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Vol. 3, No. 1 (2008)<br />
<strong>hrss</strong><br />
hamburg review <strong>of</strong> social sciences<br />
SPECIAL ISSUE<br />
REVISITING COHERENCE IN EU FOREIGN POLICY<br />
Edited by Clara Portela and Kolja Raube<br />
<strong>hrss</strong>, Volume 3 (2008)<br />
Special Issue on Coherence in EU Foreign Policy<br />
www.hamburg-review.de
Revisiting Coherence in the EU Foreign Policy<br />
Clara Portela and Kolja Raube<br />
Six Authors in Search <strong>of</strong> a Notion: (In)Coherence in EU Foreign Policy and its Causes 1<br />
Marise Cremona<br />
Coherence through Law: What difference will the Treaty <strong>of</strong> Lisbon make? 10<br />
Olaf Poeschke<br />
Maastrichts langer Schatten:<br />
Das auswärtige Handeln der EU – Verschiebungen im institutionellen Gefüge? 36<br />
Bernhard Stahl<br />
Incoherent securitisation: The EU in the Iraq crisis 69<br />
Elsa Tulmets<br />
The European Neighbourhood Policy: A Flavour <strong>of</strong> Coherence in the EU’s External<br />
Relations? 104<br />
Javier Alcalde and Caroline Bouchard<br />
Human Security and Coherence within the EU: The Case <strong>of</strong> the 2006 UN Small Arms<br />
Conference 141<br />
<strong>hrss</strong>, Volume 3 (2008)<br />
Special Issue on Coherence in EU Foreign Policy<br />
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<strong>hrss</strong>, Volume 3 (2008)<br />
Special Issue on Coherence in EU Foreign Policy<br />
www.hamburg-review.de
Volume 3, Issue 1 June 2008<br />
<strong>hrss</strong><br />
hamburg review <strong>of</strong> social sciences<br />
Six Authors in Search <strong>of</strong> a Notion:<br />
(In)Coherence in EU Foreign Policy and its Causes<br />
Clara Portela and Kolja Raube ∗<br />
The foreign policies <strong>of</strong> the European Union (EU) has long been identified as a field <strong>of</strong><br />
special concern in the study <strong>of</strong> coherence due to the difficulty <strong>of</strong> overcoming the problems<br />
posed by its duality (M.E. Smith 2001:171). Fifteen years have elapsed since the Treaty on<br />
European Union (TEU) signed at Maastricht formally linked the external relations <strong>of</strong> the<br />
European Community (EC) and the intergovernmental Common Foreign and Security<br />
Policy (CFSP). Improving the coherence <strong>of</strong> EU (European Union) external action formulated<br />
in these two distinct foreign policy frameworks, or “pillars”, was a key motivation<br />
behind the establishment <strong>of</strong> a single institutional framework. The recent Commission’s<br />
Communication “Europe in the World – Some Practical Proposals for Greater Coherence,<br />
∗ Clara Portela is Researcher at the European University Institute, Florence, and Visiting Fellow at<br />
the Institute <strong>of</strong> Peace Research and Security Policy at the University <strong>of</strong> <strong>Hamburg</strong>.<br />
clara.portela@eui.eu. Kolja Raube is post-doc research assistant at the Institute <strong>of</strong> Political Science,<br />
University <strong>of</strong> <strong>Hamburg</strong>. raube@sozialwiss.uni-hamburg.de<br />
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Effectiveness and Visibility” shows that EU actors are concerned with coherence in daily<br />
foreign policy-making (Commission 2006).<br />
The present issue <strong>of</strong> the <strong>Hamburg</strong> <strong>Review</strong> <strong>of</strong> <strong>Social</strong> <strong>Sciences</strong> contributes to the exploration<br />
<strong>of</strong> (in)coherence in the foreign policies <strong>of</strong> the EU. The following lines provide a brief<br />
overview <strong>of</strong> the question <strong>of</strong> the definition <strong>of</strong> coherence before succinctly presenting the<br />
articles selected from those received in response to our open call. In doing so, we highlight<br />
some <strong>of</strong> the themes most relevant to the latest institutional developments, as well as the<br />
innovations they bring to the debate on coherence.<br />
Coherence: An Elusive Notion<br />
Few notions in European foreign policy are characterised by such a high degree <strong>of</strong> complexity<br />
as the concept <strong>of</strong> “coherence”. The definition <strong>of</strong> this notion has been subject to<br />
different interpretations by the various scholars who have tackled the question. Indeed,<br />
the term “coherence” is regarded as having several meanings. The diversity <strong>of</strong> interpretations<br />
makes it necessary to open these introductory pages with a conceptual clarification.<br />
In the following lines, we summarise the various distinctions established around the definition<br />
<strong>of</strong> the term “coherence” and the classification <strong>of</strong> its subtypes.<br />
a/ One distinction pertains to the difference between coherence in terms <strong>of</strong> “institutional<br />
process” and “systemic output”. Christiansen defines coherence “in terms <strong>of</strong> systemic<br />
outputs” as “the way in which the substance <strong>of</strong> different policies generated by the<br />
EU forms part <strong>of</strong> a coherent whole”, while “coherence in terms <strong>of</strong> the institutional process<br />
by which policies are made” refers to “the degree to which institution(s) operate a coherent<br />
and well-coordinated process <strong>of</strong> deliberation and decision-making” (Christiansen<br />
2001:747). This distinction seems to coincide with the differentiation between “internal”<br />
and “external” coherence put forward by other authors (K. Smith 2003).<br />
b/ Within “internal” or “institutional” coherence, further distinctions are made depending<br />
on where in the EU governance structure the tensions are located. When difficulties<br />
exist between the member states and the EU level scholars speak <strong>of</strong> “vertical” (Tietje<br />
1997:211) or “inter-level” consistency (Christiansen 2001:748). By contrast, difficulties<br />
in co-ordination between EU institutions are “horizontal” and can be further subdivided<br />
into “intra-pillar” or “inter-pillar” coherence, depending on whether they occur in<br />
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the relationship between the Community and the intergovernmental pillars or within the<br />
same pillar. This category, which gives expression to a challenge specific to the EU’s institutional<br />
set up, can also be labelled “inter-institutional” coherence. Problems <strong>of</strong> coherence<br />
have been identified at all levels mentioned (Christiansen 2001). To the detriment<br />
<strong>of</strong> conceptual clarity, some authors have referred to the maintenance <strong>of</strong> coherence between<br />
the Community and the CFSP pillars as “institutional coherence” (Nuttall 2005),<br />
which overlaps with Christiansen’s label for the internal coherence <strong>of</strong> the EU policy formulation<br />
process.<br />
c/ Perhaps the most central conceptual problem in the definition <strong>of</strong> coherence is the<br />
delimitation <strong>of</strong> “coherence” versus “consistency”, a distinction which is respected by certain<br />
scholars and dismissed by others. The absence <strong>of</strong> uniform terminology is compounded<br />
by diverging translations <strong>of</strong> the TEU: While the English translation favours the term<br />
“consistency”, most continental languages employ the term “coherence”. This conceptual<br />
distinction has been elaborated by legal and political science scholars alike, who tend to<br />
see consistency as the mere “absence <strong>of</strong> contradiction”, while the notion <strong>of</strong> coherence appears<br />
to go beyond sheer compatibility to convey the idea <strong>of</strong> mutual reinforcement <strong>of</strong><br />
policies, defined as “synergy” (Gauttier 2004:26) or the establishment <strong>of</strong> “positive connections”<br />
(Tietje 1997:212). Obviously, this notion sets a higher standard for EU policies<br />
(M.E. Smith 2001:173) and is far more difficult to grasp conceptually than the mere “absence<br />
<strong>of</strong> contradiction”.<br />
In sum, this fragmentation confronts the student <strong>of</strong> coherence with a scenario <strong>of</strong> quod capita,<br />
tot sensus. In view <strong>of</strong> the lack <strong>of</strong> a unitary definition, the contributors to this special<br />
issue have each defined their individual understanding <strong>of</strong> coherence, choosing the definition<br />
that best suits the analytical purposes <strong>of</strong> their respective articles.<br />
Ensuring Coherence through Legal-institutional Design<br />
The need to ensure coherence in EU policies was identified as early as the mid-seventies,<br />
at an initial stage in the development <strong>of</strong> foreign policy co-ordination outside the Community<br />
framework (Nuttall 2005:94). Yet, the solution proposed at the time consisted <strong>of</strong> exhortations<br />
calling on EU actors to maintain coherence, which was introduced in the trea-<br />
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ties for the first time in 1986. The Single European Act stipulates that “the external policies<br />
<strong>of</strong> the European Community and the policies adopted by the European Cooperation<br />
Policy shall be consistent” (§30(5)). The TEU was the first treaty revision to put in place<br />
a number <strong>of</strong> institutional arrangements to address shortcomings in coherence. At Maastricht,<br />
and later Amsterdam, an attempt was made to tackle coherence problems at three<br />
levels:<br />
1/ One level concerned bureaucratic-institutional reforms. These ranged from the creation<br />
<strong>of</strong> the single institutional framework, which provided for the use <strong>of</strong> common institutions<br />
in all pillars, to the reorganisation <strong>of</strong> the Commission’s administrative apparatus.<br />
2/ The second level included the double-hatting <strong>of</strong> senior posts in the EU institutional set<br />
up, notably through the appointment <strong>of</strong> a High Representative <strong>of</strong> the CFSP who is simultaneously<br />
Secretary-General <strong>of</strong> the Council Secretariat and <strong>of</strong> the Western European Union.<br />
3/ A third level concerned the establishment <strong>of</strong> legal instruments within the second pillar<br />
meant to co-ordinate external action by EU actors, namely the Common Positions and<br />
Joint Actions, which would be complemented by Common Strategies in the Amsterdam<br />
revision.<br />
Subsequent treaty reforms have endeavoured to perfect such arrangements. In fact, the<br />
continued preoccupation with improving the system was not only driven by its perceived<br />
insufficiency but also by the progressive growth and increasing specialisation <strong>of</strong> its bureaucratic<br />
units (Christiansen 2001). Yet, despite some improvements the institutional formulae<br />
have proved <strong>of</strong> limited use in averting incoherence in the EU’s steadily increasing foreign<br />
policy activity (M.E. Smith 2001:171). In the face <strong>of</strong> the insufficiency <strong>of</strong> arrangements<br />
developed at or in the follow-up to Maastricht, what solutions have EU actors developed<br />
in order to ensure coherence?<br />
The two initial contributions <strong>of</strong> this issue illuminate this question. In her opening article,<br />
Marisa Cremona provides an account <strong>of</strong> the fundamental role the EU legal order plays<br />
in ensuring coherence in EU foreign policy. Probably because legal scholars and political<br />
scientists tend to approach the study <strong>of</strong> coherence separately, non-jurists <strong>of</strong>ten analyse<br />
coherence from the perspective <strong>of</strong> bureaucratic politics and institutional design without<br />
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considering the EU legal system’s fundamental role in ensuring coherence. Marise Cremona’s<br />
central contribution consists in highlighting how both jurisprudence by the European<br />
Court <strong>of</strong> Justice and treaty reform – most recently the Treaty <strong>of</strong> Lisbon – have accentuated<br />
the separation <strong>of</strong> powers between the national and EU level on the one hand<br />
and the Community and CFSP pillar on the other by delineating their tasks even more<br />
clearly than before.<br />
Olaf Poeschke, a practitioner, shows in a subsequent contribution how the trend towards<br />
a stricter separation <strong>of</strong> powers is evident in the day-to-day management <strong>of</strong> areas<br />
where Council and Commission competencies intersect. Here, codification has followed<br />
the establishment <strong>of</strong> practices, a phenomenon <strong>of</strong>ten witnessed in the institutional development<br />
<strong>of</strong> the EU. In his analysis <strong>of</strong> inter-pillar coherence in selected foreign policy tools,<br />
he finds that the predominant trend is to strengthen the delimitation <strong>of</strong> competences between<br />
Council and Commission, rather than to formulate solutions in which co-operation<br />
overcomes legal distinctions. Even the appointment <strong>of</strong> a Special Representative to Macedonia,<br />
who is simultaneously the Head <strong>of</strong> the Commission Delegation, is founded on a<br />
clearly dual mandate, an expression <strong>of</strong> the aforementioned separation <strong>of</strong> competences.<br />
The increased reliance on the double-hatting <strong>of</strong> personnel is one <strong>of</strong> the main innovations<br />
brought about by the Treaty to ensure coherence. This not only concerns the high-level<br />
posts <strong>of</strong> the High Representative and Special Representatives, but also the prospective<br />
External Action Service. It is remarkable that from the catalogue <strong>of</strong> instruments explored<br />
by Poeschke, the operation <strong>of</strong> the mechanism for the imposition <strong>of</strong> economic sanctions –<br />
a time-honoured arrangement which predates the Maastricht reforms – emerges as a<br />
unique instance <strong>of</strong> smooth, if not totally friction-free, inter-pillar collaboration.<br />
Beyond the strengthening <strong>of</strong> the separation <strong>of</strong> competences, a further trend with a major<br />
bearing on coherence is singled out by our authors. The moribund “CFSP Common<br />
Strategies”, an instrument whose clear purpose was to orchestrate policies by the EU and<br />
member states, has been finally replaced by a more flexible solution. In the future, the<br />
European Council rather than the Council <strong>of</strong> Ministers will decide on “strategies”, and<br />
they will be only politically binding. The European Security Strategy and the EU Strategy<br />
against the Proliferation <strong>of</strong> Weapons <strong>of</strong> Mass Destruction <strong>of</strong> 2003 can be seen as a “forerunners”.<br />
On the one hand, the disappearance <strong>of</strong> the Common Strategies can be viewed<br />
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as an indication that CFSP arrangements need to be “piloted” in practice before being codified<br />
in order to ensure their practicability.<br />
But in terms <strong>of</strong> institutional coherence, this development denotes a reversal from the<br />
path towards the progressive integration <strong>of</strong> EU foreign policies with those <strong>of</strong> the member<br />
states. The highest intergovernmental instance, the European Council, strengthens its position<br />
not only as “final arbiter” but as a co-ordinating entity. The reinforcement <strong>of</strong> the<br />
separation <strong>of</strong> powers described by Cremona and Poeschke can be interpreted as a failure<br />
<strong>of</strong> the idea <strong>of</strong> “coherence” as originally foreseen by the Treaty <strong>of</strong> Maastricht. At the time,<br />
the hope was that institutions could co-operate in “grey areas” where competences were<br />
not clearly delineated. By sharpening the delimitation <strong>of</strong> competences, the EU implicitly<br />
acknowledges that synergy in areas <strong>of</strong> overlap is unworkable. As Christiansen suggested in<br />
the aftermath <strong>of</strong> the Nice Treaty, a “clearer separation <strong>of</strong> powers” contradicts “institutional<br />
coherence” (Christiansen 2001:749).<br />
Yet, a glance at a lower level <strong>of</strong> policy formulation shows that the Commission sometimes<br />
does gain the upper hand. CFSP Common Strategies have been replaced by European<br />
Council “strategies” deprived <strong>of</strong> legal character, but at a messo- and micro level it is<br />
the ENP Action Plans that are fulfilling this function. Elsa Tulmets explains in her contribution<br />
how the Council has relinquished responsibility for the European Neighbourhood<br />
Policy (ENP) into the hands <strong>of</strong> the Commission. In its turn, Tulmets’ analysis <strong>of</strong> the ENP<br />
also reveals a coherent management <strong>of</strong> policy instruments which appears to have emerged<br />
by means which diverge from those foreseen by the institutional designs described above.<br />
Rather, ENP practices have been perfected in the course <strong>of</strong> the Commission’s experience<br />
with Eastern enlargement and subsequently adjusted to the ENP framework through policy<br />
transfer.<br />
Coherence as “Explanandum”<br />
The contributions by Tulmets, Stahl and Alcalde and Bouchard reflect a departure from<br />
the emphasis on bureaucratic politics that has so far dominated political science accounts<br />
<strong>of</strong> incoherence. The notion <strong>of</strong> “coherence” appears to have transcended the boundaries <strong>of</strong><br />
bureaucratic theory to become a category <strong>of</strong> general currency in the study <strong>of</strong> foreign policy.<br />
Despite the heterogeneity that the three contributions display in terms <strong>of</strong> focus and<br />
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approaches, they all treat coherence as an independent rather than a dependent variable.<br />
The contributions by Tulmets, Stahl and Alcalde and Bouchard try to explain incoherence<br />
by analysing different fields <strong>of</strong> EU foreign policy. Moreover, the three articles reveal<br />
the usefulness <strong>of</strong> investigating the concepts <strong>of</strong> agency and structure in European foreign<br />
policy. The significance <strong>of</strong> agency, which points to key actors capable <strong>of</strong> bring about coherence,<br />
is highlighted in the articles by Tulmets and Alcalde and Bouchard. By contrast,<br />
structure refers to underlying differences <strong>of</strong> structural nature among EU actors, typically<br />
member states, as discussed by Stahl.<br />
The central innovation in Bernhard Stahl’s contribution is that it illuminates the<br />
sources <strong>of</strong> incoherence. It is unique in that it highlights an <strong>of</strong>ten overlooked root <strong>of</strong> incoherence.<br />
The intra-European debacle over the US-inspired invasion <strong>of</strong> Iraq, the most<br />
prominent example <strong>of</strong> member states’ lack <strong>of</strong> co-ordination in the past decades (Risse<br />
2003; Peterson 2004) and arguably also the main setback to the CFSP since its inception,<br />
serves as the case-study. By elucidating the causes that led to this high-pr<strong>of</strong>ile CFSP failure,<br />
Stahl exposes an aspect <strong>of</strong> incoherence which institutional devices can address only<br />
partially, if at all. The institutional arrangements devised to ensure vertical coherence are<br />
meant to help overcome differences among its constituent units, the member states. However,<br />
the process <strong>of</strong> “inconsistent securitisation” that took place across EU member states<br />
on the eve <strong>of</strong> the Iraq invasion illustrates that the likelihood <strong>of</strong> (in)coherent outputs is<br />
strongly influenced by domestic factors. Hence, uneven securitisation in the member states<br />
remains a structural “deficit”.<br />
Tulmet’s article features an analysis <strong>of</strong> the newly-branded Neighbourhood Policy, a<br />
domain <strong>of</strong> EU external activity which has attracted a considerable amount <strong>of</strong> attention<br />
since its launching in 2003. Thanks to her differentiation between internal and external<br />
dimensions, Tulmets analyses the coherence both <strong>of</strong> the decision-making process and its<br />
output. She identifies what one might call a tw<strong>of</strong>old “learning-process”: The European<br />
Council understood that ENP would benefit from the delegation <strong>of</strong> policy-making powers<br />
to the Commission. In turn, the Commission could usefully apply the institutional expertise<br />
