustificationofthechoiceofthemethodwemustaddthejustification

ofthetechniquesused.AndréuAbela,sociologist,determinesthattheuseofcontentanalysisinresearchwithbroadtimeframesisthemostsuitabletool(Andréu Abela2002).

Thetimeframeoftheresearchisfifty-sevendays,dividedintotwotimeperiods. Eachperiodcorrespondstoacasestudy,astheconflictsanalysedtakeplaceat differenttimes.ThefirstperiodcorrespondstotheconflictinAfghanistanand twenty-eightdatesarestudied,from15th August2021to11th September2021.The dateof15August2021waschosenbecausethatiswhentheTalibantookKabul.11th September2021ischosenastheclosingdateastheUSordersthewithdrawalofits troopsfromthefield.

Ontheotherhand,thesecondcasestudyfocusesontheconflictinUkraine, whichcomprises29daysofanalysis.Thetimeframeofthispartofthestudyrunsfrom 24th February2022to24th March2022.Theproposedone-monthperiodisthemost intenseperiodofnewsaftertheRussianFederation'sinvasionofUkraineonthe24th February2022.Thedecisiontochoosethe24th March2022astheclosingdatecorrespondstothefactthatafteramonthofwartheconflictisenteringastalematephase. Infact,atthispointRussiasuggestsfocusingontheDonbassregion.Inaddition, thereisthepracticaljustificationthatthisiswhenthesamplecollationbegins.

Beforedescribingtheprocedurefollowedinthecontentanalysis,itisparticularly importanttodefinethesamplechosentoconducttheresearch.

2.2Sample

Ithasalreadybeenbrieflystatedabovethatthesampleismadeupofsocialmessagespostedbypoliticalleadersattheinter-statelevelinthecontextoftheEuropean Union.ThechoiceofTwitterasthesocialmediawheretheentiresampleislocatedis justifiedbytheimpactthatthissocialplatformhasintermsofthereproductionand virilisationthesemessagescanachieve(PérezCurielandGarcíaGordillo2020:1142).

ThetweetsareauthoredbythreekeyplayersattheEuropeanlevel:

- UrsulavonderLeyen(@vonderleyen) ⇒ PresidentoftheEuropeanCommission

- JosepBorrellFontelles(@JosepBorrellF) ⇒ HighRepresentativeoftheUnionfor ForeignAffairsandSecurityPolicyandVice-PresidentoftheEuropeanCommission

- CharlesMichel(@eucopresident) ⇒ PresidentoftheEuropeanCouncil

Thechoiceoftheseactorsisreflectedinthetheoreticalframeworkofthisresearch.Theseactorsarethemostdecisiveintermsofcrisismanagementandsecurity attheinter-statelevel,asthetreatieshavegrantedthemcompetenciesintermsof decision-making.

Therefore,thesampleiscomposedofthetweetsthattheseactorshavepublished.Twitonomysoftwareprovidesaccesstothetweetspublishedbytheactorsunderanalysis.Thegeneralsampleoftweets(n=661)issubjectedtoathematiccategorisationtoobtainthespecificsample(n=479).Thissampleincludesonlymessagesrelatedtothethematic“conflict” .

Onthebasisoftheseconstants,andinordertofulfiltheresearchobjectives,as indicatedbythecontentanalysistechnique,ananalysistemplate-sheetisdesigned. Thesheetincludes10variables,correspondingtoatriangulationofquantitative, qualitativeanddiscursiveelements.Thevariablescanbeseenbelow:

Thenextphasetoconducttheanalysis ofthedifferentvariables,aswellasofthe valuesthattheymaypresent,istodesigna codingmanual,allowingthedataprocessingworktobespeededup.

Thecodingdoesnotdistinguish betweenquantitativeorqualitative-discursivevariables;thesamepatternisappliedinbothscenarios.Foreveryoption withineachvariableisassignedavalue from01toasmanyoptionsexist.Atthe sametime,adistinctionismadebetween ordinalandnominalvariables.Intheresearchconductedwecanfindinthe“numberofMG”or“numberofRT”aclearexampleofanordinalvariable.However,thevariable“UseofHashtags”isanominalvariable,asithasdichotomousvalues,YESorNO.

Thelastmethodologicalstepisdataprocessing.TheuseofthestatisticalsoftwareIBMSPSSStatisticsversion25hasbeenemployed.ThereliabilityoftheintercodersiscalculatedthroughScott'sPiformula,presentinganerrorlevelof0.98.From theexploitationofthedata,itwaspossibletodrawupcontingencyandfrequency tables.

3.Resultsanalysis

3.1Twitterresultsanalysis

Afterexplainingthemethodologyfollowedforthismasterthesis,weproceedto thepresentationandcommentaryofthedataexploitedintheanalysis.Inspiteof havingtwodifferentcasestudies,wehaveoptedforajointpresentationoftheresults,i.e.handlingtheresearchdatajointly.Thankstothejointtreatmentoftheinformation,itwillbepossibletodrawaseriesofconclusionsandthusfulfiltheobjectivesandhypothesisthatweresetatthebeginningoftheresearch.

Asindicatedabove,theanalysisofresultsistheoutcomeofmonitoringtheactivityofthedifferentEUactorsonwhichthefocushasbeenplaced:Ursulavonder Leyen,JosepBorrellFontellesandCharlesMichel.Quantitativeandqualitative-discursiveelementswillbeidentifiedinthisassessment.

Firstofall,itisnecessarytoidentifythespecificsampleuniverse.Thequantitative analysisistheonethatprovidestheinformationaboutthesample,identifyingthe metricsofeachoftheactors.

Table1:ContentanalysisappliedtoTwitter Source:Ownelaboration

Ofthetotalof479tweets thatweresubmitted,thereisa fairlyevendistributioninterms ofthenumberofsocialmessagespostedbythedifferent actors.Itisworthnotingthatin theperiodsanalysed,Josep BorrellistheonewhousesTwitterthemosttopostsocialmessages,whilethePresidentofthe EuropeanCouncil,Charles Michel,hashadtheleastsocial presence.Thereisadifferenceof41tweetsbetweenthesetwoactors,whilethe EuropeanCommissionPresidencyisinanintermediateposition,withatweetdifference of29tweets,withatotalof154socialmessages.

Inordertoapproachthehypothesesputforward,thenextelementpresented relatessocialmessagestobothAfghanistanandUkraineconflicts.Throughaquantitativeanalysisithasbeenpossibletoidentifyhowmanytweetseachpoliticalactor haspublishedineachconflictscenario.

Lookingatthe differentcellsinthe table2,itispossibletoidentifythe trendofeachactor inbothconflicts, Afghanistanand Ukraine.81.8%of thetweetsissued focusontheconflictthatbrokeout inUkraine,while only82ofthe479 tweetsrefertothe situationinAfghanistaninAugust 2021.

Ifweidentifythetrendthateachactorhaspursuedwefindnosurprise.Theyall havetheUkrainianconflictinmindonagreaternumberofoccasions.JosepBorrell wastheactorwhotweetedthemostinbothcases,posting34ofthe82tweetsabout theeventsinAfghanistan.ItisstrikingthatUrsulavonderLeyenistheonewho tweetstheleastinreferencetotheconflictinAfghanistan.However,itisCharles MichelwhohastheleastsocialpresenceintheUkrainianconflict.

Table2:Tweetscountbyactorandconflict,source:Ownelaboration

Figure1:Tweetcountbyactor Source:Ownelaboration

TheEUuseofsocialmediaincrisismanagement:fromAfghanistantoUkraine

Havingpresentedthemostrelevantdatafromaquantitativepointofview,itis necessarytofocusontheevaluationofthemostsignificantqualitativeelements. Takingthespecificsampleoftweets(479)asareference,wefirstanalysethethematic brandinginthedifferentsocialmessages.

Atotalofninethematicswereidentifiedtoconducttheanalysis:

- AttacksandCondemn

- Energy,EnvironmentandClimateChange

- Disinformation

- Economy,IndustryandCrisis

- JudicialAction,Sanctions

- Immigration,Security,Evacuations

- EqualityandSocialRights

- Diplomacy

- Others

Oneoftheissuesofmostinterestinthisresearchistherelationshipbetweenthe actorsandthethematic,inordertoidentifywhichissueshavemonopolisedthe agendaofthedifferentprofiles.

Thethematicfocusofeachoftheactorscanbevisuallyidentified.Itisunanimous that“diplomacy”isthemostfrequentlyusedtheme.Underthisthematic,thetweets thatwerecategorisedweretheonesthatshowedabilateralandmultilateralrelations betweentheactorsandthirdparties.

Withrespecttootherthemesused,itcanbeidentifiedthatalargepartofthe tweetspublishedbyvonderLeyenfocuson“judicialactionsandsanctions”.Thistopic presentsagreatcontrastintheprofileofCharlesMichel,beingthefourththememost

Figure2:ThematicandEUactor,source:Ownelaboration

usedbyhim.Bytheuseofthethematic“judicialactionsandsanctions”,itispossible toseetheweightthatthedifferentinstitutionshavewhenitcomestoadoptingsanctions,withtheEuropeanCommissionbeingthebenchmarkinthisrespect.

ItisJosepBorrellwhoinhisTweetsmostcondemnstheattacksandwhofocuses onpostingtweetsabouttheconflictsthemselves,thusfollowinguponthelatestdevelopments.Anotherthemethatstandsoutsymmetricallyintheprofilesanalysedis “immigration,securityandevacuations”,withmostofthetweetsunderthisclassificationbeingdedicatedtoreportingontheevacuationsofciviliansthatweretakingplace.

Finally,anothertopicthathasagreatweightinthetotalnumberoftweetspublishedis“energy,environmentandclimatechange”.AnexamplecanbefoundinUrsulavonderLeyen’sprofile,20ofhertweetsfocusedonthistopic.Thepresenceof theenergyissueonthepoliticalagendaofthedifferentactorsisjustifiedbytheconflictinUkraine,asitpointsouttheEU-Russiadependenceonenergysupplies.

Aftertheevaluationofthedata,itwas observedthatanother interestingelementin thecontentanalysisis toseetherelationship betweenthethematic identifiedandthe conflictsanalysedas casestudies.

Thetableshows theissuesframesthat werepresentineach conflict,thusgeneratingthepolitical agendaoftheactors analysed.

Inordertofacilitatetheinterpretation ofthedata,therelevantfiguresarehighlighted.Themostfrequentlyusedtopicsin socialmessagesare “diplomacy”and“immigration,securityand evacuations”,accountingfor33.8%and

18.4%oftweets.Themajorimpactthattheissueframe“diplomacy”hasintheprevious paragraphsisthatitrepresentsthespiritoftheEUasaglobalactorinconflictresolution.

Table3:Tweet’stematic,source:Ownelaboration

TheEUuseofsocialmediaincrisismanagement:fromAfghanistantoUkraine

Ontheotherhand,“immigration,securityandevacuations” issuesareaconsequenceofbothcasestudies.Theconsequencesoftheconflictonthecivilianpopulationforcethemtoleavethecountry.Hereagain,theEU'spositioniscrucialin termsofevacuations.

Thetablehighlightsthetheme“judicialactionandsanctions”intheUkraineconflict. Morespecifically,15.4%ofthetweetsreferringtotheconflictinUkrainefocusonthis topic.Lookingbackatthepoliticalnewsduringtheperiodunderreview,wefound thattheEuropeanCommissionlauncheduptofivesanctionspackagesagainstRussia inresponsetotheinvasionofUkraine.Theseactionshavehadagreatsocialimpact, generatingupto74tweetsonthesubjectofsanctionsandlegalaction.

Althoughalreadyidentifiedinthepreviousgraph,thistableprovidesmoredetail ontheissueframe“Energy,EnvironmentandClimateChange”.Itcanbeseenthatthis topicisonlypresentintheUkraineconflict,since,asexplainedabove,Russia'senergy supplytoEuropeancountrieshasplacedthisquestionatthetopofthepolitical agenda.IntheAfghanistanconflict,thisthemeisnotpresent,noris“disinformation”. ThelatterispresentinthecaseofUkraine,mainlybyidentifyingthethreatposedby RussiaintermsofpropagandathroughthetelevisionchannelsSputnikandRussia Todayamongothers.

Inordertogetacompletepictureoftherelationshipbetweenactor,themeand conflict,atriplecrosstabulationwaschosentoshowthefrequencyofuseperactor ofeachthemeinbothconflicts.Topresenttheresults,agraphicalrepresentationwas chosen:

Thebarchartshowsthethematictrendsinthepoliticalagendaoftheactorsunderstudy.Firstly,thePresidentoftheEuropeanCommissionshowsafairlyuniform behaviourwithregardtotheAfghanistanconflict.Mostoftheirsocialmessagesrevolvedaroundconcernsaboutimmigration,securityandevacuationssituationsthat weretakingplace.However,ascanbeseen,thesocialmessage’sissueframeinthe Ukraineconflictismorevaried,highlightingtheroleoftheEUasaglobalactorand asasanctioningagent.

Figure3:Tematic-Actor-Conflict,source:Ownelaboration

HR/VPBorrellpoliticalagendaontheAfghanistanconflictissimilartovonder Leyen’s,althoughitistruethatthethematic“diplomacy”ismoreprominent,highlightingmeetingswithworldwidepoliticalrepresentatives.This modusoperandi is followedbyCharlesMichel,withmostofhistweetsduringtheperiodanalysedon theAfghanistanconflictbeingarepresentationofhisagendaandcalls/videocalls (duetoCOVIDsituationandlockdowns)withworldwidepoliticalleaderstoo.Both BorrellandMichelcondemninequalpartsRussia'sinvasionofUkraineandtheensuingattacks.

Anothervariabletowhichthesocialmessagesofthedifferentpoliticalactors havebeensubjectedisthetoneofthemessage.Throughthisvariable,thecommunicationstrategycanbeanalysed,asitallowsthepotentialreceptortoknowwhat theintentionofthemessagereceivedis.

Itisclearfromtheaside graphpresentedthatthereisno trendintermsoftoneinthe tweets,asthediscursivemarks aredifferentforeachactor.Three tweets’toneswereconsideredin theanalysis:positive,criticaland neutral.Underthepositivetone classification,messagesthatconsiderimprovementsandpositive actionstowardstheEuropean Unionhavebeenincluded.In otherwords,inthetweetsincludedtheprofilesanalysed spokeaboutbenefitsintermsof well-beingfortheEuropeanpopulation.Criticaltonerefersto messagesbasedonharshcriticismoftheactionsofathirdactor,i.e.Russia.Finally,theneutraltonereferstothose messageswithaninformativeslantoncurrentaffairs,aswellaspersonalagendainformation,suchas,forexample,agreementsreachedormeetingsconductedbythe actors.

Havingestablishedthecriteriathathavebeenfollowed,wecannowcomment ontheresultsoftheanalysisofthesocialmessageoftheprofilesanalysed.Inthecase ofMichelandvonderLeyen,theneutraltonestandsout,beingpresentinmorethan 50%oftheirpublications.InthecaseofJosepBorrellthecriticaltonehighlights,with morethan80ofhis183tweetshavingacriticalbias.

Thecriticaltrendisalsopresentinmorethan20tweetsinthecaseofthePresidentoftheCouncil,whileUrsulavonderLeyenhasthefewesttweetsofacritical nature.ItisthePresidentoftheCommissionwhohasthegreatestpresenceofmessageswithapositivetone.Thesedata,whichwewilllaterexploreintheconclusion,

Figure4:Politicaltone,source:Ownelaboration

helpustoadvancetheprofileofeachofthepoliticians,highlightingBorrell'scritical toneandvonderLeyen'sneutralandpositivetone.

Anotherimportantvariabletoanalysewhenstudyingthepoliticalmessageis themessagecode,i.e.thelanguageused.Theidentificationofthelanguageusedis crucial,asitisthebasisofthecommunicationprocess.Theemitterintendstosenda messagewiththeaimofitbeinginterceptedbythereceiver,andtodosoitmustbe sentwithacodethatthereceivermustknow.Thefollowingtableshowstheuseof languageintheconflictsstudied.

ThemostfrequentlyusedlanguageisEnglish. 87.7%ofthemessagesissuedbythe actorsanalysedare writteninEnglish,420 tweetsoutofatotal of479.Thelowuse ofFrenchandGerman,bothofwhich arerecognisedasofficiallanguagesand usedintheday-todayworkofthe Europeaninstitutions,isstriking. Only16tweetsare publishedinFrench, andtwoinGerman.

Oneelementthathasattractedattention,andwasthereforeidentifiedasanindividualvariable,istheuseofUkrainianfortweeting.Despitethefactthat21messages,representing4.4%ofthetotal,isnotalargeenoughsample,itservestojustify thefactsetoutabove,namelytheadaptationofthecodeaccordingtotherecipient ofthemessage.ThemessagesinUkrainianmostlyshowsupportfortheUkrainian people,condemningRussia'sactionsunderUkraine'ssovereignsoil.

Finally,tweetsinSpanish,ItalianandRussianhavebeenidentifiedunderthe “others”variable.ThefirsttwocorrespondtointerviewsthatJosepBorrellhasgiven inthosecountriesandonwhichhehasreportedinformation,whilethemessagesin RussianareadirectappealtotheKremlin,inwhichtheacriticaltonestandsout.

Inthefollowing,wewillfocusonanalysingsocialmessagesfromthepointof viewoftheirformalproduction.Todoso,wewillfirstpayattentiontotheformalproductionitself,analysingtheformatofthetweet.Ontheotherhand,wewillseehow actorsusementionsandhashtags.Finally,wewilllookattheuseofaudiovisualresources.

Table4:Useoflanguageineachconflict,source:Ownelaboration

AlltheseelementsarefundamentaltodrawconclusionsbasedonthecommunicationstrategythatiscarriedoutbyEUactors.Specialistsinsocialpoliticalcommunicationindicatethattheelaborationofthemessagethatisdisseminatedonthe webiselaboratedbythepoliticianorbyateamspecialisedinsocialmediathatappliescommunicationandmarketingtechniques(FernándezGómez,HernándezSantaolalla,Sanz-Marcos2018:20).

Thetweetformatvariableincludedfivepossibleoptions:

- Ownproduction

- Retweet

- Thread

- Quotedtweet

- Replytoanotheruser

Inthegraphbelowitcanbeseentheformthateachoftheactorsgavetothe differenttweets.

Firstly,itisstrikingthatoneoftheformatsthatwascontemplatedintheinitial analysisframeworkisnotpresent,theoneconsistinginreplyingtoanotheruser.The natureofsocialmediachannelsisthattheyaredynamicandbidirectional,allowing thepoliticalactortobeclosetothecitizenry.Thefactthatnoneofthe479tweets receivedaresponseisquitesignificant.

Ontheotherhand,thegraphsshowagreatvarietyintermsofsocialmessage production,supportingthepresentedtheoryoftheelaborationinvolvedintweeting. Whiletheownproductionformatisnotinteresting,thethreadingandretweetingformat are.Theuseoftheseformatshasfollowedacommonpattern:explanationbytheactors ofconcretepoliticalmeasuresthat,duetothe280characterlimitineverytweet,were difficulttoexplaininasimpletweet.Thetrendobservedistoexplainconcreteactions intheareasofsecurity,migrationandpolitical-economicsanctions.

UrsulavonderLeyenistheonewhomakesthemostuseofthreads,49.31%of times,correspondingtoatotalof71threads.CharlesMichelfollowswithatotalof55 threads.ItisstrikingthatJosepBorrellistheactorwiththehighestproductionofhis owntweets.WhileitistruethatBorrellappearswith51.85%oftheretweets,innet figureswearetalkingabout14RT,identifyingatotalof27retweets.

Figure5:Tweets’format,source:Ownelaboration

Theformalanalysisofthetweetscontinuesbyidentifyingtheuseofmentions andhashtagsmadebythedifferentprofiles.Thedecisiontoincludethesevariables ismotivatedandjustifiedbythefactthattheyarefurtherevidenceoftheelaboration ofthesocialmessageandthepotentialinteractiononthenetworkatmosphere.

Ingeneralterms,abalancecanbeobservedintheuseofbothresources,with morehashtagsbeingusedthanmentionsingeneral.However,ifwelookatthefiguresforeachactor,wecanseewhatcharacterisestheirsocialmessage.

CommissionPresidentvonderLeyenhardlyuseshashtagsinhertweets,only14 times.Thisisquitesignificant,especiallyifwetakeintoaccountthattherestofthe profilesdoandifwetakeintoaccountthelaunchbyEUinstitutionsofthe #EUstandswithUkraine hashtag.

CharlesMichelistheonlyonewithapositivebalanceintermsofmentions.In87 ofhis142tweetshemadeamention,i.e.heeitherdirectlyappealedtoaninterlocutororsimplyinformofameetingorconversationhehadheld.Thesametrend canbeobservedinthemessagesissuedbyJosepBorrell.Thefactthatthementions inbothprofilesfollowthethematictrenddiscussedabove,thesocialmessageof bothactorswasframedunder“diplomacy”issueframe.

Finally,wewillfocusontheanalysisofthevariableaudiovisualelementsthat vonderLeyen,BorrellorMichelmayhaveincorporatedintheirmessagespublished onTwitter.Uptosixoptionswereconsideredwhensamplingandanalysingthedata: -

Firstofall,wewanttopresenttherelationshipbetweenthedifferentactorsand theuseofaudiovisualelements.Atfirstglance,majordifferencesbetweenactorscan beobserved.UrsulavonderLeyenistheonewhomostoftenusesimageswhenposting onTwitter,i.e.shetendstouseimagestopresentthecontent.Attheotherextreme,

Table5:UseofHashtagsandmentions,source:Ownelaboration

bothBorrelland Micheltendtopublishtweetswithout anyaudiovisual content.

Theuseof videosishighinthe caseofBorrelland Michel;forthelatter beingthemostcommonlyusedaudio visualresource.

Throughcontent analysis,ithasbeen identifiedthatallof themtendtouploadtheirspeeches andpolitical speechesandevenrecordedinterviewswiththemedia.Finally,VP/HRBorrelluseof linksisstriking,with28timessuchlinksbeingused.

Inasecondphase,theaimistolookmorecloselyattheuseofaudiovisualelementsintheconstructionofthesocialmessage.Thefollowingtableshowstherelationshipbetweenthesubjectmatterofthetweetsandtheaudiovisualelements.

Figure6:Audiovisualelementsperactor,source:Ownelaboration

Table6:Tweet’stopicandUseofaudiovisualelements,source:Ownelaboration

Thetableshowsingreaterdetailtheelementswementionedinthepreviouspie charts.Inthelastrowarelocatedthepercentagesofuse,showingthatmoretweets appearwithsomeaudiovisualelementthanwithoutany,thelatter31.7%.Photographyisthemostusedelement,appearinginatotalof159tweets,remembering thatthesampleis479tweets.

Payingspecificattentiontothetweetsthematicmatter,duewecancommenton severalthings.Firstly,thetweetsthatreferto“diplomacy”inmostcasesappearwith aphotographorvideo.Thiscommunicationstrategyservestoillustratetheoccurrenceofapoliticalreception,forexample,ifBorrellhasmetsomeone,heuploadsa photoofthemeetingandashortexplanatorytexttohisprofile.Thesameappliesto vonderLeyenandMichel.

Withregardto“immigration,securityandevacuations”issueframe,itisworth notingthat30ofthe88tweetsonthesubjectusedimages.Inthisway,thetweet focusesonthetweet’smajortopic,whichservestogenerateagreaterimpactonthe receptor.Finally,thethemeof“attacksandcondemnation”isthethematicthatuses linksthemost.Inthisscenario,actorsusuallyattachlinksthatredirecttoanofficial statementorjoindeclaration,thusrepresentingsolemnity.

Toconcludewiththecontentanalysisbasedonasampleoftweets(479)publishedbyUrsulavonderLeyen,JosepBorrellandCharlesMichel,wewanttoapply andidentifywhohasbeenthemostinfluentialandviralwiththeirdiscourse.Inother words,quantitativeandqualitative-discursiveanalysiswillhelpustodrawconclusionsempiricallybasedontheconstructionofthesocialmessageintimesofcrisis.

Tothisend,academicssuchasCarrascoPolaino,VillarCirujanoandTejedor Fuentesappliedaformulatomeasuretheviralisationcapacityoftweets.Aweighting iscarriedoutinwhich

RTsreceivedwillhavetwicethevalueoffavourites.Thefinalformulatodetermine thediffusioncapacity[...]resultsfromaddingtheretweetsreceivedmultipliedby 2andthefavouritesreceived,dividedbythenumberoforiginaltweetspublished (CarrascoPolaino,VillarCirujano,TejedorFuentes2018:73).

Accordingtotheresearchers,the reasonwhyRTistwiceasvaluableas Likesisbecauseof"whenaretweetis received,thecontentoftheoriginal tweetappearsonthetimelineofthe personwhoRTs,increasingthedisseminationofthemessage,whilewhen Likesisgiven,thecontentoftheoriginaltweetdoesnotappearonthe timelineofthepersonwhoassignsthe favourite,sotheoriginalmessagedoes notincreaseintermsofdissemination”. Thetable7showstherawdatafor thenumberofRTsandLikesreceived byeachobservedactor:

Table7:MetricsperEUActor,source:Ownelaboration

Afterapplyingtheproposedformula,thefollowingviralityindexesresult:Ursula vonderLeyen(10349.36),JosepBorrell(1300.47)andCharlesMichel(1230.31).Inthis way,wehighlightthatUrsulavonderLeyen,throughher154tweets,achieves greaterviralityamongpublicopinion.

Inthesameway,theviralityofeachoftheconflictsanalysedcanbeobtained. ThefollowingtableshowstheratioofRTsandLikesthatthetweetshavereceived:

Thesameviralisationimpactformulaisappliedto thistableandthefollowing resultsareobtained:the Afghanistanconflicthasaviralisationof863,415whilethe Ukraineconflictachievesa viralisationof4929,814.The figuresillustratethatthe Ukrainecasestudiedgeneratedmoreimpactthrough Twitter.

4.Findings

Afterclosingthechapterdedicatedtothepresentationofthecasestudies,as wellastheresultsofthecontentanalysis,thefindingsdrawnfromthisresearchwill bepresentedinthefollowinglines.

ThegeneralobjectiveofthisMasterThesiswastostudythecrisisresponse mechanismsoftheEuropeanUnioninstitutions.Throughoutthedevelopmentofthe research,thisobjectivehasbeenachievedfromatwofoldapproach.Firstofall,the topicwasapproachedfromatheoreticalpointofview,usingthefoundationsand provisionsofthe2007LisbonTreaty.Theotherprismoftheapproachwascomplementedbythepresentationofthecasestudies.Theempiricalapproachprovidesand enablesyoutonoticethecontrastwiththeprovisionsofthetreaties.

Furthermore,itshouldbeaddedthatthepresentationofthecasestudiesallows therestoftheobjectivestobemet.Ontheonehand,alongthepreviouschapters, thedifferentcommunicationstrategiesthatthedifferentactorsstudiedhavedevelopedhavebeenpresented.Morespecificfindingswillbepresentedatalater stage,butforthemomentitcanbenotedthatthepresenceandimpactofthedifferentsocialmessagescouldbeassessedthroughthesocialmessage.Thislastideais linkedtothelastspecificobjectivepresentedatthebeginningoftheresearch.Allin all,inthisscenario,themotivationandobjectivesthatweresetoutcanbeconsideredfulfilled.

Atthesametime,whendesigningtheresearch,aseriesofhypothesesweredevisedonthebasisoftheobjectives.Afterthepresentationofalltheempiricalelements,thischaptercanbeclosedbyconfirmingthattheresearchthathasbeencon-

Table8:StudyCasesConflict’smetrics,source:Ownelaboration

ductedallowsthehypothesesthatwereestablishedatthebeginningofthestudyto beratified:

- HypothesisI:TheEuropeanUnionshowsagreaterdegreeofcommitmentto eventsdeterminedbyproximitycriteria.Anapproachthatcanbeobservedin thedisseminationofmessagesonTwitterabouttheconflictsinUkraineand Afghanistan.

- HypothesisII: ThedegreeoftheEuropeanUnioninvolvementininternational conflictswillbegreaterintheearlystagesofconflicts.Thistrendcanbeseenin thecaseofUkraine,tothedetrimentofAfghanistan,asthefirstconflictisanew cycleininternationalrelations.

TheresultsshowninthepreviouschaptersservetosupportHypothesisIandHypothesisII.

Accordingtoaquantitativeandqualitative-discursivecontentanalysis,aseries ofelementsandfigureshavebeenshownthataredecisiveforanalysingthesocial behaviouroftheleadingactorsinthedifferentinstitutions.Inthiscase,ifwepay specialattentiontothequantitativeanalysis,wecandrawsomeverysignificant conclusions.

Oneonlyneedstolookatthemetricsofthedifferentpoliticalactorstoseehow oneconflicthastrendedagainsttheother.ThesocialtracethattheUkraineconflict (392)hashadisthreetimesthemediaimportanceoftheAfghanistanconflict(82). TheUkraineconflict,provokedbyRussianFederationinvasionisinanearlystage,a newcycleoftheconflictthatinvolvedinternationalcommunity.Ontheotherhand, thescenariodevelopedinAfghanistanrepresentstheendofacycle.

Similarly,notallactorshavehadthesameinvolvementinbothconflicts,finding thatforthePresidentoftheEuropeanCommissiontheconflictinAfghanistanwas notasrelevantintermsofthesocialmessagesgenerated.Inthiscase,theproximity factorisexplainedbytheEU'sinvolvementintheresolutionoftheconflict.Inthis scenarioweareidentifyingtheEUasaglobalactor,inwhichthegeopoliticalfactor oftheconflictmayalsoplayanimportantrole.Thequestionofcommitmentcanbe measuredbytheconsequencesthatconflictscanhavefortheEUanditscitizens.The thematicfocusofthepoliticalagendaofthedifferentactorsisthebestexampleregardingthisquestion.

Thedifferentsocialagendashaverevealedthattheconcernsinboththeatresof warhavebeentotallydifferent.WhileinthecaseofUkrainetherelevantissuehas beenthejudicialissueandtheapplicationofsanctions,inthecaseofAfghanistan therelevantfactorhasbeenimmigration,securityandtheevacuationofcivilians.By theapplicationofsanctionstheEUisplayingaprimaryroleasaninternationalactor, bythesametoken,therisksittakeswiththeapplicationofthesemeasurescanbe high.Indeed,thepublicationofmessagesdirectlyappealingtosanctionsandspecificactorscanfurtheraggravatethesituation.

Alltheseelementsshowhowtherehasbeenadisproportionatecommitmentto theconflictinAfghanistanthattherehasnotbeentotheconflictinUkraine.

- HypothesisIII:ThemultiplicationofvoicesintheEuropeanUnionfailstounify

themessageandacommonpositionintimesofcrisis.Thisapproachisobserved duringtheconflictsinUkraineandAfghanistan.

Similarly,byconductingbothcasestudies,thethirdhypothesisoftheresearch canbeconfirmed.

Throughthishypothesis,itispossibletofindoutthecommunicationstrategy thatthedifferentprofilesstudiedhaveappliedthroughTwitter,andthishypothesis islinkedtooneoftheobjectivespresentedabove.

Thefactthatthereisnounificationofthemessageoracommonpositionamong thethreepublicrepresentativesisclearfromthepresentationoftheresults.Asmentionedabove,thankstothequantitativeandqualitative-discursiveanalysis,ithas beenpossibletounderstandthewayinwhicheachactorhasaddressedmessagesto theaudience,findingmajordifferencesinthem.

Onepossibleexplanatoryelementisthefactthatthereisaquantitativedifferenceinthenumberofmessagesbroadcast,butthisisnotrelevantandisnotpartof thestrategythatcanbeimplemented.Itisclearthatpayingsimilarattentiontoone conflicttothedetrimentoftheotherissignificant,butthismayrespondtotheproximityfactordiscussedabove.

Elementssuchasthedifferenceinthelanguageusedorthetoneofthediscourse aremoresignificantinthisscenario.Ascanbeseen,thereisnounanimityinthetone usedbytheactors,andthisisakeyfactorwhenitcomestoestablishingajointpositiononaconflict.Althoughitistruethefactthateachactorfocusesononeissue morethananotherisnotnecessarilythemostrelevantfactor,aseachactorhasdifferentprioritiesthathavebeendefinedbytheresponsibilitiesthatthetreatiesattribute totheirinstitution.Animportantremarkthatshouldbemadeisthefactthatinthe Ukrainianconflicttheconfrontationactorwasdefined,whilstinAfghanistan,duethe long-processtimeconflict,theadversaryisextended.

Finally,wedidapresentationontheuseofaudiovisualandhypertextualelements.Theimpacttheyhaveisexponential,astheseelementscanmakethedifferenceintermsofthestrategythateachactor(ortheirteam)hascarriedoutonTwitter. Forexample,ithasbeenobservedthatUrsulavonderLeyenhardlyusedHashtagsor mentions,whiletherestoftheactorsdid.Anotherexamplethatcanbegivenisthe lesseruseofaudiovisualelementsbyMichelandBorrellcomparedtovonderLeyen.

5.Conclusion

Atthispoint,followingthepresentationofthefindingsoftheresearchconducted,thepresentstudycanbeconcluded.Asindicatedabove,theobjectivesandhypothesessetoutatthebeginningofthestudyhavebeenmet,andafterthisitispossibletodrawsomegeneralconclusionsonthesubjectthathasbeendiscussed withinthepreviouspages.

Itbecameclearthatthereisnocoordinationintermsofcommunicationstrategy planningbetweenthedifferentactorsandtheirteams.Throughthestudyoftheso-

TheEUuseofsocialmediaincrisismanagement:fromAfghanistantoUkraine

cialmessagestheyhavepostedonTwitter,ithasbeenpossibletoseethelackofcohesion,thusidentifyingthateachactordevelopsitsowncommunicationstrategy.In othercircumstances,suchas,forexample,atthenationalpoliticallevel,thisdifferentiationthatwehaveidentifiedwouldbeperceivedasnormal,asitisexpectedthat thereisastrugglebetweenpoliticalactorstoachievegreaterimpactonsociety.

AttheEUlevel,however,thisdifferentiationmaycometobeperceivedbythe publicspotlightasaninternalstrugglebetweendifferentactors.Thefinalconsequencethisscenariomayleadtoistheweakeningofinstitutions.Thisscenariocan alsohaveaneffectonthemessage,asitcanaffectthestrengthofthemessage,especiallywhenweseethattheactorsdonotevensharethetoneusedinthepolitical discourse.

Ifwefollowthisinductivesequence,itcanbeidentifiedasafinalconsequence thatthelackofcohesionbetweenthedifferentactorscanprovoke:theincreaseofa negativeperceptiontowardstheEUinstitutions.Theimportanceofcommunicative actionsincrisismediationisevident,astheperceptionthatcitizenscandeveloptowardstheEUatthistimecanbecrucial,andthelegitimacyandtrustintheEuropean Unioncanbejeopardised.

Thischapterisanopportunespaceforabriefreflectiononconcreteactionsthat thedifferentactorscantaketojointlygenerategreatersocialimpact.

Firstly,itisclearthatinordertoachievetheunificationoftheEuropeanmessage, theyneedtocoordinatetheexecutionofthemessageitself.Ifonelooksattheorganisationalstructureofeachinstitution,andwithinittheteamofeachactor,oneidentifiesineachinstitutionthateachactorhasacommunicationteam.Coordinationand cooperationbetweentheseteamswouldbeindispensable,asanyfurtherefforts wouldbemeaninglesswithoutsuchinitialcoordination.

Secondly,onthebasisofthesocialmessage,furtherelaborationanddedication isneededonthesocialmediaTwitter.Afterpresentingthecommunicationstrategy thateachactorhascarriedout,ithasbeenpossibletoidentifythefeaturesandelementsusedbyeachactor.Twitterasasocialmediahasnumerousfeatureswith whichthesocialmessagecanbedesignedindetail.Allthistranslatesintoapossible socialmediacommunicationstrategy,withtherealisationofaseriesofsocialmedia behaviouralpatterns.Itisevidentthattheactorslackthem,astheresultshaveshown thateveneachactormakesunequaluseofTwitter.

Afinalelementthatactorscouldimproveistheinteractionwiththeaudience throughTwitter.Aspresentedinthisresearch,oneoftheutilitiesofsocialmediais theabilitytoconnectwithaudiencesquickly,directlyandatreducedcost.Despiteall thesefacilities,nointeractionwiththeaudiencehasbeenobserved.Ifinteraction couldbeachieved,perhapstheimpactintermsofviralitycouldbeincreased,which couldbetransformedintopotentiallegitimacyandtrustinEUinstitutions.

Itisclearthatthisresearchhasanumberoflimitations,althoughthismaster thesiswasintendedtobethestartingpointoffutureresearch.Thestudyofstrategic communicationintimesofcrisisisprematureattheEuropeanlevel,sothereismuch worktobedoneinthefield.Thesamemethodologyappliedtothisresearchcanbe

appliedtoothersocialmedia,suchasFacebook,LinkedInorInstagram.Inthisway, theimpactoftheEuropeanUnion'smessageonotheraudiencescouldbemeasured.

Anotherpossiblelineofresearchistheimpactthatthepoliticalsocialmessage hasonpublicopinion,measuredthroughtraditionalmedia.Oneofthelimitationsof thisresearchhasbeenthetimeavailabletocarryitout.Preliminaryresearchideas includedmeasuringtheimpactofthesamesocialmessageanalysedinthisresearch onthetraditionalpress.Infact,theanalysisofthefrontpagesofnewspapersfrom theSpanishdaily ElPaís andthePolishdaily GazetaWyborcza wasstarted.TheanalysisofthelatterwasmadepossiblethankstothehelpofMr.WiktorT.Poźniak,DirectorofLibraryServicesattheCollegeofEuropeinNatolin.Thesewordsofthanks areinorder.

Thismasterthesisclosesbystressingthatitisclearthatthereisagreatdealof academicworkthatcanbedoneinthefieldofcommunication,especiallyduetothe fundamentalrolethatcommunicationplaysincrisismanagementthroughpublic diplomacy.

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Thebiaseddeficitbias:exploringheterogeneitiesindiscretionaryfiscal policychoicesintheEUandtheassumptionofadeficitbias

ChristinaStuart

1.Introduction

Theimportanceofbudgetarydisciplineisspecifiedintheprimarylawofthe EuropeanUnion(EU).ThishighlightstheparadigmaticimportanceplacedontheassumptionofafiscaldeficitbiasinthedesignoftheEUfiscalframeworkforthe EuropeanEconomicandMonetaryUnion(EMU).Namelythatgovernmentstendto runbudgetdeficitsirrespectiveofcyclicalconditionsandneedtobe‘disciplined’ withrulestopreventthisbehaviour.Therefore,itisimportanttothoroughlyinterrogatethisfoundationalassumption,especiallyinthecontextoftheongoingdebateon fiscalframeworkreformintheEU,triggeredbythetemporarysuspensionoftherules duringtheCoronavirusPandemic.Iftherearealternativekeydriversbehindfiscal policychoices,theseshouldbeconsideredalongsidethedeficitbiasintheredesign oftheEuropeanfiscalframeworktoensurelongtermsustainabilityandprosperity.

Thesealternativeexplanatoryfactorsmayvaryacrosscountriesandwouldresult inheterogeneousfiscalchoicesinsimilarcyclicalconditions,incontrasttotheall-encompassingtheoryofdeficitbiasthatisassumedtobeapplicabletoallgovernments -resultingfromopportunism,conflictsofinterests,partisanpreferences,strategic behaviouranddomesticandinternationalcommonpoolproblems.Therefore,this thesisfocusesontheindividualcountry-levelfiscalchoices,toexploreareasofheterogeneity,nuances,andidiosyncrasiesthatcancontributetowardsexplainingfiscal policychoices.Thisisthekeyaddedvalueofthisanalysis,byfocusingonindividual memberstate(MS)levelfiscalstancesovertime,todetermineiftherearegroupsof countrieswithdifferentpatternsoffiscalbehaviour;andthenattempttoexplainthis heterogeneitybasedonalternativepoliticaleconomicfactorsthatvaryacrosscountriesandinfluencefiscalstances.