acquired in the course <strong>of</strong> the successful Eastern enlargement. While internal coherence<br />
in the ENP is widely acknowledged, external coherence – understood as consistency<br />
in the treatment <strong>of</strong> third-countries – still raises questions.<br />
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In a final article, Javier Alcalde and Caroline Bouchard touch upon the question <strong>of</strong> external<br />
representation <strong>of</strong> the EU in multilateral settings. The external representation <strong>of</strong> the<br />
EU has been a matter <strong>of</strong> concern to the architects <strong>of</strong> the single institutional framework<br />
since its inception. Alcalde and Bouchard also point to agency and its influence on coherence.<br />
In their investigation <strong>of</strong> multi-level-negotiations at the <strong>Review</strong> Conference on Small<br />
Arms and Light Weapons (SALW) <strong>of</strong> 2006, they distinguish a dimension <strong>of</strong> coherence<br />
distinct from the classical categories: “content/representation”. At the conference, a<br />
number <strong>of</strong> member states lobbied for different priorities. Although these objectives were<br />
part <strong>of</strong> a pre-agreed “strategy”, the fact that different member states did not pursue identical<br />
goals undermined the collective lobbying efforts. This formula might have been<br />
workable as a lobbying-strategy, and it might even have been deliberate. Yet, it was perceived<br />
as confusing by other parties, which can only conceive <strong>of</strong> the EU as a unitary actor<br />
as long as it speaks with “a single voice”. “Being coherent” does not suffice, member states<br />
also need to “appear coherent”.<br />
Beyond the Search <strong>of</strong> a Notion<br />
With the exception <strong>of</strong> Marise Cremona’s article, the contributions to this Special Issue<br />
resulted from an open call. They reflect a growing interest in the (unresolved) question <strong>of</strong><br />
coherence. Despite the heterogeneity <strong>of</strong> the featured articles, on the whole they provide a<br />
stimulating mosaic <strong>of</strong> diverse aspects <strong>of</strong> (in)coherence in EU foreign policy. The articles<br />
by Stahl, Tulmets, Alcalde and Bouchard depart from the classical bureaucratic/institutional<br />
approach traditionally applied to the study <strong>of</strong> coherence, pursuing an<br />
innovative strand recently inaugurated by a handful <strong>of</strong> scholars (Lerch/Schwellnus 2006;<br />
Szymannski/M.E. Smith 2006; Stetter 2007). This comes as a welcome complement to the<br />
works which, like Cremona and Poeschke, identify the implications for the coherence <strong>of</strong><br />
legal-institutional dynamics in the EU. Our understanding <strong>of</strong> coherence can be considerably<br />
aided by the innovative trajectories pursued by our authors.<br />
This brief overview by no means fully explicates the contributions made by the authors<br />
to the study <strong>of</strong> coherence, and to field <strong>of</strong> European foreign policy in general. We are certain<br />
that readers <strong>of</strong> this issue will appreciate the wealth <strong>of</strong> insights in the featured articles<br />
without further introduction. Finally, we wish to conclude this introductory note by ex-<br />
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pressing our gratitude to the six authors who have made possible this special issue, and to<br />
the anonymous reviewers for their invaluable help. We remain indebted to all <strong>of</strong> them for<br />
their dedication and patience.<br />
References<br />
Christiansen, T. (2001) “Intra-institutional politics and inter-institutional relations in the<br />
EU: towards coherent governance?”, Journal <strong>of</strong> European Public Policy, 8(5)<br />
European Commission (2006) Europe in the World – Some Practical Proposals for Greater<br />
Coherence, Effectiveness and Visibility (Communication from the Commission to the<br />
European Council <strong>of</strong> June 2006). COM (2006) 278 final<br />
Gauttier, P. (2004) “Horizontal Coherence and the External Competencies <strong>of</strong> the European<br />
Union” European Law Journal, 10(1)<br />
Lerch, M. and Schwellnus, G. (2006) “Normative by Nature? The Role <strong>of</strong> Coherence in<br />
Justifying the EU’s External Human Rights Policy” in H. Sjursen (ed.) Civilian or<br />
Military Power? European Foreign Policy in Perspective. London: Routledge, 136-153<br />
Nuttall, S. (2005) “Coherence and Consistency” in Ch. Hill and M. Smith (eds) The<br />
European Union and International Relations, Oxford University Press: Oxford<br />
Smith, K. (2003) European Foreign Policy in a Changing World, Polity: London<br />
Smith, M.E. (2004) „The Quest for Coherence“ in A. Stone Sweet, W. Sandholz and N.<br />
Fligstein (eds) The Institutionalisation <strong>of</strong> Europe, Oxford University Press: Oxford<br />
Stetter, S. (2007) EU Foreign and Interior Policies, Routledge: London<br />
Szymanski, M. and Smith, ME. (2006) “Coherence and Conditionality in European Foreign<br />
Policy: Negotiating the EU-Mexico Global Agreement”, in Journal <strong>of</strong> Common<br />
Market Studies, Vol. 43, 171-192.<br />
Tietje, Ch. (1997) „The Concept <strong>of</strong> Coherence in the Treaty on European Union and the<br />
Common Foreign and Security Policy”, European Foreign Affairs <strong>Review</strong> 2(1).<br />
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<strong>hrss</strong><br />
hamburg review <strong>of</strong> social sciences<br />
Coherence through Law: What difference will the Treaty <strong>of</strong> Lisbon make?<br />
Marise Cremona ∗<br />
I. Introduction<br />
In the process <strong>of</strong> treaty reform that started with the Laeken Declaration in December<br />
2001 and ended with the Treaty <strong>of</strong> Lisbon, signed in October 2007 (although the process<br />
<strong>of</strong> constitutional development <strong>of</strong> the Union did not start with Laeken and will certainly<br />
not halt with Lisbon), the coherence <strong>of</strong> the Union’s foreign policy has been one <strong>of</strong> the recurrent<br />
themes. The Laeken Declaration asks, “how should a more coherent common<br />
foreign policy and defence policy be developed?” 1 and raises the issue <strong>of</strong> foreign policy coherence<br />
expressly twice, first in the context <strong>of</strong> the organisation <strong>of</strong> Union competence and<br />
its relation to that <strong>of</strong> the Member States and second in the context <strong>of</strong> institutional and<br />
decision-making efficiency. In June 2006, when the future <strong>of</strong> the Constitutional Treaty<br />
was in doubt, the Commission published a Communication to the European Council ti-<br />
∗<br />
Marise Cremona is Pr<strong>of</strong>essor <strong>of</strong> European Law, European University Institute, Florence (Italy).<br />
1<br />
Laeken Declaration on the Future <strong>of</strong> the European Union, European Council, 14 and 15 December<br />
2001, Annex I to Presidency Conclusions.<br />
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tled “Europe in the World – Some Practical Proposals for Greater Coherence, Effectiveness<br />
and Visibility”. 2 Again these two aspects <strong>of</strong> coherence are brought out. The Commission<br />
argues that coherent and effective external policies require political agreement<br />
among Member States on the goals to be achieved, appropriate policy instruments and an<br />
effective legal and institutional framework. Political will is not enough:<br />
“even when there is sufficient political will, the EU’s impact falls short when there are unresolved<br />
tensions or a lack <strong>of</strong> coherence between different policies. There is a need for strong and<br />
permanent efforts to enhance the complementary interaction <strong>of</strong> various policy actions and to reconcile<br />
different objectives (for example in trade, agriculture, development, environment or migration).<br />
For the EU, there is the additional challenge in ensuring coherence between EU and national<br />
actions.”<br />
In its Communication the Commission, while arguing that the Constitutional Treaty<br />
would make a number <strong>of</strong> changes that would enhance coherence, puts forward some practical<br />
proposals designed to improve coherence under the existing Treaty framework.<br />
These range from strengthening the role <strong>of</strong> the External Relations Group <strong>of</strong> Commissioners<br />
in identifying strategic priorities, to joint (Council, High Representative and Commission)<br />
policy papers, better coordination in Council to promote consensus in multilateral<br />
organizations and other international fora, and increased use <strong>of</strong> “double-hatting” between<br />
Heads <strong>of</strong> Delegation and EU Special Representatives. No doubt many <strong>of</strong> these initiatives<br />
will help in improving coherent policy-making and delivery but the IGC Mandate agreed<br />
in June 2007 still saw foreign policy coherence as a key objective <strong>of</strong> revived treaty reform:<br />
the IGC was asked to draw up a Reform Treaty amending the existing Treaties “with a<br />
view to enhancing the efficiency and democratic legitimacy <strong>of</strong> the enlarged Union as well<br />
as the coherence <strong>of</strong> its external action”. 3 What then does the outcome <strong>of</strong> this process, the<br />
Treaty <strong>of</strong> Lisbon, <strong>of</strong>fer by way <strong>of</strong> an improved legal and institutional framework for coherence<br />
in EU foreign policy?<br />
2<br />
EC Commission, Communication to the European Council, “Europe in the World – Some Practical<br />
Proposals for Greater Coherence, Effectiveness and Visibility”, 8 June 2006,<br />
COM(2006)278.<br />
3<br />
IGC Mandate, adopted by the European Council June 2007, para 1.<br />
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II. The concept <strong>of</strong> coherence<br />
Coherence and law<br />
Before making some assessment <strong>of</strong> the Lisbon Treaty in this respect, we need to look<br />
briefly at coherence as a concept. First, although the dangers <strong>of</strong> incoherence in terms <strong>of</strong><br />
policy outcomes and unfulfilled potential are evident, the nature and different dimensions<br />
<strong>of</strong> coherence as a principle are still difficult to pin down. Coherence in fact has an ambiguous<br />
character: it appears to have a primarily institutional / political character, Gauttier<br />
for example arguing that at least in the context <strong>of</strong> EU foreign policy it does not designate<br />
a specific legal concept. 4 However according to Tietje it is “one <strong>of</strong> the main constitutional<br />
values <strong>of</strong> the EU”. 5 Certainly it is more than a somewhat vaguely defined objective<br />
<strong>of</strong> good institutional and policy practice, and finds its expression in a number <strong>of</strong> legal provisions<br />
and principles. 6 It provides a context and rationale for the operation <strong>of</strong> fundamental<br />
legal principles governing the relations between Member States and the EU institutions<br />
and between the institutions themselves, including the principle <strong>of</strong> primacy, the<br />
duty <strong>of</strong> cooperation and the principle by which the Community acquis is protected from<br />
being affected by the exercise <strong>of</strong> CFSP powers.<br />
What does coherence mean as a principle, or value, <strong>of</strong> EU constitutional law? An initial<br />
problem arises when considering coherence in the context <strong>of</strong> EU foreign policy. The<br />
different language versions <strong>of</strong> the Treaties do not use the same term; more specifically,<br />
where the French, Italian, German and other language version use “cohérence”, “coerenza”,<br />
“Kohärenz” – that is, “coherence”, the English versions use “consistency”. So, for<br />
example, Article 3 <strong>of</strong> the TEU enjoins “consistency <strong>of</strong> [the Union’s] external activities as<br />
a whole” in English; “la coerenza globale della sua azione esterna” in Italian, and “la cohérence<br />
de l’ensemble de son action extérieure” in French. This difference can be traced<br />
back at least as far as the Single European Act <strong>of</strong> 1987 in its provisions on European Po-<br />
4<br />
Gauttier, P., “Horizontal Coherence and the External Competences <strong>of</strong> the European Union”<br />
(2004) 10 European Law Journal 23, at 24.<br />
5<br />
Tietje, C., ‘The Concept <strong>of</strong> Coherence in the TEU and the CFSP’ (1997)2 European Foreign<br />
Affairs Rev., 211.<br />
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litical Cooperation 7 and unfortunately has not been remedied in the Treaty <strong>of</strong> Lisbon. In<br />
reading <strong>of</strong> consistency in the English language version, therefore, we should be at least<br />
aware <strong>of</strong> the concept <strong>of</strong> coherence which informs the other language versions. 8 Coherence<br />
is a broader and more flexible concept than consistency. As a number <strong>of</strong> writers have<br />
pointed out while coherence is a matter <strong>of</strong> degree, consistency is a static concept (legal<br />
provisions are either consistent or they are not). 9 A theoretical approach would define<br />
coherence in terms <strong>of</strong> the justificatory structures <strong>of</strong> the law and its conceptual framework;<br />
10 Gauttier refers to coherence as a “principle <strong>of</strong> action and organisation”. 11 All point<br />
to its dynamic nature, involving balance and an incremental approach. Indeed, coherence<br />
may be said to include (but not be limited to) consistency.<br />
The multi-layered nature <strong>of</strong> coherence<br />
Coherence then appears to be a multi-layered concept. I propose here a three level analysis<br />
<strong>of</strong> coherence, each supported by its own legal rules or principles. A first level requirement<br />
<strong>of</strong> coherence would be consistency, encompassing rules for conflict avoidance between<br />
potentially conflicting norms and for resolving conflicts when they arise: rules <strong>of</strong> hierarchy.<br />
Thus we have the rule <strong>of</strong> primacy <strong>of</strong> Community law, ensuring that Community<br />
law will, if necessary, prevail over conflicting norms <strong>of</strong> national law; 12 similarly, the primary<br />
law <strong>of</strong> the EU including the founding Treaties but also including general principles<br />
6<br />
Hillion, C., “Tous pour un, un pour tous! Coherence in the external relations <strong>of</strong> the European<br />
Union” in Cremona, M., ed., Developments in EU External Relations Law, Oxford University<br />
Press, forthcoming.<br />
7<br />
Under Article 30(5) SEA “the external policies <strong>of</strong> the European Community and the policies<br />
adopted by the European Political Cooperation must be consistent. The Presidency and the<br />
Commission, each within its own sphere <strong>of</strong> competence, shall have special responsibility for ensuring<br />
that such consistency is sought and maintained.”<br />
8<br />
Hillion, C., op. cit. note 6.<br />
9<br />
See for example Tietje, C., ‘The Concept <strong>of</strong> Coherence in the TEU and the CFSP’ (1997)2<br />
European Foreign Affairs Rev., 211, at 212; Koutrakos, P., Trade, Foreign Policy and Defence in<br />
EU Constitutional Law, Hart Publishing 2001, 39; Wessel, R.A., “The Inside Looking Out: Consistency<br />
And Delimitation In EU External Relations” (2000) 37 Common Market Law <strong>Review</strong><br />
1135, at 1150.<br />
10<br />
For example Tietje, C., op. cit. note 5, 214-7.<br />
11<br />
Gauttier, P., op. cit. note 4, 40-1.<br />
12<br />
Case 106/77 Simmenthal [1978] ECR 629 in which the Court held that national courts are under<br />
a Community law obligation not to apply national law which conflicts with directly applicable<br />
Community law.<br />
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<strong>of</strong> law (including fundamental human rights) will take precedence over secondary law enacted<br />
by the institutions. 13<br />
A second level <strong>of</strong> coherence is the effective allocation <strong>of</strong> tasks between actors (and instruments),<br />
avoiding both duplication and gaps: rules <strong>of</strong> delimitation. So, for example, not<br />
only must the EC act within the limits <strong>of</strong> the powers conferred upon it by the Treaties<br />
(Article 5 EC), each institution must also act within the limits <strong>of</strong> its powers (Article 7(1)<br />
EC), and the allocation <strong>of</strong> functions to the different institutions within the decisionmaking<br />
process is an expression <strong>of</strong> the ‘institutional balance’ established by the Treaty.<br />
The <strong>of</strong>ten difficult issue <strong>of</strong> identifying the correct legal basis for an act is important precisely<br />
because <strong>of</strong> these principles <strong>of</strong> conferral and institutional balance. As the Court <strong>of</strong><br />
Justice put it, these principles are an expression <strong>of</strong> the rule <strong>of</strong> law: ‘The European Economic<br />
Community is a community based on the rule <strong>of</strong> law, inasmuch as neither its<br />
Member States nor its institutions can avoid a review <strong>of</strong> the question whether the measures<br />
adopted by them are in conformity with the basic constitutional charter, the<br />
Treaty’. 14 The doctrine <strong>of</strong> pre-emption, under which the Member States are precluded<br />
from acting externally to the extent that the Community has enacted common rules in<br />
the field and ins<strong>of</strong>ar as those rules would be affected by national action, is also an example<br />
<strong>of</strong> a delimitation rule designed to ensure coherence: recent case law has emphasised a rationale<br />
for exclusivity based on the need ‘to ensure a uniform and consistent application<br />
<strong>of</strong> the Community rules and the proper functioning <strong>of</strong> the system which they establish in<br />
order to preserve the full effectiveness <strong>of</strong> Community law.’ 15<br />
13<br />
So for example, as far as the Community is concerned, in Joined cases T-364/95 and T-365/95<br />
T. Port GmbH & Co. v Hauptzollamt <strong>Hamburg</strong>-Jonas [1998] ECR page I-1023, aspects <strong>of</strong> a<br />
Council Regulation establishing an import regime for bananas were annulled on the grounds<br />
that they were in breach <strong>of</strong> the fundamental principle <strong>of</strong> non-discrimination. Although the<br />
Court does not have direct jurisdiction over the CFSP, it does have jurisdiction to ensure compliance<br />
with Article 47 TEU, which provides that the exercise <strong>of</strong> CFSP powers must not ‘affect’<br />
the Community acquis; see Case 91/05 Commission v Council, judgment <strong>of</strong> 20 May 2008, discussed<br />
further below, in which a Council CFSP Decision was annulled for infringement <strong>of</strong> Article<br />
47 TEU.<br />
14<br />
Case 294/83 Parti Ecologiste (‘Les Verts’) v. European Parliament [1986] ECR 1339, at para 23,<br />
holding that acts <strong>of</strong> the European Parliament that have legal effect must be subject to judicial<br />
review.<br />
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A third level <strong>of</strong> coherence implies synergy between norms, actors and instruments:<br />
principles <strong>of</strong> cooperation and complementarity. We see these expressed in Article 3 TEU,<br />
which requires consistency / coherence across all aspects <strong>of</strong> Union external action and in<br />
the duty <strong>of</strong> cooperation, based on Article 10 EC, which applies both to the Member States<br />
and to the institutions. As we shall see, although the duty <strong>of</strong> cooperation imposes clear<br />
obligations on the Member States coherence in the sense <strong>of</strong> synergy is promoted primarily<br />
through efforts towards complementarity, the formulation <strong>of</strong> strategy documents and<br />
other institutional mechanisms. We will also see evidence <strong>of</strong> a tension between the different<br />
levels <strong>of</strong> coherence, and in particular between coherence as expressed through rules <strong>of</strong><br />
delimitation and coherence as expressed through the principle <strong>of</strong> complementarity.<br />
III. Vertical and horizontal coherence<br />
Bearing in mind these different “levels” or elements <strong>of</strong> coherence, a distinction has also<br />
been made between vertical and horizontal coherence. 16 Each <strong>of</strong> these dimensions to coherence<br />
finds expression in legal principles referable to the levels <strong>of</strong> coherence already<br />
outlined.<br />
Vertical coherence<br />
Vertical coherence refers to the relationship between Member State and Union action, in<br />
particular in contexts where the Member States and the EU (or EC) may act simultaneously<br />
in relation to the same policy or subject matter. This is the case with respect to the<br />
common foreign and security policy (CFSP), governed by the Treaty <strong>of</strong> European Union<br />
(TEU), where the exercise <strong>of</strong> Union competence does not pre-empt or prevent Member<br />
State action, as well as shared competence under the EC Treaty, which may be pre-<br />
15<br />
Opinion 1/2003 <strong>of</strong> 7 February 2006, para. 128; in this case the Court held that the Community<br />
had exclusive competence to conclude the revised Lugano Convention on jurisdiction and the<br />
recognition and enforcement <strong>of</strong> judgments in civil and commercial matters.<br />
16<br />
See Tietje, op.cit. note 5; Nuttall S., “Coherence and Consistency” in Hill, C. and Smith, M.,<br />
eds., International Relations and the EU, OUP 2005, chap 5.<br />
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emptive or non-pre-emptive. 17 We can trace the three levels <strong>of</strong> coherence here in rules<br />
relating to conflict-avoidance, in particular the principle <strong>of</strong> the primacy <strong>of</strong> Community<br />
law with respect to Member State domestic law; in rules relating to delimitation, in particular<br />
the principle <strong>of</strong> conferral; and in the principles <strong>of</strong> cooperation. The exercise <strong>of</strong><br />
shared competence is governed by the principles <strong>of</strong> subsidiarity and proportionality (Article<br />
5 EC) which may be said to embody elements <strong>of</strong> coherence, in the sense that the decision<br />
as to whether the EC should act should be based on logical principle and should be<br />
consistent with other such decisions in the same policy field. If the EC acts in a field <strong>of</strong><br />
non-pre-emptive shared competence, such as development cooperation, the need for coherence<br />
clearly emerges and is recognised in the Treaty; Community policy on development<br />
cooperation, for example, is to be complementary to Member States’ policies (Article<br />
177(1) EC), and the Community and Member States are to coordinate their policies on<br />
development cooperation (Article 180(1) EC). More generally, the loyalty obligation<br />
found in both EC and EU Treaties requires the Member States, when exercising their own<br />
competence, to actively support the Union’s external policy and to refrain from action<br />
“which is contrary to the interests <strong>of</strong> the Union or likely to impair its effectiveness as a<br />
cohesive force in international relations” (Article 11(2) TEU) or which “could jeopardise<br />
the attainment <strong>of</strong> the objectives <strong>of</strong> [the EC] Treaty” (Article 10 EC). Advocate General<br />
Tizzano has recognised this “duty <strong>of</strong> cooperation” as a necessary foundation for the unity<br />
<strong>of</strong> Union external action, while emphasising its importance as a legal principle which may<br />
be applied by courts:<br />
“The Community legal system is characterised by the simultaneous application <strong>of</strong> provisions<br />
<strong>of</strong> various origins, international, Community and national; but it nevertheless seeks to function<br />
and to represent itself to the outside world as a unified system. That is, one might say, the inherent<br />
nature <strong>of</strong> the system which, while guaranteeing the maintenance <strong>of</strong> the realities <strong>of</strong> States and<br />
<strong>of</strong> individual interests <strong>of</strong> all kinds, also seeks to achieve a unified modus operandi. Its steadfast<br />
adherence to that aim, which the Court itself has described as an obligation <strong>of</strong> solidarity, is cer-<br />
17<br />
EC competence may also be exclusive a priori, meaning that it is exclusive independently <strong>of</strong><br />
whether the EC has itself yet acted; the most important field <strong>of</strong> a priori exclusivity is the common<br />
commercial policy: see further Schütze, R., “Supremacy Without Pre-Emption? The Very<br />
Slowly Emergent Doctrine <strong>of</strong> Community Pre-Emption”, (2006) 43 Common Market Law Rev.<br />
1023. As the Member States are precluded from acting, vertical coherence is not a formal issue.<br />
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tainly lent considerable weight by the judicial review mechanism which is defined in the Treaty<br />
and relies on the simultaneous support <strong>of</strong> the Community court and the national courts.” 18<br />
These are obligations which not only concern the Member States’ implementation <strong>of</strong><br />
EU policy but which also constrain the ways in which they may exercise their own competence,<br />
ensuring that they do not thereby obstruct EU objectives. So, for example, Germany<br />
and Luxembourg were found to be in breach <strong>of</strong> their obligations under Article 10<br />
EC by concluding bilateral agreements with third countries on the transport <strong>of</strong> goods and<br />
passengers by inland waterway. 19 The bilateral agreements were concluded after a decision<br />
by the Council to authorise the Commission to negotiate a multilateral agreement with a<br />
number <strong>of</strong> third countries. Although EC competence in the field was not exclusive, the<br />
Court held that the Member States were in breach <strong>of</strong> Article 10 EC (“that duty <strong>of</strong> genuine<br />
cooperation” 20 ) by continuing bilateral negotiations after the mandate had been<br />
agreed in the Council, without cooperating with or consulting the Commission:<br />
“The adoption <strong>of</strong> a decision authorising the Commission to negotiate a multilateral agreement<br />
on behalf <strong>of</strong> the Community marks the start <strong>of</strong> a concerted Community action at international<br />
level and requires, for that purpose, if not a duty <strong>of</strong> abstention on the part <strong>of</strong> the Member States,<br />
at the very least a duty <strong>of</strong> close cooperation between the latter and the Community institutions in<br />
order to facilitate the achievement <strong>of</strong> the Community tasks and to ensure the coherence and consistency<br />
<strong>of</strong> the action and its international representation.” 21<br />
Here we see the Court <strong>of</strong> Justice expressly framing the Member States’ duty <strong>of</strong> cooperation<br />
in terms <strong>of</strong> coherence and consistency <strong>of</strong> EU external action.<br />
18<br />
AG Tizzano in Case C-53/96 Hermes International v. FHT Marketing [1998] ECR I-3603, para<br />
21.<br />
19<br />
Case C-266/03 Commission v Luxembourg [2005] ECR I-04805; Case C-433/03 Commission v<br />
Germany [2005] ECR I-6985.<br />
20<br />
C-266/03 Commission v Luxembourg [2005] ECR I-04805, para 58.<br />
21<br />
Ibid, para 60. See further on the duty <strong>of</strong> cooperation in the EC context, Hillion,C., op.cit. note<br />
6; Cremona, M., “Defending the Community Interest: the Duties <strong>of</strong> Cooperation and Compliance”,<br />
and on the extent <strong>of</strong> the Member States’ loyalty obligation within the framework <strong>of</strong> the<br />
CFSP, Hillion C. & Wessel, R.A., “Restraining External Competences <strong>of</strong> EU Member States<br />
under CFSP”, both in M. Cremona and B. de Witte, EU Foreign Relations Law – Constitutional<br />
Fundamentals, Hart Publishing, forthcoming.<br />
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Horizontal coherence<br />
Horizontal coherence is the term used to refer to inter-policy and inter-pillar coherence. 22<br />
Again, the concept implies rules concerning consistency and conflict-avoidance, delimitation<br />
<strong>of</strong> powers and cooperation and complementarity. International agreements concluded<br />
by the Community are by virtue <strong>of</strong> Article 300(7) EC, binding upon the institutions<br />
as well as the Member States. Thus, they will take priority over secondary law enacted<br />
by the institutions. 23 The hierarchy between international agreements (and indeed<br />
international legal obligations in general) and primary Community law, is not so clear. 24<br />
Significantly however, the Council and Commission are required to ensure that international<br />
agreements negotiated under the common commercial policy are “compatible with<br />
internal Community policies and rules” (Article 133(3) EC).<br />
Between EC policy fields the emphasis is on policy coordination, complementarity<br />
and even integration, rather than hierarchy. Thus, certain policy priorities such as environmental<br />
protection (Article 6 EC), the promotion <strong>of</strong> equality between men and women<br />
(Article 3(2) EC) are to be integrated into all policies and activities (including external<br />
policy) and the EC is to “take account <strong>of</strong>” development cooperation objectives in the implementation<br />
<strong>of</strong> policies likely to affect development countries (Article 178 EC). Allocation<br />
and delimitation, as well as institutional balance, are reflected in the principles developed<br />
by the Court <strong>of</strong> Justice governing choice <strong>of</strong> legal base. In considering the proper<br />
legal base (environmental protection, common commercial policy, or both) for the conclusion<br />
<strong>of</strong> the Rotterdam Convention on the Prior Informed Consent Procedure for certain<br />
hazardous chemicals and pesticides in international trade, the Court <strong>of</strong> Justice held:<br />
22<br />
Nuttall designates inter-pillar coherence as “institutional” coherence or consistency, thereby<br />
emphasising the different institutional structures <strong>of</strong> the pillars rather than their different legal<br />
nature; see Nuttall S. “Coherence and Consistency” in Hill, C. and Smith, M., eds., International<br />
Relations and the EU, OUP 2005, chap 5. See also Schmalz, U., ‘The Amsterdam Provisions<br />
on External Coherence: Bridging the Union’s Foreign Policy Dualism?’ (1998)3 European<br />
Foreign Affairs Rev., 421.<br />
23<br />
See for example Case C-344/04 R v Department <strong>of</strong> Transport ex parte IATA, [2006] ECR I-403,<br />
at para 35. We will not here enter into a detailed discussion <strong>of</strong> coherence as it applies between<br />
international legal norms and the exercise <strong>of</strong> internal competence by the EU.<br />
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[T]he choice <strong>of</strong> the legal basis for a Community measure, including one adopted with a view<br />
to conclusion <strong>of</strong> an international agreement, must be based on objective factors which are amenable<br />
to judicial review and include in particular the aim and content <strong>of</strong> the measure …” 25<br />
It is in fact in the inter-pillar context that the Treaties are most explicit about the need<br />
for coherence and as we have seen this goes back to the formalisation <strong>of</strong> European Political<br />
Cooperation in the Single European Act. 26 The Union’s task, in Article 1 TEU, is “to<br />
organise, in a manner demonstrating consistency and solidarity, relations between the<br />
Member States and between their peoples”. 27 More specifically, Article 3 TEU requires<br />
consistency / coherence between the Union’s activities, including its external policies:<br />
“The Union shall be served by a single institutional framework which shall ensure the consistency<br />
and the continuity <strong>of</strong> the activities carried out in order to attain its objectives while respecting<br />
and building upon the acquis communautaire.<br />
The Union shall in particular ensure the consistency <strong>of</strong> its external activities as a whole in the<br />
context <strong>of</strong> its external relations, security, economic and development policies. The Council and<br />
the Commission shall be responsible for ensuring such consistency and shall cooperate to this end.<br />
They shall ensure the implementation <strong>of</strong> these policies, each in accordance with its respective<br />
powers.”<br />
The references to the acquis communautaire and to external economic and development<br />
policies make it clear that coherence is required across all pillars. In addition to the single<br />
institutional framework and the role <strong>of</strong> the institutions in ensuring this coherence, a set <strong>of</strong><br />
broadly drawn objectives for the Union is established in Article 2 TEU. Most important,<br />
however, are the provisions determining priority and competence delimitation between<br />
the pillars. The Union is “founded on” the European Communities, “supplemented by”<br />
the second and third pillar policies (Article 1 TEU); one <strong>of</strong> its objectives is to “maintain<br />
24<br />
See for example Case T-315/01 Kadi v Council and Commission [2005] ECR II-3649, in which<br />
the Court <strong>of</strong> First Instance held that UN Security Council Resolutions are not only binding on<br />
the EC but also take precedence over Community primary law.<br />
25<br />
Case C-94/03 Commission v Council, [2006] ECR I-1, para 34.<br />
26<br />
See note 7.<br />
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in full” and to “build on” the acquis communautaire (Article 2 TEU); third pillar powers<br />
are to be exercised “without prejudice to the powers <strong>of</strong> the European Community” (Article<br />
29 TEU); and nothing in the TEU is to “affect” the Community Treaties (Article 47<br />
TEU). These provisions, and in particular Article 47 TEU, have been interpreted to mean<br />
that second and third pillar powers should not “encroach upon” Community powers. 28 As<br />
the Court <strong>of</strong> First Instance put it in Kadi, despite the single institutional framework and<br />
shared overall objectives, the CFSP and the EC are two “integrated but separate legal orders”.<br />
29 How Article 47 TEU should be applied in practice, especially where there are<br />
overlapping objectives, is still somewhat problematic. It could be seen as primarily a conflict-resolution<br />
rule, or rule <strong>of</strong> primacy, such that (for example) if conflict were to emerge<br />
between a CFSP act and a Community measure, the Community norm would prevail.<br />
However, both as regards the third pillar / first pillar relationship, 30 and now recently also<br />
as regards the CFSP / first pillar relationship, 31 the Court <strong>of</strong> Justice has applied the provision<br />
as a delimitation rule, a rule governing the allocation <strong>of</strong> legal base. AG Mengozzi expressed<br />
the view accepted by the Court:<br />
“The function <strong>of</strong> Article 47 EU is to protect the competences which the provisions <strong>of</strong> the EC<br />
Treaty confer on the Community against any encroachment by acts which are claimed by the<br />
Council to fall within the scope <strong>of</strong> Titles V and VI <strong>of</strong> the EU Treaty. … Article 47 EU aims to<br />
keep watertight, so to speak, the primacy <strong>of</strong> Community action under the EC Treaty over actions<br />
undertaken on the basis <strong>of</strong> Title V and/or Title VI <strong>of</strong> the EU Treaty, so that if an action could be<br />
undertaken on the basis <strong>of</strong> the EC Treaty, it must be undertaken by virtue <strong>of</strong> that Treaty.” 32<br />
27<br />
As elsewhere in this Treaty, consistency in the English text appears as coherence in other language<br />
versions: see discussion above.<br />
28<br />
See further Hillion, C., op.cit. note 6.<br />
29<br />
Case T-315/01 Kadi v Council and Commission [2005] ECR II-3649, para 120. One <strong>of</strong> the issues<br />
in this case concerned the absence in the current EC Treaty <strong>of</strong> an explicit legal basis for economic<br />
sanctions against individuals (as opposed to States or persons connected with the governments<br />
<strong>of</strong> States). The Court refused to imply into the EC Treaty objectives which are specific<br />
to the TEU and the CFSP, i.e. the maintenance <strong>of</strong> international peace and security.<br />
30<br />
For example Case C-176/03 Commission v Council [2005] ECR I-7879 in which the Court annulled<br />
a third pillar framework decision on the ground that the measure requiring Member<br />
States to introduce criminal penalties for certain environmental <strong>of</strong>fences could have been<br />
adopted as a directive under Community powers.<br />
31<br />
Case 91/05 Commission v Council, judgment <strong>of</strong> 20 May 2008.<br />
32<br />
Case C-91/05 Commission v Council, judgement <strong>of</strong> 20 May 2008, opinion <strong>of</strong> AG Mengozzi 19<br />
September 2007, paras 92 and 116.<br />
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Primacy applies, it is argued by the Advocate General here, not only in case <strong>of</strong> a conflict<br />
<strong>of</strong> norms, but also to the allocation <strong>of</strong> competence. This particular case illustrates<br />
well the tension that can exist between the different aspects <strong>of</strong> coherence, on the one<br />
hand clarity <strong>of</strong> rules which allocate tasks, delimit competences and establish priority between<br />
rules in order to avoid inconsistency, and on the other coherence through synergy<br />
and complementarity. The Commission challenged the Council’s use <strong>of</strong> a CFSP measure<br />
to give financial assistance to the Economic Community <strong>of</strong> West African States<br />
(ECOWAS) in the field <strong>of</strong> Small Arms and Light Weapons (SALW). 33 The control <strong>of</strong><br />
SALW has been the subject <strong>of</strong> action both within the CFSP 34 and development policy. 35<br />
In an “EU Strategy to combat illicit accumulation and trafficking <strong>of</strong> SALW and their<br />
ammunition” adopted in December 2005 the European Council links SALW to both the<br />
European Security Strategy and to development policy, highlighting the need for a comprehensive<br />
response and referring to the possibility <strong>of</strong> inserting clauses on SALW in future<br />
EC agreements, but without any concrete statement as to how to achieve coordination<br />
between the pillars. The Commission, which has included conflict prevention and support<br />
for the ECOWAS moratorium on SALW in its Regional Indicative Programme for West<br />
Africa, argued that the Council’s action infringed Article 47 TEU as it affects Community<br />
powers in the field <strong>of</strong> development aid. The Council saw the decision as an implementation<br />
(one among several) <strong>of</strong> its 2002 Joint Action on SALW. 36 Clearly the Council is concerned<br />
that the Commission might use the potential breadth <strong>of</strong> development policy to<br />
ring-fence (via Article 47 TEU) an increasingly large slice <strong>of</strong> security policy; the Commission<br />
is concerned that the Council will increasingly encroach on development policy objectives<br />
by claiming a security dimension. Within the field <strong>of</strong> development cooperation,<br />
33<br />
Decision 2004/833/CFSP OJ 2004 L 359/65.<br />
34<br />
Council Joint Action 2002/589/CFSP on SALW, OJ 2002 L 191/1; see also Council Common<br />
Position 2005/304/CFSP on conflict prevention, management and resolution in Africa, OJ<br />
2005 L 97/57, Art 7.<br />
35<br />
Support has been given to SALW projects in a number <strong>of</strong> ACP States under the EDF; see also<br />
the Cotonou Convention, Article 11(3).<br />
36<br />
See note 34.<br />
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the Member States may choose to act themselves either unilaterally or collectively; 37<br />
should Article 47 TEU prevent them from choosing to act through a CFSP instrument?<br />
According to both the Advocate General and the Court <strong>of</strong> Justice it does prevent them<br />
doing so if it is possible to adopt the measure under Community powers. However the<br />
Advocate General and the Court then disagreed as to whether the Decision fell properly<br />
within Community powers. The Advocate General concluded that there was no breach <strong>of</strong><br />
Article 47 since security was the primary aim <strong>of</strong> the SALW decision and therefore it could<br />
not have been adopted under Community powers. Significantly, in his analysis the Community<br />
priority rule established by Article 47 TEU is balanced by the principle <strong>of</strong> conferral<br />
established by Article 5 EC: the Community can only act within the limits <strong>of</strong> the powers<br />
granted by the Treaty and its development cooperation powers cannot be used to pursue<br />