Thispaperfocusesonvariationsacrosspoliticalsystems,fiscalframework strengthandbudgetaryinstitutions,andvarietiesofcapitalismandtheinterlinked growthmodels.FurtherareasofheterogeneityshouldalsobeexploredtofurtherunderstandthenuancesdrivingfiscalbehaviourinEurope.Theseotherfactorswillpersistandcreatetheirownbiasesandrecurringpatternsofdivergentfiscalstances. Therefore,inredesignofthefiscalframework,structuralheterogeneitiesshouldbe consideredtoenableaflexibleframeworkthatisresponsivetothepoliticaleconomiccountrycontext.Thiswillbemoreeffectivethanaone-size-fits-allfiscalframe-

ChristinaStuart, Collegeof EuropeinNatolin,christina.stuart@coleurope.eu

Thebiaseddeficitbias:exploringheterogeneitiesindiscretionaryfiscalpolicychoicesintheEUand theassumptionofadeficitbias

workbasedonassumptionsthatareassumedtobe‘law-like’,suchasthedeficitbias. Theoverarchingconclusionofthisanalysisisthatthereisnota‘law-like’deficitbias acrossallcountries’fiscalbehaviour,andthereforecomplementaryandalternative explanationsforfiscalpolicychoicesneedtobeintegratedintotheEuropeanfiscal framework.Thekeyresearchquestionsoftheanalysisarethefollowing.

1.1.ResearchQuestions

DoallEUcountriesexhibitapersistentdeficitbiasovertime,basedonpro-cyclicalexpansionaryfiscalpolicyduringperiodsofpositiveoutputgap?

WhydoweobserveapersistentdeficitbiasincertaincountriesintheEUandnotin others?Whatotherexplanatoryfactorscontributetowardsdiscretionaryfiscalpolicy patterns?

1.2.Methodology

ThisthesiswillempiricallyinvestigatethefiscalstancesofindividualEUMember Statesoverthelastdecade,todeterminewhethertheyexhibitdeficitbiasbehaviour whenexaminedindividuallyaswellasonaggregate.Themethodologyrestsonthe assumption,supportedbytheliterature,thatanexpansionaryfiscalpolicyduring periodsofpositiveoutputgapisanindicationofadeficitbias.Basedondeficitbias theoryandempiricalstudiesintheliterature,whichareoutlinedinChapter2,the hypothesisoftheempiricalanalysisinChapter3isthatwhencyclicalconditionsare favourablecountrieswillexhibitapro-cyclicalexpansionaryfiscalstance. Thishypothesisisnotsupportedbytheempiricalanalysisofgraphingthechangeinthecyclicallyadjustedprimarybalance(CAPB)againsttheoutputgap.Notallcountriesexhibit thebehaviourpredictedbythehypothesis,enablingMSstobeplacedintotwo groupsbasedonfiscalpatterns.

Chapter4thenexploreswhetheralternativeexplanatoryfactorsthatvaryacross countriescanexplainthisheterogeneity,usingatwo-samplet-testtotestwhether thenullhypothesisthatthemeansbetweenthetwogroupsaredifferentcanberejectedornot.Proxyvariablesareusedtotestdifferencesinpoliticalsystems,fiscal framework,andvarietyofcapitalismThismethodologyenablesanindicationofthe relativeexplanatorypowerofthefactortoexplainthedifferencebetweenthetwo groups.Whilenotingthecausalityandendogeneityconcernsregardingthemethodologyintheanalysis,theresultsareusedtodrawconclusionsforfiscalpolicyreform intheEU.

1.3.StructureoftheThesis

Thestructureofthethesisisasfollows.Firstly,theoverarchingpoliticaleconomy theoreticallensissetout,andwithinthisframeworktheliteratureondeficitbiastheoriesandvarietiesofcapitalismarecriticallyassessedinthecontextoftheEU.The fiscalframeworkintheEUaswellaskeyconceptsofthepublicbudgetarealsoset

outtolaythegroundworkfortheanalysis.Secondly,theempiricalanalysisattempts toanswerthefirstresearchquestionbygraphingthechangeinCAPBagainstthe outputgapforindividualMSstoassessthetendencytoexhibitdeficitbiasbehaviour. Thecausalityandendogeneityconcernsofthisanalysisarealsooutlined.Thirdly,the secondresearchquestionisanalysedbyexploringwhetherotherpoliticaleconomic factorscanexplaintheheterogeneityinfiscalbehaviourfoundinthemainanalysis. Finally,theimplicationsoftheresultsforfiscalframeworkreformintheEUareexploredandthekeypolicyoptionsareoutlined.

2.PoliticalEconomyTheoreticalFrameworkandLiteratureReviewofDeficit BiasandVarietiesofEuropeanCapitalism

Thepurposeofthischapteristofirstlyoutlinethetheoreticalframeworkofpoliticaleconomyandanalysewhythisisthemostappropriateframeworktoapproach theanalysisofthedeficitbias.Secondly,discusstheliteratureonthedeficitbias,focusingontheoriesofthedeficitbiasfromapolitical,economic,agent,institutional andotherpoliticaleconomyperspectives.Thesetheoriesofdeficitbiasunderpinthe argumentsinfavouroffiscaldisciplineandtheinstitutionaldesignoftheStability andGrowthPactintheEU,hencetheimportanceofstudyingthedeficitbiasandits impactintheEU.Thesepoliticaleconomytheoriesofthedeficitbiasunderpinthe hypothesisintheempiricalanalysisofapersistentdeficitbias,identifiedbyprocyclicalexpansionaryfiscalstanceduringeconomicupturns.Theempiricalresultsdo notsupportanall-encompassingtheoryofthedeficitbias,indicatingthatalternative explanatorytheoriesarenecessarytoexplainpersistentnon-adherencetodeficit biasforsomecountries.Therefore,thefinalpartofthischapterwilloutlinetheliteratureonvarietiesofcapitalismandgrowthmodelsintheEU,asanalternativetheory abletobetterexplainvariationinfiscalpolicychoicesduringsimilarcyclicalconditionsacrossEUMSsovertime.

2.1.PoliticalEconomyTheoreticalFramework

Politicaleconomyisatheoreticallensthatviewseconomicdecisionswithina politicalworld,questioninghowpoliticalforcesshapeeconomicpolicyoutcomes anddecisions.Thepoliticaleconomyapproachquestionstheassumptioninnormativeeconomicsthatthereisabenevolent,well-informedgovernmentservingtheobjectiveofmaximisingthegeneralinterest(Bénassy-Quéré etal. 2018:88).AnassumptionwhichcanbetracedbacktoRousseau’s“visionofthegovernmentasa“frictionlessdevice”andamere“implementationinstrumentofthepeople’swill”withouta properexistence”(Bénassy-Quéré etal. 2018:88).Thepoliticaleconomyapproach treatsthegovernment’sbehaviourasendogenous,followingobjectivesandfacing constraints.Forexample,behaviourisimpactedbypartisanpreferences,specialinterestgroups,electoralpledges,corruption,orbribery.Thisframeworkalsoconsiders thebehaviouroftechnocratswithingovernmentasactorswiththeirownobjectives, incentives,andconstraints.Theinstitutionalsetupisalsoessentialtothepolitical

Thebiaseddeficitbias:exploringheterogeneitiesindiscretionaryfiscalpolicychoicesintheEUand theassumptionofadeficitbias

economytheoreticalapproach,asthemandateaswellasinternalandexternalgovernanceoftheinstitutioninfluenceseconomicpolicydecisionsandthearenain whichagentsinteract,aswellasthepolicyregime.Crucially,politicaleconomicsdoes notconsiderthepolicymakerasomniscient,omnipotent,orbenevolent.Governmentshaveobjectives,whicharegenerallyconstrainedbytheirinstruments,thereforefacetrade-offsconditionalontheirpreferencesandontheinstitutionalset-up. Essentially,therearelimitstoknowledge,representation,confidence,information, andbenevolence.

Oneofthekeyresponsibilitiesofeconomicpolicymakersistomakebudgetary decisionsontaxationandspending,thesepolicydecisionsfulfilcoreeconomicfunctionsofallocation,stabilisation,andredistribution.Thesedecisionseffectallhouseholdsandfirmsatamicroeconomiclevelintermsoftheirincome,behaviour,productivity,andgrowth;aswellasatamacroeconomiclevelduetotheimpactof budgetarydecisionsonaggregatedemandintheeconomy.Thecoreaimoffiscal policyistoinfluenceaggregatedemandtohaveastabilisingeffectofmovingthe economytowardsequilibrium.Thiscanbedoneinanon-discretionarymanner, throughthenaturalevolutionofgovernmentspendingandrevenueduetogrowth, inflation,andunemploymentlevelsintheeconomy,knownasautomaticstabilisers. Inparallel,stabilisationmaybepursuedthroughbudgetarydecisionstoadjustpublicrevenue(taxationlevels)andspending,namelydiscretionaryfiscalpolicy.These decisionsresultfromapoliticalprocesswithinpoliticalinstitutions.Therefore,politicalprocessesshapetheeconomicoutcomes,andapoliticaleconomyapproachis themostappropriatetheoreticalframeworkforthestudyofbudgetaryprocesses andtheso-called‘deficitbias’.

Atthecoreofpoliticaleconomyinmacroeconomicsareconflictsofinterestor heterogeneityofinterests(Allan2018:4).Politicaleconomytheoriesofbudgetdeficitshaveheterogeneityofpreferencesattheircore.Theliteratureonthetypesofheterogeneityofpreferencesleadingtotheoriesofdeficitbiaswillbeanalysedbelow. Firstly,it’simportanttodefinetheconceptsofthebudgetbalance,deficitbias,surplusbiasandpro-cyclicalityinordertoanalysethedynamicsofpublicdeficitsin Europe.

2.2.Flowandstockvariablesofthepublicbudget

Thepublicbudgetspecifiedtheincomeaswellasintendedspendingacrossa periodforagovernment.Governmentincomeismainlyfromdirectandindirecttax receiptsorpublicassets,whilegovernmentspendingismainlyfromprovisionof publicservices,socialtransfers,supporttotheeconomythroughinfrastructureorresearchspendingandinterestpaymentsonpublicdebt.Thepreparation,discussion andadoptionofthebudgetisakeystageintheeconomicpolicydecision-making process.TheEUhasestablishedaharmonisedpublicaccountingsystem,makingit possibletocompareacrossmemberstates.Thefiscalbalance,orbudgetbalance,is thedifferencebetweengovernmentincomeandgovernmentexpenditure.Ifthebal-

anceisnegative,thereisafiscalbudgetdeficit,andconverselyafiscalbudgetsurplus whenthebalanceispositive.Theseareflowvariablesgeneratedeachperiodand contributingtostockvariablesofgovernmentassetsandliabilities.Adeficitinone periodwillincreasethestockofpublicorgovernmentdebt,namelytotalgovernmentfinancialliabilities,resultinginpublicdebtaccumulationovertime.Abudget surpluswillreducethestockofpublicdebt.Debtanddeficitdynamicscruciallymust beassessedincomparisontothecountry’sGrossDomesticProduct(GDP)and growthlevels.

Severalconceptsandcalculationsaremadetothebudgetbalancetobetterunderstandthedynamicsofpublicdebtovertime.Firstly,theprimarybalanceconcept, isthebudgetbalancenetofgovernmentdebtinterestpayments.Secondly,the structuralbudgetbalanceisthebudgetbalanceadjustedfortheimpactoftheeconomiccycleandanyone-offexceptionalexpendituresorreceipts,suchasbankrecapitalisationsorassetsales.Thirdly,thestructuralprimarybudgetbalanceisthe budgetbalanceadjustedforinterestpaymentsondebt,thecyclicalcomponentof fiscalpolicy,andone-offmeasures(EuropeanCommission2000).Thestructural primarybalanceisalsoreferredtoasthecyclicallyadjustedprimarybalance (CAPB), andisameasureofthefiscaleffort,althoughimprecisely. Thisisthemaindependent variableofinterestinthisanalysis,asitisthemainindicatorusedbyinternational organisationsincludingtheIMF,OECD,andinparticulartheEuropeanCommission tomonitorbudgetdevelopmentsanddeveloppolicyprescriptions(Bénassy-Quéré etal. 2018:156).EuropeanCommission’sdefinitionofCAPBisasfollows.

Thecyclicallyadjustedprimarybalanceremovesfromthecyclicallyadjustedbalancetheimpactofinterestpayments.Hence,achangeinthisvariableindicatesa movementinthestructuralorunderlyingbudgetarypositionmainlyduetodiscretionarypolicyactionsbutnotduetofluctuationsineconomicactivityorchangein interestpaymentswhichareessentiallyoutsidethecontroloffiscalauthorities (EuropeanCommission2000:14).

Therelativereliabilityandshortcomingsofthisvariablewillbesetoutinthenext chapter.Thefiscalstanceindicatesthedirectionofdiscretionaryfiscalpolicy,which iseitherexpansionary,restrictive,orneutral.Thechangeinthe CAPBisthemainfiscal stanceindicatorusedbytheCommission,apositivechangesignalspolicytightening orconsolidation,andnegativechangeindicatesrelaxationoffiscalpolicyorexpansion.Discretionaryandnon-discretionaryfiscalpolicyimpacttheeconomythrough theeffectonaggregatedemand,thoughtheexacttransmissionandmultiplier effectsaredebatedandmodeldependent.

Deficitbiasisdefinedintheliteratureasthetendencyforpolicymakerstorun budgetdeficitsirrespectiveoftheeconomy’sprevailingcyclicalconditions(Larch et al. 2021:4).Severalpoliticaleconomytheoriesunderpinthisexpectationofadeficit biasforpolicymakers.Thecyclicalconditionsaredeterminedbytheoutputgap.In ‘goodtimes’,thereisapositiveoutputgap,in‘badtimes’thereisanegativeoutput gapandlikelyarecession,dependingonthequartersofnegativegrowth.Ifregardlessofthecyclicalconditionsintheeconomythegovernmentisrunningabudget

Thebiaseddeficitbias:exploringheterogeneitiesindiscretionaryfiscalpolicychoicesintheEUand theassumptionofadeficitbias

deficit,itindicatesadeficitbias.Conversely,thereisasurplusbiasifthereisatendencyforpolicymakerstorunabudgetsurplusregardlessofthecyclicalconditions. Althoughtheobjectiveoffiscalpolicyisstabilisationtoreducefluctuationsofthe cycle,adeficitorsurplusbiaswillresultinpro-cyclicalityinfiscalpolicy.Pro-cyclicalityresultswhenthereareexpansionarypoliciesduringgoodtimesandrestrictive policiesinbadtimes,namelythevariablesarepositivelycorrelatedwiththefluctuationinoutputresultinginamplificationandpropagationofthecyclicalconditions. Figure1illustratestheeffectofpro-cyclicalandcounter-cyclicalfiscalpolicyonthe naturalbusinesscyclefluctuationovertime(positiveandnegativeoutputgaps).

asisshownintheliterature(Larch etal. 2021:4).Therearenumerousempiricalstudiesonthepro-cyclicalityoffiscalpolicy,inadvancedeconomiesthepro-cyclicalityis foundtobemorepronouncedingoodtimes(Barro1979).Althoughpro-cyclicalityin upturnsmayalsobeaconsciousdecisionbygovernmentsaimingtoprovideanexpansionaryboosttotheeconomythatwillcreategrowtheffectsinfuturedownturns, ratherthanmerelyaresultofdeficitbias.However,theassumptionthatprocyclicality inupturnsisaresultofadeficitbiaswillbemaintainedthroughouttheempiricalanalysis,butitwillbere-evaluatedinChapter4whenconsideringalternativeexplanatoryfactors,inparticulartheimportanceofthestrengthoffiscalframeworkstodeterminefiscalbehaviour.

Figure2istakenfromtheCommission’sSpring2022Forecastandillustratesthe highgovernmentdebtaccumulationintheEU.Thestandardnormativeeconomics explanationofconsumptionsmoothingbythegovernment(Barro,1979)isunableto effectively,orplausibly,explaintheseextremelyhighdebtlevelsthathavebeen reached,norpro-cyclicalpatterns.AlesinaandPerotti(1995)emphasisethat, “politico-institutionalfactorsarecrucialtounderstandingbudgetdeficitsinparticular,andfiscalpolicyingeneral”.

Figure1:ImpactofFiscalPolicyStanceontheBusinessCycle

Therefore,this analysiswillexplore whetherthereisany pro-cyclicalityinfiscal policy,whichislikely tostemfromadeficit biasingoodtimes, whentheconstraining effectoffiscalrulesis moremuted.During recessions,pro-cyclicalityislikelytobea functionoffiscalrules,

2.3.PoliticalEconomicTheoriesoftheDeficitBiasandrelevanceintheEMU

Thereisarichliteratureonpoliticaleconomyexplanationsofthedeficitbiasinfiscal policymakers.Thisliteraturecanbebroadlygroupedbasedonthesourceofheterogeneityofpreference,suchasbetweenvotersandthegovernment,betweenpoliticalparties,aswellasbetweensocialgroupsorregions.Separatetoheterogeneityof preferences,thereisagrowingliteratureontheimportantroleofbudgetaryinstitutionsthemselvessettingtheconstraintsthatgovernbudgetarydecisions,thisisalso foundtobesignificantinChapter4.Thekeyauthorswithintheseexplanatorycategorieswillbereviewedandanalysed.

2.3.1.Opportunisticpolicymakersand‘fiscalillusion’ofvoters

Theearlyliteratureondeficitbiasisfocusedonfiscalpolicyasatoolforelectoral manipulationbyopportunisticpolicymakers.BuchananandWagner(1977)setout theconceptoffiscalillusionofvoters,whomisunderstandtheintertemporalgovernmentbudgetconstraintandthereforeoverestimatethebenefitsofexpansionary fiscalpolicyandunderestimatethecostsoffuturetaxesandinflation.Thisistaken

Figure2:GeneralGovernmentDebtDevelopmentsintheEU(EuropeanCommission,2022)

Thebiaseddeficitbias:exploringheterogeneitiesindiscretionaryfiscalpolicychoicesintheEUand theassumptionofadeficitbias

advantageofbypolicymakersaimingtobere-electedwithhighdeficit-financedexpenditure,aimingtomaximisevotesratherthanmaximisesocialwelfare.Nordhaus’ (1975)theoryofopportunisticpoliticalbusinesscyclesisakeyworkunderpinning thisexplanationofdeficitbias.

Thesetheoriesarecriticised,however,becauseofunderlyingassumptionof ‘fiscalillusion’thatvoterswillpersistentlymakemistakesandfailtounderstandthe budget(AlesinaandPerotti1995:9).Itimpliesasystematicerrorwhichrational votersareunlikelytomake,eveniftheyareimperfectlyinformed.Althoughmorerecentliterature,notablyRogoff(1990)andShiandSvenssen(2006),foundtheoretical explanationstorationalisevotingforpolicymakersenactingopportunisticdeficits, butthesearedependentonlackoftransparencyoverthebudget.Thesetheoriesalso arelimitedgiventheirabilitytoexplainshort-termspendingfluctuations,ratherthan long-termtrendsindebtaccumulationthatisseeninseveralEUmemberstates.

Moreover,mostoftheempiricalliteratureonthetopicdoesnotsupportthetheoryofpre-electionincreasesinexpenditureorvoterpreferencesforhigh-spending governments,exceptforinsome‘newdemocracies’anddevelopingcountrieswhere fiscalpolicyislesstransparent(Eslava2011).WiththenotableexceptionofVonHagen(2006)thatfindsevidenceofpre-electionexpansionsintheEU,asmeasuredby fiscalaggregates,butconcentratedincountrieswithlessinformedvoters.Eslava (2011)notestheneedformoreinvestigationstoreconciletheevidencefortheEU withtherestoftheliterature,agapwhichthisthesisworkstowardsfilling.Generally, pre-electionopportunisticdeficitsdependonthetransparencyofthebudgetprocessandabilitytomonitorfiscaloutcomesforvoters.Evidenceintheliteraturealso suggeststhathigh-spendinggovernmentsarenotpreferredbyvoters,whoare awareofthecostsofspending.

EUMSsgenerallyhavewell-establisheddemocracies,withhightransparency overthebudgetaryprocessandavailablefiscalinformation,sotherearelessconstraintstoincreaseheterogeneityofinformationandcreatefiscalillusion.Especially followingtheeurozonecrisis,itcanbearguedthatEuropeancitizensarelikelytobe well-informedaboutconsequencesofexpansionaryfiscalpolicy,reducingtheincentiveforopportunisticpolicymakerstoexhibitadeficitbias.

2.3.2.Partisanpreferencesofpolicymakers

Severalauthorspositthatadeficitbiasmayemergefromtheassumptionofheterogeneityoffiscalpreferencesacrosspoliticalpartiesandpoliticians.AlesinaandTabellini(1990)presentsuchamodelofstrategicdeficitsofincumbentsspendingon theirpreferenceofpublicgoodsinordertotiethehandsofsuccessorsandensure spendingontheincumbent’spreferredgoods.Theimplicationisagreaterincentive fortheincumbenttogeneratestrategicdeficits,thelargerthepolarisationinspendingpreferencesandprobabilityofregimechange.Relatedtheories,suchasPersson andSvensson(1989)modelheterogeneityacrosspoliticians’preferencesoverthe optimumsizeofgovernment.Namely,conservativeincumbentsareassumedtohave

low-spendingandsmallgovernmentpreferences,andifthere’salargeprobabilityof losingtheelection,theywillcuttaxes(rundeficits)toforcethehigh-spendingsuccessortohavelowerexpenditurethantheiractualpreference.Conversely,left-wing incumbentsareassumedtohavepreferencesforhigherspendinglevelsandlarger governmentsize,whentheyexpecttolosetheelection,themodelpredictsthey raisetaxesandrunsurplusestoforcethesuccessorintospendingmore.Therefore, deficitsarisewithpolarisationofpreferences,butonlyunderconservativegovernments.Theimplicationofthistheoryistheoppositeofthetraditional‘unconditional partisancycle’hypothesisliteraturethatright-winggovernmentsrunsurplusesand left-winggovernmentsrundeficits(Eslava2011).

Severalempiricalstudiesusinglargedatapanelsattempttotestthesetheoreticalargumentsbutgenerallyfindingsdonotsupportthehypotheses.Thereisespeciallyweakevidenceforunconditionalpartisancyclesbetweenright-andleft-wing governments.Thoughtherearegenerallydifficultiesadequatelycontrollingforlarge cross-countrydifferencesinpoliticalandeconomicenvironments.Therefore,Petterson-Lidbom(2001)focusononeinstitutionandexamineSwedishlocalgovernment debtaccumulation,findingevidencetosupportthePerssonandSvensson(1989) strategicdebthypothesis.Thoughtheexternalvalidityisachallengetothisapproachofstudyingasingleinstitutionovertime.Therealsomaybereversecausality involvedinthesetheories,asfiscaloutcomesmayaffecttheprobabilityofre-election,ratherthantheprobabilityofre-electionaffectingspendingchoices.Thismethodologicalchallengeofthedirectionofcausalityrunsthroughtheoriesandempiricalstudiesofdeficitbias.

2.3.3.Commonpoolproblemanddistributionalconflictsofinterest

Anotherreasonforpervasivedeficitbiasputforwardintheliteratureisheterogeneousinterestsacrossgroupsofvoters,thisresultsinacommonpoolproblem thatgeneratesadeficitbias.Thegovernmentismodelledtorepresentgroupsinterestedindifferentgovernmentexpendituresoncertainprojects.Thebenefitsofthe publiclyfundedprojectareconcentratedandinternalisedbytheinterestgroup, whilethecostsaresharedacrossallgroups.Therefore,thereisanexternalityand marketfailureofthe‘commonpool’type,andconsequentlyover-provisionofthe good–namelygovernmentdebtfundedprojects.Thegreaterthefragmentationof districtsparticipatinginthebudget,thegreaterthesizeofthebudget,givenacertainrevenuelevel.VonHagenandHarden(1995)andKrogstrupandWypolosz(2010) modeldeficitbiasarisingfromthiscommonpoolproblemofthebudget.Thisdistributionalconflictbetweeninterestgroupsismodelledasa‘warofattrition’byAlesina andDrazen(1991),resultinginfiscaladjustmentsnotbeingadoptedwhentheyare necessaryasgroupsareunwillingtoacceptpayingthecosts.CommonpoolproblemsareusedtoexplainfiscalpolicyprocyclicalitybyGavinandPerotti(1997) amongothers.Duringboomsthereareadditionalfiscalresourcesavailable,whichis modelledtogenerateamoreintensefightamongdifferentinterestgroups,through

Thebiaseddeficitbias:exploringheterogeneitiesindiscretionaryfiscalpolicychoicesintheEUand theassumptionofadeficitbias

a‘voracityeffect’.Consequently,publicdeficitsgrowingoodtimes,basedoncommonpoolproblemdynamics.Anotherexplanationforprocyclicalityingoodtimes comesfromAlesina etal. (2008).Theboomgeneratesextrarevenuesandvotersaim toavoidtheseextrarevenuesbeinggiventootherinterestgroupsorthegovernmentappropriatingtheadditionalrevenue.It’sbasedonanassumptionofvoters’ limitedabilitytomonitortheamountoffiscalresourcestheboomgeneratesorthe amountof‘rents’capturedbythegovernmentorinterestgroups.Basedonthislack ofperfectinformation,votersdemandincreasedproductivepublicspendingduring aboomtorestrainappropriationoftheextraresources.So,duringgoodtimesvoterdemandforincreasedpublicspendinggeneratesadeficitbias.Thesemodelsimply agreaterdeficitbiasthegreaterthefragmentationandpolarisation,asthereare greaterdistributionalconflictsamonginterestgroups.

Empiricalevidencetotesttheimplicationsofthesetheoriesseemstogenerally confirmthatpoliticalcohesionispositivelyrelatedtofiscaldiscipline,namelyreduceddeficitbias.Suchasapositiverelationbetweenthenumberofspendingministersorlegislatingpartiesinacoalitionandgovernmentspending.Specifically, BawnandRosenbluth(2006)findthatforEuropeancountriesthenumberoflegislativepartiesparticipatinginthegoverningcoalitioniskey,ratherthanthenumberof partiesgenerally.Thereisalsoempiricalevidencethatparliamentarysystemsand proportionalsystemsleadtomorespendingthanpresidentialsystemsandmajoritarianelectoralsystems,respectively(Alesina etal. 2006).Eslava(2011)highlightsthe variousareastobefurtherexploredinthispartofthedeficitbiasliteratureinclude causalityconcerns,thepotentialdifferentimpactoffragmentationonspending ratherthandeficits(asspendinganddeficitsaregenerallytreatedasequivalentvariablesinthecommonpoolliterature),andthelinkbetweentheinitialdebtlevelsand probabilityofgovernmentundertakingcorrectivefiscaladjustmentmeasureswhen debtgrowsexcessively.

2.3.4.Budgetaryinstitutions

Althoughmotivationsareimportantinshapingfiscalchoicesinpoliticaleconomymodelsofthedeficitbias,thesemotivationsdependontheconstraintsgovernmentsfaceduringthebudget-makingprocess.Thebudgetaryinstitutionsarethe generalrules,proceduresandpracticesthatshapethebudgetaryprocesswhichincludesthedrafting,approval,andimplementationofthebudget(Alesina etal. 1999).

Firstly,numericaltargetsarethemostseveretypeofconstraint,andthereisextensivediscussionintheliteratureontheoptimalityoffiscalrules.Theserulesaimto resolvethecommonpoolproblem,astherule-settingauthorityinternalisesthecosts todiverginginterestgroups,resultinginmorefiscaldiscipline.Conversely,however, fiscalrulesarehardtoenforce,andmayevencreateincentivesforcreativeaccountingpracticesbygovernmentsasshownbyMilesi-Ferretti(2003)theoretically,and BohnandInman(1996)empirically.Fiscalrulesmayalsoimpedecountercyclical fiscalpolicyandtaxsmoothing.

IntheEMU,theMaastrichtTreatysetthesupranationalnumericalbudgettargets,theinstitutionalframeworkwillbefurtheroutlinedinthenextsection.TheEMU fiscalrulesaddressthedomesticcommonpoolproblemaswellastheinternational commonpoolproblem,ofinternationalnegativeexternalities,asrationalisedby KrogstruandWyplosz(2010).Therearenumerousstudiesanalysingtheeffectiveness ofEUfiscalrules.VonHagen(2006)foundgreatereffectivenessoftherulestoreduce deficitsandspendingforsmallermemberstatesandthosewithbetterbudgetinginstitutions.VonHagenandWolff(2006)foundtheEMUrulesgeneratedincentivesfor creativeaccountingtocomplywiththe3%limitoftheSGPbyusingstock-flowadjustmentstosubstitutefordeficits.Linkedtothisadjustment,therulesarefoundto bemoreeffectiveinitiallyafteradoption,indicatinggovernmentsmaycircumvent therulesafteracertainperiod(VonHagen2006).Thegeneralevidencepointstolimitedeffectivenessofnumericalfiscalrules,withspendingchannelledtofundsnot constrainedandlargedifferentialpatternsofresponseacrosscountries,duetopoliticalcontextandotherbudgetaryinstitutionsshapingtheenvironment.Eslava(2011) questionsthesuitabilityofrulesandsuggeststheneedforarevision.MemberStates themselveshaverecentlyalsocalledforrevisionofthestrictrulesandreformofthe fiscalframework.

Secondly,proceduralrulesconcerningthedesign,votingandimplementationof thebudgetareakeyconstraintonpolicymakers’motivationsandpotentialdeficit bias.Theserulescanbeclassifiedasmoreorlesshierarchicalorcentralised,basedon representationofdifferentinterestsinthebudgetprocess.Morerepresentationis theorisedtoresultinoverspendingduetocommonpoolproblems.Institutionsthat centralisedraftingpoweronthefinanceministerratherthanacrossspendingministersorlimitthelegislature’sabilitytochangethebudgetsizeorimposeamendments,arelikelytoincreasefiscaldisciplineandamelioratecommonpoolproblems. Transparencyofthebudgetinstitutionsisalsokeytofiscaldiscipline.Mostempiricalstudiescreateindicesofbudgetinstitutionsandfindingsareinlinewiththe theorythatgreatertransparencyresultsinlowerdeficits,AltandLassen(2006)find thisfortheOECDcountries.VonHagen(2006)alsofindsthatintheEU,thestrength ofproceduralrulesimpacttheeffectivenessofnumericaltargets.

Thecharacteristicsofthepoliticalsystemsarealsoimportantinshapingthe budgetinstitutions.HallerbergandVonHagen(1999)findthatinEuropemajoritariansystemsgenerallydelegatebudgetprocessestoatreasuryministerandare morehierarchical.However,separatingbetweenpoliticalsystemandbudgetprocessesisachallengeintheliterature,aswellasendogeneityofbudgetinstitutions. Forexample,sourcesofendogeneitycouldbethatsomebudgetinstitutionsmay onlybeeffectivewithacertainpoliticalenvironmentorbudgetrulesmayemerge frompreviousfiscaloutcomes.Furthermore,theremaybethirdforcesatplaywhich fiscaloutcomesorbudgetaryinstitutionsarerespondingto,includingculture,voter preferencesandthepoliticalenvironment.DeHaanandSturm(1994)findthatwhen controllingforvoterpreferences,budgetinstitutionsdomatter.However,generally fewstudieslookatthesethirdexplanatoryfactors.

Thebiaseddeficitbias:exploringheterogeneitiesindiscretionaryfiscalpolicychoicesintheEUand theassumptionofadeficitbias

Acriticalreviewoftheliteratureonmotivationsbehindpersistentdeficitshighlightsthecommonthemeofconflictsofinterestacrosstheoreticalandempiricalexplanations.Suchastheimportanceofopportunisticmotivations,partisanpreferences,andconflictsbetweengroupsfightingforthecommonpoolofdeficit‘resource’.Theliteratureindicatesthatpoliticalandinstitutionalforcesarekeyindeterminingthebudgetbalance,shapingthemotivationsandconstraintsofpolicymakers.

Eslava(2011)highlightsthatacrossthisliteraturetherearecausalityconcerns thatrequirefurtherexploration.Theliteraturelargelytakesforgrantedthatcorrelationsreflectcausality,butreversecausality,omissionbiasesandsimultaneityarepossible.Thisisimportantifauthoritieshopetogenerateeffectivesolutionsforpersistentdeficits.As,althoughitisstraightforwardtoformulatethedeficitbiasintheory, inpracticeifthegovernmentisnotexhibitingconsistentdeficitbias,orthereare differentialpatternsacrosscountriesasisthecaseinEurope,theremaybeotherexplanatoryfactorsunderpinningtheintertemporalbudgetconstraint.

Theinstitutionalframeworkdetermineswhetherthedeficitbiaschannels presentedintheoryresultinanactualdeteriorationinthefiscalbalance.Therefore, it’simportanttooutlinetheinstitutionalframeworkintheEUaheadofanalysingthe trendsindeficitsovertime.

2.4.DeficitbiastheoryappliedtoEuropeanfiscalframework

AnalysingfiscaldeficitbiasintheoryandpracticeisimportantintheEuropean contextbecauseitisoneofthekeyeconomictheoriesunderpinningtheEuropean fiscalrulesframework.ThelinkagebetweenfiscaldeficitbiastheoryandtheStability andGrowthPact(SGP)willthereforebebrieflysetout,tohighlighttheimportance ofthistopicofinvestigation,especiallygiventhecurrentdebateonreformofthe Europeanfiscalrules.Theimplicationsoftheanalysisinthisthesisforinstitutional reformintheEMUwillthenbeexploredinChapter4.Thefiscalrulesarealsoimportanttosetoutastheyhelpexplainpro-cyclicalityduringbadtimesintheEMU.

TheSGPisthesecondarylegislationthatimplementstherules-basedframework forbudgetarysurveillanceintheEU.WhentheEuropeanEMUwaslaunchedwiththe MaastrichtTreatyin1992,theneedforfiscalcoordinationandsurveillancewasacknowledgedandimplementedthroughthecreationoftheSGP-firstadoptedin 1997,andreformedandsupplementedin2005andthen2011.EMUisbasedoncommonmonetarypolicyanddecentralisednationalfiscalpolicies,therefore,fiscalrules wereestablishedtoavoidpotentialnegativecross-borderspilloversfromnational fiscalpolicychoices,enableeffectivemonetarypolicyandensurelong-termdebt sustainability.Acommoncurrencyincreasesinterdependenceandspillovers betweenparticipatingmembers,therefore,theSGPwasdesignedtoreducethe “possibilityofnegativeimpactsonothereuroareacountries–whetherstemming fromtheinflationaryimpactoflargedeficitsorthedestabilisingeffectofunsustainabilityorinsolvency”(EuropeanCommission2013).

ThebasisofEuropeanbudgetarysurveillanceisfirstlytheprinciplethateconomicpoliciesare“amatterofcommonconcern”andshouldbecoordinated,setout inArticle121TFEU;thispreventivearmisfocusedoncoordinationtoensuresound medium-termfiscalpositions.Secondly,Article126TFEUrequirestheavoidanceof excessivedeficitsanddebts,establishingthe‘excessivedeficitprocedure’ofthecorrectivearmoftheSGP:

Article126TFEU

1.MemberStatesshallavoidexcessivegovernmentdeficits.

2.TheCommissionshallmonitorthedevelopmentofthebudgetarysituationandof thestockofgovernmentdebtintheMemberStateswithaviewtoidentifyinggross errors.Inparticularitshallexaminecompliancewithbudgetarydisciplineonthe basisofthefollowingtwocriteria:[…]

ThecorereferencevaluesoftheTreatyare3%ofGDPdeficitruleand60%ofGDP governmentdebtrule,subjecttovariousexceptions.AsshownintheTreaty’stext, “budgetarydiscipline”isatthecoreofthefiscalframework,duetointerdependence andspillovers.Therefore,rulesareimposedintheEMUinordertoensurefiscaldiscipline andcoordinatefiscalpolicy.Theassumptionunderpinningtheneedforfiscaldiscipline isthatthereisanaturaltendencyforgovernmentstorundeficits,namelyadeficit bias.ThefiscalsurveillanceframeworkintheEMUisthereforepredicatedonthetheory offiscaldeficitsbiascreatinganeedforfiscaldisciplineenforcedthroughfiscalrules.

2.5.LiteratureonVarietiesofEuropeanCapitalismandGrowthModels

Inordertoexplaindeficitpatternsinsomecountriesandnotothers,theexplanatorypowerofvarietiesofcapitalismandgrowthmodelliteraturewillbeanalysedin contrastto,andtocomplement,deficitbiastheories.Thekeyaspectsofthisliterature willbebrieflysetoutinthischapteraheadofusingthesetheoriestoanalysetheresultsoftheempiricalanalysisinChapter4.

Varietiesofcapitalismliteratureiswithinthepoliticaleconomytheoreticalframeworkandisfocusedoninstitutionaldifferencescharacterisingdevelopedeconomies, whichshapemacroeconomicperformanceandpolicymaking.Varietiesofcapitalism isanapproachtocomparativepoliticaleconomyfirststudiedbyHallandSoskice (2001).ItcontrastswithOCAtheoryliterature,suchasDeGrauwe(2012),whichisfocusedoninstitutionsthatshouldbeinplaceforaneffectivesharedcurrencyarea, shiftingthefocustotheactualinstitutionsinplaceineconomiesandtheirresilience. OCAtheorydoesnotanalysethestructuralheterogeneityinthevarietiesofcapitalism thatmaybeinplaceandreducethelikelihoodofshockconvergenceemergingendogenouslyovertimeinacurrencyarea.Thisstructuralheterogeneityispresentedon aspectrumbetweenthecorepoliticaleconomicarchetypesofliberalmarketeconomies(LMEs)andcoordinatedmarketeconomies(CMEs),withmixedmarketeconomies (MMEs)alongthespectrum(HallandSoskice2001).Thesearetheideal-typepolesof thevarietiesofcapitalismspectrum.LMEsincludetheUSA,UK,Canada,andarecharacterisedbyhighdegreesofcompetitioninmarkets,especiallyliberallabourmarkets

Thebiaseddeficitbias:exploringheterogeneitiesindiscretionaryfiscalpolicychoicesintheEUand theassumptionofadeficitbias

andamongfirms,aswellasshort-termfinancingoffirmsandkeyroleofcapitalmarkets.Conversely,CMEssuchasGermanyandJapan,arebasedonlong-termfinancing offirms,throughbankingfinance,andthereisacrucialroleofnegotiationsinthe labourmarketthroughcoordinationofsectoralunions(Szabó2014:2).

IntheEuropeancontext,authorshavebroadlycontrastedtheCMEsofNorthern Europe,especiallyincludingGermany,Austria,Belgium,theNetherlands,andFinland;withMMEsincludingFranceandwithinthemixedmarketmodelstheMediterraneanmarketeconomiesofSouthernEurope,especiallyencompassingItaly,Spain, Portugal,andGreece.HallandSoskice(2001)notedthelegacyoflargelevelsofstate interventioninthelattergroup,characterisingthemasmixedmodels.Molinaand Rhodes(2007)alsodefinedmixedmarketeconomieswithreferencetoSpainand Italyinparticular,notingthekeyroleofcoordinationinmarkets,butthatcollective goodscannotbedeliveredaseffectivelyasinCMEs.Investigationofthesecountries byfurtherauthorsconcludesthattheseeconomieslackinstitutionsforstrategiccoordinationofwagesamongunions,businesseshavelesswagerestraintandrelations areclientelistbetweenstateandfirms(Hall2018:12).

Acrucialcontentionoftheliteratureisthatdifferentvarietiesofcapitalismpursuedifferentapproachestoachieveeconomicgrowththroughdifferentgrowth models.Theintegrationofthedemand-sideintothesupplysideanalysisemphasised byearlyvarietiesofcapitalismtheorists,resultsinarichnewbodyofliteratureon nationalgrowthmodels,andtheabilitytoclassifyeconomiesbasedondemandside driversaswellassupplyside.

CMEsgenerallyoperateexport-drivengrowthmodels,securingeconomic growththroughtheexpansionofexports.Theinstitutionalsetupthatenablesthis growthmodeliscoordinationofproducersfacilitatingcoordinatedwagebargaining, highskilllevelsandinnovationfavourabletomediumtohightechnologyproduction,creatingapoliticaleconomyfavourabletopromotinghigh-value-addedexports(HallandSoskice2001).

WhileHallandSoskice’s(2001)originalframeworkwasactor-centredandviewed firmsasthekeyactorsinthecapitalisteconomy.Morerecentliteratureplacesmore emphasisonpoliciesandgovernmentstrategiesthatdrivetheeconomybasedon thegrowthmodel.Thisliteraturesuggeststhattheseexport-ledgrowthmodelsalso cruciallydependoncomplementarymacroeconomicpoliciestofacilitaterelianceon exports.Namely,non-accommodatingmonetarypoliciesensuringahardexchange rate,deterringwageincreases,complementedbyarestrainedfiscalpolicystance, limitingpublic-sectorwageincreasesthatcoulddriveuptherealexchangerateand hurtcompetitiveness(Iversen etal. 2016).

IncontrasttotheCMEsinNorthernEurope,theMMEsinSouthernEuropeare morepronetopursuedemand-ledgrowth.Thisgrowthmodelinvolvesthepursuitof economicgrowththroughexpandingconsumerdemand,thismodelisalsocharacteristicforliberalmarketeconomies.Thegovernmentmacroeconomicstrategythat isthecorollarytodemand-ledgrowthmodelsisaccommodatingmonetaryaswellas fiscalpoliciesaimedatboostingdomesticdemand.ThoughHall(2016)notesexcep-

tionstothis,includingwhenThatcher’sgovernmentintheUKchoseanaustereeconomicpolicytoweakenunions.

Theexport-drivenCMEsarebroadlyconsideredthe‘coreoftheeurozone’,while theperipheraleconomiesandFranceandItalyareinthesecondcategoryofdemand-drivenmixedmarketmodelsandMediterraneanmarketeconomies.

Crucially,thisliteratureviewseconomiesasdrivenbygovernmentstrategies, andthereforethefiscalandmonetarypolicypreferencesunderpinningthese strategiesarebaseddirectlyandindirectlyonthenationalvarietyofcapitalism.This isthereforeanalternativepoliticaleconomicexplanatorytheoryforthebudgetary choicesofgovernments,whichseesnorthEuropeanCMEsoperatingquitedifferentlytotheliberal,mixedandMediterraneanmarketeconomiesinSouthernEurope.

Thistheoryalsoraisesimportantquestionsofhowinamonetaryunionwith structuralheterogeneityinnationalgrowthmodels,theSouthernEuropeperiphery oftheeurozonecanbestsecureeconomicgrowth.Althoughtheperiodfrominitial inceptiontotheeurozonecrisiswasanarguablywell-functioning“dualgrowth model”period(Iversen etal. 2016:167).AsEuropeanintegrationhasnotreducedthe varietiesofEuropeancapitalismovertime,indicativeofinstitutionalpathdependenceandcreatingariskof“growthmodelswithoutgrowth”(Hall2018:25).Moreover, althoughthereissomedebateintheliteratureontheclassificationofFranceinthe varietiesofcapitalismframework,mostscholarsargueFranceisinthemixedmarket groupofEuropeaneconomies(Hassel2014).Itisthereforeespeciallyimportantto notethatestablishingacommoneconomicpolicyframeworkwiththetwinengines oftheeurozone,FranceandGermany,havingsuchdifferentgrowthmodels,enhancesthechallengesforEuropeanintegrationandfiscalframeworkreform.

3.EmpiricalanalysisofhistoricaldeficitbiasintheEUandresults

ThischapteraimstoempiricallyinvestigatetheexistenceofadeficitbiasinEU countriesoverthelastdecade.Firstly,settingoutthedatasource,choiceofvariables, methodologyandestimationtechniques.Secondly,theempiricalresultsarepresented,investigatingmemberstatesasagroupandthenindividually,exploringtheprocyclicalityinfiscalpolicyduringyearsofpositiveoutputgap,toinvestigatethelikelihoodofadeficitbiasinfiscalpolicychoices.Finally,endogeneityandcausalityconcernsareexplored.Thepotentialtheoreticalexplanationsbehindtheempiricalresultsarepresentedinthefollowingchapter.Thischapteraimstoanswerthefirstresearchquestion:DoallEUcountriesexhibitapersistentdeficitbiasovertime,based onpro-cyclicalexpansionaryfiscalpolicyduringperiodsofpositiveoutputgap?

3.1.Datasource

TheEuropeanCommission’sAMECOdatabaseisthedatasourcefortheanalysis. AMECOhaspaneldataforEUmemberstates,orcross-sectionaltime-seriesdatafor fiscalvariables.Thissingledatasourceischosenasitusesthesamemethodologyto

Thebiaseddeficitbias:exploringheterogeneitiesindiscretionaryfiscalpolicychoicesintheEUand theassumptionofadeficitbias

calculatethevariablesforeachmemberstate,thisisimportantgiventhediverging methodsusedtocalculatecertainvariables,especiallytheoutputgap.Therefore,this choiceensuresconsistencyacrossdatavaluesforeachcountryandtheabilityto compareacrosscountriesovertime.Thisdatasourceisalsocommonlyusedinthe ‘fiscalreactionfunction’literaturefortheEuropeancontext(EuropeanCentralBank 2017).Thepanelisunbalanced,becausetherearesomemissingobservationstowardsthebeginningofthesample,andsotheanalysisisrestrictedtotheyears wherefulldataisavailableforthevariablesofinterestforallmemberstates.Thedata samplecoversall27memberstates,includingthe19countriesintheeurozone.

3.2.Choiceofvariables

Themaindependentfiscalvariableofinterestisthe‘fiscaleffort’ofgovernments, toassesswhetherthereisadeficitbiasinthiseffort.Intheliteraturethisisbestestimatedthroughthestructuralbalanceexcludinginterestsasapercentageofpotential GDP,alsoreferredtoasthecyclically-adjustedprimarybalance.Thisthesisinvestigatesthepoliticaleconomicdeterminantsofthisdependentvariable,especiallydeficitorsurplusbiasandvarietiesofcapitalismasexplanatoryfactorsthatshapethe fiscaleffort,fiscalimpulseandpolicyenvironment.

TheAMECOdatabaseincludesthemaindependentvariableofinterest,within chapter17.1ofthedatabase-cyclicaladjustmentofpublicfinancevariablesbased onpotentialGDP.Withinthischapteristherelevantpolicyvariable:structuralbalanceexcludinginterestsasapercentageofpotentialGDP,atcurrentprices(AMECO Database2022). Thisvariableisreferredtoasthecyclicallyadjustedprimarybalance (CAPB).

Severalauthorshighlightthatthecyclicallyadjustedprimarybalanceisthepredominant“measurementofdiscretionaryfiscalpolicy”(Larch2021).Nonetheless,it mustbenotedthattheCAPBmeasureswithsomedegreeoferrorthefiscalauthority’sdiscretionaryactionsandtheCommissioninsistsoninterpretingresultswithnecessarycaution(EuropeanCommission2000:138).Overtimefrom2005-2015,theEU increasedtheemphasisoncyclicalcorrectionsandthereforestructuralbalanceindicators.TheFiscalCompactof2013committingsignatoriestomaintainstructuraldeficitsbelow0.5%ofGDPforthemediumterm,withthissetoutinnationallegislation. Giventheunobservabilityofthestructuraldeficititraisessometechnicaldifficulties andcontroversies.However,thereisnobetteralternativeintheliterature(Golinelli andMomigliano2006),andtheCommissioncontinuestofocusonstructuralvariablesintheEuropeanSemesterprocess.Therefore,thisthesisfollowstheliteraturein usingtheCAPBasaproxyforthefiscaleffortofthefiscalauthority,makingitthe maindependentvariableofchoice.

TheEconomicandFinancialAffairsDirectorateGeneralusea,“simpleandtransparentmethod”ofcalculation,providinguniformityinthefiscalframeworkoftheEU (EuropeanCommission2000:137).Thisisatwo-stepmethodthatdoesnotinvolve subjectivefine-tuning.Firstly,theoutputtrendisestimatedusingtheHodrick-

Prescottfilter,thencyclicalcomponentsarecalculatedbymultiplyingtheoutputgap withelasticitiesofrevenuesandexpenditurestoGDP.TheCommissionuseselasticitiescalculatedbytheOECD(GirouardandAndré2005).Theseelasticitiesareassumed constantovertime,ajustifiableassumptionformatureeconomies(Fiess2002:5).FinallytheCAPBiscalculated.Thefollowingformulasillustratethesesteps.

(Cyclicallyadjustedbudgetbalance)t =(actualbudgetbalance)t —(cyclicalcomponent)t

Where:(Cyclicallyadjustedbudgetbalance)t =(actualbudgetbalance)t —(εrevenue +εexpenditure)*(outputgap)t

Therefore:(Cyclicallyadjustedprimarybalance)t =(actualbudgetbalance)t —(εrevenue +εexpenditure)*(outputgap)t–(interest payments)–(one-offmeasures)

Theoutputgapistheotherkeyvariableinthisanalysis.Empiricalstudiesvaryin usingthelevelofoutputgaporthechangeinoutputgapandrealtimeorex-post figures.Thisanalysischoosestouseex-postlevelofoutputgap.Thisvariableforoutputgapisfoundwithinchapter6.5oftheAMECOdatabase–potentialgrossdomesticproductatconstantprices.Withinthischapterthevariableusedis:gap betweenactualGDPandpotentialGDPatconstantmarketprices(AMECODatabase 2022). Thisvariableisreferredtoastheoutputgap.

(Outputgap)t =(actualGDP)t–(potentialGDP)t

WherepotentialGDPisthesolutionthefollowingminimisationproblem(EuropeanCommission2000:137):

ThisformulaobtainsthetrendGDPestimatesbyusingtheHodrick-Prescottfilter, whichistheapplicationofweightedmovingaveragestoactualoutput.Theoutput gapisthenthedifferencebetweenactualandtrendGDP.Apositivechangeinthe outputgapindicatesimprovedcyclicalconditions,andviceversaforanegativeoutputgap.

Therefore,bothvariablesofchoiceincludepotentialoutputwithintheircalculation;however,potentialoutputisunobservable.CAPBalsoincludestheunobservableelasticitiesofrevenueandexpendituretoGDP,whichareestimated.Thereis consequentlyahighdegreeofuncertaintyandvariabilityaroundthevariables.This reinforcesthebenefitisusingasingledatasource,becauseavarietyofestimation methodsexist,eachwiththeirownshortcomings.Usingonedatasourceensures cross-countryconsistencyanduniformity.

3.3.SummaryStatisticsofMainVariablesofInterest

3.3.1.CyclicallyAdjustedPrimaryBalance(CAPB)

Beforeassessingpro-cyclicalityoffiscalpolicyusingtheCAPBandoutputgap variables,high-levelsummarystatisticsarepresentedtoshowanoverviewofthe variables.TheCAPBvariableisonlyavailableforallEUMSsfrom2010-2023on

Thebiaseddeficitbias:exploringheterogeneitiesindiscretionaryfiscalpolicychoicesintheEUand theassumptionofadeficitbias

AMECO.AlthoughforItalyandSloveniadataisavailablefrom1997.Inordertousea balancedpaneldataset,theanalysiswillthereforebeginin2010.

Table1showssummarystatisticsoftheCAPBforeachcountryoverthetime periodoftheanalysis.Indicatingtheminimum,maximumandstandarddeviationof CAPB.Notably,GreecehasthelargeststandarddeviationinCAPB.Subsequently,Figure3showsalinegraphovertimeofCAPBfortheEUandtheGroup1andGroup2of MSsthatarefoundtoberelevantfortheanalysisthatfollows(andarelistedinTable 3followingthemainempiricalanalysis).

3.3.2.Outputgap

DatafortheoutputgapvariableisavailableinAMECOfrom2001-2023.Figure4 showstheoutputgapfrom2001-2023acrosstheEUandfortheGroup1andGroup 2countriesthatarefoundtoberelevantgroupingsintheanalysisthatfollows.The empiricalanalysisfocusesonthespecifictimeperiodforwhichCAPBdataisalso availableonAMECO,namely2010-2023.Therefore,Table2providessummarystatisticsfortheoutputgapfiguresacrossEUmemberstates,aswellastheEUandeuro areaoverallfrom2010-2023tobecomparabletoTable1.

Figure3:CAPBintheEU2010-2023

Figure4:OutputgapintheEU(2001-2023)

Thebiaseddeficitbias:exploringheterogeneitiesindiscretionaryfiscalpolicychoicesintheEUand theassumptionofadeficitbias

3.3.3.Outliers

Summarystatisticsare usedtoidentifypotentialoutliersinthedata,whichare“unusual”observationsthatare substantiallydifferentfromthe bulkofthedatasetandgreatly influencetheeconometricestimates.Outliersareacause forconcerniftheychangeestimatesbyalargeamount. Generally,it’srecommendedto reportresultswithand withoutoutlyingobservations, toobservewhethercertain datapointssubstantially modifytheresults.Tables1and 2showthatthevariablesofinterestforGreecearesubstantiallydifferentfromtheother memberstates,withthe higheststandarddeviation. Therefore,tocheckrobustness oftheresultstooutliers,the resultfortheEUasawholewill bere-analysedremovingfiguresforGreece,toobserve whetherthishasasubstantial impactontheresults.

Theshorttimeperiodof availableCAPBdataon AMECOisalsofavourableto avoidoutlierbiasresultingfromtheeurodebtcrisis.Thefocusofthispaper’sanalysis isonbiasinfiscalpolicychoicesduringnormaltimes,therefore,theeurocrisisisconsideredanoutlier.Therefore,bynotusingdatafrombeforethecrisis,itavoids presentingcontinuousdatathatincludesacrisisperiod,wherefiscalpolicybehaviourwouldbeabnormal.ThisfollowstheapproachbyLarch etal. (2020),whosplit theirregressionsintosubsamplesbasedonthefollowingtimeperiods,1980-1998, 1999-2004,2005-2011,2012-2017.TherewassubstantialreformoftheEuropean fiscalrulesfollowingtheeurocrisis,withthe2-pack,6-packandfiscalcompactchangingthe‘rulesofthegame’.Consequently,thepre-2010periodisaninherentlydifferentdecision-makingenvironment;andso,focusingonpost-2010isbeneficialtoremovepotentialbiasfromthefundamentalinstitutionalchangethattookplace.

3.4.MethodologyandEstimationTechniques-TestingforPro-cyclicalExpansionaryFiscalStance

Adeficitbiasisthetendencytorunbudgetdeficitsirrespectiveofthecyclical conditionsintheeconomy,thevarioustheoreticalexplanationsforthisareoutlined inChapter2.Pro-cyclicalityoffiscalpolicyingoodtimes,namelyexpansionary policieswhentheeconomyisabovepotentialoutput,isassumedtobeanindication ofadeficitbias.Duringgoodtimes,policymakersshouldconsolidate,stabiliseoutputandfreeupfiscalspacebuffersforfuturedownturns,reducingspending,pay-off debtsandreducethedeficit.However,ifthereisadeficitbias,thisbehaviourisless likelytomanifestandinsteadpolicymakerswillamplifythecyclebycontributingto aggregatedemandthroughexpenditureincreasesandtaxcuts–resultinginaprocyclicaleffect(Larch etal. 2019).Thispreferencefortaxcutsandexpenditureincreases,oradeficitbias,wouldstillexistduringbadtimes,butfiscalruleswouldhave moreofaconstrainingeffectandsothereisalsolikelytobepro-cyclicalityinbad times.Severalempiricalstudiesfoundpro-cyclicalityoffiscalpolicy,restrictiveinbad timesandexpansionaryingoodtimes(Larch2021:4).Crucially,pro-cyclicalityin goodtimesisassumedtostemfromdeficitbiasbehaviour.Thisassumptionisbased ontheliteratureexploredinChapter1.Therefore,themethodologyofthisanalysisis focusedonexploringpro-cyclicalityinfiscalpolicy,ifthisisdetectedduringgood timesitislikelytobeindicativeofadeficitbias.Thoughitisimportanttonotethe possibilitythatgovernmentsmaychooseexpansionarypoliciesingoodtimesto reapmediumtermgrowtheffectsthatwouldsupporttheeconomyinupcoming downturns,whenthefiscalruleswillrestrictabilitytoruncounter-cyclicalpolicy.This possibilityofEUfiscalrulesplayingaroleinupturnsaswellasdownturnsisnot testedinthisanalysis,andpro-cyclicalityinupturnsisassumedtobeduetodeficit biasbehaviour.However,inthenextchapterthisassumptionisrelaxed,inorderto betterexplaintheheterogeneitythatisfoundacrossMSsfiscalbehaviourinupturns andaccountfortheimportantroleofthefiscalframeworkinshapingfiscaldecisions.

Thebaselinespecificationtotestforpro-cyclicalityisthereactionoftheCAPBto theoutputgap.IfthesignofboththechangeintheCAPBandoutputgapisthesame (bothpositiveorbothnegative)thenthefiscalstanceiscounter-cyclical.Ifthesigns aredifferentandchangeinCAPBisnegative(positive)andoutputgapispositive (negative),thenfiscalstanceispro-cyclical.Broadly:

If,(CAPB)t –(CAPB)t-1 /(outputgap)t<0,thenindicativeofapro-cyclicalfiscalpolicystance.

If,(CAPB)t –(CAPB)t-1 /(outputgap)t>0,thenindicativeofacounter-cyclicalfiscalpolicystance.

IfthechangeintheCAPBisnegative,thentherehasnotbeenaconsolidationof discretionaryfiscalpolicyovertheyearandexpenditure(and/ortaxcuts)hasincreasedrelatively,resultinginanexpansionaryfiscalstance.Iftheoutputgapispositive,soactualGDPisabovepotentialGDP,thentheratioofthechangeinthebalancetooutputgapwillbenegative;andthisindicatespro-cyclicalexpansionary fiscalstance.Figure3illustrateshowthefiscalstanceismeasuredbythechangein CAPBandwhetheritispro-cyclicalornotdependingonthesignoftheoutputgap.

Thebiaseddeficitbias:exploringheterogeneitiesindiscretionaryfiscalpolicychoicesintheEUand theassumptionofadeficitbias

Figure5clearlyshowsthe4typesoffiscalstances,whenthefiscalstanceisinquadrant4thenitisindicativeofadeficitbias,runningabudgetdeficiteventhoughthere aregoodcyclicalconditions,amplifyingthecycle.Figure5isthebasisofthemethodologytoexploretheexistenceofadeficitbiasintheEUmembersstates.Thisfigure showsthehypothesisbasedondeficitbiastheory:whencyclicalconditionsarefavourablecountrieswillexhibitapro-cyclicalexpansionaryfiscalstance.

Thishypothesisisbasedonpoliticaleconomytheoriesofdeficitbiasaswellas severalempiricalstudies.Larch etal. (2020),inparticular,findevidenceusingvarious estimationtechniquesconfirmingpro-cyclicalityoffiscalpolicyforasampleof40developedcountries,includingEUandnon-EU.Theyfindpoliticaleconomyfactorsto bemeaningfuluptothepointwheredebtbecomesunsustainableandensuringsustainablepublicbudgetbalancebecomeskeymotivationbehindpolicyinterventions andpro-cyclicalchoices(thoughthisislargelyrelevantduringbadtimes).Inparticular,Larch etal. (2020)find,“evidencethatdiscretionaryfiscalpolicybecomesmore pro-cyclicalwhencyclicalconditionsimprove.Thisresultconfirmsearlierfindingsaccordingtowhichpolicymakersarelessinclinedtowithdrawfiscalsupporttoaggregatedemandwhentimesgetbetter”(Larch etal. 2020:16).Thekeypoliticaleconomy considerationtheauthorshighlightthatcontributestothepro-cyclicalitytheyfind empiricallyingoodtimesisthedeficitbias.Theyalsohighlightthatpro-cyclicalityin badtimescounteractsdeficitbiasasithasdifferentdrivers,especiallyhighpublic debtsandsustainabilityproblems.Overall,substantialempiricalliteratureindicates tendencytowardsdeficitbiasduringupturns,hencepro-cyclicalityduringgood times.

Figure5:ClassifyingtheFiscalStance

Themainhypothesisthereforehastheoreticalandempiricalgroundinginthe literature.Theempiricalliteratureuseshighlysophisticatedeconometricestimation techniques,incomparisontothesimplestatisticalanalysisinthismethodology. However,whiletheliteraturegenerallyinvestigatesadvancedeconomiesasagroup -aslargersamplesincreasevalidityofresults-thisanalysishasthebenefitoflooking atindividualcountriesovertime.Astheaimistoinvestigatewhetherthereisheterogeneityacrossbehaviourofcountries,andifalternativetheoriescanbetterexplain fiscalinterventions.Therefore,keytothemethodologyisexploringindividualcountrybehaviourandwhethertherearecertaincommonheterogeneities,suchasacross coreandperipheryEUcountrieswithdifferentgrowthmodels.Thisistheadded valueofthissimplerstatisticalanalysis,comparedtomostoftheempiricalliterature thatfocusesonthecross-countryaggregatestodrawbroadconclusions,ratherthan lookingfornuances,idiosyncrasies,andalternativeexplanations.

Generallyempiricalstudiesfindevidenceofpro-cyclicalityinfiscalpolicystances overtimefortheEUcountriesonaggregate,withdiscretionaryfiscalpolicychoices amplifyingoutputswingsonaverage.TheCommissionalsofindsevidenceofprocyclicaleuroareafiscalpolicysince1977,butnotesthat,“individualcountriesbehaveddifferentlyasnotallcountriesranpro-cyclicalpolicies”(EuropeanCommission 2000:14).TheCommissiondistinguishesbetweenhighlowdebtcountries,noting theformergrouppursuedpro-cyclicalpoliciesacrossallpositiveoutputgapsand largenegativeoutputgaps.Whereaslowdebtcountrieshavebroadlyneutralfiscal stancesforpositiveoutputgaps.TheCommissionusesFigure6todepictthe changesinCAPBagainstoutputgapacrosshighandlowdebtcountriesintheEU.

Figure6:OutputgapandbudgetdeficitintheEU(1970-90)(EuropeanCommission,2000:15)

Thebiaseddeficitbias:exploringheterogeneitiesindiscretionaryfiscalpolicychoicesintheEUand theassumptionofadeficitbias

Themethodologyinthispaperwillfollowthisapproachbyexploringcountries’ fiscalstanceindividually,toexplorenuances,patterns,andheterogeneitiesinindividual-levelfiscalbehaviour.Thiswillenableanindicationofwhetherthereisa‘lawlike’deficitbiasforallcountries,orthisismainlyataggregatelevelwithsignificant variationonindividualmemberstatelevel,thatcanbeexplainedthroughother factors.

3.5.DeductiveReasoninginTheoreticalEconomics

Themethodologyoutlinedaboveuseshypothetico-deductivereasoning, whereanoverarchingtheoryistakenandusedtopredictanobservableoutcome.In thiscase,deficitbiastheoryisusedtopredictthehypothesisofapro-cyclicalexpansionaryfiscalstanceduringgoodtimes.Thishypothesisisthentested,andifthepredictionisnotsupportedbytheempiricalresults,analternativetheoryisproposed. Generally,thedeductivemethodintheoreticaleconomicsinvolvesaneconomictheorydeducinggeneralisationsthroughlogicalreasoning,andtheninferencesare drawnfromthistheorywhichareconfirmedornon-falsifiedagainstobservableoutcomes.Itisamethodologyworkingfromthewidetothenarrowandiscommonly usedinmathematicalandeconometricanalyses.Directexperimentsaregenerally notpossibleinEconomics,therefore,findingsthatarebasedonoverarchingprinciplesaresaidtobeuniversalandholdexternalvalidity.

3.6.EmpiricalResults

ThemethodologysetoutinFigure5willbeusedfortheEU,euroareaandtheneach MSindividually,toexplorepotentialfiscaldeficitbias.GraphingthechangeinCAPB againsttheoutputgaproughlyshowsthefiscalstanceofeachcountryeachyear, andvaluesinquadrant4areindicativeofpro-cyclicalexpansionaryfiscalpolicy whichisgenerallyassociatedwithdeficitbiasbehaviour–spendingmoreingood timesandamplifyingthecycle.Figures7(1)toFigure7(29)showtheempiricalresults oftheanalysis.

Thebiaseddeficitbias:exploringheterogeneitiesindiscretionaryfiscalpolicychoicesintheEUand theassumptionofadeficitbias

Thebiaseddeficitbias:exploringheterogeneitiesindiscretionaryfiscalpolicychoicesintheEUand theassumptionofadeficitbias

3.7.Summaryofresults

Figure8summarisestheresultsof theanalysisinfigures7(1)to7(29), groupingcountriesaccordingtonumberofyearstheyexhibitedpro-cyclical expansionaryfiscalbehaviour-accordingtothebasicmethodologyof comparingchangeinCAPBtooutput gap.Acrossthetimeperiodofstudy, theresultsvaryfromfivecountriesnothavingafiscalstanceindicativeofadeficit bias,fivecountriesin1year,eightcountriesin2years,eightcountriesin3years, andtwocountriesin4years.2017-2019weregenerallyyearsofpositiveoutput gapsinthememberstates,andtheseareoftenyearswheresomecountriesmaintainedanexpansionaryfiscalstance,despitethepositivecyclicalconditions,indicatingadeficitbias.WhenlookingattheaggregatelevelofEUandeuro-area,there isindicativeevidenceofdeficitbias,butontheindividuallevelsomecountriespersistentlydonotexhibitthisfiscalbehaviour.Therefore,theresultsdonotsupport thehypothesis,becauseforasignificantproportionofcountriesthereisnotapersistentdeficitbiasovertime.

Figure8:Numberofyearswithpro-cyclicalexpansionaryfiscalpolicystance(2011-2023)

Acrucialaspectofthehypothesisneedsfurtherexploration,however,namely thetendencytochooseexpansionarypolicywhen cyclicalconditionsarefavourable. Forexample,Denmark,GreeceandLuxembourghadfewyearsofpositiveoutput gap,makinganinterpretationoflackofdeficitbiasmisleading.Therefore,Figure9 showstheratioofexpansionarytorestrictivefiscalpolicystanceinyearsofpositive outputgap.Thegraybarsarethenumberofyearsofpositiveoutputgap,andthe blackaretheyearsthegovernmentchoseexpansionaryfiscalpolicystancewithin thoseyears,indicatingthetendencytoexhibitdeficitbiasbehaviour.Theseresults arethenshowninpercentageforminFigure10,showingthepercentageoftheyears therewasprocyclicalexpansionarypolicyinboomyears.Onlynineofthemember stateshaveprocyclicalexpansionaryfiscalstanceover50%oftheboomyears.Therefore,theresultsshowninFigures9and10donotsupportthehypothesis,because whencyclicalconditionsarefavourable,notallcountriesexhibitapersistentpro-cyclicalexpansionaryfiscalstance.Thereissignificantvarianceacrosscountriesandonly threememberstatespersistentlyindicatebehaviourofadeficitbiasingoodtimes. Therefore,theoverarchingconclusionofthisanalysisisthatwhencyclicalconditionsarefavourable notall countriesexhibitaprocyclicalexpansionaryfiscalstance, andthehypothesisofa‘law-like’deficitbiasisnotsupported.

FromFigure10itisnowpossibletogrouptheMSsintotwogroups.Table3 showsGroup1,countrieswhichhadaprocyclicalfiscalstanceduringboomyears morethan50%ofthetime(asshowninorangeinFigure10).Group2,conversely,is countriesthathadthisfiscalstanceduringboomyearslessthanorequalto50%of thetime.GreeceandDenmarkarenotincludedbecausetherewerenoyearsofpositiveoutputgapintheperiodofanalysis,thereforenoevidenceofwhetherthegovernmentswouldhavechosentorunapro-cyclicalfiscalstanceornot.

Figure9:Tendencytorunprocyclicalexpansionaryfiscalpolicyinboomyears

Thebiaseddeficitbias:exploringheterogeneitiesindiscretionaryfiscalpolicychoicesintheEUand theassumptionofadeficitbias

3.8.RobustnessofResults

Thesummarystatisticsabove revealedGreecetobeanoutlierfor thetwovariablesofinterest,asthe valuesaresubstantiallydifferent fromothermemberstates.Therefore,Figure11re-assessestheresultfortheEU,removingthefigures forGreecefromthecalculationof EU-wideaveragesinthechangein CAPBandtheoutputgap.TheimpactofGreeceasanoutlieris showntobeminimal,asthereis stillanEU-wideexpansionaryfiscal stanceinyears2017,2018and 2019,astherewasinFigure7(1). Therefore,theresultisrobustto theimpactofGreeceasanoutlier.

However,asthefocusofthe analysisisonindividualcountrylevelvariations,outliersarelessof aconcernthanforEU-levelanalyses.Nofurtherrobustnesschecks areperformed,butsignificant causalityandendogeneityconcernsremain,nonetheless.

Figure10:PercentageTendencytorunprocyclicalexpansionaryfiscalpolicyinboomyears

3.9.EndogeneityandCausalityConcerns

Thereareseveralpointsofconcernininterpretationoftheresults,whichshould beoutlinedtoensurecautionandrestraintinformingstrictconclusionsfromthe analysis.

Akeyshortcomingoftheanalysisisthesamplesize,alongertimescalewould improvethestabilityofinterpretationsfromtheresults.Thoughthelargersample wouldneedconsistencyinthecalculationofkeyvariablestoensureuniformity acrossthefullpaneldataset.

Anothershortcomingistheuseofex-postratherthanreal-timedatafortheoutputgap,despitemostempiricalstudiesalsousingex-postoutputgapsfigures.Estimatesoftheoutputgaparerevisedconsiderablyex-postwiththeavailabilityof newinformation.Thismakesitachallengeforpolicymakerstobeawareoftheexact positioninthecycle,andintentionsusingreal-timeoutputgapsfiguresmaybe differenttoconclusionsaboutdiscretionaryfiscalchoicesusingex-postoutputgap figures.Therefore,theanalysiscouldbeimprovedorextendedbyusingalternatives totheoutputgapthatareavailableinrealtimeandlessrevisedex-post,suchas changeinunemploymentrateorindustrialproduction,tobetterunderstandgovernmentchoicesandbiasesinreal-time.Thiscouldbetterelucidatemotivationsbehind fiscalpolicychoices.Thoughthesevariablesalsohavetheirweaknessesandareless indicativeofthecyclicalconditions,despitebeingcorrelatedgenerallywiththebusinesscycle.Nonetheless,Larch etal. (2020)investigatethisconsiderationusingthese alternativevariablesandfindpro-cyclicalityisnotanunintendedconsequencefrom volatilityinreal-timecyclicalmeasurements,anditisfoundforthreedifferentmeasuresofthecycle.

Larch etal. (2020)usethemaximumsampleofaround40developedeconomies intheiranalysis,inordertoensurethesampleis“exogenoustothequestionsaddressedinouranalysis”(Larch etal. 2020:9).Thishighlightsapotentialendogeneity

Thebiaseddeficitbias:exploringheterogeneitiesindiscretionaryfiscalpolicychoicesintheEUand theassumptionofadeficitbias

concernregardingthisanalysisasitfocusesonlyonEUcountries.Deficitbias,orabsenceof,maybeendogenoustotheEUcountriesthemselves,asitisnotarandom sampleofeconomies.Theinterdependencies,cross-pollinationofideasandpeer pressureofconvergenceandspillovers,aswellasgeneralsimilaritiesinpoliticalsystems,maycontributetowardsendogeneityconcernsregardinggeneralisableconclusionsabouttheexistenceofdeficitbias.Ashortcominglinkedtothisisanalysing euro-areaandnon-euromemberstatessimultaneously.ThereisinherentendogeneityinacommoncurrencyareathroughthecoordinationoffiscalpolicybytheCommission,aswellasspilloversandinterdependencies.Thiscreatescausalityconcerns, aseuro-areamemberstatesarguablyhavelessdiscretionoverfiscalpolicychoices thannon-euroareamemberstates,reducingtheabilitytodrawconclusionsfromthe resultsregardingthediscretionarynatureoffiscalchoices.

Anothershortcomingofthemethodologyisthatvaluesclosetothezerocould beconsideredneutralfiscalpolicyratherthanpro-cyclical.Forexample,Netherlands in2019andCroatiain2022,Austriain2017,hadachangeinCAPBas(-0.1),whichis arguablyneutral.Forthesakeofconsistency,themethodologyconsideredallnegativevaluesinboomyearsasexpansionaryfiscalstance.However,thisislikelywithin themarginoferrorofdecision-makingusingrealtimedata,ratherthanindicativeof astrongdeficitbias.Figures7(1)to7(29)arethereforeusefultoshowthemagnitude ofvalues,andwhetherafiscalstanceismoreneutralornot.

Ingeneral,themethodologydoesnottakeasophisticatedeconometricapproachtoremoveendogeneityinresultsthroughcontrolvariables,dummiesand othereconometrictechniques.Thislimitstheabilitytodrawconclusionsregarding causality.Nonetheless,theresultsareindicativethatdeficitbiasisnota‘law-like’behaviourforpolicymakersandtherealternative,orcomplementary,explanationsfor driversbehindfiscalpolicychoicesandobjectives.Thesewillbeexploredinthenext chapter.

4.TheoreticalExplanationsforLackofSupportingEmpiricalEvidenceintheEU for‘law-like’DeficitBiasandImplicationsforReform

Thehypothesisofapersistentand‘law-like’deficitbiaswasnotsupportedbythe empiricalresults.Therefore,followingthedeductivereasoningmethod,thischapter willexploretheexplanatorypowerofalternativepoliticaleconomictheoriestocontrast,andcomplement,deficitbiastheoryandmoreeffectivelyexplaintheheterogeneityfoundintheempiricalresults.Thischapterattemptstoanswerthesecond researchquestion:Whydoweobserveapersistentdeficitbiasincertaincountriesin theEUandnotinothers,andwhatotherexplanatoryfactorscontributetowardsdiscretionaryfiscalpolicypatterns?

Finally,theimplicationsofthisanalysisforinstitutionalreformintheEUwillbe evaluated,aswellasthepolicyoptionstheEUshouldconsiderpursuingtogenerate structuralconvergenceandavoidpersistenceoftheheterogeneouscyclicalconditionsandfiscalpolicystancesacrosscountries.

4.1.AlternativeTheoriestoExplainCross-CountryHeterogeneity

AlthoughthefoundationalassumptionoftheEuropeanfiscalframeworkisadeficitbias,theempiricalresultsindicateimportantalternativedriversoffiscalpolicy choices.Giventheresultsshowsubstantialvariationinfiscalstancesacrosscountries overtimeandwhileexperiencingsimilarcyclicalconditions,thesealternativeexplanatoryfactorsarenecessarilyfactorsthatvaryacrosscountriesratherthanall-encompassingtheoriessuchasthedeficitbias.Proxyvariablesareusedtoassessthe relativeexplanatorypowerofthesealternativefactors.

4.1.1.Heterogeneityacrosspoliticalsystems

Fiscalpolicychoicesareinherentlypoliticalchoices,madebygovernmentselectedwithaspecificpoliticalprogramme.Therefore,thetypeofpoliticalsystem,level ofpoliticalfragmentationamongpoliticalparties,aswellasvolatilityofelectoral cycle,willinherentlyinfluencethefiscaloptionsavailableandthefinalchoicesmade, irrespectiveofthecyclicalconditions.Therearestillvariationsinpoliticalsystems,althoughallMSaredemocracieswithregularelections,severalpoliticalpartiesacross thespectrumandfreedomofspeechenablingfairelectoralcompetition(notwithstandingrecenttrendsofdemocraticbacksliding).

Asaproxyforthepoliticalsystemfactorswhichvaryacrosscountriestheresults ofDöring&JohanHellström(2013:687)areusedtoestimatepartysystemsand electoralvolatilityinEurope.Theauthorsusedmixedeffectslogitmodelstoreveal substantialdifferencesacrossgovernmentformationpatternsandpartysystemsin Europe.Theauthor’svariablesonthelevelofpolarisationoflegislativeparties,aswell asvolatilityofseatshareareusedasproxiestocomparelevelofheterogeneitiesin politicalsystemsacrossthetwogroupsfoundabove.

Therearevarioustypesofpoliticalfragmentationintheliterature,includingsize (ofcoalitionandideologicalcoherence),institutionalandtimefragmentation(Ricciuti2004:369).Generally,thelargerthefragmentation,thelessthecostsofspendingareinternalisedbythegoverningparty,makingitlessfiscallyresponsible.

Table4comparestheaveragevaluesofthesetwoproxyvariablesforthecountriesinGroup1andGroup2,andthenpresentstheresultsofatwo-samplet-test(assumingunequalvariances).Group1isfoundtobelessfiscallyresponsibleingood timesinthepreviouschapter;andonaveragethereisgreaterfragmentationinterms ofpolarisationofideologyinthisgroup,butthisexpectedpatternoflargerfragmentationinGroup1isnotfoundforthevolatilityofseatsharevariable.Moreover, thep-valueisgreaterthanthesignificancelevelandthereforethenullhypothesis thatthereisasignificantdifferenceinmeansisnotrejected.Fragmentationmay thereforebeapartiallyexplanatoryfactorinfiscalstancechoices,complementing otherfactors.Although,severalauthorsnotethattheeffectsofpoliticalfragmentationarefoundtobemorenegligibleinperiodsofgrowth(Ricciuti2004:369).This perhapsexplainswhyproxiesforthisfactorarenotfoundtobesignificantinthe differencebetweenthetwogroupsthatbehavedifferentlyduringperiodsofgrowth.

Thebiaseddeficitbias:exploringheterogeneitiesindiscretionaryfiscalpolicychoicesintheEUand theassumptionofadeficitbias

4.1.2.HeterogeneityacrossFiscalFrameworksandBudgetaryInstitutions

Thefiscalpolicydecision-makingenvironmentvariesacrosscountries,evenin thecontextofthesupranationalfiscalruleframeworksetbytheSGP.TheCommission evenhighlightstheheterogeneityoffiscalruleframeworksintheEU(EuropeanCommission,2006).Aswellasseveralauthorshighlightingthecrucialimpactofbudget institutionsonfiscaloutcomes(Eslava2011:660),thegrowingimportanceplacedon thisfactorishighlightedintheliteraturereview.Therefore,thisaspectwarrantsfurther explorationevenintheEUcontextwheretherearesupranationalfiscalrulesandinstitutionsattheEU-leveltomanagetheincreasedinterdependenciesandspillovers intheEMU.TheCommissiondefinesthestrengthofdomesticfiscalframeworksbased onfivecomponentsacrosstheinstitutionalenvironmentthatshapesfiscalpolicymakingnationally,includingrules,procedures,monitoringandenforcementinstitutions (NerlichandReuter,2013).TheFiscalRuleStrengthIndexisanaggregationand weightingacrossthecriteria,calculatedbyDGECFIN(EuropeanCommission,2022).