objectives which are essentially security-oriented. The Court <strong>of</strong> Justice, while not disagreeing<br />
with this as a matter <strong>of</strong> principle, came to a different conclusion, finding that the<br />
substantial objectives <strong>of</strong> the Decision could be characterised as concerned both with<br />
CFSP (preservation <strong>of</strong> peace and strengthening <strong>of</strong> international security) and with development.<br />
Where two possible legal bases are both legally relevant (neither is merely incidental)<br />
within the Community system, it is possible to adopt the measure on a joint legal<br />
basis. 38 However in the Court’s view, a joint legal base solution is not possible across the<br />
pillars as this would conflict with (its reading <strong>of</strong>) Article 47 TEU, and in such a case,<br />
Community powers only should be used:<br />
‘… under Article 47 EU, such a solution [joint legal bases] is impossible with regard to a<br />
measure which pursues a number <strong>of</strong> objectives or which has several components falling, respectively,<br />
within development cooperation policy, as conferred by the EC Treaty on the Community,<br />
and within the CFSP, and where neither one <strong>of</strong> those components is incidental to the other.<br />
Since Article 47 EU precludes the Union from adopting, on the basis <strong>of</strong> the EU Treaty, a<br />
measure which could properly be adopted on the basis <strong>of</strong> the EC Treaty, the Union cannot have<br />
37<br />
Case C-316/91 European Parliament v Council [1994] ECR I-0625. In the case <strong>of</strong> SALW the<br />
Member States have indeed taken individual action: see Fourth Annual Report on the<br />
implementation <strong>of</strong> the EU Joint Action on SALW, OJ 2005 C 109/1.<br />
38<br />
See for example Case C-94/03 Commission v Council, [2006] ECR I-1, note 25.<br />
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recourse to a legal basis falling within the CFSP in order to adopt provisions which also fall<br />
within a competence conferred by the EC Treaty on the Community.’ 39<br />
Article 47 TEU is, on this view, such a strong delimitation rule that it precludes the simultaneous<br />
use <strong>of</strong> first and second pillar legal bases for the adoption <strong>of</strong> a measure which<br />
has both CFSP and Community objectives. This is an a priori prohibition: the Court does<br />
not discuss whether the two decision-making procedures are incompatible, as may be the<br />
case where a joint legal base is proposed within the Community legal order. 40 The Court’s<br />
interpretation <strong>of</strong> Article 47 thus underlines the separation <strong>of</strong> the two legal orders (CFSP<br />
and Community) referred by the CFI in Kadi. 41<br />
On the basis <strong>of</strong> this case law we can identify a tension between (on the one hand) the<br />
creation <strong>of</strong> a European Union which is “founded on the European Communities,” which is<br />
intended to operate under a single institutional framework and to “assert its identity on<br />
the international scene” through consistent and coherent external action, and (on the<br />
other hand) a system <strong>of</strong> very different institutional bases for action and legal instruments<br />
(the CFSP, PJC, the EC Treaty). Increasingly the relationship between these legal bases<br />
and legal instruments, and the proper use <strong>of</strong> one rather than another, will come to the<br />
fore. The type <strong>of</strong> legal “bridge” created for economic sanctions is an isolated example –<br />
and even this procedure requires two separate legal instruments, one CFSP and one EC,<br />
not a single jointly-based instrument. More prevalent is the use <strong>of</strong> a non-binding policy<br />
framework to provide coherence to policies which straddle the pillars, such as that used<br />
for the European Neighbourhood Policy, 42 and the increasing use <strong>of</strong> “Strategies” adopted<br />
at European Council level. 43 However, as the SALW case illustrates, the concrete implementation<br />
<strong>of</strong> such Strategies through legal instruments immediately raises the legal base<br />
question. The position is made more difficult by the fact that the Court <strong>of</strong> Justice has no<br />
jurisdiction under the CFSP and only a limited jurisdiction under the PJC, although as we<br />
39<br />
Case C-91/05 Commission v Council, judgement <strong>of</strong> 20 May 2008, paras 76-77.<br />
40<br />
It may not be possible to use a joint legal base where the two procedures are incompatible: see<br />
Case C-300/89 Commission v Council (the ‘Titanium dioxide case’) [1991] ECR I-2867, paras 18-<br />
20.<br />
41<br />
See note 29.<br />
42<br />
See further Cremona, M., “The European Neighbourhood Policy: More than a Partnership?” in<br />
Cremona, M., ed., Developments in EU External Relations Law, Oxford University Press,<br />
forthcoming.<br />
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have seen Article 47 TEU does allow the Court to assess the legality <strong>of</strong> CFSP measures for<br />
compliance with that provision. The Advocate General in the SALW case proposed a<br />
balance between two principles, both <strong>of</strong> which are, as argued here, inherent in the concept<br />
<strong>of</strong> coherence. The Court emphasised the delimitation rule (Article 47 TEU) and the<br />
priority <strong>of</strong> Community legislative and decision-making procedures. A different balance<br />
might give more emphasis to complementarity and primacy <strong>of</strong> the acquis in case <strong>of</strong> conflicts<br />
<strong>of</strong> norms. The judgment <strong>of</strong> the Court in this case is thus important in the evolutionary<br />
direction <strong>of</strong> inter-pillar coherence and the balance between its different elements.<br />
Institutional coherence<br />
Finally we should note the institutional dimension <strong>of</strong> coherence, relevant primarily in the<br />
context <strong>of</strong> horizontal coherence but with some relevance also to vertical coherence. As<br />
we have seen, the institutions – and in particular the Council and Commission – are enjoined<br />
to promote (horizontal) coherence between all Union external policies (Articles 3<br />
and 13(3) TEU 44 ). The Council is also to ensure that the loyalty principle underpinning<br />
vertical coherence is applied in the operation <strong>of</strong> the CFSP (Article 11(2) TEU), an important<br />
role given the absence <strong>of</strong> jurisdiction <strong>of</strong> the Court <strong>of</strong> Justice to enforce this provision.<br />
The Commission, apart from its general enforcement powers within the EC legal order<br />
under Article 226 EC, is given a role in promoting (vertical) coherence through coordination<br />
<strong>of</strong> Member States’ and Community development policies (it may “take any useful initiative”,<br />
Article 180(2) EC), and the Council and Commission are to ensure the compatibility<br />
<strong>of</strong> trade agreements with internal Community policies and rules (Article 133(3)<br />
EC). More generally, the Court <strong>of</strong> Justice has taken the view that the “duty <strong>of</strong> cooperation”<br />
expressed in relation to the Member States in Article 10 EC applies also to the institutions<br />
in their relations inter se and with the Member States. For example the Court has<br />
held that the Council was entitled to adopt a Regulation renewing and amending the<br />
Generalised System <strong>of</strong> Preferences for developing countries without first obtaining the<br />
43<br />
For example, the European Security Strategy adopted in December 2003.<br />
44<br />
Article 3 TEU is cited above; under Article 13(2) TEU, “The Council shall ensure the unity,<br />
consistency and effectiveness <strong>of</strong> action by the Union.”<br />
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opinion <strong>of</strong> the European Parliament; 45 since the Parliament failed to deliver an opinion in<br />
due time, and there was an urgent need to adopt the renewal regulation in order to avoid<br />
an interruption <strong>of</strong> the preferences system, ‘the essential procedural requirement <strong>of</strong> Parliamentary<br />
consultation was not complied with because <strong>of</strong> the Parliament's failure to discharge<br />
its obligation to cooperate sincerely with the Council’. 46<br />
The institutions are also specifically concerned with allocation and delimitation <strong>of</strong><br />
competence; many legal base disputes are actually inter-institutional disputes precisely because<br />
<strong>of</strong> the different institutional rules applicable to different legal bases (most obvious<br />
between the pillars but significant also within the EC Treaty itself). The Court, in annulling<br />
legal acts on the grounds <strong>of</strong> an incorrect legal base or failure to follow proper procedures<br />
will refer to the need to preserve the “institutional balance” established by the<br />
Treaty. 47 To take one example, although the Commission has implementation powers<br />
with respect to competition law, the Court annulled a Commission decision concluding a<br />
cooperation agreement with the United States on the grounds that Article 300 EC, which<br />
sets out the procedure for concluding international agreements “confers specific powers<br />
on the Community institutions” and, “with a view to establishing a balance between those<br />
institutions,” provides for negotiation by the Commission and conclusion by the Council.<br />
48 Here, coherence at the institutional level ensures that it is the Council that concludes<br />
legally binding international agreements whether the Community’s treaty-making<br />
powers in the field are express or implied.<br />
These two aspects <strong>of</strong> the institutional dimension to coherence are, not surprisingly,<br />
linked. As Stetter has argued, “the functional context <strong>of</strong> EU foreign politics has given rise<br />
to a complex, institutionally fragmented, yet functionally unified policy framework.” 49 On<br />
the one hand, what Stetter refers to as institutional fragmentation persists, as a consequence<br />
<strong>of</strong> the pillar structure, with a different institutional balance operating in each pil-<br />
45<br />
The consultation <strong>of</strong> the Parliament is an essential procedural requirement under Article 37 EC<br />
(at that time Article 43 EC) which was one <strong>of</strong> the legal bases <strong>of</strong> the Regulation.<br />
46<br />
Case C–65/93 European Parliament v Council [1995] ECR I–643, para 28.<br />
47<br />
See further Jacqué, J-P., “The Principle <strong>of</strong> Institutional Balance” (2004) 41 Common Market Law<br />
Rev. 383.<br />
48<br />
C-327/91 France v Commission [1994] ECR I-3641, para 28. For a counter-example, in which it<br />
was held that the Commission had the power to conclude a non-binding arrangement with the<br />
US on regulatory cooperation, see case C-233/02 France v Commission [2004] ECR I-2759.<br />
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lar. On the other hand, the inevitable cross-pillar aspect <strong>of</strong> foreign policy, which is encouraged<br />
by the provisions on coherence such as Article 3 TEU, results in a more complex<br />
differentiation between institutions which is not solely “pillar-based” but which, for<br />
example, gives more weight to the executive (Commission, Council and European Council)<br />
as opposed to the non-executive institutions (European Parliament). 50 The increasing<br />
use <strong>of</strong> “s<strong>of</strong>t” non-legislative policy frameworks to bind together cross-pillar policies, referred<br />
to earlier, is an example <strong>of</strong> this tendency.<br />
IV. The Treaty <strong>of</strong> Lisbon and coherence<br />
What impact will the Treaty <strong>of</strong> Lisbon have on the legal and institutional framework designed<br />
to further the coherence <strong>of</strong> EU foreign policy? Instead <strong>of</strong> the replacement <strong>of</strong> the<br />
existing Treaties by the Constitutional Treaty, we will see a substantial amendment <strong>of</strong> the<br />
Treaty on European Union and the EC Treaty, the latter being renamed the Treaty on<br />
the Functioning <strong>of</strong> the European Union (TFEU). The amendments to both the EC Treaty<br />
and TEU result in a much more integrated framework; the Treaties are referred to as “the<br />
Treaties” throughout and they are <strong>of</strong> equal legal value. The CFSP provisions remain in<br />
the TEU but alongside provisions establishing the institutional framework for the Union<br />
as a whole and a set <strong>of</strong> general provisions which govern all external policy. There will be<br />
one legal personality for the Union and one legal order, 51 albeit with differing decisionmaking<br />
provisions. The presumption is that all Treaty provisions apply to the CFSP unless<br />
there is a specific exclusion.<br />
Vertical coherence<br />
With respect to vertical coherence, three points are notable. First, the Lisbon Treaty<br />
while reflecting very many <strong>of</strong> the changes introduced by the Constitutional Treaty, will<br />
remove the explicit provision on the primacy <strong>of</strong> Union law. This was decided in the Man-<br />
49<br />
Stetter, S. “Cross-pillar politics: functional unity and institutional fragmentation <strong>of</strong> EU foreign<br />
policies” (2004) 11 Journal <strong>of</strong> European Public Policy 720, at 733.<br />
50<br />
Stetter, op.cit. note 40, at 734.<br />
51<br />
The concept <strong>of</strong> an acquis communautaire to be maintained and protected has been removed from<br />
the TEU by the Treaty <strong>of</strong> Lisbon.<br />
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date for the IGC, agreed in June 2007 as part <strong>of</strong> the “de-constitutionalising” <strong>of</strong> the Treaty<br />
reform process. A Declaration (No.17) asserts that “in accordance with well settled case<br />
law <strong>of</strong> the Court <strong>of</strong> Justice <strong>of</strong> the European Union, the Treaties and the law adopted by<br />
the Union on the basis <strong>of</strong> the Treaties have primacy over the law <strong>of</strong> Member States, under<br />
the conditions laid down by the said case law.” This case law <strong>of</strong> course has not referred to<br />
the primacy <strong>of</strong> second pillar law (CFSP) and this Declaration thus leaves open the extent<br />
to which CFSP measures take priority over national law. The loyalty clause (now Article 4<br />
(3) TEU 52 ) will apply to the CFSP as well as all other Union law and, to the extent that<br />
the Court has jurisdiction, may be used to resolve conflicts in favour <strong>of</strong> Union law. As far<br />
as consistency and the avoidance <strong>of</strong> conflict goes the Treaty <strong>of</strong> Lisbon will not alter the<br />
current position significantly.<br />
Second, there is a clear emphasis on defining the Union’s competence with a concurrent<br />
prominence given to the principle <strong>of</strong> conferral, i.e. that the Union may act only<br />
within the limits <strong>of</strong> the powers granted to it by the Member States in the Treaties. 53 This<br />
principle appears in Articles 1, 4(1) and 5 TEU, as amended by the Treaty <strong>of</strong> Lisbon, as<br />
well as in Article 7 TFEU, where it is linked to the principle <strong>of</strong> consistency (in the English<br />
text). It is repeated in Declaration 18, and Declaration 24 confirms that “the fact that the<br />
European Union has a legal personality will not in any way authorise the Union to legislate<br />
or to act beyond the competences conferred upon it by the Member States in the<br />
Treaties”. This belt-and-braces approach is accompanied by an attempt to codify at least<br />
some <strong>of</strong> the Court <strong>of</strong> Justice’s case law on external competence, such as the power to conclude<br />
international agreements in Article 216 TFEU and the conditions under which<br />
such competence may become exclusive in Article 3 TFEU. 54 Some further express external<br />
powers are added, for example, concerning humanitarian aid (Article 214 TFEU), re-<br />
52<br />
Subsequent Treaty references in this section will refer to the Treaties as amended and renumbered<br />
by the Treaty <strong>of</strong> Lisbon unless otherwise specified.<br />
53<br />
Under the Treaty <strong>of</strong> Lisbon, “the Treaties” will refer to the Treaty on European Union (as<br />
amended) and the Treaty on the Functioning <strong>of</strong> the European Union (the amended and renamed<br />
EC Treaty). The Union is founded upon these Treaties and they will have the same legal<br />
value (Article 1 TEU and Article 1 TFEU).<br />
54<br />
For an analysis and critique <strong>of</strong> these provisions, see Cremona, M., “Defining competence in EU<br />
external relations: lessons from the Treaty reform process” forthcoming in Dashwood, A. and<br />
Maresceau M., eds., Recent Trends in the External Relations <strong>of</strong> the Union, Cambridge University<br />
Press 2008; Cremona, M., ‘The Union’s External Action: Constitutional Perspectives’, in<br />
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strictive measures against individuals (Article 215 TFEU), accession to the European<br />
Convention <strong>of</strong> Human Rights (Article 6 TEU), the neighbourhood policy (Article 8<br />
TEU) and a more extended definition <strong>of</strong> the scope <strong>of</strong> the common security and defence<br />
policy (Article 42(1) TEU). Overall, then, and following the original mandate <strong>of</strong> the<br />
Laeken Declaration, an attempt has been made to define more precisely the extent <strong>of</strong> the<br />
Union’s external powers and to emphasise the limits <strong>of</strong> those powers, in a way which is<br />
consonant with the legal principles underlying coherence (delimitation rules).<br />
Third, we find an emphasis on the retention <strong>of</strong> foreign policy powers by the Member<br />
States. Not only do we see general statements that powers not conferred on the Union<br />
remain with the Member States and that conferred powers may be returned to the Member<br />
States (Article 4 TEU and Declaration 18); there are two Declarations affirming that<br />
the exercise <strong>of</strong> CFSP competence “will not affect the existing legal basis, responsibilities,<br />
and powers <strong>of</strong> each Member State in relation to the formulation and conduct <strong>of</strong> its foreign<br />
policy” (Declarations 13 and 14). Indeed, the Treaties go further in that the CFSP is to be<br />
“put into effect” by the High Representative for Foreign Affairs and Security Policy and by<br />
Member States (Article 24(1) TEU, as amended). This not only stresses the Member<br />
States’ implementing role as regards the CFSP, but suggests that they will remain actively<br />
involved in its development, an important aspect <strong>of</strong> vertical coherence. Elsewhere too,<br />
the retention <strong>of</strong> Member State powers is emphasized; for example in Declaration 36 the<br />
IGC “confirms” the continuing right <strong>of</strong> Member States to conclude international agreements<br />
in the fields <strong>of</strong> judicial cooperation in civil and criminal matters, and police cooperation<br />
“ins<strong>of</strong>ar as such agreements comply with Union law”. 55<br />
In sum, then we may conclude that the Treaty <strong>of</strong> Lisbon responds to the challenge <strong>of</strong><br />
vertical coherence, not by giving more power to the Union but by emphasizing the<br />
boundaries to Union power, the concurrent powers <strong>of</strong> the Member States and their role in<br />
furthering Union policy. Although the Union’s system <strong>of</strong> foreign policy will be somewhat<br />
simplified (we will no longer have the Union and the EC as separate external actors), it<br />
will still very definitely comprise both Union and Member States.<br />
Amato, G., Bribosia, H., and de Witte, B., eds., Genèse et Destinée de la Constitution Européenne<br />
(Bruxelles, Bruylant, 2007) 1173.<br />
55<br />
Union law <strong>of</strong> course includes not only the “AETR doctrine” on the conditions under which <strong>of</strong><br />
external competence may become exclusive but will also include Article 3(2) TFEU which partially<br />
codifies this case law.<br />
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Horizontal coherence<br />
Horizontal coherence in general, and in relation to foreign policy in particular, may be<br />
said to be almost a theme <strong>of</strong> the Treaty <strong>of</strong> Lisbon. The TFEU proclaims the principle<br />
clearly in Article 7:<br />
“The Union shall ensure consistency between its policies and activities, taking all <strong>of</strong> its objectives<br />