Table4comparestheaveragefiscalrulestrengthscoresacrossmemberstatesin Group1and2,in2019thelatestyearofavailabledata.ThemeanislargerforGroup 1,andthep-valueofatwo-tailedt-testislessthanthesignificancelevel.Therefore, thenullhypothesiscanberejectedinfavourofthealternativethatthereisastatisticallysignificantdifferenceinmeansbetweenthegroupsintermsoftheirfiscalrule strengthindexscores.Theheterogeneityfoundbetweenthetwogroupsbehaviour maythereforebelinkedtothestrengthofthefiscalrulesframeworkimplementedin aparticularcountry.Group1,whichhaslargertendencytorunpro-cyclicalpolicyin upturns,isfoundtohavestatisticallysignificantlystrongerfiscalrules,basedonthe proxyofthefiscalrulestrengthindexscores.

Thisgoesagainsttheassumptionmadeintheanalysissectionthatthefiscal rulesplaylessofaroleduringgoodtimes.Thishighlightstheimportantroleof budgetaryinstitutionsindeterminingfiscalbehaviouranddecision-making.Thisresultindicatesthatgovernmentsmaydecidetoexpandduringupturnsrunningprocyclicalfiscalstances,inordertoreapthegrowtheffectsoflooserfiscalpolicyover themediumterm.Inastrongerrulesframework,inanupcomingdownturnthe strongruleswillconstrainfiscalspaceandtheabilitytoruncounter-cyclicalpolicy. Thisincreasestherationaleforpro-cyclicalpolicyinupturns,toreapmediumterm growtheffects.Thisdecisionwouldcountercyclicallysupportgrowthinadownturn, reducinglikelybreachesoftheSGPrules.Group1countries,withlooserfiscalstances inupturns,maythereforebeplanningforgrowtheffectsinupcomingdownturns, giventhestrongerfiscalrulesframeworkintheircountryconstrainingfiscalspacein downturns.Therefore,thisisakeyexplanatoryfactorandareaforfurtherexploration.

4.1.3.Heterogeneityacrossvarietiesofcapitalismandgrowthmodels

Beyondthesemoretraditionalexplanatoryfactorsofcross-countryvarianceinfiscal outcomes,isthegrowingliteratureonvarietiesofcapitalismandthegrowthmodels thatdelineatethesevarieties.Whererestrainedfiscalpolicychoicescomplementexport-

ledgrowthmodelsofthecoordinatedmarketeconomies,andconversely,looserfiscal policychoicescomplementdemand-ledgrowthmodelsofmixedmarketeconomies. Although,thesecombinationsofgrowthmodelsandmacroeconomicpolicychoices arenotnecessarilyalwaystightly-coupled,forexample,ifpriceelasticityofexportdemandislowthereismorespaceforexpansionaryfiscalpolicyinexport-ledgrowth modelcountries(Ricciuti2004:50).Itwouldalsobemisleadingtodescribepro-cyclical policyinupturnsasfiscalindiscipline,asinthistheoreticalframework,alooserfiscal policyisanactivepolicychoiceratherthantheresultofabiasornegativeexternality.

Toexploretheviabilityofthisexplanatorytheory,Group1and2arecompared usingthevariableofexportdependenceasaproxyforthetypeofgrowthmodel. Exportdependencewouldbehigherformorecoordinatedmarketeconomiesthat pursueexport-ledgrowthstrategies.ThisfollowsthemethodologyofHall(2018:11) anduses2020datafromtheWorldBank(2022).Aspredictedbythetheory,theaverage exportdependenceofGroup2islargerthanGroup1.Thisindicatesthatthegroup withmorerestrainedfiscalpolicyinupturnsismoreexportdependent,inorderto minimiseimpactoffiscalpolicyontherealexchangerateorhurtcompetitiveness. Nonetheless,thet-testdoesnotrejectthenullhypothesisofasignificantdifference inmeansofthetwogroups,eventhoughGroup2hasalargermean.Thegrouping ofcountriesfoundinthisanalysisisalsodifferenttothegroupingofCMEsandMMEs inHall(2018).Therefore,theheterogeneityfoundintheanalysisinbehaviourofcountries duringupturnsmayberelatedtothegrowthmodelpursuedthatsetsfiscalpolicy objectives,andtheevidencepointsinthisdirectionbutnotdefinitively.Varietiesof capitalismarelikelyan explanatoryaspectthat shouldbeconsidered alongsideotherfactors thatresultinheterogeneityoffiscalchoices duringsimilarcyclical conditions.

Thisexplorationof alternativetheoretical explanationstothe cross-countryheterogeneityfoundintheanalysishighlightsthat thereareseveralexplanatoryfactorscon-

4.2.BiasandPersistenceofAlternative ExplanatoryFactors andImplications

Thebiaseddeficitbias:exploringheterogeneitiesindiscretionaryfiscalpolicychoicesintheEUand theassumptionofadeficitbias

tributingtowardsfiscalpolicydecision-makinginupturns.Beyondthosefactorsexplored inTable4,thereareotherareasthatvaryacrosscountriesthatmeritfurtherexploration also,butdonothaveasclearofaproxyindextoenablecomparisonbetweengroups.

Generally,theeffectofafiscaldeficitbiaswillbemutedanddistortedbypolitical economicfactorsthatarespecificto,andvaryacross,individualcountries.The strengthofthesefactorsininfluencingfiscalpolicydecisionswilldeterminewhether anypotentialdeficitbiasiserodedandoverpoweredornot.Thesealternativefactors tothedeficitbiaswillalsopersistandcreatetheirowncountry-specificbiasesinfiscal policy,aspoliticalcoalitionsareformedaroundpolicyoptionsandinstitutions(Hall 2018:19).Thiscreatesresistancetochangeandreinforcesthebiasinpolicyoptions. Forexample,agrowthmodelbiaswillbegeneratedovertimeasacoalitionwillform aroundthedemand-ledgrowthmodelforsomecountries,generatingresistanceto morerestrictivefiscalpolicythatwouldhurtthedemand-ledgrowthstrategy,and theinterestgroupsthatprofitfromthisstrategy.Thegrowthmodelwillbedoubled downuponinresponsetoashock,ratherthananadaptationthatwouldbemore efficient.Forexample,therewouldbepoliticalresistancetoreducingGermany’s tradesurpluswithlooserfiscalpolicy,aswagesintheexportsectorwouldbe threatenedamongotherinterestgroupsthatwouldresistinitiativestomovetomore demand-ledstrategies(Hall2018:19).Thepolicychoicepersistsduetopoliticalcoalitions,notsimplytheinstitutionalsetupofthevarietyofcapitalism.

Similarly,tothetheoryofpersistenceofadeficitbias,therewillbeapersistence ofgrowthmodelbias,politicalsystembias,fiscalframeworkandbudgetaryinstitution bias,amongotherfactorsthatwillpersistandcreaterecurringpatternsofheterogeneity offiscalstances.SoevenifcyclicalfluctuationsintheEMUbecomeincreasinglysymmetricovertime,fiscalpolicymaynotconvergeduetobiasesinthesystemsacross countriesandresistancetochangingthesepoliticaleconomicfactorsandobjectives.

Therefore,duringsimilarcyclicalenvironments,individualcountriesexhibitvaryingfiscalpolicystancesdependingontherelativestrengthofspecificinfluential factors,ratherthana‘law-like’deficitbiasresultingsimilarfiscalbehaviouracrossall countries.Thisexplorationhasalsohighlightedthatthereisalsonota‘law-like’way togroupEuropeancountriesaccordingtoimpactofthesevariousbiases,withone grouphavingaclearinfluenceofoneparticularfactorornot,eachisspecifictothe countrycontext.SoEUMSscannotbesimplysortedintotwogroupsthatenables clearexplanationoffiscalpolicychoices.

Thisexplorationofalternativetheoriesaddsnuanceandcontexttothefiscal choicesofEuropeanMSsandisimportanttobearinmindastheEUembarksona processofinstitutionalreformofthefiscalframework.

4.3.ImplicationsfortheDesignoftheEuropeanfiscalframework

ThesuspensionoftheSGPfollowingtheoutbreakoftheCovid-19Pandemichas createdauniqueopportunityforEMUinstitutionalreform(Commission,2022),and theCommissionhasevenlaunchedaconsultationonthefutureofthefiscalframe-

work.Althoughafulldetailedexplorationoftheimplicationsofthisanalysisforfiscal frameworkreformisbeyondthescopeofthisthesis,thekeyhigh-levelimplicationis thatthefoundationalassumptionofa‘law-like’deficitbiasisnotclearlyprovenby empiricalevaluationofhistoricalfiscalpolicychoices.Thisanalysisdoesnotsupport thehypothesisofanall-encompassingdeficitbiasoverpoweringotherfactorstoresultinpro-cyclicalpolicychoicesinupturns.Theimplicationofthisisthatthe Europeanfiscalrulesmaycurrentlybeimperfectlydesignedtomaximiseefficiencies andopportunitiesintheEMU.

TherearealsootherinfluentialfactorsgoverningfiscalpolicychoicesinMSs, whichshouldhavegreaterconsiderationinthedesignofthesupranationalfiscal framework.Themultiplicityofdrivers,includingbudgetaryinstitutions,politicalsystems,andgrowthmodels,amongothers,needtobeconsideredinfiscalpolicyreformefforts.Crucially,aonesizefitsallapproachmaynotbethemosteffectiveor appropriate,becauseoffundamentalstructuralheterogeneitiesacrosscountries.If theseheterogeneitiesdonotreduceovertime,endogenouslyorintentionally,then theyshouldbefactoredintothefiscalframeworkdesigntoenablegrowthwith differentmodelsandfordifferentvarietiesofEuropeancapitalism.Afiscalframework thatiscountry-specificandflexibletothepoliticaleconomiccontextwouldbemost appropriatewhenconsideringthecrucialheterogeneitiesacrossMSthatthisanalysishashighlighted.

4.4.PolicyOptionstoGenerateStructuralConvergence

Thisanalysishighlightsthatirrespectiveoftheprevailingcyclicalconditions,individualEUcountriesadopthighlyheterogeneousfiscalpositions.Therefore,convergenceofeconomiccyclesisnecessarybutnotsufficienttoavoidandcopewith crises.OCAtheoryhighlightstheneedforconvergenceofshocks,andthatcrisesare rootedinasymmetricshocks.Withinamonetaryunion,thiscyclicalconvergence mayalsohappenendogenouslyasintra-uniontradeincreasesconsistentlyovertime. Irrespectiveofeconomicconvergence,however,varietiesofcapitalismanalystsarguethatlongtermcrisesarerootedininstitutionalasymmetriesacrossdivergent varietiesofcapitalismthatencouragegovernmentstopersistentlypursuedivergent growthstrategies,increasingtheimbalancesandriskofcrisisinthemonetaryunion (Hall2018).Growthmodels,however,arepersistentanddonotconvergeendogenouslyovertime,giventhedifficultiesinalteringinstitutionalpoliticaleconomy(Hall andSoskice,2001).Hall(2018:17)highlightsthatthequestionofwhatinstitutional arrangementsmakepersistentinstitutionalimbalancesfeasibleintheEurozoneis stillunresolvedinpoliticaleconomy.

Thepolicyoptionsthatwouldentailaninstitutionalconvergenceofvarietiesof capitalismintheEMUareanEUgrowthstrategyandanEUindustrialpolicy,bothon thepathtowardsfullfiscalunion.Despitethebenefitsasingleinstitutionalsetup wouldbring,thepoliciesadoptedwithintheinstitutionalshellwoulddetermine whichcountriesandconstituencieslostoutfromadjustmentprocesses.Asagrowth

Thebiaseddeficitbias:exploringheterogeneitiesindiscretionaryfiscalpolicychoicesintheEUand theassumptionofadeficitbias

strategyandindustrialpolicywouldneedtobebasedonaspecificgrowthmodel, andprogresstowardsthesestrategieswouldreducestructuralheterogeneityovertimeandcreateconvergenceinthevarietiesofcapitalisminEurope.Notably,there ispoliticalwillbehindtheongoingdebateonfiscalframeworkreformintheEU,and DraghiandMacronrecentlyadvocatedforanewgrowthstrategyintheEU(Financial Times,2021).However,theirproposalslackedanyindicativedetail,specifically whetheronegrowthmodelischampionedtoaddressthestructuralheterogeneity ornot.Asthelong-termbenefitsofasingleEuropeangrowthstrategywouldcome fromgeneratingstructuralconvergence,toavoidfuturecrisescausedbymacroeconomicimbalances.

Agrowthstrategywouldneedtobeexport-ledordemand-led,withcomplementaryaustereorloosefiscalpolicy,respectively,togeneratestructuralconvergence.Thiscreatesastalemateinwhatinstitutionsneedtobecreatedandwhat policiestheyshouldpursue,asSouthernEuropefavoursverydifferentfiscalpolicy objectivestoNorthernEurope,basedonthefundamentallydifferentvarietyofcapitalismcreatingentrenchedinterestgroups.Tobeviable,boththeseinstitutionalreformoptionswouldrequiresignificantpoliticalwillcoupledwithastrongEUidentity andsolidarity.ThiswouldrequireaparadigmshiftintheEUpsyche.

Intheabsenceofpolicychangestogeneratestructuralconvergence,thereality ofstructuralheterogeneityandlackof‘law-like’deficitbiasneedstobeinternalised intothereformedEUfiscalframework.Structuralconvergenceispainfulbuteffective inthelongterm,butasasecond-bestoption,thedebateonfiscalframeworkreform shouldtakeintoconsiderationthevarietyoffactorsthatinfluencefiscalpolicydecision-making,suchasbudgetaryinstitutions,structuralheterogeneityandpersistentgrowthmodels,meaningaone-size-fitsallsolutionswillnotbeeffectiveorviable.Therefore,thesereformsshouldaimtoensurethatthereismorethanonepath togrowthintheEU,sothattheEMUworksforeachindividualcountry.

Thedanger,ofcourse,isthatsomepartsofEuropemayendupwithgrowthmodels withoutgrowth,whichwillultimatelythreatentheveryexistenceofthemonetary union.Insuchrespects,theeurocrisisisfarfromover.(Hall2018:25)

Conclusion

Thisthesishasexploredwhetherindividualmemberstatesexhibitpersistentdeficitbiasbehaviourovertime,toinformtheongoingpolicydebateonfiscalframeworkreformintheEU.Inanswertothefirstresearchquestion,theempiricalresults highlightedthatnotallcountriestendtorunpro-cyclicalfiscalpolicyduringgood times,resultsarenotindicativeofapersistentor‘law-like’deficitbias,butratherof severalinfluentialfactorsdeterminingfiscalpolicychoices.Ratherthanapersistent deficitbias,thereisatendencytomakeheterogeneousfiscalchoicesacrossmember states,irrespectiveofcyclicalconditions.

Toanswerthesecondresearchquestion,severalalternativetheoreticalexplanationsareexploredtobetterunderstandthedifferentiatedbehaviouracrosscountry’s

fiscalpolicypatterns.Inparticular,thestrengthofbudgetaryinstitutionsandfiscal ruleswasfoundtobeasignificantfactorworthfurtherexplorationduringupturns. Variationsacrosspoliticalsystemsandvarietiesofcapitalismandgrowthmodels werealsoexploredasalternativesandcomplementstotheoverarchingdeficitbais theory.Theseotherexplanatoryfactorsthatvaryacrosscountrieswillpersistover timecreatingtheirowncountry-specificbiasesinfiscalbehaviour,thiswillespecially bethecaseforthegrowthmodelpursuedbasedontheinstitutionalvarietyofcapitalism.Sucha‘growthmodelbias’,andothercountry-specificbiasescontrasttheoverarchingfiscaldeficitbiastheoryandshouldbeconsideredastheEUembarkson fiscalframeworkreform.

Thehigh-levelimplicationsofthisanalysisfortheongoingdebateonreformof theEuropeanfiscalframeworkweretheninvestigated.Structuralconvergence policiesareconsideredafirst-bestoptionforlongtermgrowthintheEUandavoidanceoffuturecrises,butanEUgrowthstrategyandindustrialpolicywouldrequire currentlyunseenlevelsofpoliticalwillandsolidarity.Therefore,asasecond-best policyoption,fiscalframeworkreformshouldconsiderthestructuralheterogeneity andnuancesacrossfiscaldecision-makingpatternsinmemberstates.Thisentails takingaflexibleratherthanone-size-fits-allapproachtothereformedfiscalframework,whichexplicitlyacknowledgesthatthereismorethanonepathtogrowth,enablingthefullspectrumofEuropeanvarietiesofcapitalismtoflourish.

Thebiaseddeficitbias:exploringheterogeneitiesindiscretionaryfiscalpolicychoicesintheEUand theassumptionofadeficitbias

Listofabbreviations

CAPB -Cyclicallyadjustedbudgetbalance

CME -CoordinatedMarketEconomy

DGECFIN - DirectorateGeneralforEconomicandFinancialAffairs

ECB - EuropeanCentralBank

EMU - EconomicandMonetaryUnion

EU - EuropeanUnion

IMF - InternationalMonetaryFund

LME - LiberalMarketEconomy

MME - MixedMarketEconomy

MS - MemberState

OCA - OptimumCurrencyArea

OECD - OrganisationforEconomicCooperationandDevelopment

SGP - StabilityandGrowthPact

TFEU - TreatyontheFunctioningoftheEuropeanUnion

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Theuseofscientificargumentsasamodeofjustification.Whatplacedoesit haveinpoliticsandlaw?AcasestudyofEUGMOregulation

“Youareaking,then!”saidPilate. Jesusanswered,“YousaythatIamaking.Infact,thereasonIwasbornandcameintothe worldistotestifytothetruth.Everyoneonthesideoftruthlistenstome”. “Whatistruth?”retortedPilate. WiththishewentoutagaintotheJewsgatheredthereandsaid,“Ifindnobasisfora chargeagainsthim.Butitisyourcustomformetoreleasetoyouoneprisoneratthetime ofthePassover.Doyouwantmetorelease‘thekingoftheJews’?” Theyshoutedback,“No,nothim!GiveusBarabbas!” NowBarabbashadtakenpartinanuprising. (John18:37).

1.Introduction

TakenupbyKelsen,the“democratictragedy”carefullycrystallisesthedilemma between‘Truth’,politicsandlaw.Inthisscene,Jesusseekstoupholdadivinetruth (Kelsen2004:101-110;Lagi2020:106)whilePontiusPilaterelativisesandleaves democracyincharge(John18:37;Tiercelin2019).Indeed,Pilate,freeofanydivinebelief,canignoreanystatementofJesusChristandletthepeopledecidetocondemn JesustodeathwhilesparingBarabbasthethief(Kelsen2004:101-110;Tiercelin 2019).The‘democratictragedy’challengesclassicaltheoriesoflaw:ontheonehand, naturallawwillconsiderarulevalidifitconformstodivinerules,thelawsofnature, orinanycase,rationality(Kelsen1949:481;Kunz1961:951;Langford,Bryan,McGarry 2019:101).Ontheotherhand,positivelawisonlyinterestedinformallawandnotin thecontentofthenorm(socialvaluesconveyed,conformitywithscienceorreligion) (Druffin-Bricca,Henry2009:67;Kelsen2004:108).

AccordingtoKelsen,evenifadivinetruthcouldexist,thistruthhasnoplaceand wouldbowtothedemocraticdecision(Lagi2020:106;Tiercelin2019;Kelsen2004: 101-110).Inthisway,Pilateactsaccordingtothepreceptsoflegalpositivism,foronly proceduralorformalrulesmatter.Sinceheisfreefromabsolutebelieforconviction -thatis,heisa‘relativist’-PilateletsthepeopledecideaboutJesus'faith.Ontheother hand,JesusChristfallswithinthescopeofnaturallaw,becauseHeholdsadivinetruth, andanyothercontraryopinionisirrelevant(KelsenLagi2020:106;Kelsen2004:101110).Kelsenarguesforlegalpositivismandrelativism.Thisdoesnotimplyaposture denyingtheexistenceofvaluesortruth,butrathertointegratethefoundingcomponentsofdemocracy(Lagi2020:95;Langford,Bryan,McGarry2019:462).

PierreWalckiers

PierreWalckiers, Collegeof EuropeinNatolin,pierre.walckiers@coleurope.eu

Theuseofscientificargumentsasamodeofjustification.Whatplacedoesithaveinpoliticsand law?AcasestudyofEUGMOregulation

Kelsen'sdemocratictragedyallowsustointroduceareflectionontheplace,authority,roles,andfunctionsofdiscoursesoftruthinpoliticsandlaw.Thismaster's thesiswilllookatscientificnarrativesasdiscoursesoftruthandseehowtheyfitinto andareusedinthelegalandpoliticalspheres.Wewanttoseehowcertainactorscan claimscientificargumentsastruthandauthoritytoexertpressureinlawandinpolitics.Latourhadalreadyworriedthattheuseofscientificdiscourse-chargedwithunderstandingtheworld-wouldblockandimposeitselfagainstanypoliticalorlegal discussion-chargedwithregulatingsociallife-(Latour2004:10;Latour1993:23). Morespecifically,wewanttoraisethewayinwhichcertainactorscaninvokescientificargumentstoimpose‘objective’elementsoffactinthedebateand,inthisway, refrainfromdiscussingpoliticallyand‘subjectively'’thesesameelements(or,atleast, theirsocialconsequences)(McGee2015:38;Latour2013:489).

Inthisway,theinvocationofscienceinpoliticsandlawwouldcorrespondtoa returntonaturallaw(Druffin-Bricca,Henry2009:67;Viala2010:162).Infact,therule wouldbevalidifitisscientificallycorrect,notlegallycorrect.However,thelegalpositivismperspectivedoesnotseemtobesufficienteither.Indeed,legalpositivism takesupthedistinctionbetweennatureandobjectivescienceontheonehand,and objectivelawandpoliticsontheother(Latour2010:198;Latour2004:18).Theproblemisnotwiththesourceoflaw,becauselawderivesitslegitimacyfromtherulesof law(notfromnature).Onthecontrary,theproblemwithlegalpositivismcomesfrom itsideologicalunderbelly,whichreinforcesthenarrativeofanobjectivescience, neutralandexternaltoallpoliticalconsideration(Hart1958:71;Latour2013:248; Conway2012:20).

Inatransversalway,thenarrativeofanaturalandobjectivesciencecannotpossiblyconsiderthemultitudesofphysical,sociallinksbetweentheobjectandthesubjectofknowledge(Haraway2018:33;Gardey2013:118)andmustbecriticisedwith regardstothenormativetemptationof‘knowledge-power’(Foucault1980:133;Foucault1990:93;Dreyfus,Rabinow1984:118).Furthermore,themodernseparationof natureandpoliticsseemstohavebecomeinadequateregarding'hybrid'issues(Latour1993:1-12).These‘hybrids’referto‘object/subject’problemscombiningtheneed foratechnicalapproach(withouthavingscientificcertainty)andhavingmajorconsequencesatthesocietallevel(Latour1993:1-12;Latour2004:11;Gutwirth,vanDijk 2020:123).Forexample,theproperuseofscientificdatacanbefoundinthefieldsof vaccinationandhealthpolicies,genomeeditingorwithinnon-discriminationlaw (Papon2020:7-17;Stengers2018:3-22;Stengers1993:30;Stengers2015;Shan 2020).Inthiswork,wewilllookattheGMOeventasahybrid:studyingtheroleof scientificdiscourseinlegalandpoliticalregimes.

Finally,theproblemthatinterestsusisthereconciliationbetween,ontheone hand,theauthorityofadiscourseoftruth(suchasreligionorscience),whichassumesanargumentthatisbetterthantheothers(Castoriadis2005:244),and,onthe otherhand,thevaluesofpositivistlaw(wherearulemustbeformallyjusttobelegallyjust)(Kelsen1989:44)andpositivistdemocracy(wheremajorityruleissufficient foralawtobevalid)(Kelsen2004:101-110).Thisprojectischallengedbytheprin-

ciplesoftrutharguments(religiousorscientific),whichassertasuperiorityoverany otherregister(Latour2004:10;Latour2013:233,283;Papaux2009:105).However, theideaofa'better'orsuperiorargumentseemstobethebasisofacommunication ethic,andthusofdemocraticprinciples.AccordingtoPerelman,Olbrechts-Tyteca andHabermas,whenoneargues,oneentersacertainregisterthatpresupposesa truth(oratleast,amorerationallyacceptableargument).Thisimpliesthattheauthorityofoneargumentwouldbesuperioroverothers,evenifallinterlocutorsare equal(Habermas1986:34;Perelman,Olbrechts-Tyteca2008:441;Cometti2007:19; Berten1989:87).Thus,whetherfromadivinetruthorascientifictruth,theideaofa betterargumentpersists:godshavenotcompletelyabandonedus.

2.ResearchQuestions,Approach,andMethodology

Theresearchquestions(RQs)arethefollowing:Whatroles,functionsandrisks areinvolvedinusingascientificargumentinpoliticsandlaw?(RQ1).Withoutquestioningtheimportanceoftheplaceofscientificargumentsinthesedebates,RQ1will seektounderstandhowascientificmessage(althoughitmayincludeuncertainties, conflictsofinterest,genderbiases,etc.)(Papon2020:61;Haraway2013:183;Latour 2015a:27;Gutwirth,Christiaens2015:21)canbeperceivedasan‘objective’argument andwillthereforeimposeitselfinthefaceofallpoliticalandlegaldebates(which remain‘subjective’).Whiletheseissuesarehighlytopicalconsideringthecurrent publichealthcrisis(Papon2020:9;Latour1984:340),thisarticlewillfocusonGMO regulation.Indeed,asecondresearchquestionarisesfromthis,illustratedbyourcase study:Whataretheusesofscientificargumentsinthepoliticalandlegalimplication ofGMOregulation?(RQ2).

Thefirstresearchobjective(RO)istoclarifythescientificpublicdebateandto establishlimitsfortheuseofscientificargumentstopreventthemfrombeing(mis )usedforpoliticalorlegalpurposes(RO1).Thiscontributionwillproposetoillustrate thesetheoreticalquestionsthroughacase-studyanalysisoftheregulationofGMOs intheEuropeanUnion.Inparticular,the2018rulingoftheCourtofJustice(CJEU)is particularlysignificant,asitlinksNewBreedingTechniques(NBTs)(CJEU2018)tothe legalregimesofGMOs(andgoesagainsttheopinionofsomeactors,claimingascientifictruth).Asecondresearchobjectivewillthereforederivefromthiscasestudy, namely,toprovideacomprehensiveandcoherentanalysisoftheregulationofNBTs sincetheCJEU(RO2).

Thehypothesesareasfollows:first,whetheringeneralorappliedspecificallyto GMOregulation,theactorsinvolvedinpublicdeliberationwillmobilisescientific datatojustifydecisionsandinterpretationsthatwouldbeconvenienttothem(RQ1, RQ2).TheGMOregulationwillbethecasestudytoconfrontthesehypotheses(RQ2).

Intermsofmethodologyandstructure,thisarticleisdividedintotwochapters, withdifferentobjectivesandapproaches.Chapteroneaddressesatheoreticalapproachtopresenttheinterrelationbetweenscience,politics,andlaw.Ingeneral,this firstchapterwillproposeaninterdisciplinarytheoreticalframeworkcombiningthe

Theuseofscientificargumentsasamodeofjustification.Whatplacedoesithaveinpoliticsand law?AcasestudyofEUGMOregulation

philosophyofscienceandthephilosophyoflawtopresenthowscienceshouldbe integratedintopoliticsandlawandtoapplyittomyresearchmaterial. Primo,philosophyoflawisusedbecausetheinteractionbetweenscienceandlawchallenges boththetheoriesofpositivelawandnaturallaw(Corten2017:26;Ost2007;117;Ost, vandeKerchove1989). Secondo,wewillborrowfromthephilosophiesofsciencethe critiquesofscienceinpractice(Latour2015a:60)andtheintroductionofsituated knowledge(Haraway2015:183;Cretu,Massimi2020:71)andknowledgepluralism (Cretu,Massimi2020:141).Inasecondstep,ourtheoreticalframeworkwillbeappliedtoacasuisticanalysis(RQ2).Mixinglegaltechnique(Corten2017:23;Kestemont2018)andanalyticallegaltheoriestechnique(Corten2017:23;Kestemont 2018;Fordham2004:91),wewillapplytheapplicationsofprinciplesandrulesoflegal interpretationintheEUtoanalysetheEUlegalregimeonGMO,beforeandafterthe judgementofCJEUof25July2018(Corten2017:26;Spranger2015;Lenaert,Guiterrez-Fons2020:8;Bengoetxea1993:141-144).Inaddition,wewillmobilisethesociologyoflaw,legaltechnique,andanalyticaltheoriestostudytherolescientificargumentshaveplayedintheCJEUjudgmentandintheworktorecasttheGMODirective (O1,O2)(Corten2017:22-45).Inthiscase,theCJEU2018judgmentisrelevanttoanalysetheinteractionbetweenlawandscience(Latour2013:129;Gutwirth,vanDijk 2020:127;McGee2015:184).Thestudyoftheserelationsisparticularlyimportantin theEuropeanUnion,wheretheuseofscientific/technicalargumentstojustify policiesiscommon(Mérand2021:5-22).

3.Themobilisationofscientificdiscourseinthepoliticalandlegalfields

Inthischapter,wewillprovidetheoreticalelementsforrethinkingtheinteractionbetweenscience,politics,andlaw.First,wewilldiscusstheoreticalchoicesfora truth-in-constructionpathratherthanatranscendentalone(Section1,RQ1).Then, itwillbenecessarytoexposetwomovementstocriticisetheauthoritarianclaimsof sciences:ontheonehand,therelationsbetweenknowledgeandpowertracedby FoucaultandHaraway(Section2,RQ1)andontheotherhand,thecritiquesofscienceinaction(Section3,RQ1).

3.1Truthunderconstructionandregimeoftruth

Wewishtoplaceourreflectionsinthecontinuityofthephilosophyofscience whichacceptsthe“truthunderconstruction”,the“pluralismoftruth”,andthe“perspectivismofknowledge”(Cretu,Massimi2020:89;LatourWooglar1979:30).This truthunderconstructioncanbeclaimedbyfollowingasetofregulatedprocesses (Tiercelin2011;Boghossian2009).Asaresult,truthunderconstructionisthenopposedtothediscourseofanexternal,divine,andobjectivetruth(Latour2004:30). AccordingtoLatourandStengers,theinvocationofanunsurpassableandexternal scientifictruthwillhavetheeffectofparalysingthepoliticalexercise,inthesense thatitshouldonlysociallyrecordthelawsofnature(Latour2004:218:235;Stengers

2018:106;deVries2018:99).Onthecontrary,ifthereisanobjectivecharactertoscience,itisderivedfromascientificmethod(Chalmers1976:21;Feyerabend1981:5). Consequently,wearriveatascientificconsensusbythesumoftheconvergencesof scientistsaccordingtocoherentmethodandvalues(Papon202:44;Poper1973).In thissense,thefollow-upofaprocessandamethodofconstructionandrectification allowsustorelatetoascientifictruth(Merton1938:321).Inthissense,eventhough scientifictruthsandparadigmwillbecorrectedinthefuture,wehavegoodreason toholdthemastrueforthemoment(Kuhn1996:160;Stengers1997:43;Boudon 2011:121-123).

Inthisrespect,withintheideaofascienceunderconstruction,therearegreat divergencesbetween:ontheonehand,theideaofasolidobjectivityofthesciences byfollowingtheirmethods(Latour2015a:17;Shapin,Schaffer2011:37),andonthe otherhand,arelationofforceandinterpenetrationbetweenthesciencesandtheir social,axiological,economic,orgendercontext(Haraway2013:21;Haraway2018:99; Barad2007:37).Itisinthissensethat“realityisnotindependentofourexplorations ofit”(Harway2013:21:Haraway2018:99;Gutwirth,Christiaens2015:33;Martin1991: 16;Martin,Schiebinger1993),becausethereisasetofphysical,naturalandsocial constructionsandlinksbetweentheresearcherandhis/herknowledge(Haraway 2018:99).Inthesamevein,Foucaultdoesnotconsidertruthastheresultofapure, objective,anddisinterestedknowledge(Foucault2011;Thirion2013:180).Conversely,truthwillvaryaccordingtothewayitissociallyconstructedanddisseminated(Foucault2011:90;Frydman,Genicot2020).Knowledgeisdirectlyinsertedina powerrelationshipandinasetofexternaldeterminations(Foucault1997:13;Foucault2001:2639;Thirion2013:181).

Stillinthisideaoftruthunderconstruction,anotherofFoucault'sconcepts seemsessentialtoexplainthewaysinwhichasubjectcanaccessatruth.In Le gouvernementdesvivants,Foucaultproposestofollowanapproachfromtheangle of“regimesoftruths”(Foucault2012:91;Thirion2013:185).Hedefinestheregime oftruthasthecorpusofrulesandobligationsthatdeterminetheproceduresthat individualsmustfollowtoaccessatruth(Thirion2013:183;Weir2008:367).In otherwords,itisessentiallyaframeworkofactionthathastheeffectofobliging individualstorelatetothetruthinaspecificway,accordingtopredefinedrules, andwhoseoriginisnotnecessarilylimitedtotheframeworkofactioninquestion (Thirion2013:184).

Therefore,theconceptoftruthregimegiveslegitimacytoseveraltypesoftruths (scientifictruth,judicialtruth,religioustruth)becausetheyareissuedfromseveral regimesoftruthsthatcanclaimtheirtruths(theregimeofscience,law,orreligion) (Introna2003:235).Thisideacorrespondstotheconceptoftruthpluralism,which insertsthesingularandspecificcharacterofthescientificdomainwhileconceivinga balancingwithothertruthsandtheircontextsandtheirdiscourses(Lynch1998).For Gutwirth,truthpluralismestablishesaspacefordiscussionandcontroversybetween thedifferenttruths,withoutonewantingtotaketheplaceoftheother(Gutwirth, Naim-Gesbert1995:57-58).

Theuseofscientificargumentsasamodeofjustification.Whatplacedoesithaveinpoliticsand law?AcasestudyofEUGMOregulation

Incontemporarysocieties,perhapsscienceisthemainregimeoftruth(Gutwirth, Christiaens2015:30).Sciencedefinesitsprotocolsforconstructingtruthandeven providesmechanismsforarbitratingpossibledisagreements(Foucault1981:165, 179,219;Gutwirth,Christiaens2015:25).Inanutshell,scienceischaracterisedbycollectiverulesandpracticesaimedatproducingsolid,reliableknowledgethatisrectifiedandrectifiable(Gutwirth,Christiaens2015:25;Latour2010:208).However,from Foucault'spointofview,Scienceisonlyaspecialcaseoftheregimeoftruth.Inthe caseofscience,themanifestationoftruthisself-constrainedanditaimstobeas autonomousaspossiblefromtheinfluenceofotherregimes(i.e.lawandpolitics). Butinmostcases,truthisnotmanifestedinthisway.Itdependsontherespectofa setofobligationsthatarenotarticulatedonthemselves,butratherinvolveother typesofregimes.Withthisarticulationoftruthregime,itispossiblethroughaparticulartruthregimetoexertlegal,moralorpoliticalpressurefromanothertruthregime (Thirion2013:188).Moreover,webelievethatthearticulationoftruthregimesismutuallyreinforcingandjustifying.Asanexample,Foucaultshowsthatthepatientincarceratedinapsychiatricclinicfindshimselfinanarticulationofregimesoftruths (regimeoftheinstitutionincharge,economicconstraintsofthepolicies,psychiatric understandingofhisillness,legalregimesconcerninghim,etc.)(Foucault2013:213; Long1992:119).

Forsomeofthecasesbetweenscience,politicsandlaw,whichwewillcall'hybrid',theproblemliesnotonlyinthespecificityofoneregime,butalsoinitsarticulationswithotherregimes.ForFoucault,thisistheexpectedbenefitofthenew method,theplaceforthedevelopmentofanewknowledge:thatwhichconcernsthe intersectionbetweendifferentregimesoftruthandpowerandwhicharepartofa largercomplexofpower-knowledge(Frydman,Genicot2020:4;Wetherell,Taylor, Yates2001:12-81).Finally,thetruthregimeapproachallowsustolinktheideaofa truthunderconstructionandtheinteractionbetweendisciplines(law,politicsand science).Havingsetoutourmethodologicalchoices,wewillinthenextsectiontake uptherisksbetweentherelationsbetweenknowledgeandpower.

3.2Relationshipbetweenknowledgeandpower

Ourreflectionsontheintegrationofscientificnarrativesinpoliticsandlawaim toanticipateanauthoritarianclaimofscienceconsideringtherelationshipthatsciencecanhavewithpower.

Inthiscase,Foucaulthadalreadypointedoutthatthewillsofknowledgecontain relationsofpoweranddomination(Foucault2004:616-622;Foucault2011:114).Ina way,discoursesarestrategicelementsofpowerrelations,amongwhichknowledge discoursestakeastrategicplace(Foucault1994:465).Forhim,knowledgeandpower arelinkedbysystemsofco-ownership,accumulation,communication,information forming“power-knowledge”(Foucault2004:231;Foucault2011:114;Favreau2017: 147-199).Aspartofa genealogyofknowledge,Foucaultrepositionedpower-knowledgeastheresultofaparticularprocessofenactmentbywhichtheindividualen-

gagesinanactiveinquisitionofknowledge(inadisciplinarydimension)(Foucault 2004:1495);Foucault2011:3-19;Frydman,Genicot2020:5;Thirion2013:181).In Surveilleretpunir,Foucaultnotesthatdisciplinarypowerhasconstructednewtoolsof knowledge/powersuchastheexaminationandthenorm(Foucault1975:260; Thirion2013:183-184;Frydman,Genicot2020:6).Ontheonehand,thenormbecomesananonymousauthority,definedasthenatureofthings(Angenot2013:124), inscribedinallspheresofsociety(scientific,moral,legal)andactinginparallelto strictcriminallaw(Frydman,Genicot2020:7-8;Foucault2011:122).Accordingto theoriesofgloballaw,thisprocessofnormalisation,justifiedbyascience,hasa normativeanddominatingdimension,whilenotbeingpartoflawinthestrictsense (Frydman,Genicot2020:7-8).Ontheotherhand,examinationisaprocessthatseeks andconstructstruths(presentandnotpast)andseekstoreturnthesubjectunder examinationtonormality(Thirion2013:184).Inthisway,normalityisestablished fromanaccumulationofknowledgeandregulatestheabnormalindividual(Angenot2013:126-130).Thesetechniquesexaminethesubjectaccordingtohisdegree ofabnormalitytobringhimbacktothenorminalogicofcontinuoussurveillance (Thirion2013:184).

Inconnectionwithourreflection,thisrelationshipofknowledge-power,dominationunderscientificjustificationandnormalisationcanbefoundinthefieldsofpunitivemedicalisation(Binet2002:197-219)andtheregulationofdeviants(André2000; Angenot2013:126-130;Foucault1999),inphysicalcriminology(withthesearchfor ‘borncriminals’or‘bornprostitutes’)(Rodler2012),orinjustificationforeugenic,sexist andracistpolicies(Quichon-Caudal2013:8;Engs2011:332;Blanc2020:60),etc.Presentedas“objective”andindisputablefacts,itbecomesworryingwhenlaw(especially accordingtolegalpositivism)willtranscribeandemphasisetheseprocessesofdominationintothesocialspheres(Supiot2017:8;Gutwirth,Naim-Gesbert1995:40).

Thisco-implicationbetweenpowerandknowledgewasalsoincorporatedby Harawayandmixedwithcritiquesoftheneutralityandexteriorityofscience.Onthe onehand,Harawaydenouncesthe“modestwitness”narrativesofanexternalscience thatproceedswithgender,classandraceexclusion(Haraway2007:316).Indeed,the “modestwitness”isonlyreceivedandvalidatedbygentlemen,oftherightnationality,white,chaste,abletocertifytheobjectivefacts(Haraway2007:316).Onthecontrary,Harawayarguesforanepistemologyofsituatedknowledgeandpositionalityin thesciences,asaconditionforrationalknowledge(Haraway2007:113,126,325; Charbonnier2009:163).Situatedknowledgeispartofascientificpluralismwhere thescientistisinvitedtoidentifyandacknowledgehisorherbiasesinhisorherperspectivesandtoavoidclaiminganeutralandobjectivediscourseontheworld.On theotherhand,in Primatevision,Harawaymarksaninteractionbetweentheprescriptiveandthedescriptiveinthenaturalsciences.Inthiscase,thestudyofapeswas usedtoexplainandlegitimisesexualdifferencewithinhumansociety.Infact,scientificnarrativesarereintegratedtoprescribebehaviourbasedontheinterpretation offacts.However,thesefactsthemselvestakeonmeaningsbasedonthenarratives andvaluesofthescientists(Haraway1986:79-81).Accordingly,Harawaywarns

Theuseofscientificargumentsasamodeofjustification.Whatplacedoesithaveinpoliticsand law?AcasestudyofEUGMOregulation

againstarhetoricalstrategyusinga“biologicallaw”asavehicleforsocialdomination,asitwouldbeadiscourseofvaluesthathidesbehindasupposedlynatural, neutralandobjectivenorm(Haraway1986:109).Thisrhetoricborrowsfromnatural law,astheruleshouldbealignedwiththe"just"or“natural”(Druffin-Bricca,&Henry: 67).However,asVialapointsout,theinvocationof“nature”makesitpossibletoimposecertainvaluesthatonewishestoseeimposedinsociety,whereasbehindthis ideaofnature,reputedtobeobjective,thereisalwaysanarbitraryandsubjective order(Viala2010:147).

Intheend,FoucaultandHaraway’sperspectiveoffersacriticalapproachtothe co-implicationsbetweendiscoursesofknowledgeandpower.Thus,thisdigression bythesetwoauthorsservesasawarningwhenscienceisusedasamodeofjustification,asitcouldtakeonanormativedimensionwithoutbeingidentifiedwithpoliticsorlaw.Onadifferentnote,ournextsectiontakesupcritiquesofthesociologyand philosophyofsciencetorethinkscienceincontextorinaction.

3.3Criticsofscienceinpractice

ThissectionwilltakeuptheworkofScienceinActiontodeconstructthegrand narrativesofmodernscience(whicharedangerouswhentakenupinpoliticsandlaw). Aspresentedabove,weareconcernedabouttheinstrumentalisationofascience definedasneutralandobjectiveinthepoliticalandlegalfield.Thescienceinaction approachthereforeoffersanopeningforalternativenarrativesonsciencethatare moreappropriateindemocracies(Latour2004:18;Stengers2018:4).

Wefindintheaccountsofmodernsciencethis'greatdivision'betweenscience (upperchamber)andpolitics(lowerchamber)(Latour2004:15;Latour1993:13-46; Prigogine,Stengers1979:75;Gutwirth,Naim-Gesbert1995:35).Thenaturalworldis thenseenasobjectiveandmanageable(Prigogine,Stengers1979:63;Gutwirth 2001:305-342),inwhichmanisascientistwhohasarightofreasonovertheworld, becauseheisoutsideitandobjective(Latour2004:19;Gutwirth,Naim-Gesbert 1995:35).This"ModernConstitution"(Latour1993:136)proposestheobject/subjectseparationastheepistemicprincipleforpoliticalandsocialorganisation(Latour 1993:136;Descola2005:122;Gutwirth,Naim-Gesbert1995:35).Accordingtothese accounts,scienceispresentedasobjectiveandindependentofanypolitical,culturalormoralvalues(Shapin,Schaffer2011:37;Gutwirth,Naim-Gesbert1995:19). Thescientistisalsooutsidesocietyandescapespoliticaldiscussionsandpowerrelations(Stengers1993:30;Gutwirth,Christiaens2015:26).Hiswordisthereforeindisputable,objective,directandextra-political(adequatioreietintellectus) (Gutwirth,Naim-Gesbert1995:35).Therefore,onlyscientistsarecompetenttotell anobjectiveandrationaltruthabouttheirobjects:theyaretheonlyoneswhohave alegitimatewordabouttheworld(Gutwirth,Naim-Gesbert1995:57;Gutwirth 1993:93).Inthissense,whenwemobilisethenarrativesofmodernsciencetojustify ourclaimsinthesocialworld,weinvokeamonopolyofuniversality,truthandfact (Gutwirth,Naim-Gesbert1995:56).

However,thenarrativesof“modernscience”arenotrespectedinpracticeonseverallevels.First,whilethe“GreatDivide”seemstobeclearonthescience/policydichotomy,scientistsandpoliticianskeepswitchingthemaroundunofficially(Latour 2004:98).AccordingtoStengers,scientistscannolongerignorethehybridinterdependencebetweenhumans,theirvalues,andtheirenvironment(Stengers2018: 221-226).Inthiscase,itratherinvitestoassumetheseinterferencesandthatscientistscanexpresstheirvaluesandpositionthemselvesregardingtheirknowledge withouttheirethosbeingcalledintoquestion(Stengers2018:16;Haraway2007: 107-144;Latour2015b:295).LikeHaraway,weargueforlocalisationandperspectivisminscientificdiscourse(Haraway2007:133).

Theseinterferencesbetweenscienceandpoliticsaremoremarkedaround"hybrid"problemswhicharemarkedbyascientificcomplexity,andwhichhaveagreat societalimpact(Latour1993:51;Latour2004:32).Certainsubjectssuchasclimate change,genomeediting,publichealthpolicies,etc.constitute"hybrids"because theymixnatureandpolitics,scientificuncertainties,andhighsocietalimpact(Servigne,StevensandChapelle2018:94).Wecantakeuptheconceptof'hybrid'inwhat somecall“hyperobjects”,the"divergentproblems”,orthe“wickedproblem”(Servigne,StevensandChapelle2018:94).Hybridsaretheresultofanincomplete“purification”betweenscienceandpolitics(Latour1993:51Bourgault2011:75).This conceptallowsustounderstandthelinksofredistributionbetweenthedifferentdisciplines(Latour2010:205;Gutwirth2020:25).Indeed,whentworegimesofaction acttowritethesameobject,thiscreateshybrids:thisisthecaseoftheGMO,which wascharacterisedbytheactoflegalandscientificwriting.Consequently,itwillbe arguedthatthelegalGMOisnotthesameasthescientificGMO.Facedwiththese hybridissues,itisnolongeradequatetoinvokescientificdiscourseasanobjective truththatshouldimposeitselfonthesociallevel.

Moreover,theideaofaworld“inthelaboratory”isnolongerappropriateforhybrid issues(Gutwirth,Christiaens2015:32;Stengers2018:53).Inthiscase,onlytheexperimentalsciencescanprovidelaboratoryevidence(Stengers2018:118;Stengers1993: 102).Theexercisehastobestrictlycontrolledandthescientisthastostayawayfrom theobjectsinthelaboratory(Gutwirth,Christiaens2015:31).Onlyafterbeingquestionedinthelaboratory(intheblackbox)cantheobjectsstudiedbepresentedas “facts”(Latour2004:143;Stengers2018:48;Gutwirth,Naim-Gesbert1995:43).However, thismodeofproofconcernsonlyanexceptionalsegmentofscientificproduction (Stengers1997:53)andisnotexportabletoothertypesofscience(Gutwirth,Christiaens 2015:33,40;Stengers2009:86).Thisauthorityofsciencecannotthereforebeinvoked outsidethelaboratory,andevenlesssofor'hybrid'subjects:wecannottreatwiththe samedegreeofcertaintyGMOsinthelaboratoryandGMOsincultivation(wherewe cannothavethesamedegreeofmasteryoutsidethelaboratory)(Servigne,Stevens, Chapelle2018:94;Stengers2018:3;Gutwirth,vanDijk2020:131).Gutwirthpoints outthatnoseriousscientistcanattesttothesafetyofGMOsforhealthandtheenvironmentoutsidethelaboratory.Worsestill,ifthisscientistweretopresentGMOsas themeanstofreetheworldfromhunger,thiswouldbepropagandaandnotscience (Gutwirth,vanDijk2020:132).

Theuseofscientificargumentsasamodeofjustification.Whatplacedoesithaveinpoliticsand law?AcasestudyofEUGMOregulation

Afinalfieldofourcritiqueconcernstheconsiderationofthesocialcontextin whichthescientificprocessmoves.Indeed,itseemsillusorytoustoconsiderscience outsideofanysocialandeconomiccontext.Onthecontrary,itisadvisabletothink ofthisregisterasbeinginterrelatedwithotherregisters:thatofindustrialists,the politicalcontext,fundingorevengender,colleagues,etc.Onthissubject,wewantto highlighttheriskofinstrumentalisationandblockingofscienceinpolitics.Takingtobaccoasacasestudy,ConwayandOreskesshowhowsomeindustrialistsandeconomistshavecreatedfalsescientificcontroversiestomaintainthestatusquoanddiscouragepoliticalpositions(Conway,Oreskes2010:38,189,451).Inthesamevein, manyacademicsareconcernedthatscience(asamethodforconstructingtruths)is beingconfusedwithitspractical,industrialandeconomicapplicationsscience (Gutwirth,Christiaens2015:33;Stengers2018:49).

Thiscanbeseenattheinternallevelofsciencewiththecriticismsoftheknowledgeeconomy:ontheonehand,sciencemustrespondtoeconomicneedsandis dependentonprivatefunding;ontheotherhand,scientificpracticesinthemselves aredictatedbymanagerialpractices(flexibility,conformismandopportunismare valued)(Gutwirth,Christiaens2015:39-49;Stengers2018:49).Thiscriticismconcerns theexperimentalsciencesanditsinfluenceonothertypesofsciences(sociology, politicalscience,law,etc.)(Gutwirth,Christiaens2015:42;Stengers2018;55; Gutwirth2013:108).StengersandBensaude-Vincentbelievethatthesemanagerial techniquesspecifictofastsciencetendtoweakenitonseverallevels:toomuchcompetitionandpressuretopublish,toomuchpotentialformanipulation,toomuchat stakeforsociety,etc.(Stengers,Bensaude-Vincent2003:176).

Havingoutlinedourtheoreticalframework(ontruthinconstruction,therisksof theauthoritariandimensionofscienceandtheiranalysisinpractice)(RQ1),wewould liketocomplementitwithacasestudy(RQ2).Inournextchapter,wewilltherefore studythelegalregimeofGMOsasahybridillustrationoftherelationshipbetween science,policyandlaw.Intheendofthiscasestudy,wewillsuggestsomewaysof correctlyintegratingthediscourseofscienceintolaw,bypayingattentionto"regimesoftruths"and"modesofexistence"(RQ1)(Funtowicz,Ravetza1993:739; KønigaBørsen,Emmeche2017:12).

ThischapterwillpresentthecasestudyoftheEUGMORegulationtoillustrateour hypothesesontherelationshipbetweenlawandscience(RQ2).WechoseGMOsbecauseitisan"event"hybrid,markedbyscientificcontroversies,andwhichshowsgreat socio-economicimplications(Stengers2009:38).Scientificuncertaintiesaremarked bycontradictorystudiesonthesafetyorotherwiseofGMOs(Krimsky2015:883; Bordonaba2011:734;Nicolia, etal. 2014:77;Hilbeck, etal. 2015:4;Krimsky2015: 8837).Apartfromthat,GMO/NBTrepresentimportanteconomicconsiderations(especiallyfortheagriculturalandmedicalsectors)(EC2021a;Brookes,Barfoot2017: 156).TheseissueswillbecomemoreimportantwiththearrivalofNBTsthatmake

4.Applicationofthetheoreticalframework:casestudyofGMOregulation

geneeditingeasier,cheaperandmoreaccurate(EC2021b;Gutwirth,vanDijk2020: 134;Schleissing,Pfeilmeier,Dümberger2019:181-196;Knott,Doudna2018688; Somsen2018:701;Rath2018:107).Incontrasttooldergeneticmodificationtechniques(randomlyintroducingundirectedchanges)(Sikora etal. 2011:1),NBTallow thegenomeofaplant(orvirtuallyalllivingorganisms)tobemodifiedinaprecise manner(Menz etal. 2020:130).

WewillpresentthelegalframeworkforGMOsintheEuropeanUnion(Section1, RQ2).Then,wewilldevelopthecaselawoftheCourtofJusticeof25July2018onthe statusofNBTsinrelationtothelegalframeworkofGMOs(Section2,RQ2).Wewill concludethissectionwithareadingofthiscaselawintermsof"modesofexistence" (Section3,RQ1).

4.1TheEuropeanlegalframeworkforGMOs

4.1.1Relevantlegislation

TheEuropeanregulationofGMOsisspecifiedbyDirective2001/18onthedeliberatereleaseintotheenvironmentofGeneticallyModifiedOrganisms(the "GMODirective")(Directive2001),Regulation(EC)1830/2003ontraceabilityand labellingofGMOs(Regulation2003a),Regulation1829/2003onGeneticallyModifiedFoodandFeed(Regulation2003b),andotherregulationsfordrugs,pesticides andotherproducts(Dederer,Hamburger2019:143).Asasharedcompetence,the EUiscompetentforthedefinitionoftheGMODirective,thegeneralregulation,the riskassessmentmethodologyandtheauthorisationofGMOs,theconditionsunderwhichaMemberStatemaybanaGMOonitsterritory,andthelabellingof GMOsinfood(Brosset2012;Pignataro2011;361).Finally,theEUGMOregulations arealsopartoftheinternationallegalframeworkwith,forexample,theWorld TradeOrganisation(WTO),theFAOorCartagenaandNagoyaProtocol(Dederer, Hamburger2019:145).

4.1.2Definition

Article2oftheGMODirectivedefinesaGMOasfollows:

meansanorganism,withtheexceptionofhumanbeings,inwhichthegeneticmaterial hasbeenalteredinawaythatdoesnotoccurnaturallybymatingand/ornaturalrecombination;

Withinthetermsofthisdefinition:

(a)geneticmodificationoccursatleastthroughtheuseofthetechniqueslistedinAnnexI A,part1;

(b)thetechniqueslistedinAnnexIA,part2,arenotconsideredtoresultingeneticmodification;(Zimny etal. 2019:56).

Anessentialpointisthatthedefinitionisprocessual,asitfocusesontheprocess andtechniqueusedratherthanthefinalgeneticmaterialoftheorganism(Brosset, Noiville2019:197;Noiville1998:217).

Theuseofscientificargumentsasamodeofjustification.Whatplacedoesithaveinpoliticsand law?AcasestudyofEUGMOregulation

TheprocessualdefinitionofGMOsisconfirmedbyArticle3(1)oftheGMODirectiveonexemptions,readwithAnnexesIAandIB.Indeed,Article3(1)exemptsfrom theobligationsofbodiesobtainedbycertaintechniques/methods(Dederer,Hamburger2019:146;Gutwirth,vanDijk2020:125).Precisely,sometechniquesareincludedasGMOsandregulatedbythedirective(Annex1A)whileothersareconsideredasGMOsbutareexemptfromtheseobligations(Annex1B).

SincetheGMODirective,NewBreedingTechniques(NBT)(oralsocalledNGT) havediversifiedsincethemid-2000s(Gutwirth,vanDijk2020:125;Brosset,Noiville 2019:197).WedefineNBTasfollows:

Methodsthatallowforthedevelopmentofnewvarietiesinafasterandmoreprecise mannerthandoconventionalbreedingtechniques,bymodifyingtheDNAofseeds andcells,allowingforanumberoflimitationsofconventionalbreedingtobeovercome(Zimny etal. 2019:56).

ThetermNBTrefertoawiderangeoftechniquesandmethodstogenetically modifyplants,animalsorhumanembryos(Zimny etal. 2019:56);Morange2017:30): RNAdependentDNAmethylation,Zincfingernucleases(ZFNs1,2,3),Site-Directed Nucleases(SDNs),Oligonucleotidedirectedmutagenesis(ODM),ReverseBreeding, Intragenesisandcisgenesis,TALENsand,CRISPR-Cassystems(seedefinitions:Menz etal. 2020:1-2;Whelan,Martin,Lema2015:253;Braun2017:90).

Thesenewtechniquescanleadtothreetypesofplants:theplantswithoutmodifications(Wildtype),thosewithspecificmutationsintheirgenomes(SDN1and SDN2),andthosewithlargeinsertionsofexogenousDNA(SDN3)(Menz etal. 2020:2; Schaart etal. 2016438).Inaway,sometechniquesenrichclassicaltransgenesiswith newtools;whileothers(suchassite-directedmutagenesis)arecompletelydifferent becausetheydonotinvolvetheinsertionofaforeigngeneintotheorganismbutfocusontargetedregulationoftheexpressionofoneormoregenesinthatorganism (Menz etal. 2020:1;Brosset,Noiville2019:197).Thesenewtechniquescanhavemultipleapplicationsfortheplantsector:toleranceagainstherbicides,fightagainsthydricandsalinitystress,changeoftasteorvolumeandimprovementofconservation (Zimny etal. 2019:51;Brosset,Noiville2019:197).

Thesenewtechniquesaredevelopedwithinanoldnormativesystem,which leadstouncertaintyandcontroversy(Menz etal. 2020:2).Mostlegislation(national andinternational)doesnotexplicitlyrefertonewgenomeeditingtechniques,consideringthenoveltyanddiversityoftheseproducts(Menz etal. 2020:2;Hartungand, Schiemann2014:742).Mostregulationsinthisarearefertothecommercialisationof conventionalGMO(Menz etal. 2020:2-3).Severalcontroversieshaveemergedasto whetherNBTsfallwithinthescopeofEUlegislation(Menz etal. 2020:11-13;Eriksson 2018:358).BeforetheCourtwasaskedtoruleontheissuein2018,severallegalcontroversieswereraisedaboutthelegalstatusofthesetechniques(Menz etal. 2020: 11-12).AtstakeintheclassificationofregulatedorunregulatedGMOsiswhether thesetechniqueswillhavetoundergonumerousandrigorousassessmentandauthorisationprocedures,whichwillhindertheirplacingonthemarket(Zimny etal. 2019:56;Lusser etal 2011).

4.1.3ObligationsoftheGMODirectives

TheGMODirectivelaysdownseveralobligations,withathreefoldobjective:to ensuresafetyforhumanhealthandtheenvironment,thefreeandinformedchoice oftheconsumerofGMOsandtheharmonisationofEUmarket(article1,recital4-11; Zimny etal 2019:51).TheMemberStateisresponsiblefortheauthorisation/notificationofcontainedGMOsandfieldtrialsatthenationallevel(Dederer,Hamburger 2019:143).TheauthorisationisdoneatEuropeanlevelfortheplacingonthecommonmarket,inaprocessthatinvolvestheMemberStatesandtheEUinstitutions (Dederer,Hamburger2019:143).

InillustrationandonfoodGMOs,acompanymustsubmitascientificassessment tothenationalauthorityofitsMemberStateforthemarketingofaGMO(art.5§5 Regulation2003a;Dederer,Hamburger2019:143).Theapplicantprovidesascientific assessmentcontainingallavailableandrelevantinformationontheriskstohuman, animalandenvironmentalhealth(Dederer,Hamburger2019:143).ThisEUapplicationisforwardedtotheEuropeanFoodSafetyAuthority(EFSA)whichwillcarryout thehealthandenvironmentalriskassessment(Zimny etal. 2019:51;Dederer,Hamburger2019:143).Duringthisevaluationprocedure,thepublicisinformedviathe Commission'swebsiteandnationalbodiescansendtheircomments(Zimny etal. 2019:51-54).Finally,theAgencypublishessafetyassessmentreportsonGMOsand guidelinesonthemethodologyfortheassessmentofapplicationsforauthorisation ofGMOstotheCommissionandtheMemberStates(EFSA2022).Nationalforumsare invitedtosubmittheircommentsonGMOsduringtheevaluationperiods.

BasedontheEASA'sopinion,theCommissionpresentsadraftdecisiontothe MemberStates,whichvoteonitbyqualifiedmajority(Zimny etal. 2019:51).Ifthe draftdoesnotreceivethenecessaryvotes,theCommissiontakesthefinaldecision (Zimny etal. 2019:51).Theauthorisationislimitedtotenyears,renewableafteranew evaluation(Regulation2003a,art.7).Theyarethensubjecttotraceability,labelling andmonitoringrequirements(Dederer,Hamburger2019:143).Tothisend,theCommissionislistingallGMOswithmarketingauthorisationinadatabase(Dederer,Hamburger2019:143).AlthoughtheseGMOproductsmustbelabelled,therearesome notableexceptions:productswithlessthan0.9%GMOcontent,oranimalproducts fedwithGMOs(Zimny etal. 2019:51;Regulation2003a,art.7).

Aftertheauthorisation,amonitoring(bothGMOVariety-specificandgeneral)is mandatory(GMODirectiveart.23,26;Zimny etal. 2019:51).Initiallyvalidthroughout Europe,aMemberStatemayadoptameasuretorestrictortemporarilyintroducethe cultivationofaGMOonitsterritorybasedonnewinformationconcerningtheriskto humanhealthortheenvironment(Zimny etal. 2019:51).Inthiscase,theneedto maintainthesemeasuresisexaminedatEuropeanlevel(GMODirectiveart.23,26; Zimny etal. 2019:51;Dederer,Hamburger2019:144-145).

Asdetailedhere,thisregimeiscomplexandrestrictive(RQ2).Indeed,underEU regulation,aGMOmustundergoarigoroussafetyassessmenttobeapproved.Asa result,GMOapprovalsarelengthyandcostlyinmanycountries.IntheEuropeanUnion, theprocedurecostsaround11-17millioneurosandtakesonaverage6years(Zimny

Theuseofscientificargumentsasamodeofjustification.Whatplacedoesithaveinpoliticsand law?AcasestudyofEUGMOregulation

etal. 2019:51;Menz etal. 2020:2;EuropaBio2019).Inaddition,mostMemberStates haverestrictedorbannedcultivationontheirterritoryforbiosafetyreasons:onlySpain andPortugalstillcultivateGMOs(Menz etal. 2020:2;ISAAA2019).TheCJEUjudgement of25July2018willaddresstheseobligations,andwhethertheyapplytoNBTs.

4.2Thejudgementof25July2018andthecasesofNBTs

Therehavebeenseveraldebatesastowhethertheproductsobtainedbythese NBTsfallwithinthescopeoftheobligationsoftheGMOdirective(Gutwirth,vanDijk 2020:123).DeliveredintheGrandChamberon25July2018,therulingoftheCJEU Confédérationpaysanne,answersapreliminaryquestionfromtheFrenchConseil d’État,concerningthescopeofthisderogationfromtheobligationslaiddowninthe GMODirective(CJEU2018;Gutwirth,vanDijk2020:123;Vives-Vallés,Collonier2020: 1813).TheinitialrequestdidnotfocusonNBTs,butoncertainherbicide-resistant cropsobtainedbymutagenictechniques(inthebroadsense)(Vives-Vallés,Collonier 2020:1813;Purnhagen etal. 2018:799).However,asrecognisedbytheConseild’État, theconclusionsofAdvocateGeneralBobekandthejudgmentitself,thejudgment hasawiderscope(onGMOregulation)andconcernsallkindsofNBT(CJEU2018§21; Vives-Vallés,Collonier2020:1815).Forsomeacademics,thisbroaderscopehasledto acertainexaggerationofthescopeofthejudgment(Vives-Vallés,Collonier2020: 1815;Wanner etal. 2019:90).

4.2.1TheParties'Argument

Therulingwasinitiatedin2015,whenthenot-for-profitorganisation ConfédérationPaysanne (alongwitheightotherorganisations)calledontheFrenchPrimeMinistertobanthecultivationandsaleofherbicide-resistantvarietiescreatedthrough geneticengineeringtechniques(incasu mutagenesis).First,asfarastheapplicants (Confédérationpaysanne)areconcerned,theyareactingagainstorganismsobtainedviamutagenesis,whichtheyseeas"hiddenGMOs"becausetheirunclear statushasexemptedthemfromtheobligationsofthedirective(CJUE-AG2018§21, 27;Brosset,Noiville2019:197).Theypointtothehealthandenvironmentalrisksof mutatedvarieties(CJEU-AG2018§21-27).Forthedefendant(theMinisterofAgriculture),thepleasareunfounded,sincetherisksarisefromthefarmers'practices,rather thanfromtheproductitself(CJUE2018§20-21;CJUE-AG2018§55;Brosset,Noiville 2019:1997).Furthermore,theMinisterarguesthatmutationsobtainedbythenew techniquesofdirectedmutagenesisresultinaproduct(outcome)likeotherproducts whosemutationswouldbespontaneous,randomorunintentional(andthatthis couldbeeliminatedduringvarietalselectionbycrossbreedingtechniques.

4.2.2QuestionsbeforetheCourt

AlthoughtheConseild’Étatput4questionstotheCourt,inessence,thequestionsaskedledtoadoublereflection:ontheonehand,itismainlyaquestionof

whetherthesenewmutagenesistechniquesfallwithinthescopeofthedirective? Therefore,areorganismsproducedbymutagenesistechniquesexemptfromtheobligationsofthedirective(underArticle3andAnnexIB)?TheCourtwillanswerthat organismsobtainedbymutagenesisareGMOswithinthemeaningofthedirective andthattheycannotbenefitfromtheexemption(CJUE2018§54;Gutwirth,vanDijk 2020: 131).Hence,theCourtofJusticeheldthat“organismsobtainedbymeansof techniques/methodsofmutagenesisconstitutegeneticallymodifiedorganisms withinthemeaningofthatprovision”(CJUE2018§86),asthedirectivemustinclude organismsfromthedifferenttechniquesexistingatthetimeofitsadoption.Other subsidiaryquestionswereputtotheCourt,buttheanswertothefirstquestions renderedthemobsolete(Garnett2019:4;Brosset,Noiville2019:197).

4.2.3OpinionofAdvocateGeneral

ThesolutionpresentedbytheCourtgoesagainsttheopinionofitsAdvocate General(AG),whichisnotfrequent(Craig,deBúrca2015:61).Inhisopinion,theAG proposesaliteralandexpressanalysisoftheGMOdirective(CJUE-AG2018§56; Gutwirth,vanDijk2020:125;Vives-Vallés,Collonier2020:1816).Indeed,itwillfirst addressthegenericdefinitionofGMOsintheDirective(Article2§2)andthenitsexemptions(Article3andAnnexIB).

TheAGwillfirstqualifyorganismsobtainedthroughmutagenesisasGMOs withinthemeaningofthedirective,sincetheymeetthematerialcriteriasetoutin Article2§2oftheGMODirective(CJUE-AG2018§54,57-67;Gutwirth,vanDijk2020: 125;Garnett2019:4).

Asregardsexemptions,theAGconsidersthatthedirectiveisclear:Annex1Bexemptsallmutagenesistechniques“onconditionthattheydonotinvolvetheuseof recombinant[desoxyribo]nucleicacidmolecules”(rDNA)(CJUE-AG2018§56,78-79; Gutwirth,vanDijk2020:125-126;Garnett2019:4).SincethisisthecaseforNBTsthat donotuserDNA,theAGconsidersthattheyshouldbenefitfromtheexemption (CJUE-AG2018§85;Garnett2019:4).Onthebasisofastrictandliteralinterpretation oftheGMODirective,AdvocateAGconsidersthatthescopeoftheexemptionshould notberestrictedbycriteriaotherthanthosealreadylaiddownintheDirective(i.e. theuseofrDNA)(CJUE-AG2018§79-80,101-105;Gutwirth,vanDijk2020:125,133). Indeed,itwillrejectotherdistinguishingcriteriathatwouldrestrictthescopeofthe exemption(andthusextendthescopeoftheGMODirective'sobligations).Firstly, theAGconsidersthattheexemptionalsocoverstechniqueswhichemergedafterthe dateofadoptionofthedirective(CJEU-AG2018§87;vanderMeer etal. 2021:1).In hisview,therequirementinAnnexIBfortheuseofrDNAisanindicationofthelegislator'sintentiontointegratetechnologicaldevelopments(CJEU-AG2018§81). Secondly,theAGconsidersthattheprecautionaryprinciplealonedoesnotjustifya restrictiveinterpretationofthescopeoftheexemption(CJEU-AG2018§88).Earlier inhisobservations,herecallsthattheprecautionaryprincipleallowsthedifferent actors(MemberStates,theCommissionorcompanies)toadoptprovisionalmeas-

Theuseofscientificargumentsasamodeofjustification.Whatplacedoesithaveinpoliticsand law?AcasestudyofEUGMOregulation

ures(non-discriminatory,objectiveandproportionate)to prevent therealconsequencesoftheallegedrisksfrombecomingfullyapparent(CJEU-AG2018§48-51). However,thisprecautionaryprincipledoesnotapplytohypotheticalrisksandevidenceoftheriskshouldbeprovided(CJEU-AG2018§49).Inessence,theAGconsiders thatthereisnotenoughknowledgetoprovethatNBTsposearisktohealthandthe environment,andthattheprecautionaryprincipledoesnotjustifyadditionalmeasures(CJEU-AG2018§53;CJEU2017§53).Thirdly,theAGrejectstheprincipleofa frozeninterpretation,insteadofadynamicinterpretation,accordingtowhichexemptionsmustbelimitedtotechniquesauthorisedatthetimeofthedirective(CJEUAG2018§94).Moreover,theprecautionaryprinciplecannotjustifyafrozeninterpretationofthedirective(CJEU-AG2018§77,102;Garnett2019:4).Fourthly,theAG goesagainsttheargumentoftheapplicantswhowanttoexcludesafemutagenesis techniquesbasedonrecital17(CJEU-AG2018§74).ThisrecitalaffirmsthewilltoexcludefromGMOobligationsthosetechniques“whichhaveconventionallybeenused inanumberofapplicationsandhavealongsafetyrecord”(CJEU-AG2018§92).There isnoneedtorestrictthescopeoftheexemptionfortheAG,asAnnexIBwasinserted afterthisrecitalwaswrittenandwithoutreferencetoit(CJEU-AG2018§94;Garnett 2019:4).Fifthly,theAGconsidersthattheCourtshouldconfineitselftothetextand notinterpret contralegem.Ifsuchaninterpretationistobedefended,itwouldbethe roleofthelegislator(CJEU-AG2018§105).

Asaresultofhisopinion,hewillconsiderNBTsasGMOs,althoughtheyfallwithin thescopeoftheexemptionoftheGMODirective.AGBobekconsidersthatNBTsare mutagenictechniqueswhichdonotmobiliserDNAmolecules,andthereforeshould beeligiblefortheexemptionprovidedforinArticle3oftheDirective(CJEU-AG2018 §107;Gutwirth,vanDijk2020:125;Garnet2019:4;Somsen2018:701).Ultimately,he willargueforaliteralreadingofthescopeoftheexemption,andfornotaddingother elementsthatwouldimplylimitingthescopeoftheexemption.Thus,theprecautionaryprinciplealonecannotjustifya contralegem interpretation.

4.2.4TheCourt’sDecision

ThejudgmentoftheCourtofJusticewillconsiderthatorganismsobtainedby mutagenesisfallwithinthescopeoftheGMODirective(Article2§2)and,contraryto theconclusionsoftheAdvocateGeneral,thattheydonotenjoytheexemptionfrom theobligation(Article3andAnnex1B)(Dederer,Hamburger2019:140-141;Garnet 2019:4;Somsen2018:701).Toarriveatthisresult,theCourtfolloweditsclassical methodsofinterpretation(teleological,systemic,andliteral)toanalysethedefinition ofGMOswiththespiritandgeneralschemeoftheEUDirective(Neframi1972:327; Bengoetxea1993:144;Zimny etal. 2019:54;vanderMeer etal. 2021:13-16).Inthis case,EUenvironmentallegislationaimsto“protecthumanhealthandtheenvironment”ratherthanincentiviseinnovation(Garnett2019:5).

RegardingthequalificationofGMOs,theCourtwillconfirmthatorganismsobtainedbythesemutagenesismethods/techniquesfallwithinthescopeoftheGMO

Directive(CJEU2018§29-30;Brosset,Noiville2019:197).AkeyelementofthediscussioncomesfromthedefinitionoftheGMODirective:“alteredinawaythatdoesnot occurnaturallybymatingand/ornaturalrecombination”(Gutwirth,vanDijk2020: 129-133;GMODirective,art.2§2).Thisdefinitionconcernstheresult,thetechnique usedorboth(EC2011§4.1;Sprink etal. 2016:1493;vanderMeer etal. 2021:9;Dederer,Hamburger2019:150;Gutwirth,vanDijk2020:129):

- Theprocessofalteringthegenomeisunnatural(process-based)or

- additionally,theresultofthealteringofthegenomeisunnatural(product-based)(Dederer,Hamburger2019:149).

TheCourtwillimplicitlyfollowaprocess-basedinterpretation(CJUE2018§ 29-30;Brosset,Noiville2019:197;Dederer,Hamburger2019:150).Inthissense,the Courtarguesthatorganismsobtainedbytargetedmutagenesisundergoaprocess ofgenomemodificationthatisnotnaturalandarethereforeGMOs(nomatterwhat isthefinalresult)(CJUE2018§29,48;Dederer,Hamburger2019:150).

Thisproduct/methoddistinctionasacriterionforidentifyingGMOsisimportant (vanderMeer etal. 2021:13; contra:Gutwirth,vanDijk2020:129).Indeed,contrary totheCourt'sinterpretation,severalcountriesexportingproductsobtainedbyNBT haverelaxedtheirregulationsconsideringthefinalproduct(USDA2022;Whelan, Martin,Lema2015:53-65;vanderMeer etal. 2021:7).Firstly,theUnitedStatesbases itsregulationontheclaimedgeneticandbiochemicalcharacteristicsofthefinal productratherthanonthemethodofproductionofthatproductandtherisksinvolved(vanderMeer etal. 2021:7).Inthisrespect,theproductcriterionisretained bytheUnited-KingdomgovernmentinitsproposaltolegaliseGMOs:themethodis different,butthefinalproductwouldbeaplantsimilartoonethatcouldbeobtained by"natural"techniques(Grohamnn etal. 2019:1;Menz etal. 2020:13-14).Finally,this isalsothedirectiontheCommissionseemstobetakinginitsdraftrevisionofthe directive(voy.infra).

AssuggestedbytheAG,theCourtreliesontheeconomyoftheGMODirective (i.e.,exemptionsfromtheobligationfortechniquesconsideredtobeGMOs)toqualifythesemutagenesistechniques/methodsasGMOswithinthemeaningoftheDirective(CJUE2018§27-38,54;CJEU-AG2018§67;Garnett2019:5).

Sinceorganismsobtainedbymutagenesistechniques/methodsareconsidered GMOswithinthemeaningofArticle2§2oftheGMODirective,thenextquestionwas whethertheyfallwithinthescopeoftheexemptionfromtheobligationsoftheGMO DirectiveunderArticle3andAnnexIB(Dederer,Hamburger2019:150).IntheCourt's view,organismsobtainedbytechniques/methodsofmutagenesecannotbeexemptedfromobligations(CJEU2018§58),andinthissensediffersfromtheopinionofAG Bobek(voy.supra).TworeasonsaregivenbytheCourt:

Firstly,itreferstoRecital17oftheDirectiveontheconditionsunderwhichGMOs shouldbeexcludedfromtheobligations(CJEU2018§44-47;Dederer,Hamburger 2019:150;Gutwirth,vanDijk2020:125-128).Inthiscase,thedirectiveprovidesforan exclusionfor:“organismsobtainedthroughcertaintechniquesofgeneticmodifica-

Theuseofscientificargumentsasamodeofjustification.Whatplacedoesithaveinpoliticsand law?AcasestudyofEUGMOregulation

tionwhichhaveconventionallybeenusedinanumberofapplicationsandhavea longsafetyrecord”(CJEU2018§46-57).However,theCourtconsidersthatNBTs shouldnotbenefitfromthisexceptionregime(CJEU2018§48;Zimny etal. 2019:54). Indeed,theCourtinterpretstheDirectiveinthelightofits ratiolegis:thelegislators' objectivesweretoensuretheeffectivenessoftheprincipleofprecautionwhiletoleratingcertaintechniquesthatexistedpriortothedirective(Brosset,Noiville2019: 211;Gutwirth,vanDijk2020:125-128;Brosset2018:219-225).

Hence,thisexceptionisreasonedandjustifiedgiventhatthiswasthecasefor traditionalmutagenesisreferredtobytheGMODirectiveatthetimeofitsconception(CJEU2018§48-54;Gutwirth,vanDijk2020:129;Zimny etal. 2019:54;Garnett 2019:5).Infact,thedirectivehadprovidedforalistofexceptions(AnnexIB)for mutagenesismeanswhosesafetyhadbeenprovenforalongtimewithanestablishedhistory.Someoftheresearchhadbeengoingonsincethe1980sandtherefore beforethedirectivewasdrafted(Custers2017:221).Thisistheresultofthelegislator'sintention,whichisreflectedinthespiritofthedirective.Itisthereforeappropriatetoadopta"frozen"interpretationtolimitthescopeofRecital17andtheexemptionfromobligations(CJEU2018§51).Asaresult,theCourtconsideredthat,of allthemutagenictechniques(scientificallyspeaking),onlythoseinuseatthetimeof theadoptionofthedirective,andwhichhavebeenestablishedas"safe",canenjoy theexemptionofArticle3andAnnex1B,interpretedinthelightofrecital17ofthe GMODirective(CJEU2018§51; contra:CJUE-AG2018§68-78).

Secondly,theCourtaddsthattherisksofthesenewtechniques/methodsare seenassimilartothoseresultingfromtheuseofGMOsbytransgenesis(CJEU2018 §48;Schleissing,Pfeilmeier,Dürnberger2019:10).TheCourtassociatesNBTswith GMOregulationconsideringtheirsimilareffects(CJEU2018§49).TheCourtnotes thatanyreleaseofthesenewGMOs(evenifexperimental)mayreproduceintheenvironment,haveirreversibleeffectsontheenvironmentandcross-nationalborders. Thisispreciselywhatthedirectiveseekstoavoid(CJEU2018§49-51).

Tosummarise,theCourtconsidersthatthesystemofexceptions(art.3combinedwithannexeIB)mustbeinterpretedstrictlytorespectthesafetyobjectiveand theprincipleofprecaution(CJEU2018§43,48-51).Thisresultsinthreecategoriesof organisms:Firstly,non-GMOs;Secondly,obligation-exemptGMOs(i.e.obtainedvia traditionaltechniquesofrandommutagenesis);Thirdly,obligationGMOs,among whichorganismsobtainedbyNBTareincluded(Vives-Vallés,Collonier2020:1814; Urnov etal. 2018:800).TheCourtnotesthatNBTsweredevelopedaftertheGMODirective(2001),andthattheirriskstohealthandtheenvironmenthavenotyetbeen assesse(CJUE2018§54;vanderMeer etal. 2021:6;Zimny etal. 2019:54).Theprecautionaryprincipleaffirmedbythedirectivemustthereforebeappliedthroughoutthe evolutionoftechniquesinthisarea(GMOdirective,art.1;CJUE2018§52).Theexemptionsmustbeinterpretednarrowly,andRecital17onlyreferstotechniques “whichhaveconventionallybeenusedinanumberofapplicationsandhavealong safetyrecord”(Vives-Vallés,Collonier2020:1819;Spranger2015:25).