into account and in accordance with the principle <strong>of</strong> conferral <strong>of</strong> powers”.<br />
This provision, at the start <strong>of</strong> the TFEU, heads a series <strong>of</strong> provisions which are designed to<br />
incorporate a set <strong>of</strong> horizontal objectives into all Union policy (external policy included)<br />
and operating alongside the more general Union objectives in Article 3 TEU. 56 These include<br />
eliminating inequality between men and women, employment, social protection, a<br />
high level <strong>of</strong> education and health protection, combating discrimination, environmental<br />
protection, consumer protection and services <strong>of</strong> general economic interest. Thus external<br />
policy is not only to be governed by its own specific objectives but also to have regard to<br />
the overall policy priorities <strong>of</strong> the Union. In the foreign policy field a very specific attempt<br />
has been made to enhance coherence by establishing a set <strong>of</strong> common principles and objectives<br />
for all Union foreign policy, including the CFSP, and by providing (in Article<br />
21(3) TEU) that these objectives must also be pursued in the external aspects <strong>of</strong> the Union’s<br />
other policies (such as agricultural policy, transport, environmental or migration policy).<br />
The Union is to<br />
“define and pursue common policies and actions, and shall work for a high degree <strong>of</strong> cooperation<br />
in all fields <strong>of</strong> international relations, in order to:<br />
(a) safeguard its values, fundamental interests, security, independence and integrity;<br />
(b) consolidate and support democracy, the rule <strong>of</strong> law, human rights and the principles <strong>of</strong> international<br />
law;<br />
56<br />
Article 3(5) TEU establishes the general objectives for Union foreign policy: “In its relations<br />
with the wider world, the Union shall uphold and promote its values and interests and contribute<br />
to the protection <strong>of</strong> its citizens. It shall contribute to peace, security, the sustainable development<br />
<strong>of</strong> the Earth, solidarity and mutual respect among peoples, free and fair trade, eradication<br />
<strong>of</strong> poverty and the protection <strong>of</strong> human rights, in particular the rights <strong>of</strong> the child, as well<br />
as to the strict observance and the development <strong>of</strong> international law, including respect for the<br />
principles <strong>of</strong> the United Nations Charter.”<br />
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(c) preserve peace, prevent conflicts and strengthen international security, in accordance with<br />
the purposes and principles <strong>of</strong> the United Nations Charter, with the principles <strong>of</strong> the Helsinki Final<br />
Act and with the aims <strong>of</strong> the Charter <strong>of</strong> Paris, including those relating to external borders;<br />
(d) foster the sustainable economic, social and environmental development <strong>of</strong> developing<br />
countries, with the primary aim <strong>of</strong> eradicating poverty;<br />
(e) encourage the integration <strong>of</strong> all countries into the world economy, including through the<br />
progressive abolition <strong>of</strong> restrictions on international trade;<br />
(f) help develop international measures to preserve and improve the quality <strong>of</strong> the environment<br />
and the sustainable management <strong>of</strong> global natural resources, in order to ensure sustainable<br />
development;<br />
(g) assist populations, countries and regions confronting natural or man-made disasters; and<br />
(h) promote an international system based on stronger multilateral cooperation and good<br />
global governance.”<br />
It is worth listing these overall objectives in order to demonstrate their potential in terms<br />
<strong>of</strong> horizontal coherence. Trade policy, for example, is not only take into the principle <strong>of</strong><br />
liberalisation (Article 206 TFEU) but also sustainable development and support for democracy<br />
and human rights. Article 21(3) TEU concludes by repeating again the principle<br />
<strong>of</strong> consistency (cohérence):<br />
“The Union shall ensure consistency between the different areas <strong>of</strong> its external action and between<br />
these and its other policies….”<br />
These provisions, and especially the common objectives for external action, are designed<br />
to underpin the “de-pillarisation” effected by the Treaty <strong>of</strong> Lisbon. However, this depillarisation<br />
is only partial. The CFSP is still to be subject to “specific rules and procedures”<br />
with its own institutional balance, including the prohibition on the adoption <strong>of</strong> legislative<br />
acts (i.e. acts adopted under the co-decision procedure) and the exclusion, with<br />
exceptions, <strong>of</strong> the jurisdiction <strong>of</strong> the Court <strong>of</strong> Justice (Article 24(1) TEU). Most significantly,<br />
there is an attempt to prevent “cross-contamination” between the CFSP and other<br />
policy fields in Article 40 TEU, which provides not only that the implementation <strong>of</strong> the<br />
CFSP “shall not affect” the procedures and institutional powers for the exercise <strong>of</strong> other<br />
Union competences (reflecting the current version in Article 47 TEU), but also that the<br />
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exercise <strong>of</strong> those other competences is not to affect CFSP procedures and institutional<br />
powers. This double-sided clause, taken together with the provision establishing “equal<br />
legal value” for both Treaties, will remove the current priority accorded to the Community<br />
acquis; the CFSP will have an equal priority.<br />
Thus despite the series <strong>of</strong> common objectives and the institutional mechanisms mentioned<br />
below, the current separation <strong>of</strong> the CFSP from other policies is maintained and<br />
even strengthened. Coherence does not necessarily imply removal <strong>of</strong> differences between<br />
policies and institutional structures; rather it is about recognising the differences and ensuring<br />
that they can live together harmoniously. A strict separation is not necessarily inimical<br />
to coherence, at least in its narrower sense <strong>of</strong> consistency, as long as the boundary<br />
is clear; hence the need for delimitation rules. However in this case the boundary is not<br />
clear in the sense <strong>of</strong> providing a clear rule determining choice <strong>of</strong> legal base for disputed<br />
cases such as the SALW case referred to above. Legal base, as we have seen, is determined<br />
by reference to a proposed measure’s aims and content. As far as aims are concerned,<br />
the new provisions establish a single set <strong>of</strong> objectives for external action and policy-specific<br />
aims have largely disappeared. There are no specific limits set to the content<br />
<strong>of</strong> CFSP action: it may cover “all areas <strong>of</strong> foreign policy and all questions relating to the<br />
Union’s security” (Article 24(1) TEU). Given this, the Court may take the view that the<br />
CFSP is the more general competence, to be resorted to only where no other external<br />
competence may apply. However some <strong>of</strong> the other external competences are also broadly<br />
drafted, e.g. economic, technical and financial cooperation with third countries, or the<br />
conclusion <strong>of</strong> association agreements. Further, to treat the CFSP as a kind <strong>of</strong> residual<br />
competence does not do justice to the evident desire <strong>of</strong> the Member States to maintain a<br />
distinctive sphere <strong>of</strong> activity for the CFSP with its own institutional balance (and its own<br />
approach to vertical coherence) and to grant it equal priority. The solution proposed by<br />
the Court in the SALW case to the problem <strong>of</strong> overlapping objectives – that <strong>of</strong> giving priority<br />
to Community processes – will have to be reconsidered under the Treaty <strong>of</strong> Lisbon as<br />
the legal basis for Community priority disappears.<br />
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Institutional coherence<br />
It is significant that the revised version <strong>of</strong> Article 40 TEU is concerned to protect “the<br />
application <strong>of</strong> the procedures and the extent <strong>of</strong> the powers <strong>of</strong> the institutions laid down by<br />
the Treaties”. We no longer have separate pillars, or legal orders, but differentiated institutional<br />
dynamics are maintained. In spite <strong>of</strong> this, the Treaty <strong>of</strong> Lisbon contains three innovations<br />
clearly designed to enhance institutional coherence in external policy-making<br />
and delivery. First is to give to the European Council the mandate to develop overall foreign<br />
policy strategy, through its Conclusions, through non-binding strategy documents<br />
and also through binding Decisions which may cover CFSP and other external policy areas<br />
(Article 22(1) TEU, replacing the “common strategies” adopted under Article 13(2)<br />
<strong>of</strong> the current TEU). This to a large extent constitutionalises (if we should use that term<br />
<strong>of</strong> the Lisbon Treaty) existing practice. Second, the Treaties create the new role <strong>of</strong> High<br />
Representative for Foreign Affairs and Security Policy (HR), who will act in a double role<br />
as President <strong>of</strong> the Foreign Affairs Council and as a Vice-President <strong>of</strong> the Commission.<br />
He or she is given the task <strong>of</strong> “conducting” the CFSP and CSDP, both making proposals<br />
and implementing them. Within the Commission he or she will not only have overall responsibility<br />
for the Commission’s external relations functions but will also coordinate and<br />
“ensure the consistency <strong>of</strong>” the Union’s external action” (Article 18(4) TEU). Where<br />
conflicts <strong>of</strong> interest arise, the HR’s role within the Council prevails: he or she will be subject<br />
to Commission procedures only to the extent compatible with his conduct <strong>of</strong> the<br />
CFSP and his Council role. Third, the Treaty <strong>of</strong> Lisbon introduces the External Action<br />
Service to assist the HR (in both his functions); the EAS will be composed <strong>of</strong> <strong>of</strong>ficials <strong>of</strong><br />
the Council Secretariat and the Commission as well as staff seconded from national diplomatic<br />
services. It is thus intended to bridge the gap between the two increasingly competitive<br />
policy services within the Commission and the Council Secretariat but also,<br />
through the involvement <strong>of</strong> the national diplomatic services, to encourage vertical cohesion.<br />
57<br />
57<br />
The details <strong>of</strong> the functioning <strong>of</strong> the EAS are to be the subject <strong>of</strong> a Council Decision (Article<br />
27(3) TEU); see further Editorial comment, “Mind the Gap”, (2008) 45 Common Market Law<br />
Rev. 317, at 321.<br />
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These innovations no doubt have the potential to enhance coherence if they work as<br />
intended. However the institutional picture is <strong>of</strong> course more complex and we can identify<br />
a tendency in the Treaties to give a coordinating role not just to one but to several actors.<br />
In addition to the HR (who will chair the Foreign Affairs Council), we find that the<br />
President <strong>of</strong> the European Council “shall, at his or her level and in that capacity” ensure the<br />
external representation <strong>of</strong> the Union on CFSP matters, without prejudice to the powers <strong>of</strong><br />
the HR (Article 15(6) TEU). The Commission is to ensure the Union’s external representation,<br />
outside the CFSP (Article 17(1) TEU). The Council (primarily the Foreign Affairs<br />
Council) is also, together with the HR, responsible for ensuring compliance with the principles<br />
<strong>of</strong> loyalty and solidarity within the CFSP. The General Affairs Council (presided<br />
over by a Member State representative) has charge over ensuring consistency in the work<br />
<strong>of</strong> the different Council configurations, including the Foreign Affairs Council (Article<br />
16(6) TEU). Apart from the HR, individual Commissioners will have responsibility for<br />
specific aspects <strong>of</strong> external policy, including trade, development and humanitarian aid. 58<br />
Not only will there be a number <strong>of</strong> different actors to coordinate, a number <strong>of</strong> different<br />
actors will have responsibility for that coordination.<br />
V. Conclusion<br />
Despite the simplification <strong>of</strong>fered by the Lisbon Treaty in establishing a single European<br />
Union with a single legal personality and a single set <strong>of</strong> principles and objectives for the<br />
EU’s external action, the structural complexity inherent in the Union system will largely<br />
survive. In particular, emphasis on the principle <strong>of</strong> conferral and the limits to the Union’s<br />
powers, as well as the continuing foreign policy activity <strong>of</strong> the Member States will highlight<br />
the importance <strong>of</strong> vertical coherence and the role <strong>of</strong> the European Council in its<br />
support. Horizontal and institutional coherence have been a major theme <strong>of</strong> the Treaty<br />
reforms. The continued special treatment <strong>of</strong> the CFSP will not necessarily pose greater<br />
problems for coherence than the differences <strong>of</strong> approach between other policy fields.<br />
58<br />
Although it has rightly been suggested that the framing <strong>of</strong> the HR’s tasks within the Commission<br />
in Article 18(4) TEU leaves open the possibility that he/she might take over all these<br />
responsibilities; the decision as to allocation would ultimately lie with the Commission<br />
President: Editorial comment, “Mind the Gap”, (2008) 45 Common Market Law Rev. 317, at<br />
318-9.<br />
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However boundary disputes will not disappear and the institutional mechanisms designed<br />
to ensure coherence may prove over-complex: much will depend on evolving institutional<br />
practice and a willingness to avoid turf wars.<br />
As we have seen, the legal principles underlying the different aspects <strong>of</strong> coherence are<br />
sometimes in tension. The Treaty <strong>of</strong> Lisbon preserves all these principles: rules <strong>of</strong> hierarchy<br />
and conflict-avoidance, rules <strong>of</strong> delimitation and allocation, principles <strong>of</strong> cooperation<br />
and complementarity. It could be argued from the analysis undertaken here that the innovations<br />
it introduces, both structural and institutional, give prominence to rules <strong>of</strong> delimitation<br />
and to the principle <strong>of</strong> complementarity in both vertical and horizontal dimensions<br />
<strong>of</strong> coherence. Despite the prominence given to the new institutional mechanisms, it<br />
could be that the most important element <strong>of</strong> the Treaty <strong>of</strong> Lisbon from the perspective <strong>of</strong><br />
foreign policy coherence is the clear external mandate given to the Union as a whole in<br />
both substantive and instrumental terms. The substantive mandate as expressed in Article<br />
3(5) TEU 59 is to be achieved by developing relations and building partnerships with third<br />
countries and international organisations which share the Union’s principles and values,<br />
and promoting multilateral solutions to common problems (Article 21(1) TEU). There is<br />
a basis here for meeting the challenge <strong>of</strong> the Laeken Declaration, in finding a role for the<br />
Union as “a power wanting to change the course <strong>of</strong> world affairs in such a way as to benefit<br />
not just the rich countries but also the poorest. A power seeking … to anchor [globalisation]<br />
in solidarity and sustainable development.” 60 Ambitious – some would say grandiose<br />
– words, but worth remembering as the ultimate objective <strong>of</strong> a coherent foreign policy.<br />
59<br />
See note 56.<br />
60<br />
Laeken Declaration on the Future <strong>of</strong> the European Union, European Council, 14 and 15 December<br />
2001, Annex I to Presidency Conclusions.<br />
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References<br />
Cremona, M., “The European Neighbourhood Policy: More than a Partnership?” in Cremona,<br />
M., ed., Developments in EU External Relations Law, Oxford University Press,<br />
forthcoming.<br />
Cremona, M., “Defending the Community Interest: the Duties <strong>of</strong> Cooperation and Compliance”<br />
in Cremona, M., and de Witte, B., EU Foreign Relations Law – Constitutional<br />
Fundamentals, Hart Publishing, forthcoming.<br />
Editorial comment, “Mind the Gap”, (2008) 45 Common Market Law Rev. 317.<br />
Gauttier, P., “Horizontal Coherence and the External Competences <strong>of</strong> the European Union”<br />
(2004) 10 European Law Journal 23.<br />
Hillion, C., “Tous pour un, un pour tous! Coherence in the external relations <strong>of</strong> the European<br />
Union” in Cremona, M., ed., Developments in EU External Relations Law, Oxford<br />
University Press, forthcoming.<br />
Hillion, C. & Wessel, R.A., “Restraining External Competences <strong>of</strong> EU Member States<br />
under CFSP” in Cremona, M. and de Witte, B., EU Foreign Relations Law – Constitutional<br />
Fundamentals, Hart Publishing, forthcoming.<br />
Jacqué, J-P., “The Principle <strong>of</strong> Institutional Balance” (2004) 41 Common Market Law Rev.<br />
383.<br />
Koutrakos, P., Trade, Foreign Policy and Defence in EU Constitutional Law, Hart Publishing<br />
2001.<br />
Nuttall S., “Coherence and Consistency” in Hill, C. and Smith, M., eds., International Relations<br />
and the EU, OUP 2005, chap 5.<br />
Schmalz, U., ‘The Amsterdam Provisions on External Coherence: Bridging the Union’s<br />
Foreign Policy Dualism?’ (1998)3 European Foreign Affairs Rev., 421.<br />
Schütze, R., “Supremacy Without Pre-Emption? The Very Slowly Emergent Doctrine <strong>of</strong><br />
Community Pre-Emption” (2006) 43 Common Market Law Rev. 1023.<br />
Stetter, S., “Cross-pillar politics: functional unity and institutional fragmentation <strong>of</strong> EU<br />
foreign policies” (2004) 11 Journal <strong>of</strong> European Public Policy 720.<br />
Tietje, C., ‘The Concept <strong>of</strong> Coherence in the TEU and the CFSP’ (1997)2 European Foreign<br />
Affairs Rev., 211.<br />
Wessel, R.A., “The Inside Looking Out: Consistency And Delimitation In EU External<br />
Relations” (2000) 37 Common Market Law Rev. 1135.<br />
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<strong>hrss</strong><br />
hamburg review <strong>of</strong> social sciences<br />
Maastrichts langer Schatten:<br />
Das auswärtige Handeln der EU – Verschiebungen im institutionellen Gefüge? 1<br />
Olaf Poeschke ∗<br />
Problemaufriss<br />
'Mit einer Stimme sprechen' – das ist seit Gründung der Europäischen Politischen Zusammenarbeit<br />
(EPZ) die besondere Herausforderung, vor die sich die Europäer gestellt<br />
sehen. Dabei ging es in erster Linie stets um die intergouvernementale Abstimmung – um<br />
die Herstellung gemeinsamer Positionen im Kreise der Mitgliedstaaten. Die Geburt der<br />
Gemeinsamen Außen- und Sicherheitspolitik (GASP) mit dem Vertrag von Maastricht,<br />
die Entwicklung einer Europäischen Sicherheits- und Verteidigungspolitik seit Amsterdam<br />
und die Einrichtung des Amtes des Hohen Repräsentanten für die Außen- und Sicherheitspolitik<br />
markieren wichtige Etappen im Bestreben der Mitgliedstaaten, ihr außen-<br />
∗ Olaf Poeschke, Diplomat, Permanent Representation <strong>of</strong> the Federal Republic <strong>of</strong> Germany to<br />
the European Union (Brussels).<br />
1<br />
Bruno Scholl und Christoph Hallier bin ich für viele wichtige Hinweise und Verbesserungs vorschläge<br />
dankbar. Die Verantwortung für verbleibende Unausgegorenheiten trage ich selbstverständlich<br />
allein. Der Artikel gibt eine persönliche Meinung wieder.<br />
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politischen Gewicht zu bündeln. Seit 1999 verkörpert Javier Solana in dieser Hinsicht<br />
Wunsch und Wirklichkeit 2 .<br />
Weniger präsent als die intergouvernementalen Schwierigkeiten, einheitlich auf der<br />
internationalen Bühne in Erscheinung zu treten, sind die interinstitutionellen Spannungen,<br />
die sich aus der Säulenarchitektur der EU ergeben. Gerade hier aber haben sich mit der<br />
rasanten Fortentwicklung der GASP (der sogenannten 'zweiten Säule') die Reibungsflächen<br />