OnFebruary7,2020,theFrench Conseild’État confirmedthisinterpretationand calledonthegovernmenttotakestepstobringFrenchlegislationintolinewiththe rulingandtheGMODirective(Vives-Vallés,Collonier2020:1820;CE2020).Inthe meantime,basedonthisjudgment,theFrenchTribunaldeGrandInstancehasdecidedthat,inadditiontogenomeediting,organismsobtainedthroughclassical "in vitro" mutagenesistechniquemustalsocomplywithGMOregulations(Menz etal. 2020:4).Thisdecisionbasedontheinterpretationoftherulingrisksdamagingthe commonmarket(asFrancewillregulateGMOsmorethanothermemberstates)and isstillunderdiscussion(Menz etal. 2020:12;Bartsch etal. 2020:1-4).

Intheend,thejudgmentoftheCourtofJusticehashadmajorpracticalconsequencesforMemberStatesandindustry(Schebesta2020:373).Therulingmakes itclearthatanyreleaseandplacingonthemarketofproductsproducedusingNBT (directedmutagenesis,genomeediting)mustcomplywiththerequirementsofthe GMODirectiveintheEuropeanUnio(Gutwirth,vanDijk2020:127-129).Therefore, explicitortacitagreementsbetweencompaniesandpublicauthoritiesconcerning NBTarenowprohibited(Menz etal. 2020:12;Somsen2018:701-718).Itseemsthat withoutadditionalregulatorymeasures,whichwouldimplyseparateapprovalproceduresforcertainNBTproducts,theproductsofprecisemutagenesiscouldbedifficult tomarketintheEU(concernsresearchanddevelopment:legalandextra-legalobligations)(Gutwirth,vanDijk2020:127).However,othersmayconsiderthattheimpact ofthejudgementhasbeenoverestimated,andthattheapplicationofcertainNBT techniques(OMD,SDN1andSDN2)mayfalloutsidethescopeoftheGMOobligations undercertainconditions(Vives-Vallés,Collonier2020:1820;vanderMeer etal. 2021: 17).Inallcases,stakeholdersagreethatlegislativeclarificationwouldbeappropriate.

4.2.5Receptionofthejudgment:criticsandnewGMOregulation

Thisjudgementisparticularlyinterestinginviewofthescientific,politicaland economiccriticismithasreceived(Dederer,Hamburger2019:150;Vives-Vallés,Collonier2020:1813;Gutwirth,vanDijk2020:127;Martin2019:132;Callaway2018:16). Althoughsomelegalandscientificactorsweremoremeasured,therulinghasdeeply disappointedacertainscientificcommunity,whodidnothesitatetodescribethis judgmentasabsurdorunscientific(Garnett2019:5;Gutwirth,vanDijk2020:129;Leonelli2021:184;Purnhagen2019:1;Purnhagen, etal. 2018:799-800).

Moreprecisely,theproduct/methodissuecrystallisesseveraltensionsinthefield ofindustryandinnovation:someactorsconsiderthatthesetechniquesaresafeand shouldnotbesubjecttoheavyEuropeanregulation(Gutwirth,vanDijk2020:127; VIB2022;ALLEA2020);whileotherspointoutthattheseNBTsproducethesameunintendedeffectsthatdonotoccurnaturally(Gutwirth,vanDijk2020:132-135; Haeussler2020:5–9;Gaj, etal. 2013:397–405;Fu etal. 2013:822–826).

Indeed,usingscientificstudies,somearguedintheoppositedirection,claiming thatthe"finalproduct"cannotbedistinguisheddependingonhowitwasproduced (whetheritwasamutagenesis-freemethodorbygenomeediting)(EC2019;Menz et

Theuseofscientificargumentsasamodeofjustification.Whatplacedoesithaveinpoliticsand law?AcasestudyofEUGMOregulation

al. 2020:14;Gutwirth,vanDijk2020:129).Forothers,theproductargumentisnot convincing,andtheydenounceit(Gutwirth,vanDijk2020:136;Millstone,Brunner, Mayer1999:525).

Sincetheruling,thereisacalltoputGMOsbackonthepoliticalandlegislative agenda,fromscientists,advisorybodies(VIB,GermanBioeconomyCouncil),The EuropeanCommission’sGroupofChiefscientificAdvisorsEuropeanCommissioner forHealthandFoodSafety(Gutwirth,vanDijk2020:127;Vives-Vallés,Collonier2020: 1814;Urnov etal. 2018:800-802;EC2019:6;Bioökonmierat2018).Indeed,theCommission'sGroupofScientificAdvisorshasidentifiedthescientificlimitationsofthe currentlegislationandrecommendsintheirstatementstoamendtheGMODirective (EC2019:6).ConsideringtheCJEUruling,theCounciloftheEuropeanUnion(Council)askedtheCommissioninOctober2019tosubmitastudytorevisetheGMOregulation(Menz etal. 2020:12;vanderMeer etal. 2021:3).Moreprecisely,theCouncil askedtheCommissiontosubmitaproposalconsideringtheresultsofthestudy(van derMeer etal. 2021:3;Council2019).TheCommissionhaslaunchedaconsultation ofstakeholdersinearly2020onthetechnicalstatusandimpactof‘newgenomic techniques’(NGTs,likeNBTs),andpublishitsstudyonApril2021(vanderMeer etal. 2021:3;EC2021b).ThestudyconcernstheuseofNGTs “whichhaveemergedorhave beendevelopedsince2001” forplants,animalsandmicro-organismsinagri-food,industrialandpharmaceuticalsectors(EC2021b:2-7).

Thisstudyhadseveralobjectives:clarificationofthelegalstatusoforganisms thathavebeenproducedbyNBTs,regardingGMOregulation;asummaryofresearch andinnovationinthisfield,includingriskassessment;aconsultationofstakeholders andMemberStatesontheopportunitiesandrisksofNGTs;and,finally,information onpublicdialogue,nationalsurveysandethicalaspects(EC2021b:6).

Theconclusionsofthestudyareasfollows:First,NGTshavedevelopedrapidlyin manyregionsoutsideEurope(EC2021b:8-18-25).Secondly,theEUregulatoryframeworkisinadequateanddifficulttoimplement(EC2021b:25).Inthiscase,thestudy pointstothedifficultiesofdetectinganddifferentiatingNGTproductsthatdonot containanyforeigngeneticmaterial,astheEuropeanNetworkofGMOLaboratories hadalreadystatedsopointed(ENGL2019;Grohmann etal. 2019:2).

Thestudyconcludesthatthelegislationneedstobeadaptedtoscientificand technologicalprogress(EC2021b:59).Indeed,thestudyconsidersthatitisunjustified toapplydifferentrulesforendproductsthatpresentsimilarrisks(conventionalculturesvs.NGTcultures)(EC2021b:23-24).Thirdly,theregulatoryframeworkisinadequateforresearchintoNGTs,whichisofgrowinginterestintheEU(EC2021b:59).

Fourth,NGTscancontributetotheEU'ssustainableagri-food(greendealandfarm-toforkstrategy)andpharmaceutical(fasterandcheaperdrugdevelopment)objectives (EC2021b:4-6,51-59).However,thestudynotesthatthemainconcernsarerelated tosafetyandtheenvironment,notablyontheimpactoftheseorganismsonbiodiversityandoncohabitationwithbiologicalcultures.Inthisrespect,thestudypoints outthatNGTsshouldnotharmorganiccrops(EC2021b:27).ForEFSA,therisksof NGTsaresimilartoorganismsobtainedbyconventionalbreeding,targetedmutagen-

esisorcisgenesis(EC2021b:29).However,otherNGTtechniquesdonothavesufficientstudiestoattesttotheirsafety(EC2021b:31).Finally,thestudyhighlightsthe needtoinformthepublicaboutNGTsandtoassesstheirviews(EC2021b:4).

TheCouncilhasnowaskedtheCommissiontopresentanewproposal,ifappropriate:“inviewoftheoutcomesofthestudy,orotherwisetoinformtheCouncilon othermeasuresrequired”(EC2021b).Inthiscase,theCommissioniscommittedto initiatingascience-basedpolicyonplantsproducedbyNGTs.

Havingreachedtheendofourstudyoflegaltechniqueandanalyticaltheoryon theregulationofGMOsinEurope(RQ2),andafterasociologicalanalysisconcerning theinvocationofscienceinpoliticsandlaw(asfarasthecaseofGMOregulationin Europeisconcerned),wewouldliketoendourchapterbyproposingabroaderreflectionwithlegalphilosophyontherolesandfunctionsofthe“modesofexistence” ofeachdisciplinethishybridsituation.

4.3Commonworldandmodesofexistence

Havingconstructedatheoreticalframework(chapter1)andacasestudyon GMOs(chapter2,sections1and2),wewillconfrontourtheorieswithouranalysis andproposeasectiononthephilosophyoflawbyproposinganalternativepath. Thiswillbeinspiredbytheconceptoftheregimeoftruth,andwilltakeupthetheoriesof“modesofexistence”(RQ1)(Souriau1943;Latour2013:357;Latour2010:256; McGee2015:122-196).

Inourview,thejudgmentthusdisavowedbyacertainscientificandindustrial communityishighlyrelevantintworespects.Firstly,theCourtofJustice'sjudgment representsahybridcasethathighlightstheinteractionbetweenscientific,political andlegaldisciplines.Butmostimportant,thisdecisionfulfilsthe"felicityconditions" ofajudgmentaccordingtotheexistencemodeoflaw(Gutwirth2021a:24;Fossier, Gardella2006).Hence,thelegitimacyoflegalreasoningdependsoncompliance withtheproceduralrequirementsofthelegalfieldinquestion(andmustnotbesubordinatedtoanyscientificopinion)(Gutwirth,vanDijk2020:127).Equivalently,tobe valid,ascientificjudgementmustrespondtothebodyofrulesderivedfromthescientificdomaintoits“modeofexistence”(Gutwirth,vanDijk2020:127;McGee,2015: 160).AccordingtoGutwirthandVanDijk,thejudgementmustnotbescientifically correct,butlegallycorrect:

Law,scienceandpoliticshavedifferentconstraintsandconditionsofsuccess,which cannotbeinterchangedorhierarchized.Alegaldecisionneedstofirstbeunderstood fromalegalperspective,whichisnottosaythatitwon’thaveconsequencesforscience,politics,ethicsoreconomy(Gutwirth,vanDijk2020:127).

Conversely,tocriticiseajudgementfornotconsideringtheconsequencesforscience,politics,economicsandespeciallymoralitywouldbea"categoryerror"(McGee 2015:4,55,137,160;Fossier,Gardella2006;Gutwirth,vanDijk2020:127).Tobeclear, thelawyercanbeguidedbyscienceasabasisforreasoning.However,hecannotbe forcedtodoso,onpainofmakingacategoryerror.

Theuseofscientificargumentsasamodeofjustification.Whatplacedoesithaveinpoliticsand law?AcasestudyofEUGMOregulation

Thinkingintermsofamodeofexistencewillimplyadifferentapproachtothe classicaldefinitionsoflaw,politicsandsciencewhichhavethetendencytoreduce thelawtosocietyanditsinfrastructurewithoutfocusingonitsproperfunction(Latour 2010:256;Gutwirth2013:108). Acontrario,itwillbenecessarytostudyhowthelaw ismadeinpractice,todefinetheconstraintsthatobligelawyerstoactinasingular wayandtoinvestigatehowthelawproducesitsown“truths”and“false”.Thisimplies takingseriouslytheregisterofcreativity,ofhesitation,thatactorswieldintheirmodes ofexistence(Gutwirth2021a:17-18;Latour2013:5-11;Latour2010:179,219,244). Indeed,theapproachtomodesofexistenceismoretopical(deSutter2018:229;de Sutter,McGee2012:14),payingattentiontotheconstraints,doubts,andontological fieldssummonedbytheactorswhentheypractiseadiscipline.AccordingtoLatour, apracticeisdefinedbythesetofconstraintsandbeliefstobefollowedasapractitioner, asalawyerorasascientist(Gutwirth2021a:6).Consequently,themodeofexistence ofadisciplineisexpressedthroughits“ontologicalfields”,its“regimeofenunciation”, anditsconstraints(Gutwirth2013:108).Accordingtothemodesofexistenceapproach,tomakelawistosummonandbringintoexistenceanotherworld,whichlegallybringsintoexistencethethingsitgrasps(Hermitte1998:17-38;Gutwirth:2013: 108).Forexample,whenwelookforthelegalregimeofGMOs,wearegoingtomake thelegalGMOexistinacommonworld(McGee2015:147-148).

Intheseconditions,theenvironmentforma“commonworld”,an“articulationof theregimeoftruth”oran“ecologyofpractice”,wherethedisciplinesareinterrelated (Gutwirth2021a:5;Stengers2009:117,146).Thesemultipleconceptsdesignatethe situationwhereseveraldisciplines(withtheiractors,theirpractices,theirconditions offelicityandtheirtruths)willtakeholdofhybridobjects/subjectswithseveraldimensions(Gutwirth2021a:5).Therefore,ifwecandistinguishthe'modesofexistence'ofdifferentdisciplines(science,politics,law),theseregistersarticulateeach otherandformobjectswithseveralmodes(Gutwirth2021a:3,13,17).Bywayofillustration,GMOsarehybridsbecausetheyarecharacterisedbythemodesofexistence oflaw,science,agri-foodeconomicsandpolitics(Gutwirth2021a:3).Inthesecircumstances,whenthelawyerhastorespondtoexternalmobilisations-i.e.ahybridcase withbigpoliticalandeconomicimplications-thelawyerisnotfreeandisforcedto followdifferentrulesofpracticeoflaw(Gutwirth2021a:2-3).

Theanalysisofthemodesofexistencewillthusinciteustobeattentivetothe internalsuccessregimeoflaw:itsownconditionsoffelicity(Gutwirth2021a:2-3; Stengers2008:14).ThisapproachissimilartoFoucault'sregimesoftruths:thereisa singularsetofobligationstoberespectedinordertobringoutscientificorlegal "truth"(Gutwirth2021a:6).Byrespectingtherulesoflegalpractice,byobservingits ontologicalfieldsanditsregimeofenunciations,thesubjectwill"makelaw"and buildalegaltruth(Gutwirth2021a:14).Byrespectingtheconditionsoffelicityofa discipline,wecanactasa“true”scientistor“true”juristand,therefore,bringabouta typeoftruthfulnessappropriatetothediscipline(Gutwirth2021a:6).Onthecontrary,thescientist'sorlawyer'sactorswhorefusetomeettheserequirementswill losethescienticityorlegalityoftheiractions.

Followingtheseconditionsoffelicitymakesitpossibletobringaboutatypeof truthfulness(its"true",its"false").Forexample,"Science"establishesonetypeof "truthfulness",whichisincompatiblewiththeothers.Inthecaseoflaw,whatis judgedmustbetakenasthetruthandmustnotbeconfusedwithwhatisactually true(hencetheadage: resjudicataproveritatehabetur)(Gutwirth2021a:16;McGee 2015:49;Latour2010:235;Latour2013:129).Thisjudicialtruthlinksthegeneralrule andthesingularandestablishesanewqualificationorinterpretationtofindasolutiontoconflicts(voy.3.1;Gutwirth2021a:25;Latour2010:196-197,254).Inthis sense,truthdoesexistinlaw(asitdoesinscience),butitisarticulatedinadifferent regimeoftruth.Indeed,sciencerespondstoadifferenttemporality;ontheonehand, thelawseeksasolutionhereandnowtostopaconflict;ontheotherhand,scienceis self-correcting,prospective,anddiachronic(Papon2020:225-240;Latour2010: 239-244).Thislegaltruthisthereforedifferentfromscientifictruth.Ithasotherpurposes:legalsecurity,conflictresolutionandsocialpeace(McGee2015:296;Perelman,Olbrechts-Tyteca2008:554;Gutwirth2001:21-26).

Inconclusion,science,lawandpoliticsconstitutedistinctregimesoftruthsand practiceswithdifferentobjectives.Thus,rethinkinglaw,scienceandpoliticsas modesofexistenceallowsustohighlighttheirdifferentsocialfunctions,theirspecificconstraintsandsingulartruthsandtheconsequencesoftheirarticulation (Gutwirth2021a:10).Whenweconfusetheirpurposes,rulesandfunctions,thenwe makecategoryerrors.However,thesemodesofexistenceformacommonandinterrelatedworld.Hybridsalsoattesttothecoexistenceofthesemodesofexistence (McGee2015:296).Inthiscommonworld,wheremodesofexistencecoexist,the greattheoreticaldivisionbetweennatureandpoliticsmustbeovercome(Latour 2010:242).Theorisingonthefunctionsoflaw,AlainSupiothadarguedthat:

LawisnottheexpressionofatruthrevealedbyGodordiscoveredbyscience;anditis notsimplyatoolwhichcouldbejudgedonthebasisofitsefficiency(efficientfor whom?).LikethemeasuringinstrumentsinDürer’sMelencholia,itsroleistocomeas closeaspossibletoanaccurateandjustrepresentationoftheworld,intheknowledge thatthiscanneverbeachievedabsolutely(Supiot2017:23).

Indeed,forLatour:

Itispreciselybecausetherearenolongertwodistinctdomainsofreality,thatwe shouldbeallthemorecarefulindistinguishingthecomplementaryfunctionsoflawyersandofresearchers.Itisnowessentialthatscienceshouldnotbeaskedtojudge, andthatlawshouldnotbeaskedtopronouncetruth(Latour2010:242) (RQ1).

5.Conclusion

Inthismaster’sthesis,wehadtwoRQs:Whatroles,functionsandrisksareinvolvedinusingascientificargumentinpoliticsandlaw?(RQ1)Whataretheusesof scientificargumentsinthepoliticalandlegalimplicationofGMOregulation?(RQ2).

OurfirstchapterpresentedaninterdisciplinarytheoreticalframeworkcombiningphilosophyoflawandphilosophyofsciencerelatedtoRQ1.Wehavechosenfor

Theuseofscientificargumentsasamodeofjustification.Whatplacedoesithaveinpoliticsand law?AcasestudyofEUGMOregulation

atruth-in-constructionthesis,andthusdeveloptheideaofatruthregime(Section 1).Wethendemonstratedtheproblemsofanappealtoanauthorityoftruthdiscourses(scientific incasu,butthismayconcernreligion):fromthecritiquesof'knowledge-power'(Section2)andscienceinaction(Section3).Thesecondchapterhas takenthistheoreticalframeworkandappliedittothecasestudyofGMOregulation (RQ1,RQ2).WepresentedthelegalframeworkofGMOsandtheissueofNBTs(Section1).WethenanalysedtherulingoftheCourtofJusticeofthe Confédération Paysannes onthestatusofNBTs(CJUE2018).Thisjudgmenthasbeenhighlycriticised byarangeofactors(scientists,industrialists,jurists,politicians),notablyonthe groundsthatitisunscientific(Section2,RQ2).However,andbyadoptingareading ofthemodesofexistence,weunderstandthatlegalreasoninghasotherrolesand functionsthanscientificreasoning(Section3).

TakingthesetwoRQsintoaccount,wehavetwoconclusions ceterisparibus: Firstly,wewanttoremaincriticalofthisuseofscientificdiscoursetoputpressureon politicalandlegalbodies.Asseenearlierwithourtheoreticalreflectionsonscience, theapproachespresentedheredonotcontributetotheconstitutionofrobust,reliableandrectifiableknowledge(RQ1)n(Audren,DeSutter2008:77-88;Dewey1954). TheinnovationofNBTdoesnotstemfromaneutralanddisinterestedscience,butis governedbyasetofinterceptingactors,incollaborationwithscientific,interested industries,publicinstitutionsthatsendeconomicinterests.Inthisway,webelieve thatitismoreamatterofusingtherhetoricofscientifictruthtoputpressureonthe politicalandlegalspheres,comingfromactorswithinterestsinthematter(RQ1, RQ2)(Gutwirth,vanDijk2020:129).Secondly,whilejudgementissubjecttovarious scientificcriticismsandcontroversies,itshouldbenotedthatjudgementmustmeet theconditionsofsuccessoflaw(i.e.,tobelegallycorrect)andnotofscience,economicsorpolitics(RQ1,RQ2).Regardlessofpolitical,economicorevenscientificcontroversies,thelegalquestionisconcludedhere.TheCourthaspresentedaninterpretationthatislogical,convincinginlaw,andconsistentwiththenegotiatinghistoryofthedirective(Gutwirth,vanDijk2020:128;vanderMeer etal. 2022:5; Spranger2015;25;Purnhagen etal. 2018:799).AccordingtoGutwirth,thejudgment islegallycorrect,andanycriticismofitmustbemadeonlegalgrounds(RQ1).The criticismthatthejudgementisnotscientific(whateverthatmeans)isirrelevantas thejudgementhadtoansweralegalquestionandnotascientificone.Ifthelegal statusofGMOsistobechanged,noscientificstudywillberelevanttotheCourtat thetimeofthejudgment(directive(Gutwirth,vanDijk2020:130).Instead,itwillbe necessarytochangetheregisterandturntothepoliticalsphere.AstheCourtnotes, changingthelegalstatusofGMOswillrequirealegislative(andthereforepolitical) processtoamendtheGMODirectivedirective(RQ2)(Gutwirth,vanDijk2020:130). Theappealtosciencewillbewelcome,butagain,sciencecannotreplacethepolitical register,norcanitreplacethelegalregister(RQ1).

Listofabbreviations

AG - AdvocateGeneral

CJEU - CourtofJusticeoftheEuropeanUnion

CRISPR-Cas9 -ClusteredRegularlyInterspacedShortPalindromicRepeats-Associated protein9

DNA - Desoxyribonucleicacid

EFSA - EuropeanFoodSafetyAuthority

EU - EuropeanUnion

GMO - GeneticallyModifiedOrganism

GMODirective(the) -Directive2001/18/ECoftheEuropeanParliamentandoftheCouncil of12March2021onthedeliberatereleaseintotheenvironmentofgeneticallymodified organismsandrepealingCouncilDirective90/220/EEC[2001]OJL106

NBT - Newbreedingtechniques

NGT - NewGenometechniques

ODM -Oligonucleotidedirectedmutagenesis

rDNA - Recombinant[Desoxyribo]NucleicAcid

RNA - Ribonucleicacid

RO - ResearchObjective

RQ - ResearchQuestion

SDNs - Site-DirectedNucleases

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Thetrialoftheprophet:theproblematicrelationshipbetweenHegel andNazism

LorenzoCornettone

“WehavemadetheEuropeanUnion, nowwemustmaketheEuropeans”

BronisławGeremek

Introduction

IntheaftermathofadifficultterritorialreunificationofItalyin1861,Massimo D’Azeglio,politician,writer,andfaithfulpatriot,wellawareofthelimitsofthisnewbornhistoricalproject,bothfromapoliticalstandpointandasocialone,hadtosay: “WehavemadeItaly,nowwemustmakeItalians”(Killinger2002:1).Anewsovereign countrywasborninthepeninsulastretchingfromtheAlpstoSicily,fromtheTyrrheniantotheAdriatic,andyetitspeople,itsinhabitants,knewlittleifnothingatall aboutthisentity.TheirliveswerestillverymuchobliviousofwhatItalymeantto themgiventhattheircultures,languages,andhabitswerestillstronglyattachedto theirregionaloriginswhileanynationalbondwasafeebletieatbest.

LookingatthehistoryoftheEuropeanUnion(EU),onecouldarguethatweare facingaverysimilarphasetothepointthat,withasmalladjustment,wecouldborrowD’Azeglio’smottoandchangeitinto:“WehavemadetheEuropeanUnion,now wemustmaketheEuropeans”¹.JustlikefortheItaliancase,infact,theEuropean Union,fromitsfirstinceptionin1951withtheestablishmentoftheEuropeanCoal andStealCommunity(ECSC),despiteanevermoreincreasingintegrationprocess, seemstohaveahardtimetryingtoconveytoitscitizensasenseofbelonging.

Despitedeepeconomicandbureaucraticbonds,mostEuropeancitizensdonot reallyfeelattachedtothisentity(asshownbythelackofknowledgeandagrowing disinterestspreadingamongthepopulation).That’swhytodaythepoliticalexperimentoftheEUfindsitselfatacrossroad:eitheritwillcollapseshreddedbycentrifugalforcesattractedbytheeasypromisesofnationalisms,oritwillrediscoverthe transnationalbondsofourcommunitiesthattieustoashareddestinyofpeaceand

LorenzoCornettone, Collegeof EuropeinNatolin,lorenzo.cornettone@coleurope.eu

1 BronisławGeremek(MemberoftheEuropeanParliamentandfirstholderoftheEuropeanHistoryand CivilizationChairattheCollegeofEurope)usedtosaythesameexpression,asrememberedbythePresident oftheEuropeanCommissionJoséBarroso,inhisspeechattheopeningceremonyoftheAcademicYear20112012hereattheCollegeofEuropeinNatolinon29September2011.Cf.JoséManuelDurãoBarroso,Speech byPresidentBarrosoattheopeningoftheAcademicYear2011-2012attheCollegeofEurope(Natolincampus). https://ec.europa.eu/commission/presscorner/detail/en/SPEECH_11_617(consultedon10.09.2022).

Thetrialoftheprophet:theproblematicrelationshipbetweenHegelandNazism

prosperity.However,ifwewanttoguaranteethesecurityoftheUnion,weneedto rethinkhowwelivetogether,correctingforthedistortionsofliberalismthathas beendeterioratingoursocialdailyinteractions.

ThisiswhyIdecidedtogoinsearchofanewphilosophicalbasisforourpolitical theory,surprisinglydiscoveringaneffectiveallyinHegel’stheoreticalframework.Yet, beforeadoptinghispositionsIhadtoamendhisnotions,foralongtimemisunderstoodasaforerunnerofthemostruthlesstotalitarianisminhistory,namelyNaziGermany,becauseofKarlPopper’sinterpretation.

Fromthisproblem,twomainresearchquestionslogicallyfollowed:howmuchof Hegel’spoliticaltheorycanwereallyfindinNazis’propaganda?Andrelatedtothe firstone,asecondone:washereallytheprophetoftheswastika,orhavewerather misunderstoodhisconceptsinanaïveattempttofindamindbehindallofthis?To findaconvincinganswertothesetwoquestions,Idevelopedthehypothesisthat, throughthelensofaneutralrevisionthattakesintoaccountthetruevalueofthese notions,Hegel’spoliticaltheoryisfarfromimposingaclosedsociety,andonthecontrarycanstillteachusalottothisday.Hencetheobjectiveofmythesisandthestructuralorganizationofitschapters.

InthefirstchapterIanalyze,firstandforemost,thecrucialpagesandparagraphs ofthesecondvolumeof TheOpenSocietyanditsEnemies byPopperentitled“TheHigh TideofProphecy:Hegel,MarxandtheAftermath”arguing,how,infactitrifewithholes andassumptionsthatledtheauthortomystifyHegel’ssocialconstruction.Building uponthisconclusion,Ithenproceedtodemonstratetherealmeaningandthetrue scopeofHegel’spoliticalnotionastheyemergefromaneutralreadingofhis Encyclopedia, ElementsofthePhilosophyofRight andthe PhenomenologyoftheSpirit.Finally inthelastchapterIshowhownotonlytherelationshipbetweenHegelandNazism isunjustifiedfromahistoricalperspectivebutthathisideascanhelpusbuildastronger democraticsocietyandtightercommunitarianbondsinsidetheEuropeanUnion.

ItwasofvitalimportanceformetowriteaMasterThesisonathemerelatedto theEuropeanhistoryandcivilization(themajorIamenrolledin),decliningmybackgroundinphilosophyandatthesametimetakingadvantageofthenewprecious knowledgeacquiredattheCollegeofEurope.Thefinaloutcome,whichgroundsitselfonmanyenlighteningcoursesattendedinNatolinbothinhistoryandEuropean studies,istheresultofmonthsofresearchandhardworkingwhichwillhopefully presentapossiblealternativetothewaywethinkandimaginetheEuropeanUnion, anewphilosophicalcompasstoorientateitspromisesanddreams,sovitalforeach andeveryoneofusintimeslikethese.

1.Popper’sProsecution

1.1TotalitarianIdeologies

Humanbeingsaremeanttolivetogether,tojoinforcesandovercomethe hurdlesandchallengesthattheyface,whatevertheymightbe².Thiswasalready

2 “Manisbynatureapoliticalanimal”(Aristotle2009:320).

cleartoourprimateancestors,andmanytechnologicaladvancementslaterwestill dependononeanother.However,ouranimalspiritshavenotprovideduswithaspecificformofgovernmenttoarrangeoursocialrelationshipsleavingus,intheend, withthecompellingtasktofindonetosuitourneeds.Monarchies,oligarchies, democracies,andeverythinginbetweenhavethereforebeensucceedingeachother indifferenttimesandindifferentplacesshowingtotheirpeoplestheirstrengthsand flaws.And,afterall,democracyisnoexception.

Infact,thecloseronestudiesdemocracyanditsmanyhistoricalincarnationsthe cleareritsfragilenaturebecomes.Throughoutthecenturies,philosophers,political scientists,andhistoriansalikehavetriedtopresentanultimateformulaforthecorrectarrangementofitsinstitutionswithoutreallysucceedingintheirpersistent efforts.Everytimeanewideacamealongtocorrectforitsweaknessesanewturnof eventsprovedityetagaintobeunsteady,limited,ifnotcompromised.Nomatter howhardtheytrytodefineaharmonioussociety,ajustandequitablesocialorder alwaysseemstofadeawayinfrontofreality(cf.Ateeq2020:344-356).

Butonethingisforsure.Ifitistruethatdemocraciesrecognizeasacreddignity toitspeopleelevatingthemtothestatusofcitizens,itisalsotruethatthedarkestof centuriesanditsnotoriousintolerantregimeshavesomehowdegeneratedfrom themaswell.Indeed,itwouldbefoolishtopretendthattheXX-century-totalitarian regimescameoutofnowhere,settheworldonfireandeventuallydisappearedinto nothing.Thisview,whichisoftenhastilythoughtinschools,inadditiontobemisleadingitisalsohistoricallyinaccurate.

Specifically,NazisminGermanyandFascisminItalycametobeduringaturbulentcrisisofEuropeandemocracy(cf.Bonn1999:1-39),whoseinstitutions,bythe 1930s,appeared,totheeyesofmostcitizens,tobeunworkablewithintherealworld. Amidthechaosofpost-warcentralEurope,liberalism’sfailurepushedpeopletodistrustdemocraticinstitutions,firstandforemost,parliaments,perceivedaslenses magnifyingsocialtensionsonalargerscale(cf.Bonn1999:1-39).Insteadofunifying countries,democracy,withitspoliticalorgansandsocialbodies,seemedtohavedividedthem,unabletopreservethecommongoodofthenation(cf.Bonn1999:1-39).

Inthisregard,despitethemanydifferencesbetweenthem,bothFascism’sand Nazism’sideologiesflourishedthankstothedemocraticdecayofcivilsociety,both stressing,intheirownrespect,howliberalegotismandself-interestunderminedthe socialbondsinsideacommunity.Theirattackondemocracywasrootedonthe“ethicalgrounds”(Bonn1999:24)³ oftheStateandappealedtothemassesofpeoplewho feltabandonedandlost,tossedbythehightideofacenturywhichwashedawayall theircertaintiesandpointsofreference⁴.

WhatistheroleoftheState?And,ontheotherside,whatisthecitizencalled upon?Totalitarianideologiestookadvantageoftheever-more-aggravatingdistance

3 “Theywerepronetoattackdemocracyonethicalgroundstoo”(Bonn1999:24).

4 Inlessthan20yearsfrom1900to1920everyaspectofhumanlifewasturnedupsidedown:bytheendof WorldWarI,century-longempireshadfellruinously;in1900thepublicationof TheInterpretationofDreams by Freudopenedthedoorstotheunconsciousanditssecretdesires;in1905,Einstein’sspecialrelativityswept awaytheoldnotionsofspaceandtime.

Thetrialoftheprophet:theproblematicrelationshipbetweenHegelandNazism

betweenthetwoendsofthesocialfabric,whichcouldnotbekepttogetherbyliberalism,offeringthemselvesastheonlypossiblesolution.Forthem,liberalismdidnot placeenoughstressonduties,failingtoinduceacivicconsciousnessinthesecommunities(cf.Bonn1999:24).

Allinall,thoseremarksgraspedanintrinsicweaknessattheveryheartofWesterndemocracies,acontradictionhandeddownbytheforefathersofliberalpolitical theorywhichcripplestheideaofmoderncitizenship.Whilereflectingupontheidea, Hobbes,andLocke,infact,identifiedthenotionofindividualismasthecoreconcept ofit:tomutuallyacknowledgeoneother,first,wemustgranteachothertherecognitionofindividualrights,conferredtothepersonbythelaw.

However,aslaterpointedoutbybothBenjaminConstantandbyAlexanderTocqueville,modernmassindividualism,favoredbycapitalism,pavedthewayforanew processofsocializationofpeoplewhich,albeitbreakingfreefromthefeudalism stalemate,threatenedtofactorizesocialinteractionstosingleatoms.Constantand Tocquevillewarnedusintheirstudiesagainstthepotentialrisksinherenttothisapproach:lossofsenseofbelonging,disinterestinthecommongood,and,finally, scornofthepubliclife.

Aswehaveseen,thosefears,disregardedforalongtime,eventuallymaterialized intheXXcenturyaroundtheworldopeningthedoorstototalitarianideologies.And yetinsteadofamendingtheoldmodel,mostscholarsandthinkersglossedoverits weaknesses.Onceavertedthethreatposedbytotalitarianismstothefreeworld, Westerndemocracies,eitherupsetbytheoldenemiesorfrightenedbythenewevil comingfromtheEastintheformofCommunism,revertedtotheoldliberalframeworkofsociallife.Inthiscontext,philosophers,andsocialscientists,includingPopperhimself,hunteddownthoseideas–andtheirproponents–consideredtobe“enemies”oftheopensociety.

Accordingtothesesinterpretations,somephilosophers’works,prophesiedthe forthcomingofanabsolutesocialorder.Amongothers–includingnonetheless thanPlatoandAristotle–Hegel’spoliticaltheoryoftheState,sincethepublication ofKarlPopper’sbook TheOpenSocietyandItsEnemies,hasbeenregardedasthe philosophicalideologybehindNazis’totalitarianproject.Infact,asclaimedbyPopper,theGermanphilosopher’snotionofnationstate,nourishedbytheillusionofan historicalfate,promotednothinglessthantotalitarianism,justifyinginsodoingthe institutionofaclosedsocietyinwhichthedemocraticprocesshasbeentorndown andpersonalfreedomshavebeenupendedwithit.

Whenin1815,defeatedNapoleononceandforall,theRestaurationwasinneed ofanideology,Hegelmetitsdesiresandhedidso,accordingtoPopper,byreviving thoseideas,liketribalismandteleologicalhistoricism,alwaysopposedtothenotion ofopensociety(tribalismdiscouraginganydialogicalencounterwiththeotherand teleologicalhistoricismprohibitinganyformofdissentwiththeviewoftheauthority)⁵.Notonlyhisideaswerewrong,forPopper,buttheyinspired–directlyorindir-

5 “Whenin1815thereactionarypartybegantoresumeitspowerinPrussia,itfounditselfindireneedofan ideology.Hegelwasappointedtomeetthisdemand,andhedidsobyrevivingtheideasofthegreatenemies oftheopensociety,Heraclitus,Plato,andAristotle”(Popper2013:245).

ectly–arenaissanceofStateauthoritarianism,fosteringthemodernformoftotalitarianismrepresentedbyNazismandFascism⁶.

Atthispointitiseasytounderstandwhy,inmyeyes,thisquarrelismorethana long-distancedisputebetweentwophilosophers:asamatteroffact,theclash betweenPopperandHegelis,inmyownopinion,theconflictoftwodifferentideas oftheState,ofhowweshouldthinkaboutacommunity,and–byextension–how weshouldorganizeit.Ontheonehand,Popperchampionstheliberalapproach,the preeminenceoftheindividualoverthecommunity,ofpersonalfreedomovercommongoods,whileontheotherhand,Hegelpresentsuswithanalternative⁷,centered ontheholisticunionofthecivicsociety,onmutualrecognitionratherthanatomistic disintegrationofthesociallife,apossibilityneverreallyembracednorexplored.

Nowadays,thelimitsoftheliberalapproach,onceagainobliviousofthecommongood,areerodingthedemocraticcoexistenceofourlivesputtingusinfrontof anHamleticcrossroad:toreducetheStatetotheroleofthejailerwhoadministers punishmentsaccordingtotheinfractionsoffundamentalrightsorrethinkitspositionanditsrelationshipwithcitizens.Itseemsurgent,today,theneedtorebuildnew foundationsfordemocracies,unlesswewanttogiveuptopopulismsandauthoritarianisms,buttodosowemustredefinetheideaofcommunityand,moreingeneral, howweintendtolivetogether.

Istronglybelieve–asIwillshowinthenextparagraphsandchapters–that Hegel,freedofanybias,cantrulyhelpusreshapeoursocieties.

1.2Enemiesoftheopensociety

Inadditiontohavingbeenagreatphilosopherofscience,KarlPopper,Austrian bybirthbutBritishbynaturalization,hasbeenoneofthemostinfluentialintellectualsoftheXXcentury.Insearchforacleardemarcationcriteriontodistinguishsciencesandpseudo-sciences,Popper,infact,formalizedthefalsificationprinciple, whosepostulate,consecratingtoscienceonlythoseformsofknowledgesusceptible tobedisproven,hasbeenforlongtimeatthecenterofepistemologicaldebatesin theacademicword.Bookslike TheTwoFundamentalProblemsoftheTheoryofKnowledge and TheLogicofScientificDiscovery certainlycontributedtomakePopperone ofthemainvoicesintheinternationalsceneofphilosophy,cementinghislegacyinsideandoutsidetheacademicsphere.

Although,thestudyandtheanalysisofthefalsificationprinciplefalloutofthe scopeofthisMasterThesis,itisratherimportantforthereadertoalwayskeepin mind,whenapproachingaphilosopher,theundeclaredassumptionsimplicitlydrivinghisorherthoughtprocess.Inourcase,Popperextendshisthesis– i.e. falsifica-

6 “Hegelianismistherenaissanceoftribalism.ThehistoricalsignificanceofHegelmaybeseeninthefactthat herepresentsthe«missinglink»,asitwerebetweenPlatoandthemodernformoftotalitarianism”(Ibidem).

7 ItisnotbychancethatcommunitarianthinkerssuchasCharlesTaylor,MichaelSandel,MichaelWalzer,and AlasdairMacIntyredrawtheirinsightsfromHegel(see§3.2and§3.3ofthisMasterThesis).Inanattemptto reconsiderthevalidityandsoundnessofliberalassumptions,communitarianismhaspresentedanalternative whichtriestocontrastthemodeldescribedbyclassicalliberalism.

Thetrialoftheprophet:theproblematicrelationshipbetweenHegelandNazism

tionism–fromonefieldtoanother,leavingtothereadertodecidewhetherornotto allowthisoverlap.Inthisregard,Iamoftheconvictionthatthisispreciselyalogical fallacy,overlookedbyscholarsandthathasledPopper–andlatertheacademicword –tomystifyHegel’ssocialconstruction.

Indeed,Popper,shiftingfromthestudyofscientifictheoriestopoliticalphilosophy,appliestheexactsamestrategyfromonefieldtotheother.Whileexamining theformsoftwentieth-centurytotalitarianideologies,Popperdevelopsacritiqueof illiberalregimes,identifyingthosethinkerswhosetheoreticalconstruction,insome wayoranother,denied–accordingtohim–anyformofcross-examinationor,bythe sametoken,anyformoffalsification.

Plato,Marx,andHegelhimself,allfellunderindictmentaspublicenemiesofthe opensociety.ForPopper,thethreeofthem⁸,infact,presentedperfectsocietiesfrom a“scientific”pointofview, i.e. whatisdesirableforeverymenandwomenonearth regardlessoftheircultureandtheirsocialcondition.Themainissue,opposedbyPoppertotheseprojects,istheimpositionofasetofvaluespresentedasabsoluteand irrefutable,auniversallawtobetakenforgrantedanytime,anywhere.

Onthecontrary,Popperclaimsseveraltimesthatanopensocietymustbeforthcomingtomultitudevalues,todifferentphilosophicalinterpretationsoftheword,to manysolutionsofconcreteproblemsandtothegreatestpossibleamountofcriticism(cf.Antiseri2018:4).Thisistheunderlyingprincipleoftheopensocietysomehowlinked,asmentionedbefore,totheideaoffalsification.Immunizedagainstthe mostsensationalrefutationsofitspredictions,todayMarxismisnotascienceany morepreciselybecauseitviolatedthefalsificationprinciple(cf.Antiseri2018:4).

NeithertheRepublicdesiredbyPlato,northeStatewantedbyHegel,andnot evenMarx’sCommunismfulfilltherequirementsofanopensociety,promoting,on theopposite,authoritarianismsanddictatorships.Allthreeofthemintendedsociety inatribal–orcollectivist–fashion,aplacewherepersonaldecisionsaredeniedfor thewell-beingoftheentiresocialbody.Popper’sdichotomyisquiteclearlydefined inhisbook:

Themagicalortribalorcollectivistsocietywillalsobecalledtheclosedsociety,and thesocietyinwhichindividualsareconfrontedwithpersonaldecision,theopen society(Popper2013:165).

Asclearlymentioned,thedistinctionbetweenthetwotypesofsocietyisstrictly connectedwiththefactthatinopensocietiesclassstruggleallowsmemberstorise socially,totakeplacesofothermembers,ortobereplacedthemselves,while,onthe otherhand,closedsocieties,Popperavers,areorganicunitinwhicheverysocialclass contributestothecorrectfunctioningofthebodybycarryingoutitsdutiescarefully assigned apriori (cf.Popper2013:165).Suchisthetripartitionoftheidealsocietyfor Plato,whereworkers,warriors,andguardiansmuststicktotheirrole;thesamegoes

8 Platopresentedtheperfectsocietyinhisfamous Republic;Marx’sideaofCommunismisexposedinworks suchas TheCommunistManifesto, DasCapital andthe EconomicandPhilosophicManuscriptof1844;finally, Hegel’sNationStatecanbefoundinthe ElementsofthePhilosophyofRight,andin thePhenomenologyofthe Spirit.

forHegel’sNationStatewithitsmonolithicinstitutions;andthesameappliesfor Marxaswell,whoseutopiansocietywithoutclassesfindsitselfparalyzedjustlikethe othertwocases.

Popperinsiststhatthesethinkers’disdainfordemocraciesledthem“todefend lying,politicalmiracles,tabooisticsuperstition,thesuppressionoftruth,andultimately,brutalviolence”(Popper2013:189).Theytransfiguredtheirhatredofindividualismandfreedomintoadreamofunityandcollectivismwhoseholismwasthe heritageofthespiritoftribalism⁹.OncereachedthefinalUtopia,allsortsofchange mustbearrestedanditssourcesquenchedforever.

Popperisoftheideathattheonlylessontobelearnedfromthoseauthorsisthe oppositeofwhattheytriedtoteachus¹⁰;alessonthatPopperwishestopassonover tothereader:therecommendedremedyproposedbythoseauthorswasworsethan theeviltheystrivedtocombat¹¹.Arrestingsocialandpoliticalchangewillneverbe theremedytocreateabetterfuture,norwillhelpusbringhappinesstoourlives¹².As muchasthisistrueandshareable,questionremainsifthosetheoriespreviouslycited reallypromotewhatPopperascribesthem.

Actually,withrareexceptions,Popper,ratherthancriticizingthemdirectlyonthe merits,chargesthemfromtheside,morespecificallyholdingthemresponsiblefor thehistoricaldistortionsoftheirutopiandreams.Otherwisesaid,insteadoffocusing ontheirtotalitarianism,Popperpayscloseattentiontothosehistoricistelements which,inHegel’scaseforexample,hadaninfluenceon20th centuryfascisms.Byand large,Popper’scritiqueraisesanobjectiontoHegel’sideaofholism,historicismand evolutioncontendingthefactthatthispositioncannotbephilosophicallydefended and,intheend,canonlypromotetotalitarianism(cf.Ateeq2020:351-352).

InthefollowingparagraphIwanttoarguethathistoricismis,infact,oneofthe mainweaponsusedbytotalitarianpropaganda,butthisdoesnotreallyaffectthe soundnessofHegel’sideasofcivilsociety,freedomand Sittlichkeit.Yes,itistruethat historicismoftendegeneratesintoirrationalism,howeverthosenotionshavetheir ownlives,and(asIwillshowinChapter2)canstandevenwithoutanyrefencetohistoricalplans.Oncedisconnectedthetwoissues,itwillbeeasierforustomoveforwardanddealwithHegel’stheoryofNationState.

1.3Historicismanditsfaults

Tryingtofindameaningoutofallthethingsthatwelivethroughisperhapsone ofourmostdistinctivetraitsashumanbeings.Surelyonecouldquestionhowlegitimatethisis,ifitisproperornot,butthefactremains:whenweexperienceunexpectedsorrow,weaskwhatthatisfor,whenwearecrushedbyasuddentragedy,we

9“Thisdreamofunityandbeautyandperfection,thisaestheticismsandholismandcollectivism,istheproduct aswellasthesymptomofthelostgroupspiritoftribalism”(Popper2013:188).

10 “ThelessonwhichwethusshouldlearnfromPlatoistheexactoppositetowhathetriestoteachus”(Ivi,p. 189).

11 “ExcellentasPlato’ssociologicaldiagnosiswas,hisowndevelopmentprovesthatthetherapyhe recommendedisworsethantheevilhetriedtocombat”(Ibidem).

12 “Arrestingpoliticalchangeisnottheremedy;itcannotbringhappiness”(Ibidem).

Thetrialoftheprophet:theproblematicrelationshipbetweenHegelandNazism

wonderwhy.Lookingbackatourliveswecannothelpourselvesbutseekforahigher scope,abiggerplantomakesenseofus,fromourfirstbreathafterbirthuntilthe verylastonebeforedeath.ItisinourontologicalDNA,whetherwelikeitornot.

Totellthetruththisdispositionisnotonlylimitedtoourlivesbutgoeswellbeyond itandcanbeeasilyrecognizedinmanyothercircumstances.Infact,thisatavisticinstincthasinspiredmanyphilosophers,scientistsandmoreingeneralallourstrivesto understandourpeculiarconditionofhumanbeings.Althoughthissentimentisgenuine mostofthetimes,sometimesitcanbeusedtoimposeonotherssomesortofdestiny toabideby,orevenclaimaspecialtaskforoneself.Inotherwords,history,andallthe eventswhichtakeplaceinit,aresaidtobeprogrammedforaspecificpurpose.

Thisisthecaseofhistoricismwhichdefinesanecessarydevelopmentofhuman historywhoselastendispresentedasthecrowningachievementofeverythingthat camebefore.TheendoftimeandtheuniversaljudgmentforeseenintheChristian Bibleisprobablythemostfamousinterpretationgiventohistory.UnliketheoldcyclicalviewoftimefavoredbyGreekphilosophers,Christianity,breakingwiththeold traditions,gaveadirectionandanendtothearrowoftime,whosedevelopmentcorrespondedtothegloryofGod,thepunishmentofsinnersandthefinalredemption oftherighteous.

Itdidnottakelongtoseethissameexegesisappliedtomoremundaneevents, tothesuccessionofkingsandqueens,tothewarsbetweenkingdomsandempires. Therebyhistorybecameformanythebackgroundofabiggerplan,onethatcouldbe seenandunderstoodonlywhenstudyingitfromthedistance¹³.

Inthisregard,KarlPopper,firstin ThePovertyofHistoricism andlaterin TheOpen SocietyandItsEnemies,arguesthatHegel’sphilosophyofhistory,alongsidethedialecticofhistoricalmaterialisminMarx,haveprovidedatheoreticaljustificationtothe twomajorpoliticaltotalitarianideologiesoftheXXcentury,respectivelyNationalSocialismoftheThirdReichandCommunismintheSovietUnion.FromPopper’sown pointofviewtheeschatologicaldeterminismofHegel’sphilosophyandMarx’s prophecyofasocietyfreeofclasses,infact,abrogatedanyresponsibilityofcitizens, effectivelyleavingthempowerlessinthefaceofanimplacabledestiny.

Whensocietyispresentedtohaveoneunavoidablefate,menandwomenare leftwithnoroleandasaconsequencecivilsocietyitselfisenervated,somuchsothat theonlypoliticalactorleftinchargeistheStatewithitsinstitutions.Forthisreason, Popper,whopersonallysawtheeffectofthesepoliticalschemes,warnedagainstthe desireofidentifying“inexorablelawsofhistoricaldestiny”(Popper2002:1).

Intheseworks,Popper,clearlyguidedbyhisfalsifiableapproachtoscientifictheories¹⁴,isafraidofsuchpseudo-propheciesdrawnwiththesolepurposeoflegitimizingadministrativeauthoritiesotherwisequestionablefromapoliticalstandpoint.To avoidanyformofdissent,totalitarianideologiespushedforward–amongother plots–theideaoftheirmessianictask,decisivenotonlyfortheircitizensbutforthe wellbeingoftheentireworld.Theirduty–whateveritwas–appearedtobeinscribed inthecourseofhistoryitself.

Thiscanbefoundinmanyideaspresentedbytheleadersoftotalitarianregimes. Forexample,BenitoMussoliniinhis DoctrineofFascism,wrotedown“TotheFascist, everythingisfoundwithintheState,andnothingcanormaybefoundoutsidethe State.Inthissense,Fascismistotalitarian”(Mussolini1935:13);and,movingon,he added:“Everythingwithinthestate,nothingoutsidethestate,nothingagainstthe state”(Mussolini1935:13)asiftosaythattheFascistgovernmentcametoencompasseveryaspectofpublicandprivatelifewithinit(cf.Carlini2013:100).Allstate organsbecameonethingunderFascism:asinglepartyappointedtointerpretthe people’swill¹⁵.Undersuchconditions,therewasnoneedforanythingelse.

NationalSocialismhadsimilarambitions,inthissense(cf.Martins2021:78).TheState, forAdolfHitler,wascalledtorealizeaeugenicselectionofthe“Arianrace”atanycost.

Thefundamentalprinciple–Hitlerwrites–isthattheStateisnotanendinitself butthemeanstoanend.Itisthepreliminaryconditionunderwhichaloneahigher formofhumancivilizationcanbedeveloped,butitisnotthesourceofthatdevelopment.Thatistobefoundintherace(Hitler1939:305)¹⁶

Onlyonceensuredthesuperiorityofthe“Arianrace”overtherestofhumanity, couldsocietyhavethrivedina“higherform”ofcivilization(cf. Hitler1939:305).

Curioushowhistory,ontheotherhand,wasmeanttobringabouttheendofthe StateforLenin,quitetheoppositewhencomparedtotheideapromptedbyNazism. ForLenin,conversely,followingMarx’steachings,theStateitself,asamanifestation ofthebourgeois,hadtobedismantled:

TheStateisaspecialorganizationofforce;itisanorganizationofviolenceforthe suppressionofsomeclass.Whatclassmusttheproletariatsuppress?Naturally,only theexploitingclass,i.e.thebourgeoisie.[…]Theexploitingclassesneedpolitical ruleinordertomaintainexploitation,i.e.intheselfishinterestofaninsignificant minorityagainstthevastmajorityofthepeople(Lenin2009:23).

Inanutshell:historywouldleadtothesocialistrevolution,thesocialistrevolutiontothedismantleofthebourgeoisState.

Tosumup,thethreetotalitarianideologiesherediscussedweaponizedhistory manipulatingitseventsinordertopresenttheirprojects–andthereforetheirleaders –asthefulfilmentofitspromises.Theyweretheonlyoneabletorealizetheseideas, andwhoeveropposedhadtobeeliminated.Therelationshipbetweenhistoryand politicsappealedtotheseregimes,justifyingtheiracts,glorifyingtheirleaders. Alongsidetheircultofpersonalitiesandtheirmonopolyofideologicaldiscourses(cf. FriedrichandBrzezinski 1956),theself-attributedhistoricalmessianismiscertainly oneofthemostprominentfeaturesoftheirpropaganda.

Itiscertainlyclear,atthispoint,thefallacy–rightfullypointedoutbyPopper–ofanyformofhistoricism:bytakingthingsforgranted,itstenet,claiminganunchanging

15 LelioBasso(Italiansocialist)wasoneofthefirsttounderstandthislogic.AlsoinRogerMoorhouse, “Introduction,” TotalitarianIdeologiesandDictatorshipinTwentieth-CenturyEurope,slideno.9,Collegeof Europe(Natolin),January31,2022.

16 AlsoinRogerMoorhouse,“Introduction,” TotalitarianIdeologiesandDictatorshipinTwentieth-CenturyEurope, slideno.10,CollegeofEurope(Natolin),January31,2022.

Thetrialoftheprophet:theproblematicrelationshipbetweenHegelandNazism

essenceofsocialreality,isnotfoundedonrationalgrounds(cf.Ateeq2020:352).This view,pairedwithholism,deprivessocialgroupsoftheirspirit,reducingsocietytoa mereaggregateofsingleatoms(cf.Arendt1973).It’strue:Hegel’shistoricismandholismareproblematic.ThepredeterminedmovementoftheSpirit(or Geist)followssuch astrictlogicinHegel’sworksthatisimpossibletobreakfreefromitschains¹⁷.Theworst consequenceofthismanifestitselfinhismetaphysicalinterpretationofreality,where everyscarinhistory,everyinjustice,and,ultimately,evilitself,nomatterhowcruelor ruthless,willbeatonedinthesynthesisoftheAbsoluteSpirit.Arathernaïveviewof humanvicissitudesandadisappointinganswertoourethicaldilemmas.

Nevertheless,weshouldnotgetridofHegelsoquickly.Letmeillustratemy pointwithacoupleofexamples,familiartoPopperandhisscientificknowledge.Pythagorashadbizarreideasabouttheuniverseandyetwedidnoterasehistheorem forthisreason;sameforCopernicus:hestillbelievedthatplanets’orbitaroundthe sunwascircular,but,onceprovedwrong,wedidnotdecidetotrashhissuccessful achievementwiththeoldpreconception.Wedidnotdecidetogobacktogeocentricismduetothefactthatthefatheroftheheliocentrictheorywasprovedwrong.In otherwords,themistakesmadebythinkerspresentingtheirgeneralviewdonotnecessarilycompromisethecogencyoftheirideasandtheirresultsifthosesameinsightscansomehowbesuccessfullytransferredtosolveotherissues.

Inthisrespect,Iamoftheconvictionthat,albeithisviewofthehistoricalcourse, theideasandconceptspresentedbyHegelinhisworks–especiallythoseconcerningsocietyandfundamentalethics–canstilltellushowtolivetogetherinacommunity,suchastheEuropeanUnion,manyyearsaftertheirfirstinception.

Mypurposeistodelvedeeperintothissubjectinthefollowingchapter.

2.Hegel’sdefense

2.1DialectictriadsinHegel’sAbsoluteIdealism

Intheentirehistoryofphilosophy–butmoreingeneralintheentirehistoryof everydiscipline–thereareonlyfewthinkerswhohavelefttheirnamesimprintedin thecollectivememoryofmankind,somuchsotoberespectedandveneratedbylaymenasmuchasbyscholars.YoudonotneedtoknowphysicstocomeacrossEinstein,noraliteratetoknowShakespeare.InthisregardGeorgWilhelmFriedrich Hegelisperhapsoneofthemostrenown–andsometimesevenfeared–namesin philosophy,alongsideKantandPlato,AristotleandDescartestonameafew.

Justlikeinthecaseofthosemen,Hegelchangedthetrajectoryofthediscipline tosuchanextentthatherepresents,withhismajorworks,averitablewatershedmo-

17“Buttheothersideofspirit’sbecoming,history,isaknowing,self-mediatingbecoming–spiritestrangedinto time;butthisestrangementisequallyanestrangementofitself;thenegativeisthenegativeofitself.This becomingpresentsaslowmovementandsuccessionofspirits,agalleryofimages,eachofwhich,endowed withalltherichesofspirit,movessoslowlyjustbecausetheSelfhastopenetrateanddigestthisentirewealth ofitssubstance.Asthefulfilmentofspiritconsistsinperfectlyknowingwhatitis,inknowingitssubstance,this knowingisitswithdrawal-into-itselfinwhichitabandonsitsBeing-thereandhandsitsshapeoverto recollection”(Hegel2018:§808).

mentinthehistoryofphilosophy.Onecouldproperlysay–withoutfearofbeing provenwrong–thatthereisaneraofphilosophybeforethepublicationofthe PhenomenologyoftheSpirit andaneraafteritspublicationin1807.Fromthatpointonward,infact,Hegelbecameadecisivepointofreferenceforeveryotherphilosopher, whocouldnothelpbuttostudyhislogic,ethicsandpoliticalthought.

However,despitehismonumentallegacy,Hegelhasbeenwidelyattackedbecauseoftherigidityofsomeofhisideasandnotions,deaftoanysortofcriticismand extremelyhardtosimplifyforthepublic¹⁸.Hissystematicphilosophy,whosepieces fittogetherlikeacomplicatedpuzzle,leavesnoroomforeasyinterpretations,and forcesthereadertogothroughthesamepassageoverandoveragainjusttofamiliarizewithhisideas,sometimescloudedbehindanintricatephrasing.

Topiercethroughhisreasoning–attimesobscureandhermetic–onehasto learnhowtohandlesomephilosophical“tools”,asetofinstrumentsrequiredto open,oneaftertheother,thedoorsofhismind.Hencetheimportanceofthedialectic¹⁹,thelogicbehindrealityitself,or,wecouldsay,themovementoftheAbsolute Spirit.KeepinginmindtheHegelianequivalenceofrationalandreal²⁰,thedialectic manifestitselfastheontologicallawofthedevelopmentofreality,and,atthesame time,thelogicallawofitstrueunderstanding.Realityisdialecticpreciselybecauseof itsinternalrationality.

Beyonditsphilosophicaltechnicalities,uponwhichalothasbeensaidinonesense oranother,themainaspectoftheHegeliandialectic,necessarytomoveforwardin thiswork(asitwillplayaroleinhispoliticalphilosophy),isitswell-knownthree-step structurewhichidentifythreemajormoments(orstages)intheevolutionofreality, orofanytypeofprogressforthatmatter,whetheritmaybephilosophicalorpractical:

- thefirststageisthe“abstract”moment(improperlyknownas“thesis”)whenwe conceivetheexistingintheformofamultiplicityofstaticdeterminationsseparatedfromeachother.Itisthelowestdegreeofunderstandingofrealityaswe cannotseethroughthe“abstract”lieoffiniteentities.Conversely,Hegelianidealismisfoundedontheidealityofthefiniteanditsultimatepeacefulresolutionin theinfinite,ortheAbsolute,whichisthesame(henceAbsoluteIdealism)(cf.AbbagnanoandFornero2009:913).

- thesecondstageisthe“negativelyrational”moment(alsoimproperlyknownas “antithesis”)whichshowshowthosedeterminationsareone-sidedandthey mustbesetinmotion.Afterall,everyaffirmation(ifwethinkaboutit)impliesa negation.Itisindispensabletoproceedbeyondtheprincipleofidentity(A=A) andtorelatethevariousdeterminationswiththeirrespectiveopposite(cf.AbbagnanoandFornero2009:913).

18 Forexample,ArthurSchopenhauersaidaboutHegelismthatitwas:“aschoolofdullness,[a]centerof stupidityandignorance,[a]mind-destroying,spuriouswisdom”(Schopenhauer1966:842).

19 Hegeliscertainlynotthefirstphilosophertoresorttothisnotion,alreadyusedbyEraclito,Plato,Aristotle, andKant,justtonamefew.ThetrueoriginalitywasinthewayHegelemployedthisconcepttoexplainreality itself.

20 “Therationalisreal,andtherealisrational”Asitwaspointedoutinthepreviouspages,thisrenowned passage,takenbythePrefacetothe PhenomenologyoftheSpirit,reconcilerealitywithitsownfaults, underplayingthegreaterethicalproblemofevil.

Thetrialoftheprophet:theproblematicrelationshipbetweenHegelandNazism

- finally,thethirdandlastmomentisthe“speculative”or“positivelyrational”(or improperlyknownas“synthesis”)inwhichwearefinallyabletocapturetheunity oftheoppositedeterminations.Nowitemergesthattheyareaspectsofareality whichencompasses(orsynthesizes)bothofthem(cf.AbbagnanoandFornero 2009:914).

EverythingisdialecticintheHegel’sconception.Thus,tothinkdialecticallyisto seerealityasaproceduraltotality,alwaysprogressingfromonestagetothenext one,upuntilthefinalreconciliationoftheAbsoluteSpirit(or Geist).Thedynamic makingoftheAbsolutetakesplaceinthreedifferentstages,theythemselvesreflectionofthedialectictriad:

- theideainitself(ansich)whichistheideaconsideredseparatelyfromanything else,unreflectiveandmerelypotential.Thisisthelogical-rationalbackboneof reality,or,toputitinHegel’sway,Godbeforecreation²¹.

- theideaforitself(fürsich)whichisnature,asthealienationoftheideainthe space-timecoordinates.

- theideainandforitself(anandfürsich)whichisthereturnoftheSpirittoitself throughhumanbeings’knowledge.

Thetaskofknowledgewillbe,forthatreason,touncovertheintricaciesofthese threeaspectsofreality,intheefforttodescribetheinternalprocessofitsprogress.To Philosophythemostimportantduty:tomanifesttheintrinsicrationalityofallofthis, tofindtheprovidentialnecessityateachstep,inshorttoreconciletheoppositionsin aperfectlyorderedpicture.TodosoPhilosophyisorganizedinthreedifferentdisciplinesinHegel:

- Logic, i.e. thescienceoftheideainitself.ThisstageisdescribedbyHegelasthe studyofGod’smindbeforecreation.

- PhilosophyofNature, i.e. thesciencewhichstudiestheideainitsalienationfrom itself.

- PhilosophyoftheSpirit, i.e. thescienceconsecratedtothestudyoftheideawhile comingbacktoitself.

Onceagainitiseasytospotthosethreerecurringstages,whichoutlinethedialecticstructureofourworldinHegel’sview.Oncepositanassertion,herecomesthe contradiction,finallyreunifiedinapositivesynthesis.Itshouldbeclearbynowthat thedialectic,forHegel,isnotjustaphilosophicalshenaniganbut,instead,thevery mechanismofreality,itstrueform,itsmostintimatedefinition,notjustonalarge scale,butineverysingleaspectofitsmaking,fromlogictonature,frommoralityto sociallife.

Inaspiralmotionwecanthereforedeepenourcomprehensionoftheworldfocusing,forexample,onthelaststagerepresentedbythePhilosophyoftheSpirit, whichinturnisdividedintothefollowingthreespecialistbranches:

- PhilosophyoftheSubjectiveSpiritwhereHegelanalyzeshumanbeingsintheir efforttomasterthenaturalnessofpassions.

21 “ItcanthereforebesaidthatthiscontentistheexpositionofGodasheisinhiseternalessencebeforethe creationofnatureandafinitemind”(Hegel1969:§50-53).

- PhilosophyoftheObjectiveSpiritwhereHegelstudiesthesocialstageofthispeculiarevolution,focusingonright,freedom,andpoliticalinstitutions.

- PhilosophyoftheAbsoluteSpirit,thefinalmomentwhentheSpirit,throughthe highestexpressionsofhumanknowledge(namely:art,religion,philosophy),becomesawareofitstrueabsolutenature.

Inlightofthesereasons,it’seasytounderstandwhyreadingthe Phenomenology oftheSpirit isjustlikereadingtheOdyssey,inasense(moreconvoluted,sure,butnot lessengaging):along-lastingjourneybackhome,whereinsteadofthelegendary kingofIthaca,themaincharacteristheSpirit,whichfindsitselfattheendofaquest fullofhurdlestoovercome.

Thisview,certainlyconciliarandpeacefulinitsownway,leavesroomforserious critics,someofwhichweremetquitequicklybytheGermanphilosopher.Marxhimself,togetherwithEngels,forexample,despitebeinginfluencedbytheHegelian idealism,neverreallyforgavethecanonizationandsanctificationofrealitycarried out,intheiropinion,inthe ElementsofthePhilosophyofRight (cf.Abbagnanoand Fornero2009:910).Allinall,Popper’sdisownofHegel’sideafollowsthisverylong tradition,additionallyexacerbatedbythehorrorsoftheSecondWorldWar,somehow linkedintheauthor’smindtothissetofphilosophicalprecepts.

Eventually,themercilessportraitofHegelspreadbyPopper'sworkwasshattered inthe1970sbyMacIntyre'scollectionofessays,simplyentitled Hegel,andbyAvineri's Hegel'sTheoryofModernState,whichtogetherproposedanewimageoftheHegelian thought,onewhichIwillheavilyrelyonforthissecondchapter(cf.Avineri1972).Yet again,toseewhyHegel’spoliticaltheoryisstillsignificanttothisdaywehavetorise uptoanewdialecticlevel(theoneoftheObjectiveSpiritandsocialinteractions),a vantagepointfromwheretolookoutathisphilosophicaltopology.

2.2TheObjectiveSpiritandtheproblemoffreedominmodernsocieties

Asmentionedinthepreviouschapter,theObjectiveSpiritforHegelisthecollectivestageofthedevelopmentofthe Geist inwhichhumanbeings,freeingthemselvesfromtheimmediacyofthewill,enteraworldgovernedbylawsandduties, whichdisciplinetheirsocialinteractions,thusdrawingawell-definedlimittotheir personalfreedoms.Outofthestateofnature,peopledonotindulgeinanabsolute freedomanymore(whatKantcalled“freewill”inthenegativesenseofafreedom withoutanysortofconstraints)(cf.Kant2015),andtheystartrecognizingeachother asmembersofasharedcommunity,wheretheiractionsfindalimitinthedignityof theotherperson.

Onlyatthispointhumanbeingsbecometrulyfree(inapositiveway),andpeople risetothehigherstatusofcitizens.Leftbehindprimalanimalspiritsandirrational sentiments,theiractionsarenowgovernedbythepracticalreason,andtheyfinda coherentcontextintheintersubjectiverealityofsocialinstitutions.Forthepurposes ofthisthesis,theObjectiveSpirit(givenwhatwejustsaidaboutit)isthecenterof gravityofourpoliticalanalysisofHegelianthought,afactthatrequiresustostudyin

Thetrialoftheprophet:theproblematicrelationshipbetweenHegelandNazism

deptitsarguments,whichcannotbeseveredfromthedialecticstructureoftheAbsoluteIdealism,inspiteofPopper’sconclusions.

PreciselyinthesepassagesHegelimpeachesmodernsocietywithitspotentially disruptiveaspirationstoanabsolutefreedom,directlyproducedbythesameatomismwetalkedaboutinthepreviouschapter²².Whenlookingaroundtothesocial constructionofhistime,Hegelseesapre-socialcoexistenceamongpeoplewho claimtherighttoanabsolutefreedom,onthecontrary,regardedbytheGerman philosopherasanoppressiveformofhomogenizationperpetratedbyEnlightenmentingeneral,andmorespecificallybytheFrenchRevolutionin1789²³.Indeed, whenfreedomisreducedtoasimplechoicebetweencompetingdesires,itcorrupts intoasterileandemptynotion,dangerousforsocietyaswellasforitsinhabitants,for whomnomoralrulestandsout.

Instead,freedom,initsfullestmeaning,requiresathoughtfulchoiceinscribedin amoralspacewherethe“I”meetsthe“Other”inarelationshipofmutualrespect.Therefore,ourchoicesandouractionsarenotcompletelyunrestricted,asthepersonin frontofuspresentsuswiththemoralobligationofrespectinghisorherdignity,what canbeconsideredtheethicaldutyfoundinganycohesivesocialconstruction.Atthis point,weunderstandthatforfreedomtoceasebeinganabstractdreamandbecome astablestanceofourlives,itmustbecomearelationalconcept,accordingtoHegel.

However,thisethicalinclinationtowardsformaluniversalityremainsempty,incapableofsubstantiatetherealworld,beforetakingtheshapeofpoliticalandsocial institutionsinourcommunities.Inotherwords,moralobligationsevenwheninteriorizedbypeople,stillrequiretakingonthephysicalformoftheState,withoutwhich allthegoodintentionswouldremain flatusvocis inHegel’sopinion.TheState,therefore,becomesaconnectionbetweentheindividualandthecommunityonthelevel ofaconstitutionalstructure(cf.Speight2008:83).

Thenandonlythen,freedom–a“situated”typeoffreedom,Hegelwouldsay–becomesthebedrockofsocialinteractions,channelingadialogicencounterinwhich wearenotovercomebypersonalinterestsorutilitarianrelations,butinsteadweare recognizedforwhatwetrulyare:citizensofacommonsociety,wheremembers,despitethedifferencesamongthem,knowtobepartofsomethingbiggerthantheir ownego.Eventhoughwewillreturnonthisinthenextchapter,Iwanttotakethis opportunitytostressthispoint:hereHegelisnotjustputtingforthaphilosophical syllogism,heisrethinkingtheideaofcommunitybehindoursocieties,takingtheold individualisticapproachadvancedbyLockeandHobbes(aswesawinthefirst chapter)replacingitwithanewunderstandingofhowtolivewithoneanotherina socialspacecenteredonamoreauthenticinterpretationoffreedom.

22 “DisentangledfromHegel’sparticulartheoryofsocialdifferentiation,thebasicpointofthiscritiqueisthis: absolutefreedomrequireshomogeneity”(Taylor1979:111).

23 “ThisdevelopmentreachesitsculminationintheEnlightenmentandinitsbeliefinthealmostunlimited capacityofhumanreason[…]”“HegelthusseestheFrenchRevolutionastheculminatingattempttorealize thedictatesofhumanreasonintheworld[…].Hegelsawitasanattempttoremakesocietyentirelyaccording totheprescriptionofhumanreason,withoutanyrelianceonauthorityorontheshapeofthingsevolvedby tradition”.(Ivi,pp.98-100).

Asitclearlyemergesfromwhatwehavebeensayingsofar,freedom–justlike anythingelseinHegel’sphilosophy–isnotastatic,unchangingnotion,butitflows andtransforms,undergoinganimportantprocessofdialecticevolutioninthesteps oftheObjectiveSpirit²⁴.Justlikethepreviousstages,theObjectiveSpiritisarticulatedinthreeprogressivesteps,startingfromanincompleteandpartialabstraction, goingallthewayuptoamoresignificantone,amomentoffullawarenessandselfpresenceoftheSpirit,nowmatureenoughtograspitstruebeing(cf.Boldyrevand Herrmann-Pillath2012:177-202).Itisnotdifficulttoseehowthisevolutionmirrors, inHegel’sidea,theprogressofhistoryitself,hencethecloseinterconnection betweenhishistoricismandhisdialecticsoviolentlycriticizedbyPopper.

Nevertheless,aswesaidmanytimes,theteleologicalmessianismofhistoryin Hegel’sidealismdoesnottakeawaythemeritsofhispoliticaltheory.Indeed,theprogressionarticulatedbythedialectictriadoftheObjectiveSpiritpresentus,byand large,withanalternativetotheliberalapproachfoundedonegotismandabsolute freedom,atypeofcoexistencethatcannotbepursuedanymoreatapersonallevel. Insteadofjustbeingpleasedbytheliberalarrangementofindividuals,internalcontradictionofmoderndemocracies,Hegelgoesthreestepsfurthergivingsocietiesa trulycommunitarianasset.

Hemanagestodosobyconnectingthreedifferentmoments:

- Abstractright²⁵ whichistobeconsideredasanexternalconstrainttopeopleand citizens,followedonlytotheextentthatisenforcedbypunishmentincaseof infringement.Itsexplicitandimplicitnormsarenothingmorethanasetoftenets,notreallyunderstoodbythecollectivity,andyetirrefutableinordertohave socialinteractions.However,freedomisstillpervertedbyablindpersonalism²⁶.

- Morality²⁷,thestageatwhichlaws,inviewoftheirrationality,areinteriorizedby theperson.Herefreedom,abandonedthearrogantambitionsoftheabsolute individualism,becomesasituatedtypeoffreedom,fullyawareoftheOther.

- Ethicallife²⁸ (Sittlichkeit),thefinalsynthesiswheresocialinstitutionssuchasfamilies, civilsocietyandStatesallowforthecompletesignificationofcitizens’lives.Now theiractionsareinscribedinthebiggerpictureofasocialcontext,andtheirexistencesacquireahigherscopeirreducibletothatofanimalsandthenaturalworld.

24“Thebasis[Boden]ofrightisthe realmofspirit ingeneralanditspreciselocationandpointofdepartureisthe will;thewillis free,sothatfreedomconstitutesitssubstanceanddestiny[Bestimmung]andthesystemofright istherealmofactualizedfreedom,theworldofspiritproducedfromwithinitselfasasecondnature”(Hegel 1991:195).

25“Personalitybeginsonlyatthatpointwherethesubjecthasnotmerelyaconsciousnessofitselfingeneralas concreteandinsomewaydetermined,butaconsciousnessofitselfasacompletelyabstract“I”inwhichall concretelimitationandvalidityarenegatedandinvalidated”(Ivi,p.68).

26 Cf.ThomBrooks, TheStanfordEncyclopediaofPhilosophy,onlineed.,“Hegel’sSocialandPoliticalPhilosophy.” 2021,https://plato.stanford.edu/archives/sum2021/entries/hegel-social-political/(consultedon10.09.2022).

27“Thesecondsphere,i.e.morality,thusrepresentsinitsentiretytherealaspectoftheconceptoffreedom.The processwithinthissphereissuchthatthewillwhichatfirsthasbeingonlyforitself[…]issuperseded.This movementisaccordinglythecultivationofthegroundonwhichfreedomisnowestablished,i.e.subjectivity” (Hegel1991:135).

28 “Ethicallifeisthe Ideaoffreedom asthelivinggoodwhichahsitsknowledgeandvolitioninselfconsciousness,anditsactualitythroughself-consciousaction.[…]Ethicallifeisaccordinglythe conceptof freedomwhichhasbecometheexisting[vorhandenen]worldandthenatureofself-consciousness”(Ivi,p.189).

Thetrialoftheprophet:theproblematicrelationshipbetweenHegelandNazism

Whenthereaderputsthesenotionstogether(alongsidewithamoregeneralunderstandingofHegelianIdealism)itclearlyemergesthecomplexityanddepthof Hegel’spoliticaltheory,especiallywhencomparingitwiththeliberalapproachprevailingnowadays.DisappointedbytheturnofeventspromptedbytheEnlightenment,andmostofeverythingbythereignofterrorwhichfollowedtheFrenchRevolution²⁹,Hegel’sprojectappearsclearwhenputintocontext:overcometheatomisticindividualismandpresentuswithanalternativetotheliberalinterpretationof civilization.

Let’sseehowhemanagestodoso.

2.3 Sittlichkeit:Family,CivilSociety,State

Freedom,community,democracyandState:behindthesenotionswecanfind themostsignificantchallengesofourtimes,whosemostrecentevents,sincethe turnofthemillennium,haveshakentheverygroundsofhowwelivetogetherinsociety.Globalizationandmulticulturalism,acceleratedbyanevermoreinterconnectedworld(bothphysicallyandvirtually),putus,infact,infrontoftheuncomfortable truththatcertainoldideaswetookforgrantedaremoreuncertainandnuancedthan wethoughtinthefirstplace.

Thisispreciselythereasonwhy,nowadays,probablymorethaneverbefore, Hegel’spoliticaltheoryprovestobemoreuseful–andurgentinasense–thanitwas imaginedinthepast.LonggonearePopper’sdayswhenwecouldhaveeasily dumpedhisthoughtsonthebasisofasummarytrial;today,democracy’sweaknesses,duetowhichitfindsitselfinaperpetualstateofcrisis,cannotbesettled downbyalimitednarrow-mindedapproach.Theriskistoodangerous,thepriceto paytoohigh:forthesakeofwhatweholdmostsacredtoourhearts–i.e.freedom–wearecalleduponamoreseriousanalysis,onenottarnishedbywitlessbiases.

ThepicturepaintedbyHegelbecomesmoredetailedandcleareroncereached theleveloftheEthicalLife(whathereferstowiththeGermanword Sittlichkeit)³⁰.As mentionedinthepreviousparagraph,thisisthedialecticstagewherecertainsocial institutions–namely:families,civilsociety,States–formthecontextwithinwhich citizenscanenjoythecovetedautonomybroughtforthbyasituatedfreedom.Asa matteroffact,inHegel’stheoreticalframeworktheauthenticexpressionofaperson canonlytakeplacewithinthelegislativelimitsofastatewhichtakesontheethical tasktoestablishthenormativesourceofrightsandduties³¹.

Itisimportanttorecognizeit:inthehistoryofmodernphilosophy,Hegelisthe firstgreatthinkertohaveshiftedthepoliticaldiscoursefromthesingleperson(from

30 “ThedoctrineofSittlichkeitisthatmoralityreachesitscompletioninacommunity”(Taylor1984:178);and again“ThedoctrinewhichputsSitcclichkeitattheapexofsocialliferequiresanotionofsocietyasalarger communitylife[...]inwhichmanparticipatesasamember”(Ivi,p.180).

31 “Abindingdutycanappearasalimitationonlyinrelationtoindeterminatesubjectivityorabstractfreedom […].Theindividual,however,findshisliberationinduty.Ontheonehand,heisliberatedfromhisdependence onmerenaturaldrives[…];andontheotherhand,heisliberatefromthatindeterminatesubjectivitywhich […]remainswithinitselfandhasnoactuality.Induty,theindividualliberateshimselfsoastoattain substantivefreedom”(Hegel1991:192).

the“I”)tothecommunity,redefiningidentityinthenewsocialsenseofthe Sittlichkeit.Peoplefindanimportantdimensionoftheirlivesonlyasmembersbelongingto aparticularcommunity,andwhentheyare–forwhateverreason–rootedoutof thoserelationshipstheylosethemostimportantpointofreferenceintheirlives³².

Finally,westernphilosophyreckonedtheimportanceofarelationalparadigmin socialtheoryandfundamentalethics,breakingdowntheclaustrophobicwallsofa subjectivisticinterpretationofhumanbeings.Theidea,initiallyproposedbythe Cartesianrevolutionofthe cogito (cf.Descartes1990),centeredontherationalistic discoveryofthe ego,andthatlaterinformedtheLockianandHobbesianliberalapproachtopolitics,eventuallyfoundavalidalternative,oneinwhichthesingleperson perceivehertruemeaninginthedialogicencounterwiththestranger.

Inthissense,contrarytowhatPopperhadtosayaboutit,Hegel’sphilosophyof right,enlightenedbythenotionof Sittlichkeit,canhelpusunderstandthediscomfort ofmoderndemocracy,andonceidentifieditsillness,thesametheorycangiveusa newlanguagethroughwhichrethinkpublicethicsinacommunitarianway.Obviously,ifweapproachedthistheorywithourpreconceivednotions,thenwewould notgetmuchoutofit;wewouldonlybeannoyedbyideasandnotionsperceivedin directcontrastwithliberaldemocracy,whichiswhatPopperdid.