mit den vergemeinschafteten Politikbereichen (der 'ersten Säule') vergrößert. Denn<br />
die Gemeinsame Außen- und Sicherheitspolitik hat in den vergangenen Jahren wie kaum<br />
ein anderes Politikfeld an Bedeutung gewonnen. Zunahme und Ausbau ziviler ESVP-<br />
Missionen, stetiges Wachsen der GASP-Mittel 3 , institutionelle Verfestigung der Strukturen<br />
der zweiten Säule – all dies illustriert das hohe Entwicklungstempo der europäischen<br />
Außenpolitik. Das auswärtige Handeln im vergemeinschafteten Bereich hingegen hat<br />
zwar stetig, aber weit weniger spektakulär an Bedeutung gewonnen. Dabei verfügt die<br />
Gemeinschaft seit langem über externe Kompetenzen – sei es, dass diese ihr in den Verträgen<br />
zugewiesen wurden, sei es, dass sie sich aus einer vorhandenen Binnenkompetenz<br />
ableiten lassen. Dass die EU nunmehr immer häufiger im Rahmen der zweiten Säule in<br />
Erscheinung tritt, hat der Forderung, mit einer Stimme zu sprechen, eine zusätzliche Bedeutung<br />
verliehen. Die Herausforderung des kohärenten Auftritts hat neben der intergouvernementalen<br />
also auch eine interinstitutionelle Dimension. 4<br />
Diese interinstitutionelle Dimension soll im Mittelpunkt der Untersuchung liegen. In<br />
allgemeinster Form kann das dem Artikel zugrunde liegende Erkenntnisinteresse wie folgt<br />
formuliert werden: Wie steht es um die säulenübergreifende Kohärenz im Außenhandeln<br />
der Europäischen Union? Dabei geht es nicht um eine systematische Inventur aller Politikbereiche<br />
auf der Suche nach Harmonie und Dissonanzen. Das Augenmerk gilt vielmehr<br />
etwaigen tektonischen Verschiebungen im institutionellen Gefüge der EU. In wel-<br />
2 Zum Auseinanderklaffen von Wunsch und Wirklichkeit siehe Hill, 'Closing the Capabilities-<br />
Expectation Gap?', in: Petersen/Sjursen (Hrsg.): A Common Foreign Policy for Europe?, London<br />
1998.<br />
3 Die GASP-Haushaltslinie war 2005 mit 62.6. Mio Euro, 2006 mit 102.6 Mio Euro und 2007<br />
mit 159 Mio Euro ausgestattet. Gemäß der Finanziellen Vorausschau wird sie bis zum Jahr 2013<br />
auf 340 Mio. Euro anwachsen.<br />
4 Einen umfassenden Überblick über die Facetten der Kohärenzproblematik mit zahlreichen<br />
praktischen Empfehlungen liefern Lieb/Maurer, 'Europas Rolle in der Welt stärken. Optionen<br />
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che Richtung hat sich das Verhältnis zwischen der ersten und der zweiten Säule entwickelt?<br />
Vor allem interessieren hier die verborgenen Prozesse jenseits des medial präsenten,<br />
zwischenzeitlich blockierten, dann neuangestoßenen Verfassungs- bzw. Reformprozesses. 5<br />
Methode<br />
Folgende Leitfragen sollen die Empirie ordnen helfen:<br />
1. Geht die Entwicklung in Richtung pillar purity oder pillar synergy?<br />
Die Abgrenzung zwischen dem Außenhandeln im Gemeinschaftsbereich und der Gemeinsamen<br />
Außen- und Sicherheitspolitik ist der Natur der Sache nach unscharf. Diesem Umstand<br />
kann auf unterschiedliche Weise begegnet werden: (a) durch den Versuch, die interinstitutionellen<br />
Grauzonen zu durchleuchten und die jeweiligen Kompetenzen abzustecken<br />
(pillar purity), oder (b) durch das Bestreben, unscharfe oder überlappende Zuständigkeiten<br />
zu tolerieren und gegebenenfalls kreativ zu nutzen (pillar synergy).<br />
Pillar purity und pillar synergy beschreiben gegensätzliche Vektoren im alltäglichen<br />
Kräftespiel interessierter Akteure – also insb. der Mitgliedstaaten und Institutionen.<br />
Während pillar purity die Kohärenzproblematik vernachlässigt, ist pillar synergy dem Kohärenzgedanken<br />
geradezu verpflichtet. Beide Stoßrichtungen sind potentiell gleichzeitig<br />
wirksam. Uns interessiert, welche von ihnen in einem gegebenen Interaktionsbereich die<br />
Oberhand gewinnt.<br />
2. Wie lässt sich der interinstitutionelle modus operandi beschreiben?<br />
Die oben beschriebenen Prozesse können von gütlichem Einvernehmen seitens der beteiligten<br />
Akteure geprägt sein oder eher spannungsreich ablaufen. Die Skala ist fließend. Als<br />
für ein kohärentes Außenhandeln der Europäischen Union', Stiftung Wissenschaft und Politik,<br />
Berlin 2007.<br />
5 Um an eine von Simon Nuttall entworfene Unterscheidung anzuknüpfen, interessiert hier also<br />
nicht die Frage der vertikalen (hier ’intergouvernemental’ bezeichneten) oder horizontalen (sytematisch-politikfeldübergreifenden)<br />
Kohärenz, sondern vielmehr die Problematik institutioneller<br />
Kohärenz (vgl. Nuttall, Coherence and Consistency, in: Hill/Smith (Hg.): International Relations<br />
and the European Union, Oxford 2005, S. 91-112).<br />
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Indikatoren für die Konflikthaftigkeit der Prozesse können beispielsweise verschleppte<br />
Entscheidungen oder Blockadesituationen, Rechtsstreite oder öffentlich wahrnehmbare<br />
Dissonanzen herangezogen werden.<br />
Empirie und Gang der Untersuchung<br />
Angesichts einer zeitlich wie thematisch breiten Empirie muss hier eine relevante Auswahl<br />
vorgenommen werden. Herangezogen werden Entwicklungen und Ereignisse aus der<br />
jüngsten Vergangenheit, die Aussagen zu beiden der oben genannten Kriterien erlauben.<br />
Dabei interessieren Instrumente und Politikfelder gleichermaßen, zumal diese – alltagssprachlich<br />
unmittelbar einleuchtende – Unterscheidung analytisch an Trennschärfe vermissen<br />
lässt. 6 Den Einstieg in die Untersuchung wird eine knappe und fokussierte Analyse<br />
der mit dem Vertrag von Maastricht verfestigten Säulenarchitektur der EU liefern. Anschließend<br />
werden vier Bereiche präsentiert, in denen eine Entwicklungstendenz und ein<br />
interinstitutioneller modus operandi identifizierbar sind: die Rolle der EU-<br />
Sonderbeauftragten im institutionellen Gefüge der EU (Fallbeispiel I), die Vertragspraxis<br />
der EG/EU gegenüber Drittstaaten (Fallbeispiel II), jüngere Entwicklungen in der Sanktionspolitik<br />
der EU – ein klassischer kompetenzrechtlich umstrittener Bereich (Fallbeispiel<br />
III) – sowie jüngere Spannungen in einem Politikfeld, das mit dem Begriff 'Stabilitätspolitik'<br />
umrissen werden könnte (Fallbeispiel IV). Die aus diesen Bereichen gewonnenen<br />
Aussagen werden abschließend in den Kontext der mit dem Reformvertrag zu erwartenden<br />
institutionellen Weiterentwicklung gesetzt.<br />
Die EU vor Maastricht und seither – Außenhandeln und institutionelles Gefüge<br />
Bekanntermaßen hat der 1993 in Kraft getretene Vertrag von Maastricht die Europäische<br />
Union begründet und deren Säulenstruktur Gestalt verliehen. Seitdem ruht das auswärtige<br />
Handeln der EU auf der sogenannten ersten Säule, soweit vergemeinschaftete Politiken<br />
erfasst sind – also etwa im Bereich der Handelspolitik, der Humanitären Hilfe oder<br />
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der Entwicklungszusammenarbeit. Als zweite Säule wird hingegen die Gemeinsamen Außen-<br />
und Sicherheitspolitik (GASP) und deren sich besonders dynamisch fortentwickelnde<br />
Europäische Sicherheits- und Verteidigungspolitik (ESVP) bezeichnet.<br />
Maastricht mag die Geburtsstunde der EU sein. Die Säulenstruktur existierte im<br />
embryonalen Zustand lange zuvor. Denn bereits mit Einführung der Europäischen Politischen<br />
Zusammenarbeit (EPZ) im Jahre 1970 wurde ein Interaktionsmodus eingeführt, der<br />
sich von der 'Gemeinschaftsmethode' deutlich unterscheidet. In der – intergouvernemental<br />
geprägten – Handelslogik der EPZ wird das Konsensprinzip hochgehalten, während<br />
die Mitgliedstaaten im supranationalen Gefüge der Gemeinschaftspolitiken langsam aber<br />
stetig zu Mehrheitsentscheidungen übergehen. Die Kommission wurde an der EPZ zwar<br />
im Laufe der Zeit 'in vollem Umfang' beteiligt, kann aber bei weitem nicht die herausragende<br />
Funktion erfüllen, die ihr durch ihr Initiativmonopol im Gefüge der Europäischen<br />
Gemeinschaften zukommt. 7 Der gestaltende Einfluss des Europäischen Parlaments war in<br />
der EPZ noch geringer als in der GASP, wo er sich auf haushaltsrechtliche Fragen beschränkt.<br />
8 Und die Zuständigkeit des Europäischen Gerichtsh<strong>of</strong>es wird in außenpolitischen<br />
Fragen seit jeher verneint, auch wenn die Judikatur des EuGH die GASP mittlerweile<br />
zumindest an deren Rändern berührt. 9<br />
Kurz: Supranational und intergouvernemental geprägte Entscheidungspraktiken<br />
überlagern sich bereits in der pränatalen Phase der EU. Mit dem Vertrag von Maastricht<br />
und der Verklammerung von Gemeinschaftspolitiken und GASP wurde diese Überlagerung<br />
nur besonders augenscheinlich und das latente Spannungsverhältnis im „einheitlichen<br />
institutionellen Rahmen“ der EU sichtbar.<br />
Ein solches Nebeneinander von spezifischen Entscheidungspraktiken ist unproblematisch,<br />
wo der jeweiligen Methode klar umrissene Politikfelder zugewiesen werden. Im<br />
Großen und Ganzen gilt dies für das Verhältnis der ersten zur dritten Säule, der polizeili-<br />
6<br />
So ließe sich die Entwicklungzusammenarbeit der EU als Politikfeld oder Instrumentarium beschreiben.<br />
Ähnliches gilt für die im folgenden näher untersuchten Bereiche ’Sanktionspolitik’<br />
und ’Stabilisierungspolitik’.<br />
7 Vgl. Duke, 'The Commission and the CFSP', European Institute <strong>of</strong> Public Administration,<br />
Working Paper 2006/W/01.<br />
8 Vgl. Dietrichs, 'The European Parliament in CFSP: More than a Marginal Player?', The International<br />
Spectator 2/2004, erhältlich unter http://www.iai.it/pdf/articles/dietrichs.pdf<br />
9 Vgl. Ketvel, 'The Jurisdiction <strong>of</strong> the European Court <strong>of</strong> Justice in Respect <strong>of</strong> the Common Foreign<br />
and Security Policy', ICLQ Bd. 55, 2007, S. 77-120.<br />
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chen und justiziellen Zusammenarbeit in Strafsachen. Reibungen können jedoch entstehen,<br />
wo diese materielle Abgrenzung der Politikfelder Probleme bereitet. Das ist mitunter<br />
im Bereich des auswärtigen Handelns der Fall. 10<br />
Die Gemeinschaft, also die EU im Bereich der ersten Säule, verfügt seit langem ü-<br />
ber externe Kompetenzen. Entweder werden ihr diese in den Verträgen explizit zugewiesen<br />
oder sie lassen sich aus einer vorhandenen Binnenkompetenz ableiten, eine Praxis, die<br />
seit der sogenannten AETR-Rechtsprechnung der Europäischen Gerichtsh<strong>of</strong>es 11 anerkannt<br />
ist. In jedem Fall beruht die Kompetenz der Gemeinschaft auf einer hinreichend<br />
spezifischen Verankerung im EG-Vertrag – dieser Anspruch wird das Prinzip der begrenzten<br />
Einzelmächtigung genannt. Demgegenüber wurde das Feld der GASP, die sich gemäß<br />
Art. 1, Abs. des Vertrags über die Europäische Union (EUV) „auf alle Bereiche der Außen-<br />
und Sicherheitspolitik erstreckt“ und nach Art. 17, Abs. 1 „sämtliche Fragen, welche<br />
die Sicherheit der Union betreffen“ umfasst, sehr weit und in denkbar allgemeiner Form<br />
abgesteckt. All das legt nahe, dass im Falle eines Handlungskonfliktes zwischen der ersten<br />
und zweiten Säule die kompetenzrechtliche 'Beweislast' bei der Gemeinschaft liegt. Sie<br />
muss ihre Zuständigkeit auf Grundlage des EG-Vertrages begründen. Die GASP hingegen<br />
wurde extensiv definiert, was dafür sprechen mag, auch Überlappungen gegebenenfalls in<br />
Kauf zu nehmen.<br />
Allerdings gibt es im EUV Hinweise – und rechtlich wohl die überzeugenderen –<br />
auf eine Nachrangigkeit der zweiten und dritten Säule gegenüber dem Gemeinschaftsrecht.<br />
So heißt es in Art. 1 des EUV, die „Grundlage der Union sind die Europäischen<br />
Gemeinschaften, ergänzt durch die mit diesem Vertrag eingeführten Politiken und Formen<br />
der Zusammenarbeit“ (eigene Hervorhebung). Auch die im vierten Anstrich des Art. 2<br />
EUV hervorgehobene „volle Wahrung des gemeinschaftlichen Besitzstandes“ als Ziel der<br />
Union, vor allem aber die in Art. 47 EUV festgehaltene 'Unantastbarkeit' des Acquis weisen<br />
in diese Richtung.<br />
Der Vertrag von Maastricht hat also keine klare Linie zwischen der Außenpolitik<br />
der Union und dem Außenhandeln der Gemeinschaft gezogen. Die Notwendigkeit eines<br />
10 Vgl. Duke, 'Areas <strong>of</strong> Grey: Tensions in EU External Relations Competences', EIPASCOPE Bulletin<br />
2006/1, S. 21-27.<br />
11 Rs. 22/70, 'AETR', Slg. 1971.<br />
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kohärenten Auftretens war den Europäern freilich bereits zu EPZ-Seiten bewusst. 12 Die<br />
Forderung, „mit einer Stimme zu sprechen“, gehört seit langem zum Standardrepertoire<br />
politischer und publizistischer Rhetorik – auch wenn sich diese Forderung in erster Linie<br />
gegen die Vielstimmigkeit der Mitgliedstaaten, und nur sekundär gegen Reibungen zwischen<br />
den Säulen richtete.<br />
Unklar war und ist bis heute, welche Institution für die Herstellung von säulenübergreifender<br />
Kohärenz die Hauptverantwortung trägt. Die Antwort bei Lektüre der<br />
Grundlagentexte der EG/EU müsste lauten: Alle – und zwar gemeinsam. Was dies in der<br />
Praxis bedeutet, ist unklar, da weder personelle noch materielle Vorrangregeln formuliert<br />
werden. In der Einheitlichen Europäischen Akte (EEA) von 1987 wird der Präsidentschaft<br />
und der Kommission gleichermaßen eine „besondere Verantwortung“ für die Kohärenz<br />
der EU in ihrem Außenhandeln zugeschrieben. Art. 3 des EU-Vertrages verpflichtet<br />
„die Union“ zur Achtung der Kohärenz aller von ihr ergriffenen außenpolitischen<br />
Maßnahmen – die Verantwortung hierfür obliege dem Rat und der Kommission. Die Tatsache,<br />
dass in Art. 3 des EU-Vertrages das Gebot formuliert wird, zu diesem Zwecke zusammenzuarbeiten,<br />
belegt, dass interinstitutionelle Reibungen und unklare Kompetenzabgrenzungen<br />
bereits vor der Geburt der Union als Problem erkannt worden waren und eingedämmt<br />
werden sollte. Allerdings steht dem appellartig an alle Seiten adressierten Gebot<br />
der Zusammenarbeit die Bekräftigung der jeweiligen Zuständigkeiten gegenüber. 13 All dies<br />
mag man aus Gründen der Rechtsklarheit bedauern. Man kann es aber auch als vergleichsweise<br />
niedrigen Preis für einen im Kreise der Mitgliedstaaten erzielten Konsens zur<br />
institutionellen Weiterentwicklung der EU verbuchen, die nach dem Zusammenbruch der<br />
bipolaren Weltordnung und mit der Perspektive einer sich nach Osten erweiternden EU<br />
unbedingt notwendig war.<br />
12 Siehe etwa die Berichte von Luxemburg (1970), Kopenhagen (1973), London (1981) sowie die<br />
Feierliche Erklärung zur Europäischen Union von 1983.<br />
13 Diese Ambivalenz zieht sich wie ein roter Faden durch die Grundlagentexte der EG/EU. Bereits<br />
in der Einheitlichen Europäischen Akte (EEA) heißt es in Artikel 30 Abs. 5: „[...] Es fällt unter<br />
die besondere Verantwortung der Präsidentschaft und der Kommission, in ihrem jeweiligen Zuständigkeitsbereich<br />
dafür Sorge zu tragen, daß die Kohärenz angestrebt und aufrechterhalten<br />
wird.“ Auch in der Präambel wurde einerseits die Notwendigkeit herausgestrichen, „immer mehr<br />
mit einer Stimme zu sprechen und geschlossen und solidarisch zu handeln“; andererseits finden<br />
auch die eigenen Beiträge der Mitgliedstaaten zur Wahrung des Weltfriedens und der internationalen<br />
Sicherheit Erwähnung. Ähnliche Überlagerungen von auf den ersten Blick wider-<br />
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Im folgenden wird an vier Fallbeispielen untersucht, ob und wie sich das institutionelle<br />
Gefüge der EU, genauer: das Verhältnis zwischen der ersten und zweiten Säule, in<br />
den vergangenen Jahren in die ein oder andere Richtung verschoben hat. Diese tektonischen<br />
Bewegungen werden es anschließend erlauben, Prognosen über die mit dem Reformvertrag<br />
zu erwartende institutionelle Entwicklung zu untermauern.<br />
Fallbeispiel I – Die Sonderbeauftragten der EU im Bereich der GASP<br />
Seit dem Vertrag von Amsterdam steht der EU ein Instrument zur Verfügung, das in der<br />
konkreten Ausgestaltung der Außenbeziehungen zunehmend an Bedeutung gewinnt: das<br />
Instrument der EU-Sonderbeauftragten. Diese Repräsentanten der EU mit (meist regional<br />
definierten) Sonderzuständigkeiten fungieren als Krisenmanager und Vermittler, Berichterstatter<br />
und 'Gesicht' der EU in mittlerweile neun unterschiedlichen Regionen: Afghanistan,<br />
Zentralasien, dem Südlichen Kaukasus, Moldau, Bosnien und Herzogowina, Mazedonien,<br />
Nahost, dem Sudan und den Großen Seen. Faktisch gelten sie als Vertreter des<br />
Hohen Repräsentanten der GASP, unter dessen politischer Führung sie stehen und der in<br />
der Praxis bei ihrer Ernennung eine entscheidende Rolle spielt. Sie berichten in regelmäßigen<br />
Abständen dem Politischen und Sicherheitspolitischen Komitee (PSK), dem wichtigsten<br />
Ratsgremium für Angelegenheiten der zweiten Säule unterhalb der Ministerebene<br />
14 . Zu ihren Aufgaben zählen typischerweise die Vermittlung in Krisen und Konflikten,<br />
die Förderung von Demokratie, Rechtsstaatlichkeit und Menschenrechten sowie die Koordinierung<br />
mit Aktivitäten der verschiedenen europäischen Akteure.<br />
Der letzte Punkt weist bereits auf eine institutionelle Gegebenheit hin, die für die<br />
EU mittlerweile nicht nur im Innen-, sondern auch im Außenverhältnis charakteristisch<br />
ist: ihre Akteursvielfalt. Illustrativ kann das Beispiel der Ukraine herangezogen werden.<br />
Hier ist die EU – neben fast allen Mitgliedstaaten – mit einer Kommissionsdelegation, einer<br />
zivilen ESVP-Mission (mit Sitz in Odessa) und einem Büro des EUsprüchlicher<br />
Aussagen finden sich im Maastricht-Vertrag in seiner Ursprungsversion sowie den<br />
Versionen von Amsterdam und Nizza.<br />
14 Das PSK steht formell in einem Unterordnungsverhältnis zum Ausschuss der Ständigen Vertreter<br />
(AStV), demjenigen Gremiun, das als 'filtre unique' des Rates alle den Ministern vorgelegten<br />
Entscheidungen passieren (vgl. Art. 207 EG-Vertrag). Faktisch steht das PSK vor allem in ei-<br />
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Sonderbeauftragten für Moldau vertreten. Und auch in den anderen oben genannten Regionen<br />
entstehen mit den – an Personalstärke stetig wachsenden – EUSB-Büros gewissermaßen<br />
Zweitniederlassungen der EU, deren Aufgabenzuschnitt sich von den Aktivitäten<br />
der Kommissionsdelegationen gleichwohl deutlich unterscheidet. Diese institutionelle<br />
Entwicklung reflektiert das zunehmende Gewicht der Gemeinsamen Außen- und Sicherheitspolitik<br />
innerhalb der EU-Politiken. Sie veranschaulicht gleichzeitig die gewachsene<br />
Herausforderung säulenübergreifender Koordinierung und eines kohärenten äußeren Auftritts.<br />
EU-Sonderbeauftragte sind sowohl von der Kommission als auch seitens des Europäischen<br />
Parlaments kritisiert worden. Letzteres moniert eine „mangelnde parlamentarische<br />
Kontrolle“ der durch die Mitgliedstaaten ernannten Sonderbeauftragten, kritisiert steigende<br />
Ausgaben und stellt ihren Mehrwert gegenüber den Kommissionsdelegationen in<br />
Frage. Tatsächlich schlagen die EUSBs nur mit einem geringen Anteil des ohnehin vergleichsweise<br />
niedrigen GASP-Haushaltes zu Buche 15 , und das Europäische Parlament hat<br />
seine Beteiligung an Angelegenheiten der Gemeinsamen Außen- und Sicherheitspolitik<br />
im Laufe der Jahre stetig ausweiten können. 16<br />
Anders als das Europäische Parlament wurde die Kommission durch die institutionelle<br />
Entwicklung sich vergrößernder EUSB-Büros vor handfeste Herausforderungen gestellt.<br />
Zum einen wird die bis dato faktisch existierende Monopolstellung der Kommission in der<br />
Außenvertretung der EG/EU in Frage gestellt. Vorbehalte der Kommission können ins<strong>of</strong>ern<br />
als natürlicher Abwehrreflex einer unter Konkurrenzdruck geratenen Institution gewertet<br />
werden. Zum anderen entstehen ein für alle beteiligten Akteure spürbares Darstellungsproblem.<br />
Denn mit der doppelten Außenvertretung wird die 'cuisine interne' der EU,<br />
nem Spezialverhältnis zum AStV und ist für die GASP regelmäßig das letztentscheidende Gremium<br />
unterhalb der Ministerebene.<br />
15 Gemäß Finanzieller Vorausschau liegt das Volumen des GASP-Haushaltes für die Zeit 2007-<br />
2013 bei 1,74 Mrd. Euro. Für dieselbe Periode wurde das für das Außenhandeln der EU zur<br />
Verfügung stehende Haushaltsvolumen mit 49 Mrd. Euro veranschlagt. Der Anteil der Ausgaben<br />
für EU-Sonderbeauftragte am GASP-Haushalt 2006 liegt bei 7,3 %.<br />
16 Zur Rolle der Europäischen Parlaments in der GASP siehe Dietrichs, 'The European Parliament<br />
in CFSP: More than a Marginal Player?', The International Spectator 2/2004, online verfügbar<br />
unter http://www.iai.it/pdf/articles/dietrichs.pdf<br />
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ihre für den Außenstehenden kaum nachvollziehbare Säulenstruktur, in aller Deutlichkeit<br />
sichtbar und der EU-interne Abstimmungsbedarf im Umgang mit Dritten <strong>of</strong>fenbar. 17<br />
Diese Abstimmungen müssen jedoch vorgenommen werden, ohne die feinen Grenzen<br />
der jeweiligen Zuständigkeit zu überschreiten. Während die Mitgliedstaaten „ihre“ EU-<br />
Sonderbeauftragten gerne in den Rang eines säulenübergreifenden Koordinators erheben<br />
würden, akzeptiert die Kommission eine solche die Gemeinschaftsmethode in Frage stellende<br />
Überordnung nicht. Die nuancierten Formulierungen der jeweiligen, in den EUSB-<br />
Mandaten enthaltenen Artikel zu den Koordinierungsaufgaben der Sonderbeauftragten<br />
illustrieren, auf welch sensiblem Terrain sich Rat und Kommission hier bewegen. 18<br />
Der EU-Sonderbeauftragte in Mazedonien – ein Doppelhut en miniature?<br />
Der 'Doppelhut' kann als eines der kreativsten Elemente des ursprünglichen Verfassungsvertrages<br />
angesehen werden, der auch in den Reformvertrag übernommen, wurde. Zukünftig<br />
soll der Hohe Vertreter für Außen- und Sicherheitspolitik (der freilich nicht<br />
mehr, wie im Verfassungsvertrag vorgesehen, Außenminister heißen wird) einen 'zweiten<br />
Hut', nämlich jenen des Kommissars für Außenbeziehungen, tragen. Diese Personalunion<br />
soll helfen, die gegenwärtige, nicht zuletzt personell zum Ausdruck kommende Teilung<br />
der Außenbeziehungen entlang der Säulen zu überwinden.<br />
Während der Verfassungsprozess nach den negativ ausgefallenen Referenden in<br />
Frankreich und den Niederlanden ins Stocken geraten war, vollzog sich – weniger sichtbar<br />
– im Zusammenhang mit den EU-Sonderbeauftragten eine institutionelle Entwicklung,<br />
die man als Doppelhut en miniature bezeichnen könnte. Im Herbst 2005 wurde mit<br />
Erwan Fouéré ein Kommissionbeamter zum EU-Sonderbeauftragten für Mazedonien<br />
(FYROM) ernannt, der gleichzeitig das Amt des Leiters der Kommissionsdelegation ausfüllt.<br />
Seitdem tritt die EU in Skopje für beide Säulen mit einem Gesicht in Erscheinung.<br />
17 Vgl. in diesem Zshg. die Mitteilung 10325/2006 der Kommission and der Rat 'Europe in the<br />
World – Some Practical Proposals for Greater Coherence, Effectiveness and Visibility'.<br />
18 So enthalten die Mandate der EUSBs eine passive Standardformulierung (eigene Hervorhebung):<br />
„Zur Gewährleistung der Kohärenz des außenpolitischen Handelns der Europäischen<br />
Union wird die Tätigkeit des EUSR mit der des Generalsekretärs/Hohen Vertreters, des Vorsitzes<br />
und der Kommission abgestimmt.“ Vgl. den den Wortlaut in der Gemeinsamen Aktion<br />
(GA) 2007/87/GASP (EUSB Bosnien), GA 2007/110/GASP (Nahost), GA 2007/108/GASP<br />
(Sudan), GA 2007/113/GASP (Zentralasien), GA 2007/111/GASP (Südlicher Kaukasus), GA<br />
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Interessanterweise werden die Grenzen zwischen den Säulen mit dieser Personalunion<br />
weder administrativ noch funktional aufgehoben: Seine Funktion als EU-<br />
Sonderbeauftragter – und nur diese – übt Fouéré auf Grundlage einer im Rahmen der<br />
zweiten Säule beschlossenen Gemeinsamen Aktion aus. Seine Funktion als Leiter der Delegation<br />
nimmt er als Beamter der Kommission unter deren Personalstatut wahr. Auch für<br />
Fouérés Mitarbeiter gilt, dass sie entweder dem EUSB-Büro oder der Delegation oder im<br />
Doppelhut beiden Teams angehören. Beide Einheiten werden jedoch weiterhin institutionell,<br />
administrativ und finanziell unterschieden.<br />
Auch kompetenzrechtlich besteht die Säulenstruktur trotz Personalunion an der Spitze<br />
fort. Der Wortlaut des Artikels zur Koordinierung der Aktivitäten unterschiedlicher EU-<br />
Akteure im EUSB-Mandat Fouérés mag dies illustrieren. Er ist mit den Mandaten anderer<br />
EU-Sonderbeauftragter ohne Doppelhut im wesentlichen identisch:<br />
„To ensure the consistency <strong>of</strong> the external action <strong>of</strong> the European Union, the activities <strong>of</strong> the<br />
EUSR shall be coordinated with those <strong>of</strong> the Secretary General/High Representative, the Presidency<br />
and the Commission. The EUSR shall provide Member States' missions and Commissions<br />
delegations with regular briefings. In the field, close liaison shall be maintained with the Presidency,<br />
the Commission and Heads <strong>of</strong> Mission, who shall make best efforts to assist the EUSR in the implementation<br />
<strong>of</strong> the mandate. The EUSR shall also liaise with other international and regional actors<br />
in the field.“<br />
Ungeachtet dieser subkutan fortlebenden Unterschiede erzielt die Personalunion die gewünschte<br />
politische Außenwirkung von Einheitlichkeit und Kohärenz. So kann Fouéré<br />
sein politisches Gewicht als 'Gesandter Solanas' in die Waagschale werfen, selbst wenn es<br />
in seiner Funktion als Beamter der Kommission in Erscheinung tritt. Die durch die Ausübung<br />
beider Funktionen erzeugten Synergieeffekte, so Fouéré, seien deutlich spürbar. 19<br />
Neben dem vergrößerten Gewicht verschaffe der Doppelhut der EU zudem eine erhöhte<br />
2007/109/GASP (Mazedonien), GA 2007/106/GASP (Afghanistan), GA 2007/107/GASP<br />
(Moldau) sowie GA 2007/112/GASP (Große Seen).<br />
19 Siehe hierzu die parlamentarische Berichte des House <strong>of</strong> Lords, European Union Committee,<br />
48 th Report <strong>of</strong> Session 2005-2006: 'Europe in the World. Report with Evidence', S. 20-24, Rz.<br />
93ff., und des House <strong>of</strong> Commons, Committee on European Scrutiny, 19 th Report, item 12:<br />
'European Union Special Representative in Macedonia', online verfügbar.<br />
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Visibilität. Auch habe der Doppelhut zur Verbesserung der Zusammenarbeit der Institutionen<br />
in Brüssel beigetragen. Abstimmungsprobleme oder Loyalitätskonflikte aufgrund paralleler<br />
Weisungsketten gebe es in der Praxis nicht.<br />
Angesichts der positiven Erfahrungen mit dem 'Doppelhut-Experiment' in Mazedonien<br />
wird das Modell von Fouéré und den Mitgliedstaaten positiv bewertet. 20 Gleichwohl bleibt<br />
die Frage einer etwaiger Aufweichung der Säulenstruktur oder einer Verschiebung der<br />
kompetenzrechtlichen Grenze politisch sensibel. Dies kommt nicht zuletzt in der Protokollerklärung<br />
des Rates und der Kommission zum Ausdruck, die zur Verabschiedung des<br />
EUSB-Mandates im Oktober 2005 abgegeben und bei jeder Mandatsverlängerung erneuert<br />
wurde:<br />
„The Council and the Commission welcome the appointment <strong>of</strong> Mr. Erwan Fouéré as the<br />
EUSR for FYROM as provided for in Council Joint Action 2005/724/CFSP. They note that as<br />
regards his institutional responsibilities, the appointment is an exceptional measure and is not to be<br />
regarded as setting a precedent for the appointment <strong>of</strong> future EU Special Representatives. The<br />
Council and the Commision agree that in his capacity as EUSR, Mr. Fouéré shall carry out the instructions<br />
<strong>of</strong> the Council and Secretary General / High Representative on CFSP matters.“ 21<br />
Präzedenzwirkung des Doppelhuts en miniature<br />
Seit Dezember 2007 gibt es mit der EU-Präsenz bei der Afrikanischen Union (AU) in<br />
Addis Abeba einen weiteren Anwendungsfall für einen Doppelhut en miniature. 22 Mit dieser<br />
Präsenz unterstreicht die EU, dass sie der AU für die Friedenssicherung in Afrika und<br />
die politische Integration des Kontinents eine zunehmend wichtige Bedeutung beimisst.<br />
Der Leiter dieser Präsenz wird – dem Modell in Mazedonien vergleichbar – eine Doppelfunktion<br />
als Chef der Kommissionsdelegation und als EU-Sonderbeauftragter im Bereich<br />
der GASP erfüllen. 23<br />
20 Dies gilt mittlerweile auch für den hinsichtlich der Doppelhut-Struktur grundsätzlich kritischen<br />
EU-Mitgliedstaat Großbritannien (siehe die oben genannten parlamentarischen Berichte).<br />
21 Protokollerklärung des Rates und der Kommission zur Ernennung Fouérés zum EUSB beim<br />
Umweltrat am 17.10.2005, die zuletzt am 8.2.2007 zur Verlängerung des EUSB-Mandates bekräftigt<br />
wurde.<br />
22<br />
Siehe zur EUSB-Komponente des Doppelhutes Gemeinsamen Aktion 2007/805/GASP.<br />
23 Vgl. die Ausschreibung im Amtsblatt C der Europäischen Union vom 17.8.2007: Council <strong>of</strong><br />
the European Union/European Commission, 'Creation <strong>of</strong> a Delegation <strong>of</strong> the European Union<br />
to the African Union in Addis Ababa'.<br />
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Das dem Doppelhut-Ansatz zugrunde liegende Ziel, die Kohärenz der EU in ihrem<br />
auswärtigen Handeln zu vergrößern, scheint dem Anwendungsfall Afrika besonders angemessen.<br />
Denn die Politik der EU gegenüber den Ländern der AU enthält neben genuin<br />
außenpolitischen Aspekten eine starke entwicklungspolitische Komponente. Die unterschiedlichen<br />
Stoßrichtungen der europäischen Afrikapolitik kommen besonders anschaulich<br />
in der Vielzahl der in Afrika zur Anwendung gebrachten Finanzierungsinstrumente<br />
zum Ausdruck. So speist sich die Politik der EU gegenüber dem Kontinent aus dem für<br />
Aufgaben innerhalb der zweiten Säule zur Verfügung stehenden GASP-Haushalt, dem<br />
außerhalb des Gemeinschaftshaushaltes stehenden Europäischen Entwicklungsfonds<br />
(EEF), der (größtenteils aus EEF-Mitteln gespeisten) African Peace Facility sowie weiteren<br />
Gemeinschaftsinstrumenten wie dem sogenannten Stabilitätsinstrument und dem Instrument<br />
für Demokratie und Menschenrechte. Eine säulenübergreifende Präsenz bei der<br />
AU könnte die afrikapolitischen Aktivitäten der EU bündeln helfen.<br />
Allerdings gilt auch hier: Erste und zweite Säule werden nur personell zusammengeführt;<br />
institutionell und administrativ besteht die Säulenstruktur fort. Ein Blick in die<br />
Stellenausschreibung verdeutlicht, wo die Grenzen des Doppelhutes liegen. So enthält die<br />
Stellenausschreibung separat einen Aufgabenkatalog für den Leiter der Kommissionsdelegation<br />
und ein Mandat für den EU-Sonderbeauftragten – mit teilweise analogen Aufgaben!<br />
Die 'Koordinierung mit mitgliedstaatlichen Politiken' beispielsweise oder die 'Erhöhung<br />
der Sichtbarkeit der EU' (im jeweiligen Bereich) sind Bestandteil des Aufgabenzuschnitts<br />
beider Funktionen. Wie nötigenfalls Kohärenz zwischen den Gemeinschaftspolitiken<br />
einerseits und der Gemeinsamen Außen- und Sicherheitspolitik andererseits hergestellt<br />
werden soll und welche Rolle der EUSB/Leiter der Kommissionsdelegation hier genau<br />
spielen soll, wird nicht deutlich. Zwar ist das Ziel, die Kohärenz der EU-Politik (umfassend)<br />
zu verbessern, einer der in der Ausschreibung genannten Gründe für die Einrichtung<br />
der Doppelfunktion. Doch operiert der oder die Kandidat/in in seiner/ihrer Funktion<br />
als Delegationschef/in „under the authority and operational direction <strong>of</strong> the Commission“,<br />
während er/sie in seiner/ihrer zweiten Rolle als EUSB unter der „authority <strong>of</strong> the SG/HR<br />
for the CFSP“ aktiv wird. 24<br />
24<br />
Die fortbestehende funktionale Trennung von EUSB und dem Leiter der Kommissionsdelegation<br />
kommt etwa in Art. 3 d des EUSB-Mandates zum Ausdruck, demzufolge der EUSB „helps a-<br />
chieve better coherence, consistency and coordination <strong>of</strong> EU policies and actions towards the<br />
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Was also für den EU-Sonderbeauftragten in Mazedonien gilt, wird auch beim zukünftigen<br />
Doppelhut bei der AU deutlich. Unterhalb der symbolisch wichtigen und politisch<br />
wirksamen Personalunion bleibt die funktionale Ausdifferenzierung entlang der Säulen<br />
erhalten. Dies bringt uns zur eingangs aufgeworfene Leitfrage zurück, ob die allgemeine<br />
Entwicklungstendenz in Richtung pillar purity oder pillar synergy verläuft. Die Antwort<br />
muss differenziert ausfallen: Im Außenverhältnis erzielt der Doppelhut sichtbare Synergieeffekte.<br />
Unter der Oberfläche jedoch besteht die Säulenstruktur in deutlichen Zügen<br />
fort, und erst die institutionelle Praxis der kommenden Jahre wird erkennen lassen, ob<br />
und in welchem Maße eine Personalunion an der Spitze auf die institutionelle und administrative<br />
Trennung von GASP und Gemeinschaftspolitiken zurückwirkt. Was die in der<br />
Einleitung aufgeworfene zweite Leitfrage nach dem interinstitutionellen modus operandi<br />
betrifft, lässt sich feststellen, dass es sich bei diesem ersten Fallbeispiel um eine konfliktfreie<br />
Form der institutionellen Fortentwicklung handelt.<br />
Fallbeispiel II – Vertragspraxis der EU im Umgang mit Drittstaaten<br />
Die EG-Verträge und ihre Auslegung im Sinne der AETR-Rechtsprechung ermächtigen<br />
die Gemeinschaft in zahlreichen Politikbereichen, extern in Erscheinung zu treten. Am<br />
sichtbarsten – und verbindlichsten – nimmt sie diese Rolle als Vertragspartei von Abkommen<br />
mit Drittstaaten wahr. Hunderte von Abkommen wurden seit Abschluss der<br />
Römischen Verträge mit Drittstaaten oder anderen Vertragspartnern abgeschlossen. 25<br />
Wissenschaft und Praxis unterscheiden regelmäßig ’reine Gemeinschaftsabkommen<br />
von sogenannten ’gemischten Abkommen’. 26 Die EG schließt reine Gemeinschaftsabkommen<br />
ab, wenn die Vertragsinhalte ausschließlich in den Bereich der Gemeinschaftskompetenz<br />
fallen. In der Vertragspraxis gegenüber Drittstaaten dominieren<br />
European Union“ (eigene Hervorhebung) und somit Ko-Handelnder bleibt. Immerhin wurde<br />
die passive Standardformulierung zur Gewährleistung von Kohärenz (s. Fn 18) im Mandat des<br />
EUSB bei der AU um eine aktive Formulierung ergänzt, die dessen koordinierende Rolle heraushebt:<br />
„The EUSR shall promote overall political coordination. He shall ensure that all EU<br />
instruments in the field are engaged coherently to attain the EU’s policy objectives“ (Art.12).<br />
25<br />
Siehe die online verfügbare ’Treaties Office Database’ der Generaldirektion Außenbeziehungen.<br />
26 Vgl. Leal-Arcac, 'The European Community and Mixed Agreements', European Foreign Affairs<br />
<strong>Review</strong>, Vol. 6, No 4, S. 483-513, sowie die einschlägigen Kapitel bei Eeckhout, 'External Relations<br />
<strong>of</strong> the European Union. Legal and constitutional Foundations', Oxford 2004.<br />
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jedoch sogenannte gemischte Abkommen, die sich dadurch auszeichnen, dass sowohl die<br />
Gemeinschaft als auch die einzelnen Mitgliedstaaten Vertragspartei auf europäischer Seite<br />
sind. Die Rechtsform des gemischten Abkommens wird gewählt, wenn die Vertragsinhalte<br />
sowohl Gemeinschaftskompetenz als auch mitgliedstaatliche Kompetenz berühren.<br />
Gemischte Abkommen werfen eine Reihe von praktischen Fragen auf, die sich insbesondere<br />
im Zusammenhang mit Verhandlungsführung und Vertragsabschluss stellen.<br />
Während diese Aspekte für reine Gemeinschaftsabkommen recht detailliert in Art. 300<br />
geregelt sind, musste sich für gemischte Abkommen erst eine Praxis etablieren. Auch sie<br />
werden, was den Gemeinschaftsteil betrifft, in Art. 300 des EG-Vertrages verankert. Die<br />
Verhandlungsführung wird – wie bei reinen Gemeinschaftsabkommen – traditionell von<br />
der Kommission wahrgenommen. Allerdings ist deren Verhandlungsmandat, das bei gemischten<br />
Abkommen der Zustimmung aller Mitgliedstaaten bedarf, zumindest dort, wo es<br />
sich auf Bereiche nationaler Kompetenz bezieht, enger gefasst. Das Verhandlungsergebnis<br />
wiederum muss von allen Mitgliedstaaten gebilligt werden, und alle Mitgliedstaaten müssen<br />
das unterzeichnete Abkommen ratifizieren, bevor es in Kraft treten kann. 27 Grundsätzlich<br />
erfordern gemischte Kompetenzen eine enge – und in der Regel langwierige – Abstimmung<br />
bei der Vorbereitung, Aushandlung, dem Abschluss und der Implementierung<br />
eines Drittstaatenabkommen.<br />
Angesichts dieser Schwierigkeiten drängt sich die Frage auf, wieso das Instrument des<br />
gemischten Abkommens so häufig herausgezogen wird, wenn die EU in Vertragsbeziehungen<br />
mit Drittstaaten tritt. Immerhin hat es der Rat jederzeit in der Hand, die<br />
Vertragsinhalte auf Bereiche exklusiver Gemeinschaftskompetenz zu beschränken, und es<br />
den Mitgliedstaaten zu überlassen, alle weiteren Aspekte in jeweils bilateral abgeschlossenen<br />
Abkommen zu regeln. Eine solche 'hygienische' Lösung hat sich jedoch nicht durchsetzen<br />
können, trotz mehrfach erhobener Forderungen vor allem seitens der Kommission.<br />
Drei Motive dürften die gegenwärtige Praxis maßgeblich beeinflusst haben. Zum einen<br />
wird das Bemühen der Europäer deutlich, als einheitlicher Akteur in Erscheinung zu treten.<br />
Zwar <strong>of</strong>fenbart spätestens die Unterzeichnung des Abkommens durch alle Mitglied-<br />
27 Diesem Manko wird in der Praxis auf zwei Arten begegnet: durch den Abschluss von vorläufigen<br />
Abkommen, die sich nur auf die Gemeinschaftsinhalte der gemischten Abkommen erstrecken,<br />
oder durch eine – verfassungsrechtlich <strong>of</strong>t nicht unproblematische – vorläufige Anwendung<br />
des Gemeinschaftsabkommens. Seit dem Vertrag vom Amsterdam ist diese Variante explizit<br />
in Art. 300 (2) des EG-Vertrages erwähnt.<br />
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staaten und die Gemeinschaft dem Drittstaat, dass hier multiple separate rechtliche Bindungswirkungen<br />
entstehen. 28 Doch liegt die Verhandlungsführung, dessen Ergebnis in einem<br />
Dokument zusammengefasst wird, in der Regel in einer Hand, nämlich der der<br />
Kommission. Zweitens kommt die Absicht zum Ausdruck, durch die Verklammerung unterschiedlicher<br />
Politikbereiche in ein und denselbem Abkommen gegenüber Drittstaaten<br />
eine Politik „aus einem Guss“ zu verfolgen. Dies mag insbesondere dann eine Rolle spielen,<br />
wenn die EU gegenüber dem Drittstaat eine – politische oder rechtliche – Konditionalität<br />
zwischen den Vertragsinhalten erzeugen möchte. Drittens mag die vorherrschende<br />
Praxis als Reflex zu interpretieren sein, der konfliktträchtigen Frage der Kompetenzabgrenzung<br />
aus dem Weg zu gehen. Dieser letzte Punkt kann gar nicht hoch genug veranschlagt<br />
werden: Anders als reine Gemeinschaftsabkommen, deren Inhalte in toto der Gemeinschaftskompetenz<br />
zuzuordnen sind, erlauben es gemischte Abkommen allen Beteiligten,<br />
einer genauen Abgrenzung der Kompetenzen aus dem Weg zu gehen. Weder im Verhandlungsmandat<br />
noch im Verhandlungsergebnis müssen die Trennlinien zwischen Gemeinschaftsbereichen<br />
und mitgliedstaatlichen Zuständigkeiten sichtbar gemacht werden.<br />
Gemischte Abkommen enthalten kompetenzrechtliche Grauzonen und absorbieren auf<br />
diese Weise interinstitutionelle Spannungen. Diese Spannungen beziehen sich wohlgemerkt<br />
nicht auf die Abgrenzung zwischen der ersten und der zweiten Säule – die vorrangiges<br />
Thema dieses Artikels bleibt –, sondern das Verhältnis von Gemeinschafts- und mitgliedstaatlicher<br />
Kompetenz. Gleichwohl wirft der Befund die Frage auf, ob sich mit dem<br />
Erstarken der Gemeinsamen Außen- und Sicherheitspolitik eine analoge Praxis entwickelt<br />
hat. Werden kompetenzrechtliche Grauzonen zwischen den Säulen in der Vertragspraxis<br />
der EU billigend in Kauf genommen, oder geht die Tendenz hier – im Sinne<br />
von pillar purity – eher in Richtung einer Kompetenzabgrenzung?<br />
Vertragspraxis der EU seit Erstarken der GASP<br />
Neben – gemischten oder reinen – Gemeinschaftsabkommen verfügen die Europäer über<br />
ein Vertragsinstrument, dessen zunehmender Gebrauch die institutionelle Tektonik der<br />
28 Hierbei sind der vorherrschenden Rechtsmeinung nach Gemeinschaft und Mitgliedstaaten gemeinsam<br />
an alle Teile der gemischten Abkommens gebunden, s<strong>of</strong>ern nicht im Abkommenstext<br />
selber je nach Materie zwischen einer mitgliedstaatlichen und einer gemeinschaftlichen Bindungswirkung<br />
unterschieden wird.<br />
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EU mittelfristig verschieben könnte: Abkommen nach Art. 24 des EUV. Anders als Gemeinschaftsabkommen<br />
werden EU-Abkommen im Namen der EU abgeschlossen 29 und<br />
von der Präsidentschaft unterzeichnet. Weder die Gemeinschaft noch die Mitgliedstaaten<br />
sind Vertragspartei. 30<br />
Ein praktischer Vorteil von EU-Abkommen gegenüber gemischten Abkommen oder<br />
anderen Abkommen, deren Vertragspartei die Mitgliedstaaten sind, liegt auf der Hand:<br />
abgesenkte Ratifikationserfordernisse und – damit einhergehend – ein zügigeres Inkrafttreten.<br />
Art. 24 Abs. 5 des EU-Vertrages ermöglicht den Mitgliedstaaten zwar, verfassungsrechtliche<br />
Bedenken geltend zu machen. Von dieser Regelung, die im übrigen eine Reihe<br />
kniffliger Rechtsfragen aufwirft, wird in der Praxis jedoch äußerst selten Gebrauch gemacht.<br />
31 Damit sind EU-Abkommen ein flexibel einsetzbares Instrument der Gemeinsamen<br />
Außen- und Sicherheitspolitik, das es der EU ermöglicht, kurzfristig rechtsverbindliche<br />
Beziehungen zu Dritten einzugehen. Praktische Beispielsfälle für EU-Abkommen der<br />
zweiten Säule sind sogenannte Statusabkommen mit Drittstaaten, in denen ESVP-<br />
Missionen stattfinden, oder Vereinbarungen mit Drittstaaten zur Zusammenarbeit mit<br />
dem Internationalen Strafgerichtsh<strong>of</strong>.<br />
EU-Abkommen können als Pendant zum klassischen reinen Gemeinschaftsabkommen<br />
gesehen werden. Während sich letztere auf Politikfelder der ersten Säule beschränken<br />
und von der Gemeinschaft abgeschlossen werden, beziehen sich EU-Abkommen auf<br />
GASP- oder JI-Materie und werden von der Union abgeschlossen. Die Frage ist, ob sich<br />
29<br />