Forexample,whenPopperlaments(inchapter12ofthesecondVolume)thatin Hegel’sdoctrine“theStateiseverythingandtheindividualisnothing,forheowes everythingtotheState”(Popper2013:246)heclearlyexhibitsasuperficialmisunderstandingofHegel’sphilosophyforneverinhispagescanbefoundsuchanutterance, whichisamanifestdistortionofhisauthenticview.Infact,individualcitizens’lives, althoughhavingadignityoftheirown,absorbahighermeaningonlywhenelevated tothesocialcontextofacommunity.Usingthedialectictriad,wecouldsaythatto preservetheirhumanity,people(thesis)havetomeettheother(theirantithesis)establishingwiththeotherasortofcompromiseorreconciliation(synthesis)supersededbytheState(anditsinstitutions).

Thephysicalandspiritualexistencesofpeoplefindtheircompletionatthislast stage,butthisdoesnotauthorizeforanyformoftotalitarianisminHegel’spolitical theory.WhenPopperwritesthatHegel’stheory“maysufficetoshow[…]theabsolutemoralauthorityoftheState,whichoverrulesallpersonalmorality,allconscience” (Popper2013:246)hemisreadsonceagaintheroleofthisinstitution vis-à-vis itscitizensandthecivilsociety:theState,infact,doesnotcrashthemoralpersonalityof thepeoplebutitrathergivesthemasocialcontextinwhichtheirconscience–otherwiselefttothemercyofperverteddesires–canachieveaworthwhileaccomplishment.OutsidetheStatepeopleareashapelessmultitudenotbecausetheirlives

32 “WhatHegelissearchingforissomethingnotmuchdifferentfromthatwhich,inhistheologicalwritings,he hadfoundintheancientpolis:theconsciousnessofbelongingtoacommunity,thatfeelingwhichwouldnot viewthecommunityinmerelyinstrumentalterms.Belongingtosuchacommunity,toapeople,isforHegel 'absoluteethicallife'(absolute Sittlichkeit)notbecausethepeoplerepresentassuchanyabsoluteethicalidea, butbecausethismembershipisabsoluteratherthanrelative,itisitsownendratherthanameremeans” (Avineri1972:84).

Thetrialoftheprophet:theproblematicrelationshipbetweenHegelandNazism

meannothing,butprimarilybecausetheindividual’struefulfilmentcanonlytake placeinsidetheseborders³³.

Topositthe“I”asastaticthesis–justlikeliberalismdoesinitsclassicalview–concretelymeanstoisolatethepersonfromanypossiblesocialrelationship,asortof invitro studythatisgoodfornothingbuttheoreticalspeculations.Thedemocratic arrangementthatcomesoutofthispresentsuswithachronicallyweaksociety,worn outbyegoismandatomism.WhywouldIgetinvolvedincivilsocietydebates–or politicalmovements,forthatmatter–ifmypersonalhorizonbarelystretchestoincludemydears?Civilsociety–ifthereisoneleftinourtime–issadlythesphereof whatwecouldcall“universalegoism”whereeverybodytreatstheothersasamean fortheirownends(cf. Avineri1972:134).

Whilestudyingthetopographyofsocialenvironments,Hegelwasoneofthefirst philosophertoconceptualizetheideaofcivilsocietyasaspacecutoutinthehiatus betweenfamiliesandtheState.Inthecivilsocietycitizens,nowoutoftheunityofthe family³⁴,engageinadialecticrelationshipwithoneotherintheattempttorealize personalintereststhroughinter-actionsinthecontextofmarketmechanisms(cf. Avineri1972:147).Civilsociety,whose“creation[…]belongstothemodernworld, whichforthefirsttimeallowsalldeterminationoftheIdeatoattaintheirrights” (Hegel1991:220),thusbecomesthearenawherecitizenspursuetheirself-interest learningatthesametime“thevalueofgroupaction,socialsolidarityandthedependenceof[their]welfareonothers”(Pelczynski1988:364).

Theresultingsystemofsocialinterdependences,inwhichthewellbeingandsubsistenceofpeopleareinterwovenwiththewellbeingandsubsistenceofeverybody else(cf.Hegel1991:221),educateandprepareindividualstoactivecitizenshipinthe politicalforaofthesociety(cf.Pelczynski1988:364).Fromherethedialecticevolution oftheObjectiveSpiritmustfindtheultimatesynthesiscapableofsubsumingthetwo momentsoffamilyandcivilsociety:thisiswheretheState,togetherwithitsinstitutions, comesintoplay.

Contrarytotheclassicalliberalapproach³⁵,whichseestheStateasthearrangementtosafeguardpeople’sself-interest,HegelrethinkstheStateasamodeofrelating toeachothergroundedonsolidarity,insteadofafruitlessutilitarianarithmetic(cf. Avineri1972:134).This“universalaltruism”,inasenseanalogoustothebondsamong themembersofafamily,isnotlimitedbybiologicaldeterminationandyetittightens citizensinasolidcommunity,wherewecareforoneanother,awarethatourwell-being iscloselylinkedtotheoverallhealthstateofourcollectivity(cf.Avineri1972:134).

33“Theall-powerfulStateinwhichtheindividualcountsfornothing[…]would,inhisview,bejustananalogue ofSchelling’sAbsolute–«thenightinwhichcowsareblack»”(Popper2013:61).

34 Cf.Brooks,op.cit.

35 ThefundamentalprinciplesofclassicalliberalismasapoliticaltheorywereenouncedbyJohnLockein The TwoTreatiesofGovernment. Histheoryofsocialassociation,despitebeinginfluencedbyThomasHobbes’social contract,doesnotcontemplatethepossibilityofanabsolutepowerliketheonesuggestedinthe Leviathan, whoseauthorpresentsarathermonisticviewoftheState.In TheTwoTreatiesofGovernment,oftenconceived astheheraldofmodernconstitutionalism,JohnLocke,verymuchaffectedbytheeventsoftheStuartdynasty inEngland,claimsthatthetaskoftheStateisthepreservationofcitizens’interestsandrights,otherwisevery muchatriskintheabsenceoflaws. Cf.Hobbes1996,andLocke1988.

Offcourse,iftheseideasweretobetakentotheextremestheywoulddegenerateintoformsofauthoritarianismifnottotalitarianismbut,inthesincereintentions oftheirauthor,theyweremeantfortheveryopposite.Indeed,thosenotions,aswe sadlyknow,havebeenunfairlyreclaimedby–orassociatedwith–totalitarianideologies,but,asIwillshowinthenextchapter,theycrippledHegel’spurpose,which, conversely,couldbeusednowadaystorethinkatighterEuropeancitizenship.

3.Acquittalverdict

3.1Hegel:betweenPrussianismandNazism

Atthispoint,havingpresentedbothHegel’spoliticaltheoryandPopper’sown interpretationofit,itshouldappearatleastproblematictheoverlysimplisticaffinity perceivedbetweenHegel’sAbsoluteIdealismandNaziideology.Notonlythisis ruledoutbyasimpletemporalsuccessionimpossibletoreverse,butalsobecause thecoreofwhatbecameNazismstemmedfromaverydifferentpoliticalandideologicalsoil.Iwanttobestraightforward:Hegel’sconceptualizationoftheState,despite thejudgmentofposterity,doesnotdirectlyimplyanauthoritariangovernment, neitheratotalitarianideologyliketheoneimposedbyAdolfHitlerandtheNazis.

Onthecontrary,IbelievethatHegel’sunderstandingoftheStateandtherelationshipsbetweenitsinstitutionsanditscitizensareverymuchdifferentfromwhat wehavebeentoldbyPopperandhisfollowers,those,inshort,whowanted–maybe blindedbystubbornbiases–toerasetheGermanphilosopher’slegacy.AsIproved inthepreviouschapter,Hegel’sbooksandworksdonotprovidearationaleforthis kindofreading.Nonetheless,itremainstobeseenwherethissentimentcamefrom, andwhathistoricalprovesorevidenceshavebeenpresentedtosupportit.

Firstandforemost,oneofthemainsourcesofthismisunderstandingistheauthor’sassociationwithPrussia,wherehelivedinthecapital,Berlinfrom1818untilhe passedawayin1831.WhenGermanywasunifiedthankstotheroleplayedbyPrussia, Hegelsuddenlybecame,accordingtomost,thechampionofGermannationalism (cf.Avineri1972:115).Hegel’spoliticaltheorythenquicklybecamesynonymousof PrussiannotoriousassertivevaluesofcombativeTeutonicpragmatism,embodiedby FrederickIItheGreat(1712–1786)(cf.Johnson1996:74).Discipline,order,duty³⁶: thosewerethecardinalvirtuesofthePrussianmilitaryorganizationwhichextended toboththeStateandsociety(cf.Johnson1996:111).

TheGermanunificationof1871realized–aswesaid–undertheauspiceofPrussia,ledtowhathasbeendenotedasthePrussificationofGermany,oftenrecognized astherootoftheaggressivetemperamentofGermannationalismpropagatedbythe authoritarianstructureofaStateinwhichobediencewaselevatedtomoralcommandmentofprivateandpubliclife(cf.Johnson1996:112).Forthe“subordinative mentality”,doingone’sowndutyinPrussiawaselevatedtothepointthattheexecutionofcommandswasperformedevenbeforetheorderswereexplicitlystated(cf. Johnson1996:113).

Thetrialoftheprophet:theproblematicrelationshipbetweenHegelandNazism

Averyinterestingandthought-provokinginterpretation,exceptforonedetail: thatHegelhimselfdismissedthemodelpresentedbytheoldunreformedPrussia pre-1806(cf.Avineri1972:116).Tohimthatconstructionwasadepersonalized mechanism,alifelessformofdespotism(cf.Hegel1964)asopposed,ontheother handinstead,tothepost-1815Prussiawhichrepresentedthepromiseofacohesive sociallifeinamodernandefficientState.Yet,Hegel,inspiteofwhathavebeensaid bymanyofhisgulliblescholars,wasnotablindtoadyofthePrussianmonarchy.

ThatiswhyduringBismarck’sGermanunification,HegelhimselfwasusedtojustifyPrussianstate’snationalism,and–attheverysametime–theliberalpolitical movement,ignitingwhatcanbereferredtoasan“HegeliantraditionofGermanliberalism”(Megay1958:298-317).Twootherwisedifferentpoliticalapproachmetundertheshadowofthismonumentalphilosophergivingusasenseofhowcomplex anddiversethereceptionofhistheorywas,especiallyinhismotherland.

KnowingHegel’sphilosophicalunderstandingoftheideaoftheState–which westudiedinthepreviouschapter–itshouldbynowbeclearhowtheaffinity,often takenforgranted,betweentherationalStatepresentedinhisworkandthePrussian experimentoftheXIXcenturyisnonsense,andalso–Iwouldsay–unjustifiedfor biographicalreasons(cf.Avineri1972:116).Infact,HegeldidnotpresentPrussiaas theapotheosisofsocialandpoliticalinstitutionsjusttopleasethereactionaryand conservativemonarchyofthatcountry,butinsteadoftenremarkedhowbureaucraticallydeafthissystemwasbeforeitscitizens.

Ifthisrelationshipnowappearsmoreloosenthanatfirstglance,itwillbeeasier tounhingeHegelfromHitler’sNazism–orNational-Socialismingeneral,forthat matter–beingthisideologyevenfurtherawayfromhispositionsthanPrussianism wasathistime,bothfromaphilosophicalpointofviewandachronologicalone.In fact,theteachingsandpoliticalideaspresentedinthe ElementsofthePhilosophyof Right,whencomparedwiththetotalitarianideologiesoftheXXcentury,aredangerouslyreminiscentoftheirproposals(cf.Knox1940:62-63),ifandonlyiftheyareestrangedfromtherestofhissystematicidealism.

Noreader,nomatterhowbiasedormyopic,haseverbeenabletopinpoint Hegel’sapologiaforthemostcharacterizing–andmostterrifying–aspectsofNazi ideology.TotalitarianStates,asintheThirdReichcase,wereneverreallyconceivedto host“subjectivefreedom”nortosafeguardsocialinteractionsinthecivilsociety(cf. Knox1940:62-63),whichinsteadwasdrainedanderasedfromthepoliticaldebate betweeninstitutionsandcitizens.Ifanything,totalitarianisms,andNazisminthis particularcase,ledtotheatomizationofstructurelessmasses³⁷ inwhichindividuals wereisolated“withoutanyothersocialtiestofamily,friend,comradesorevenmere acquaintances” (Arendt1973:323).

Nowhereinhisbookscanwefindthecraveforthesuppressionofindividuality northewishforsecretpolicetocensurepersonalconscience,whileitisasserted

37 “Hitler’saswellasStalin’sdictatorshippointclearlytothefactthatisolationofatomizedindividualsprovides notonlythemassbasisfortotalitarianrule,butitiscarriedthroughtotheverytopofthewholestructure” (Arendt1973:407).

manydifferenttimesthat“TheStateistheactualityofconcretefreedom” (Hegel1991: 282) wherefortheauthor“concretefreedom requiresthatpersonalindividuality[Einzelheit]anditsparticularinterestsshouldreachtheirfull development andgain recognitionoftheirright foritself[…]” (Hegel1991:282).Anysuchcriticismaccordingto whichindividualsdonothaveanysortofdimensioninHegel’spoliticaltheoryare evidentlyoutofthephilosophicaltrackslaiddownbytheauthor.

Ergo,Hegelwouldhavenevertoleratedanyofthosetotalitarianapparatusesand mechanismswhichwereputinplaceinGermany,forexample.Allthemore,he wouldhaveabhorredtheantisemitismthatpoisonedbothpoliticsandcivilsociety withracialdiscriminationssovileandsoinhumanetohaveaffectedtheveryunderstandingofhumanityforever.Hegel,instead,callsfortoleranceexhibitingarare awarenessregardingJewsemancipationforhistime,asshownbythisparagraph takenfromthe ElementsofPhilosophyofRight:

Itispartofeducation,of thinking asconsciousnessoftheindividual[desEinzelnen] intheformofuniversality,thatIamapprehendedasa universal person,inwhich [respect] all areidentical.A humanbeingcountsassuchbecauseheisahumanbeing, notbecauseheisaJew,Catholic,Protestant,German,Italian,etc.(Hegel1991:240).

Andhegoesontosaythat:

Jewsareprimarily humanbeings;thisisnotjustaneutralandabstractquality[…], foritsconsequenceisthatthegrantingofcivilrightsgivesthosewhoreceivethem a“self-awareness”asrecognized legal [rechtliche]personsincivilsociety(Hegel 1991:295-296).

No,Hegelwasnoprophetoftheswastika,andheneverwishedfortheadventof suchatotalitarianstateinhiswritings.Hisideas,shareableornot,donotadvokefor anautocraticstate,norforpersonalrepression,letaloneforracialdiscrimination.Instead, wecouldtrytofollowhispath,nowthatweknowhismainideas,andseewhatkind ofsocietywecanbuilduponthem.InthenexttwoparagraphsIwillpreciselydoso.

3.2Hegelandcontemporarypoliticaltheories

Atthispoint,takingintoaccountwhathasbeenpresentedsofar,wecanassume Hegeltobeexoneratedfromanypossiblecollusion–directorindirect–withthose infamousaccusationsthatpledgedhispoliticaltheory,closelylinkinghisideastothe totalitarianideologiesoftheXXcentury,andamongthemtoGermanNational-Socialism.Sure,Hegel’sconceptualizationisfarfrombeingperfectorimmunetocriticism,forhisuncompromisingstanceonsomeissuesendsupbeinganinsurmountablewall,nottomentionhishistoricism,afictitiousnarrativealtogether.Andyet,I haveallthesametheconfidencethatwefreedhimfromeveryallegation.

AfterhavingcarefullyconsideredPopper’sinterpretationofHegel’spolitical philosophyaspresentedinthesecondvolumeof TheOpenSocietyandItsEnemies, wedenotedhowthisanalysesactuallydonotholdthewaterhavingnogroundson Hegel’sveritablejudgements.Popperinsteadoffindingfaultsinhisphilosophical

Thetrialoftheprophet:theproblematicrelationshipbetweenHegelandNazism

ideas,attacksamoregeneralapproachoftheGermanthinker,leaving defacto intact hismainnotions(liketheObjectiveSpiritandtheroleoftheState).

Fromthere,wethenproceededinthesecondchaptertoprobeandinvestigate Hegel’sAbsoluteIdealismuncoveringitsmostsalientinferencesonpoliticalphilosophyandtheoriesofjustice;whatHegelmeanswhenhetalksabouttheStateor civilsociety,whathehasinmindwhilethinkingabouttheObjectiveSpirit.Inthose paragraphsitemergedamuchmorecomplexpositionoftheauthor,whosenotions ofcommunityandStateareatthehearthofourmodernunderstandingofsociallife.

Finally,inthefirstparagraphofthislastchapter,wesawhowtheconnection betweenHegelandNazismwasdeducedfromhisclosenesstothePrussianmonarchyoftheXIXcentury.However,eventhatrelationshipwasmuchmorenuanced thanatfirstglanceandHegelwasneverreallyafierceadvocateofapurePrussian approachtopoliticaltheory,asitwasshowninthepreviouspages.Yet,hisalleged Prussianismwastheindirectcausewhyhelaterwouldhavebecometheprophetof theswastikaandwhy,upuntilrecently,hispoliticaltheorywasstilllargelycompromisedinfrontofthepublic.

TostudyHegeliscertainlynotaneasytask,tostudyhowhispoliticalphilosophy isinscribedinhisgeneralAbsoluteIdealismisevenlessso,butonethingisforsure: duetothisverylongtraditionofmisinterpretingHegel’sphilosophywehaverarely usedhisnotionsandconceptstorethinkoursocialcoexistenceoratleastthewaywe organizeoursocialdimension.Thisculturallosshaspreventedusfromcomingup withanalternativetoclassicalliberalismanditsmoreup-to-datevariations,curtailingtheoptionsatourdisposal.Onlyrelativelyrecentlypoliticalphilosopherssuchas MichaelSandellandMichaelWalzer,alongsidethealreadymentionedAlasdair MacIntyreandCharlesTaylor,havedisputedthedogmaticpretensesofliberalism, primarilydrawingfromthinkerslikeAristotleandHegel³⁸.

Theresultingphilosophicaltheoryisnowcalled“communitarianism”andtothis day–althoughquestionableundermanyregards–providesuswithamoresustainable socialoptiontoliberalism,oratleastgivesusthosephilosophicalhintsthatweneed inordertocorrectitsmostproblematicdistortions.Infact,despiteneverreallycalling themselvesassuch,thesecommunitarianauthors,solabeledbyothers,allsharethe criticstotheliberalbelittlementoftheroleoftheState,reducedtoaminimum³⁹,having noothertaskthanleavethemarketbe,atmostsanctioninginfringementsandviolations.

Thebigbetofcommunitarianismispreciselythisone:toshowhowthecommon goodofsocietyandthecommunitycomebeforetheindividualwithhisorherpersonal desiresandegoisticdemands;it’snotfornothing,afterall,iftheyhavereintroduced Hegelinthepublicdebateandsocialtheory.Allinall,wecouldsaythatthephilosophicalunderpinningofcommunitarianismoverturnsthebasicthesesofliberalism defendedbyhismostfamouschampions⁴⁰:i.e.theneutralityoftheStateanditsreductiontoitssimplestform,lowestpossibleterminthesocialequationofsociety.

38 Cf.DanielBell, TheStanfordEncyclopediaofPhilosophy,onlineed.,“Communitarianism.”2001,https:// plato.stanford.edu/entries/communitarianism/(consultedon10.09.2022).

39 Ibidem.

40 AmongthemitisworthmentioningJohnRawlsandhismostfamouswork ATheoryofJustice inwhichhe presentshisideaofneutralityoftheState. Cf.Rawls1971.

Insucha“deontologicalrepublic”(cf.Sandel1982)(theonepresentedbyliberal authors),people,withoutnecessarilybeingselfish,arenonethelesslinkedtooneanotherbyamere“abstractmorality”(touseHegel’sterminology),intheendbecoming strangertoeachother.WithnoStatetoframeourcommonidentityandtoembody ourview,weendupbeingisolatedbybureaucratictechno-systemssostrongtothe pointofcolonizingthesymbolicworldofourlives,leavinguswithnoculture,novalues,andnohistory(cf.Habermas2008).

Communitarians(followingHegel)showushowthereisnopossiblealternative thanreverttothesocialtieswithinthecivilsocietybystrengtheningthoseobligations andresponsibilitiestowardsthecommunitythathavebeenneglectedbylibertarian bureaucraticblindness⁴¹.Whenthereisnopsychologicalattachmentandparticipate membershipinthesocialandpoliticallifeofacommunity,atomistictendenciesstart toeroderelationshipsamongcitizenspromotinganincreasinglyfragmentedsociety⁴².

Justbylookingaroundonehasthefeelingthattoday’skeywordscanbe summedupinashortlist:absolutefreedom,individuality,socialdetachment,and disregardofcommunallife.AsetofmoralprinciplesandstandardsofbehaviorpreciselyontheothersideofthespectrumastheonesproposedandwishedbyHegel’s politicaltheory.Inthissensethephilosophicalaffinitybetweencommunitariansand Hegelcatchestheeye,bothsidesstressingtheimportanceofbelongingasopposed toacolduniversalindividualfreedom.

Beyondphilosophicaldiscussions,onethingisunquestionablyclearnowadays: thereisnofuturefordemocracyaslongaswestayonthispath.Aspopulismshave showninrecenttimestheriskofademagogicdrift–appealingtoabewilderedelectoralbase–istoohightocontinuetoplaythisgame.Unfortunately,thisismanifestly truenotonlyataStatelevelprettymucheverywhereinWesternsocieties(where politicianslikeMatteoSalvini,MarineLePen,andViktorOrbánaremetbyincreasing favor),butitisalsotrueatasupranationallevel,likeinthecaseoftheEuropean Unionanditsinstitutions(whereEuroscepticsgroupsarethreateningtoshakethe veryfoundationsofourUnion).Ifwewantourdemocraticsocietiestogetoutofthis socialimpasse,weneedtoformulateanewparadigm,notonlyforthegoodofsingle countriesbutalsoformorebroadpoliticalexperimentssuchastheEU.

Onewaytoresisttheriseofthesemovementsis,frommyjudgement,touse someoftheideaspresentedinthisMasterThesisandimplementtheminawaythat theycouldserveasabasisforstrongercommunitarianbonds.Specifically,inthenext paragraph(thelastoneofthiswork)IwillshowhowHegel’sunderstandingofsociety andtherelationshipbetweenitsinstitutionsanditscitizenscanhelpusshapeabetterEuropeansocietymorecapableoffacingthechallengesthatlieaheadofus.

WhenstudyingtheEuropeanUnionandthefunctioningofitsinstitutions,itis verycommonforscholarstocomeacrossthenotionof“democraticdeficit”,theidea

3.3HowHegel’spoliticalphilosophycanhelpustoday

Thetrialoftheprophet:theproblematicrelationshipbetweenHegelandNazism

accordingtowhichthedecision-makingprocessinpoliticalforasuffersfromalackof democraticlegitimation.Infact,theseinstitutionsendupbeingperceivedbytheordinaryEuropeancitizenasinaccessibleduetotheircomplexityandbureaucratic coldness⁴³,afactprovedbythedecreasingturnoutduringEuropeanelectionsperceivedofsecondorderimportancewhencomparedtonationalpolitics(Reifand Schmitt1980:3-44).

Furthermore,ontopofthisdemocraticdeficit,Iwouldargue–asmanyhavedone beforeme–thatthefully-fledgedfiscalunionwehavereachedintheEUhasbeen builtwithouttakingintoaccountthenecessarybasisofacommunitariansenseofbelonging.Inotherwords,alongsidethedemocraticdeficit,theEUseemsweakenedby a“communitariandeficit”(cf.Etzioni2013:312-330),duetowhichitspracticesandpromisesfallshortinbuildingasharedpost-nationalcommunity(cf.Etzioni2013:312-330).

IwouldarguethatanyfurtherintegrationoftheEU–verymuchrequiredbythe combinationofthetwomostrecentcrisisoftheCovid-19pandemicandthewarin Ukraine⁴⁴ –willnotbeachievablewithoutbuildingatthesametimeastrongeridea ofcommunity,centeredaroundsharedvaluesandbondsofaffinity(cf.Etzioni2013: 312),sovitaltodriveusalltowardsthecommongood.Afterall,weshallneverforget thatwewereabletostopthebloodyfightsthatragedoverourcontinentprecisely becausewerecognizedourselvestobepartofasinglecommunity.Forthesereasons wecannothavejustabureaucraticunion,butinsteadweneedtostrengthenour commonidentity.Buthowcanwedothis?Followingtheideasadvancedbythe Hegelianpoliticalphilosophy,therearethreestagesweneedtoworkon:education, civilsociety,andinstitutionalpolitics,allofthemclearlyrelatedtooneanother.

Firstandforemost,wemustseektostrengthencitizenseducationanddevelop democraticcompetencesinschoolsandothereducationalinstitutions(cf.Pausch 2021:8).OnlybyfosteringaEuropeanholisticapproachtohistoryandcivileducation wewillbeabletoempoweryoungpeopletoactivelyparticipateinthedemocratic lifeofoursocieties(cf.Pausch2021:8).Ifwewantthetwosides–citizensandinstitutions–togetcloserwemuststartbysowingcompetencesofdemocracy,dialogues, andcitizenshipatthelevelofeducation⁴⁵.ItisveryalarmingtonotehowlittlecitizensknowaboutthehistoryoftheEuropeanUnionandthefunctioningofitsinstitutions.IamnotsayingthateverybodyshouldhaveadegreeinEuropeanStudies, butatleastageneralunderstandingofthispoliticalexperience–itsoriginsand achievements–wouldmakeitfeellessdistant,lessimpenetrable.HowcanItrustdecisionstakenbyinstitutionsthatIdonotknowandaresofarawayfromme,closed inonthemselvesintheBrusselsbubble?

Ifcivilsocietyiswhereideasareconceivedanddebatedbypeople(asitwasinterpretedbyHegel)thanweneedtopromotesharedvaluesasacatalystfor

43 EUR-Lex,“Democraticdeficit”.https://eur-lex.europa.eu/EN/legal-content/glossary/democratic-deficit.html (consultedon10.09.2022).

44 ItisnocoincidencethatMarioDraghi,EmmanuelMacronandUrsulaVonDerLeyenarealldemandingfor Treatyrevisioninthesedays(May2022).

45 Directorate-GeneralforEducation,Youth,SportandCulture(DGEAC), “StrategicPlan2020-2024”.https:// ec.europa.eu/info/system/files/eac_sp_2020_2024_en.pdf(consultedon10.09.2022).

Europeanculture.Hegelteachesusthateverycommunityneedsaprolificandfruitful civilsocietytothrive(see§2.3),oneinwhichthedialogicencounterofcitizensencouragesandstimulatesthedeliberativeprocessofinclusion(cf.Habermas2015). Directactionsaswellasnonviolentinitiativesandcitizensbottom-uppoliticalmobilizationcouldbechanneledatthislevelinpan-Europeanmovements,unfortunately veryrareandbarelyaccountedbyEUinstitutions⁴⁶.Citizens’initiativesandcivicengagementshouldnotbelimitedtotheelectiondays,buttheyshouldfindawayto beexpressedonadailybasistoprotectruleoflawanddefendhumanrights whenevertheyareendangerednomatterwhereinsidetheEuropeanborders.

Onamorepoliticallevel,perhapsit’stimetostrengthenthepoliticalpowerof theEuropeanParliament,whoserolehasbeenenhancedthroughtheextensionof theordinarylegislativeprocedure(alsoknownascodecision)toanumberofpolicy areas,andyet,atthesametime,itsresponsibilitiesarestillrestrictedwhenitcomes totheCommonForeignandSecurityPolicy(CFSP)(cf.HixandHøyland2011:11).Not tomentiontheelectionprocedureofthePresidentoftheEuropeanCommission, whoisappointedbytheEuropeanCouncil,which,asstatedbyArticle17(7)Treatyof theEuropeanUnion(TEU),canchoosetheso-called Spitzenkanditat (Germanfor “leadcandidate”)ofthemajorityparty,buthasnolegalobligationtodoso⁴⁷.

ConcerningthecompositionoftheEuropeanParliamentitself,itsinstitutional organizationaroundnationalpartiesassembledintogroups,looksdecentralizedand outdatedwhereastransnationalideologicalpartiescarryingonpropositionsof Europeanpoliciesofbroadandgeneralinterestcouldhavemoresignificantimpact onourpoliticalenvironment.Thisshift,madedifficultbylanguagebarriersandculturaldifferences,couldneverthelessgiveameaningfulcontributioninthearduous taskofspreadingatrueEuropeanpoliticalconsciousness.Thosetransnational partiescould,inprinciple,reinforcetheperceptionofaEuropeanpoliticalenvironment,withitsowngoalsandobjectivesseparatedfromtheindividualisticinterests ofsinglecountries,worriedbytheirownwellbeing.

AtthesametimeHegelwarnsusagainstimpairingorhinderingtheroleofthe State.WhenimaginingthefutureofEuropeanintegration,weshouldnotdreamofa federalistunionwhereMemberStates–withtheirtraditionsandcultures–arecompletelyovershadowedbyacentralbureaucraticauthority,asthiswouldactually harmthedemocraticintegrityoftheEU.Supranationalinstitutions(likethe EuropeanCommissiontonameone)intrinsicallyneedamechanismofnationalsupervisiontobelegitimizedintheeyesofthepeople(cf.Lindseth2010:3).Yes,wedo needtoreassesstheroleoftheEuropeanCouncil(composedbytheHeadsofState andGovernmentsofMemberStates),butweprobablydonotwanttogetcompletely ridofasecondlegislativebody–suchastheCounciloftheEuropeanUnion–asa nationalcheckandbalancetoatransnationalParliament.

46 OneofthefewexamplesIcanthinkofisEUMANS,pan-Europeanmovementlaunchedin2019bytheItalian activistandformerMemberoftheEuropeanParliamentMarcoCappato. Cf. EUMANS,“EUMANSStatute”.https:/ /www.eumans.eu/eumans-statute(consultedon10.09.2022).

47 “TakingintoaccounttheelectionstotheEuropeanParliamentandafterhavingheldtheappropriate consultations,theEuropeanCouncil,actingbyaqualifiedmajority,shallproposetotheEuropeanParliament acandidateforPresidentoftheCommission”Article17(7)TEU.

Thesearejustsomeideas,buttheyshowthepowertorethinkouruniononthe basisofaHegelianunderstandingofpoliticalphilosophy,analternativeregrettably disqualifiedbyPopper,buttoorelevantnowadaystoignore.Thedialectictriadofthe ObjectiveSpirit,infact,couldbemirroredherebyapoliticalone.Justlikethefamily inHegelattainscompletionintheupbringingofchildren(cf.Hegel1991:200),inthe samewaysociety–andinourcasetheEuropeansociety–teachesthebasicvalues tolivebyintheeducationsystem;thesevaluescantheninspirecivilsocietymovementsandsocialidentificationinthecommongoodinthenameofwhichcitizens couldapproachpoliticsthroughdemocraticdeliberationandactiveparticipation, eventuallyshapingthepoliticalagendaofpartiesandinstitutionsacrosstheEU.

Intheendonethingiscertainlyclear:ifwewanttheEUtosurvivethesecrisis–andthenextonesthatwewillmostlikelyfaceinthenearfuture–weneedanew theoreticalframeworktostrengthensocialrelationshipsandbuildstrongerpolitical institutions.Asshowninthisparagraph,evenjustadoptingtheHegeliandialectical triadcouldsignificantlyimprovethegeneralqualityofourcommunities.IftheEU suffersofa“communitariandeficit”thanthereisnoothersolutionthantochangethe philosophicalapproachbehindit:fortoolongwehavedevelopedaneconomic union,neglectingthehumanfactorofthispoliticaladventure;itisnowtimetoperformaCopernicanrevolutionputtingpeople–notbureaucracy–inthecenterofthis project.

Conclusion

Philosophytrulylivesuptoitshighestcallsonlywhenmakingarealcontribution tooursocietiesandthewaywelivetogether,whenithelpstobuildabetterworldfor theonestocomeinsteadoflockingitselfinanacademicivorytowertodiscussraw philologicalriddles.OneofthereasonswhyIchosetostudyattheCollegewaspreciselytocomplementmybackgroundwiththeindispensablehistoricalandtechnical knowledgeoftheEUrequiredtounderstandthispoliticaladventure,sothatoneday myideascouldhavemaybeasmallimpactoncitizens’lives.

Inparticular,thisMasterThesiswasmyattempttodeclinemyunderstandingof politicalphilosophywiththemanythingslearnedinthepastacademicyear,spanningfromhistoryofEuropeancivilizationtoEUinstitutionsanddecision-making process.Ibelievethatthefinalresult–inwhichEuropeanpromisesandnightmares manifestthemselves–istheoutcomeoftheversatileprograminEuropeanInterdisciplinaryStudiescarriedoutattheCollegeofEuropeinNatolin.Beingastudentof thistrack,andspecificallyaGeremekstudentofthemajorinEuropeanHistoryand Civilization,Iwantedtoprobethesefields,namelythehistoryandthecivilizationof ourUnion,insearchofanewtheoreticalframeworkusefulforthechallengesofthe future.Hopefully,thereaderwillconsidermyeffortsadequatefortheambitioustask.

Today,anyonewhostudiespoliticalphilosophy,politicalscienceorinternational relationscannolongertakeforgrantedtheideaofdemocracy,itsinstitutions,andits socialinteractions.Becauseofclassicalliberalismweareinadeadend:hencetheur-

gentneedtorethinkthewaywelivetogetherbothatanationallevelandasupranationalone.Inthissense,Hegel’spoliticaltheorypresentsuswithasetofalternative toolstomodernsolipsisticatomism,towhichwehavereliedfortoolongtothepoint that,evenoutsidethepoliticalarenas,sociallifeisthoughtandimaginedaccording toastrictlyindividualisticschemebetweenpoint-likesingularities,withoutanyethicaldepth.

Inconclusion,Ibelievethatmyresearchquestionsfinallyhaveananswer:Hegel wasneveranenemyoftheopensocietyandifhisideashavebeenusedfraudulently, itisdefinitelynothisfault,buttheconsequenceofaratherbiasedandnaïvemisinterpretationproposedbyKarlPopperinthefirstplace.Sureenough,instead,theinitialhypothesisprovedtobebeneficialandgenerativefromapoliticalstandpoint. TheHegeliandialecticschemecanhelpusinthedifficulttaskofreimagingthecoexistenceofoursocieties,onethatisnotdoomedtoegoismandindividualism.

Hegel,infact,showsusthatitispossibletofollowanotherpath,thatanother wayofrelatingtotheother-than-oneselfisconceivable.Inconclusion,Ibelievethat forallthosewhohavenotyetresignedthemselvestotheatomisticdisintegrationof socialrelations,Hegelrepresentsavalidalternative,avoicetoappealinordertorebuildastrongerdemocraticcoexistenceamongpeopleandnations.

Thetrialoftheprophet:theproblematicrelationshipbetweenHegelandNazism

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Sitography

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EDITOR

UmbertoMorelli (Universitàdi Torino)

ASSOCIATE EDITORS

MarinellaBelluati (Universitàdi Torino)

PaoloCaraffini (Universitàdi Torino)

LaraPiccardo (UniversitàdiGenova)

RacheleRaus (Universitàdi Torino)

SCIENTIFICBOARD

MaríadelRosíoBarajasEscamilla (ElColegiodelaFronteraNorte)

MarcoBrunazzo

(Universitàdi Trento)

OlgaButorina

(Instituteof Europe,RussianAcademyofSciences)

MichelangeloConoscenti (Universitàdi Torino)

NiccolòConti

(UniversitàdiRomaUnitelma Sapienza)

MatthewD’Auria

(Universityof EastAnglia)

Jean-Michel De Waele (UniversitélibredeBruxelles)

MichelDumoulin

(Université catholiquede Louvain)

Corinne Gobin

(UniversitélibredeBruxelles)

Aylin Güney Gevrek (YaşarÜniversitesi)

Faizel Ismail

(Universityof Cape Town,Schoolof Economics)

HermanJ. Kraft (Universityofthe Philippines Diliman)

Thomas Kroll

(Friedrich-Schiller-Universität Jena)

Francisco Lara-Valencia

(Arizona St.University,SchoolofTransborder Studies)

Garth Le Pere

(Universityof Pretoria)

Jacqueline Lo

(ANU,CollegeofArtsandSocialSciences)

EDITORIALBOARD

Luca Barbaini,AndreaBecherucci, TizianaBertaccini,FrancescaBisiani,Andrea Cofelice, AngelaCondello, FedericoDonelli,

SPECIAL ISSUE- COLLEGE OF EUROPE2022

Publisher: Dipartimentodi Culture, Politicae Società (Universitàdi Torino)

Reviewofmanuscripts: double-blind review process

MANAGING EDITOR

FilippoMaria Giordano (LinkCampus University,Roma)

CorradoMalandrino (UniversitàdelPiemonte Orientale “AmedeoAvogadro”)

AntonioMorenoJuste (Universidad Complutensede Madrid)

LucianoMorganti (VrijeUniversiteitBrussel)

EdoardoNovelli (UniversitàRoma Tre)

JoannaNowicki

(Université deCergy-Pontoise)

José Paradiso (UniversidadNacionalde Tresde Febrero) Massimo Pendenza (UniversitàdiSalerno)

Laura Polverari (UniversitàdeglistudidiPadova)

DanielaPreda (UniversitàdiGenova)

VivienAnnSchmidt (BostonUniversity)

Mario Telò

(RoyalAcademyofSciences,Brussels) Jovan Teokarević (UniversityofBelgrade)

PierDomenico Tortola (Universityof Groningen)

Francesco Tuccari (Universitàdi Torino)

EnriqueJosé VarelaÁlvarez (Universidadede Vigo)

Pascaline Winand (Directorof Studies,Collegeof Europe,Natolin)

Ruth Wodak (Lancaster University)

GiovanniFinizio,GiuseppeGabusi, Giorgio Grimaldi, GuidoLevi, Anna Mastromarino, Marzia Ponso, Stefano Quirico, StefanoSaluzzo, GiuseppeSciara, Marco Stolfo, Federico Trocini, Lorenzo Vai

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Bookdesign: Silvio Ortolani,SISHO-Fotografia&Archivi

SixselectedMaster’stheses byCollegeofEuropestudents

GuestEditor

Georges Mink,Titulaire de la Chaire de Civilisation européenne Collège d’Europeà Natolin,Directeur de Recherche émérite au C.N.R.S.(ISP)

DeEuropaetleCollèged’EuropeàNatolinselancentpourlaquatrièmefoisdansla publicationdesmeilleursmémoiresdefind’étudesréalisésparlesétudiants,cettefoiscidelapromotion2021-2022ayanteupourpatronnelajuriste«ÉlianeVogel-Polsky».

Àchaquefois,ils’agitd’unéchantillondetravauxquisedémarquentparleurqualité intrinsèqueetparladiversitédeleurscentresd’intérêt,avecunpointcommun:celui d’êtreréalisésdanslecadreduprogrammeinterdisciplinaired’étudeseuropéennesdu Collèged’EuropeàNatolin.

Cedernier,enoffrantauxétudiantsdechaquepromotionl’occasion d’exprimerleurstalents,leursavoir,etenfin,leurengagementeuropéen, joueunrôleincontournabledanslaformationsurl’UEetpourl’UE.