Die EU, die nach orthodoxer Lehre keine Rechtspersönlichkeit besitzt, tritt in mittlerweile mehr<br />
als 60 nach Art. 24 EUV abgeschlossenen Abkommen als Vertragspartei in Erscheinung. Art.<br />
24 spricht freilich lediglich davor, dass der Rat Abkommen abschließt (vgl. Abs. 1), die die Organe<br />
der Union binden (vgl. Abs. 6).<br />
30 Gleichwohl dürfte eine rechtliche Bindungswirkung – zumindest im Innenverhältnis der EU –<br />
auch für die Mitgliedstaaten entstehen.<br />
31 Mit dem zwischen der EU und den USA abgeschlossenen Abkommen über den Umgang mit<br />
Fluggastdaten hat der Bundestag erstmalig ein EU-Abkommen innerstaatlich implementiert.<br />
Das betreffende Gesetz nennt sich freilich nicht 'Umsetzungsgesetz' o.ä. Dies lässt darauf<br />
schließen, dass Art. 59 Abs. 2 GG, der sich u.a. auf die innerstaatliche Umsetzung von Verträgen<br />
des Bundes bezieht, als nicht einschlägig erachtet wird, zumal Deutschland nicht Vertragspartei<br />
des EU-Abkommens ist. Da das Abkommen über den Umgang mit Fluggastdaten jedoch<br />
sensible grundrechtsrelevante Fragen berührt, soll wohl Art. 2 des Grundgesetzes Rechnung getragen<br />
werden, demzufolge ein Eingriff in Grundrechte nur auf Grundlage eines Gesetzes zulässig<br />
ist. Ein solches Vorgehen würde den Anforderungen des Grundgesetzes Rechnung tragen,<br />
ohne den Vorteil abgesenkter Ratifizierungserfordernisse von EU-Abkommen auszuhöhlen.<br />
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hier eine – den klassischen gemischten Abkommen vergleichbare – hybride Vertragspraxis<br />
etabliert oder nicht.<br />
Auf den ersten Blick scheint dies unwahrscheinlich. Eine dem gemischten Abkommen<br />
analoge Vertragsform mit der EU (vertreten durch die Präsidentschaft oder den Hohen<br />
Repräsentanten) und den Mitgliedstaaten als Vertragsparteien wäre abwegig – wenn auch<br />
nicht ausgeschlossen. In der Gemeinsamen Außen- und Sicherheitspolitik sind die Mitgliedstaaten<br />
ohnehin die maßgeblichen Akteure. Der Abschluss eines Abkommens nach<br />
Art. 24 EUV zeugt vom gemeinsamen Willen der Mitgliedstaaten, ihr außenpolitisches<br />
Gewicht zu bündeln und als EU in Erscheinung zu treten. Ein Spannungsverhältnis zwischen<br />
'GASP-Materie' und mitgliedstaatlicher Kompetenz, das eine solche Mischform begründen<br />
würde, existiert zudem nicht – auch wenn im Rahmen der GASP gefasste Beschlüsse<br />
die Mitgliedstaaten binden. Vor allem aber existiert (noch) keine – der Kommission<br />
und dem Europäischen Gerichtsh<strong>of</strong> vergleichbare – Institution, die den 'Acquis' der<br />
Gemeinsamen Außen- und Sicherheitspolitik hüten und gegebenenfalls auch gegen die<br />
außenpolitischen Aktivitäten einzelner Mitgliedstaaten verteidigen könnte.<br />
Denkbar wäre allerdings eine neue Mischform, in der das reine Gemeinschaftsabkommen<br />
mit dem EU-Abkommen kombiniert werden. Für solche – innerhalb der Institutionen<br />
'integriert' genannte – Abkommen, die rechtlich sowohl in Art. 24 des EUV und<br />
Art. 300 des EGV verankert wären und von der EU und der EG abgeschlossen würden,<br />
gibt es bislang keine Anwendungsfälle. Zwar war eine solche Abkommensform bereits<br />
mehrfach im Gespräch. Die Erprobung dieses neuen Instruments scheiterte bislang jedoch<br />
am gemeinsamen Widerstand einzelner Mitgliedstaaten und der Kommission, die einen<br />
Kompetenztransfer zwischen den Säulen befürchten – auch wenn die Befürchtungen in<br />
diametral entgegengesetzte Richtungen gehen. Als Alternativmodell befürworten um pillar<br />
purity bemühte Akteure den Abschluss zweier separater Abkommen. Wolle man Konditionalität<br />
zwischen den jeweiligen Vertragsmaterien erzeugen, könne dies ohnehin wirksamer<br />
durch eine politische Verklammerung, etwa in Form einer gemeinsamen Erklärung,<br />
geschehen. Wie immer man Vor- und Nachteile der unterschiedlichen Modelle bewerten<br />
mag – auch dieses klar in Richtung pillar purity weisende Modell hat sich bislang nicht<br />
durchsetzen können.<br />
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Inhaltlich böten zunehmend mehr Drittstaatenabkommen die Möglichkeit, die alte<br />
Form des gemischten Abkommens durch eine neue Mischform des integrierten Abkommens<br />
oder aber durch zwei getrennte Abkommen zu ersetzen. Denn zahlreiche Abkommen<br />
enthalten genuin außen- und sicherheitspolitische Aspekte, insbesondere politische<br />
Klauseln zu unterschiedlichen Bereichen wie dem Schutz der Menschenrechte und der<br />
Förderung von Demokratie 32 , der Nichtverbreitung von Massenvernichtungswaffen 33 oder<br />
der Terrorismusbekämpfung 34 sowie der Zusammenarbeit mit dem Internationalen Strafgerichtsh<strong>of</strong><br />
35 . Diese Abkommen werden zur Zeit in der Rechtsform klassischer gemischter<br />
Abkommen abgeschlossen.<br />
Die Frage, welche Rechtsform die EU bei inhaltlich hybriden Verträgen mit Drittstaaten<br />
wählt, wird akut bleiben. Das gilt beispielsweise für das „Neue Erweiterte Abkommen“,<br />
das die EU derzeit mit der Ukraine aushandelt, oder das Nachfolgemodell des Partnerschafts-<br />
und Kooperationsabkommen mit Russland, deren Verhandlungen irgendwann<br />
im Jahr 2008 beginnen sollten. Ebenfalls ungeklärt ist, ob die derzeit mit einer Reihe von<br />
asiatischen Staaten verhandelten Freihandelsabkommen in umfassende Partnerschaftsund<br />
Kooperationsabkommen integriert werden und, wenn ja, in welcher Form dies geschehen<br />
wird.<br />
Zusammenfassend lässt sich festhalten, dass es hinsichtlich der Vertragspraxis innerhalb<br />
der EU Bestrebungen sowohl in Richtung pillar purity als auch in Richtung pillar synergy<br />
gibt. Zu welche Seite das Pendel ausschlagen wird, ist bislang nicht abzusehen. Ausgehend<br />
von der Tradition gemischter Abkommen mag der Vorschlag, hybride Vertragsinhalte<br />
in getrennten Abkommen zu verhandeln, bereits als Indikator für zunehmende Säulenhygiene<br />
gelten. Andererseits weist die mehrheitliche Präferenz unter den Mitgliedstaaten<br />
in Richtung des klassischen gemischten Abkommens mit einer großen Offenheit gegenüber<br />
der neuen Rechtsform des integrierten Abkommens. Der interinstitutionelle mo-<br />
32 Vgl. hierzu die Ratsentscheidungen 7255/1995 und 9119/1998. Menschenrechtsschutz und<br />
Demokratieförderung sind freilich auch im EG-Vertrag als politische Ziele festgehalten (vgl.<br />
Art. 177, Abs. 2 EGV).<br />
33 Siehe hierzu die beim Europäischen Rat im Dezember 2003 verabschiedete Strategie zur Bekämpfung<br />
von Massenvernichtungswaffen.<br />
34 Vgl. Schlussfolgerungen des Außerordentlichen Rates vom September 2001 sowie den Beschluss<br />
des Ausschusses der Ständigen Vertreter, Ratsdokument 6898/2002.<br />
35 Vgl. Beschluss des Ausschusses der Ständigen Vertreter, Ratsdokument 5742/2004.<br />
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dus operandi kann als konfliktfrei bewertet werden. Allerdings verhindern Meinungsverschiedenheiten<br />
zwischen den maßgeblichen Akteuren die Erprobung neuer Instrumente.<br />
Fallbeispiel III – Die Sanktionspraxis der EU<br />
Doppelcharakter klassischer Sanktionen<br />
Wirtschaftssanktionen sind für die EU in kompetenzrechtlicher und institutioneller Hinsicht<br />
einzigartig. Denn hier und nirgendwo sonst in den Verträgen werden Instrumente<br />
der ersten und der zweiten Säule absichtsvoll miteinander verschränkt. Die gegenwärtige<br />
– in den Artikeln 60 und 301 des EG-Vertrages verankerte – Praxis sieht vor, dass die<br />
Mitgliedstaaten im Rahmen der Gemeinsamen Außen- und Sicherheitspolitik den politischen<br />
Beschluss zur Verhängung von restriktiven Maßnahmen fassen, auf deren Grundlage<br />
die Gemeinschaft dann eine Verordnung zur Implementierung der Maßnahmen erlässt,<br />
s<strong>of</strong>ern diese Maßnahmen Gemeinschaftskompetenz berühren. Diese säulenübergreifende<br />
Beschlusspraxis reflektiert den Doppelcharakter klassischer (Wirtschafts-)Sanktionen, die<br />
als handelspolitisches Instrument genuin außenpolitischen Zwecken dienen. Das geschilderte<br />
Verfahren hat sich bereits in den 80er Jahren, also noch im Rahmen der Europäischen Politischen<br />
Zusammenarbeit, herausgebildet, wurde im Vertrag von Maastricht rechtlich fixiert<br />
und besteht bis heute fort.<br />
Die Palette an Maßnahmen, die hierbei zur Anwendung kommen, hat sich freilich seit<br />
1993 erweitert. Nachdem umfassende Wirtschaftssanktionen in der 1990er Jahren angesichts<br />
empfindlicher Konsequenzen für die Bevölkerung in die Kritik geraten sind, ging<br />
die EU – ebenso wie die Vereinten Nationen – dazu über, maßgeschneiderte Sanktionen<br />
zu entwickeln 36 . Diese sollten sich gegen die regierende Elite richten und abträgliche Effekte<br />
auf weitere Bevölkerungsschichten minimieren. Zu den mittlerweile erprobten<br />
Maßnahmen zählen 'sektorale' Handelsrestriktionen, wie ein Waffen-, Diamanten-, oder<br />
– im Fall der gegen Nordkorea verhängten Maßnahmen – Luxuswarenembargo ebenso<br />
wie personenspezifische Sanktionen wie Visarestriktionen oder Finanzsanktionen. Nicht<br />
36 Zur Thematik der 'smart sanctions' siehe insb. die Ergebnisse der Expertenseminare im sogenannten<br />
Interlaken-Prozess, Bonn-Berlin-Prozess und Stockholm-Prozess. Online-Ressourcen<br />
verfügbar unter http://www.smart.sanctions.se (Stockholm-Prozess) und<br />
http://www.sec.admin.ch/themen/00513/00620/00639/00641/index.html?lang=de (Interlaken).<br />
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alle dieser Maßnahmen – insbesondere s<strong>of</strong>ern sie sich nicht vorrangig gegen Staaten, sondern<br />
Einzelpersonen richten – scheinen vom Wortlaut der oben zitierten Artikel gedeckt.<br />
Gleichwohl haben diese in der Praxis eine – vom Europäischen Gerichtsh<strong>of</strong> sanktionierte<br />
– weite Auslegung erfahren, die der sich fortentwickelnden Sanktionspraxis Rechnung<br />
trägt. 37<br />
Kompetenzrechtliche und institutionelle Aspekte der EU-Sanktionspraxis<br />
Eine synoptische Betrachtung der für ein Sanktionsregime zum Einsatz gebrachten Instrumente<br />
der zweiten und der ersten Säule bietet aufschlussreich Einblick in kompetenzrechtliche<br />
Abgrenzungen zwischen GASP und Gemeinschaftskompetenz. 38 Beispielsweise<br />
sind die in Gemeinsamen Standpunkten (Instrumente der zweiten Säule) enthaltenen Visarestriktionen<br />
kein Bestandteil der entsprechenden Verordnungen (Instrument der erste<br />
Säule). 39 Unumstrittenerweise wird hier keine Gemeinschaftskompetenz berührt. 40 Andere<br />
Abgrenzungsfragen sind durchaus kontrovers. So finden auch die in Gemeinsamen<br />
Standpunkten enthaltenen Bestimmungen zur Verhängung von Waffenembargos keine<br />
Entsprechung in den betreffenden Verordnungen 41 – eine Auslegung der Verträge, die in<br />
37 Siehe die Urteile in den Fällen 'Kadi' (T-301/01) und 'Yusuf' (T-315/01) vom 21.9.2005.<br />
38<br />
Eine vollständige Übersicht der Sanktionsrechtsakte – einschließlich der hier nicht aufgeführten<br />
– Änderungsrechtsakte ist online unter http://ec.europa.eu/external_relations/cfsp/sanctions/<br />
measures.htm verfügbar.<br />
39<br />
Vgl. den Gemeinsamen Standpunkt (GS) 2005/440/GASP und die Verordnungen (VO)<br />
889/2005 und 1183/2005 zur Demokratischen Republik Kongo, GS 2007/140/GASP und VO<br />
423/2007 zu Iran, GS 2006/795/GASP und VO 324/2007 zu Nordkorea, GS 2005/888/GASP<br />
und VO 305/2006 zu Libanon, GS 2007/93/GASP und VO 324/2004 zu Liberia, GS<br />
2006/318/GASP und VO 817/2006 zu Myanmar, GS 2005/411/GASP und VO 1184/2005 zu<br />
Sudan, GS 2005/888/GASP und VO 305/2006 zu Syrien, GS 2007/792/GASP und VO<br />
1859/2005 zu Usbekistan, GS 2000/696/GASP und VO 2488/2000 zu Jugoslawien, GS<br />
2004/161/GASP und VO 314/2004 zu Simbabwe, GS 2004/852/GASP und VO 174/2005 zu<br />
Côte d’Ivoire sowie die durch keine VO begleiteten GSe 2004/133/GASP (Mazedonien),<br />
2004/179/GASP (Moldau), 2004/293/GASP (Jugoslawien) 2006/276/GASP (Belarus),<br />
2004/293/GASP (Kroatien) 2004/293/GASP (Bosnien und Herzogovina) und GS<br />
1998/409/GASP (Sierra Leone).<br />
40 Das gleiche gilt bspw. für die – einer Vorgabe der Sicherheitratsresolution 1736/2006 folgenden<br />
– Bestimmung des Gemeinsamen Standpunktes 2007/14/GASP, hinsichtlich der Reisetätigkeit<br />
bestimmter Personen „Wachsamkeit zu üben“ oder iranischen Staatsangehörigen den<br />
Zugang zu nuklearsensitiven Studiengängen zu verweigern oder für die im Sanktionsregime gegen<br />
Myanmar (GS 2006/318/GASP) enthaltene Beschränkung des diplomatischen Verkehrs.<br />
41<br />
Vgl. GS 2007/246/GASP und VO 618/2007 zu Iran, GS 2006/625 und VO 1412/2006 zu Libanon<br />
sowie die in Fn 39 genannten Rechtsakte zu Demokratische Republik Kongo, Nordkorea,<br />
Liberia, Myanmar, Sudan, Sierra Leone und Usbekistan.<br />
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der Literatur zumindest umstritten ist. 42 Bestimmungen zu diesbezüglichen Dienstleistungen<br />
oder zu Dual-use Gütern sind hingegen in allen Verordnungen enthalten.<br />
Ein solcher Abgleich von Maßnahmen gibt in erster Linie Auskunft zur Trennlinie<br />
zwischen Gemeinschaftskompetenz und nationalstaatlicher Kompetenz. Alle Bestimmungen<br />
der Gemeinsamen Standpunkte müssen entweder der Gemeinschaftskompetenz zugeordnet<br />
werden und Eingang in die Verordnung finden oder aber der nationalen Umsetzung<br />
vorbehalten bleiben. Anders als bei gemischten Abkommen besteht hier keine Möglichkeit,<br />
der nicht immer leichten Abgrenzung aus dem Weg zu gehen. Dass es hierzu bislang<br />
keine Judikatur des Europäischen Gerichtsh<strong>of</strong> gibt 43 , kann als Indikator dafür gelten,<br />
dass diese Abgrenzung bislang weitgehend einvernehmlich, zumindest geschäftsmäßig<br />
vorgenommen wurde.<br />
Synergie oder dédoublement fonctionnel?<br />
Der Vergleich von Gemeinsamen Standpunkten und Verordnungen gibt darüber hinaus<br />
indirekt Auskunft über das Verhältnis zwischen der ersten und zweiten Säule. Grundsätzlich<br />
gilt: Sanktionen lassen sich aufgrund ihres oben geschilderten Doppelcharakters nicht<br />
exklusiv der einen oder der anderen Säule zurechnen. Gleichwohl kann angenommen<br />
werden, dass im Rechtsinstrument der zweiten Säule vor allem die genuin außenpolitischen<br />
Aspekte der verhängten Maßnahmen zum Ausdruck gebracht werden, während die<br />
Verordnungen technischer gefasst sind und die praktischen Modalitäten der beschlossenen<br />
Maßnahmen festlegen.<br />
Ein Blick in die in den vergangenen Jahren beschlossenen Gemeinsamen Standpunkte<br />
<strong>of</strong>fenbart hingegen einen bemerkenswerten Detailliertheitsgrad. 44 So werden die Verbotstatbestände<br />
ausbuchstabiert und die Ausnahmebestimmungen in großer Ausführlichkeit<br />
festgeschrieben. Verglichen mit Gemeinsamen Standpunkten der frühen Jahre ist die<br />
Tendenz zu zunehmend längeren Gemeinsamen Standpunkten unübersehbar, so dass sich<br />
42<br />
Vgl. den Kommentar zu Art. 296 EGV bei Von der Groeben/Schwarze (Hg.): Vertrag über die<br />
Europäische Union und Vertrag zur Gründung der Europäischen Gemeinschaft (Hg.), Kommentar,<br />
6. Auflage 2004, S. 1537ff.<br />
43<br />
Anders als die Gemeinsamen Standpunkte könnten die Sanktionsverordnungen durchaus zum<br />
Gegenstand eines interinstitutionellen Rechtsstreites werden.<br />
44 Vgl. als jüngste Beispiele für umfassende Sanktionsregime die Gemeinsamen Standpunkte<br />
2007/140/GASP (Iran), 2006/795/GASP (Nordkorea) sowie 2007/750/GASP und<br />
2006/318/GASP (Myanmar).<br />
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der Charakter beider Instrumente im Laufe der Jahre immer weiter angenähert hat. Über<br />
die Gründe für diese Entwicklung kann nur spekuliert werden. Im Falle von Sanktionsbeschlüssen,<br />
die nach Vorgaben des Sicherheitsrates der Vereinten Nationen gefasst werden,<br />
reflektieren die Gemeinsamen Standpunkte häufig einen ohnehin bereits hohen Detailliertheitsgrad<br />
in den betreffenden Resolutionen. Ausschlaggebend für die allgemeine<br />
Entwicklung dürfte jedoch sein, dass Gemeinsame Standpunkte mit Einstimmigkeit gefasst<br />
werden, während der Annahmebeschluss zur Verordnung mit qualifizierter Mehrheit<br />
ergeht. Dies dürfte einer Neigung im Kreise der Mitgliedstaaten Vorschub leisten, potentiell<br />
umstrittene Fragen im Rahmen des Gemeinsamen Standpunktes, und nicht erst der<br />
Verordnung zu klären, wo ein Überstimmtwerden nicht ausgeschlossen werden kann und<br />
von der Kommission abweichende Vorstellungen nur mit Einstimmigkeit durchgesetzt<br />
werden können.<br />
Was auch immer die maßgeblichen Gründe für diese Entwicklung sein mögen, sie hat<br />
dreierlei Konsequenzen. Einerseits verliert der Gemeinsame Standpunkt zunehmend seinen<br />
politischen Duktus. Die Sprache gleicht immer stärker der eines Gemeinschaftsrechtsaktes<br />
und entfernt sich vom Stil einer politischen Entschließung. Zweitens erfordern<br />
ausführlichere Texte zwangsläufig längere Verhandlungszeiten. Dies erschwert der<br />
EU, auf politische Ereignisse zeitnah zu reagieren. Als Extremfall dürfte hier die Verordnung<br />
zur Umsetzung der VN-mandatierten Sanktionen gegen Nordkorea gelten, der erst<br />
am 27. März 2007, also fünf Monate nach der Annahme der entsprechenden Sicherheitsratsresolution,<br />
beschlossen wurde. 45 Drittens schließlich drängt sich die Frage auf, ob der<br />
Erlass zweier bemerkenswert ins Detail gehender Rechtsakte einen politischen oder technischen<br />
Mehrwert erzeugt oder zumindest säulenübergreifenden Synergiewirkungen zeitigt.<br />
Faktisch machen die Mitgliedstaaten im Rahmen der ersten Beschlussfassung zum<br />
Gemeinsamen Standpunkt sich selbst und der Kommission zunehmend enge Vorgaben für<br />
die zweite Beschlussfassung zur Verordnung. Die Sequenz zweier Verfahren zu ein und<br />
demselben Sanktionsregime erscheint so als eine recht umständliche Übung und als<br />
dédoublement fonctionnel.<br />
45 Verordnung 329/2007 zum Gemeinsamen Standpunkt 2006/795/GASP, mit denen die Sicherheitsratsresolution<br />
1718 (2006) vom 14.10.2006 umgesetzt wird.<br />
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Wie sind diese Entwicklungen vor dem Hintergrund der eingangs gestellten Leitfrage<br />
zu bewerten? Sanktionen wurden bereits vor vielen Jahren als ein Politikbereich identifiziert,<br />
der sich einer klaren kompetenzrechtlichen Zuordnung entzieht. Was die Beschlussfassung<br />
betrifft, wurde hier eine originelle, wenngleich umständliche Lösung gefunden, die<br />
den Verfahren sowohl der ersten Säule als auch der zweiten Säule Rechnung trägt. In der<br />
institutionellen Praxis wird diese säulenhygienische Trennung der Verfahren mit einer für<br />
den Außenstehenden kurios anmutenden Konsequenz bekräftigt – pillar purity wird aufrecht<br />
erhalten. Dabei nähern sich die Instrumente ihrem Inhalt nach immer stärker einander<br />
an – wobei der Gemeinsame Standpunkt der Verordnung zunehmend detaillierte<br />
Vorgaben macht. Bislang gibt es keine sichtbaren Anzeichen, dass dieser Prozess konfliktträchtig<br />
sein könnte. Allerdings weisen die <strong>of</strong>t langen Fristen zwischen der Verabschiedung<br />
aufeinander bezogener Dokumente (Sicherheitsratsresolutionen oder Ratsschlussfolgerungen<br />
als Ausgangstexte, Gemeinsame Standpunkte und Verordnungen als Rechtsakte)<br />
darauf hin, dass die Abstimmungen mühsam sind.<br />
Fallbeispiel IV: 'Stabilisierungspolitik' – eine interinstitutionelle Grauzone?<br />
Im November 2006 verabschiedete der Rat nach mehrjähriger Verhandlung das sogenannte<br />
'Stabilitätsinstrument' 46 , eine Verordnung zur Finanzierung bestimmter auswärtiger<br />
Maßnahmen. Die Verordnung enthält Maßnahmenkataloge zur Stabilisierung von<br />
Gesellschaften im Falle einer Krise und bei der Krisennachbearbeitung und fußt rechtlich<br />
auf den Titeln XX und XXI des EG-Vertrages, der der Gemeinschaft eine Kompetenz für<br />
Entwicklungszusammenarbeit und der wirtschaftlichen, finanziellen und technischen Zusammenarbeit<br />
mit Drittländern zuweist. Die Verhandlungen zum Stabilitätsinstrument,<br />
bemerken Beobachter der Verhandlungen, gestalteten sich langwierig und zäh 47 , kein Beispiel<br />
für ein effizientes Zusammenwirken von Mitgliedstaaten und Institutionen, sondern<br />
eher Ausdruck gegenseitigen Misstrauens. Wo liegen die Gründe?<br />
46 Verordnung 1717/2006.<br />
47 Deaele/Gourlay, 'The Stability Instrument: defining the Commission's role in crisis response',<br />
ISIS Europe, 27 June 2005.<br />
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'Stabilisierungspolitik' – der bewusst unscharf gewählte Begriff illustriert das Dilemma<br />
– lässt sich nicht reinlich in einen genuin außenpolitischem Bereich und einen flankierend-<br />
entwicklungspolitischen Bereich aufteilen. 48 Insbesondere gegenüber dem zivilen<br />
Krisenmanagement, dem Boomsektor der Europäischen Sicherheits- und Verteidigungspolitik,<br />
ist eine analytisch scharfe Abgrenzung einer gemeinschaftsrechtlichen 'Stabilisierungspolitik'<br />
kaum möglich. Während Sicherheitssektorreformen beispielsweise grundsätzlich<br />
als Beiträge der ESVP zur Stabilisierung eines Landes anzusehen sind, werden in den<br />
Teilbereichen Justiz und Polizeiausbildung auch Projekte im Rahmen der ersten Säule<br />
durchgeführt. Eine gemeinschaftsrechtliche 'Stabilisierungspolitik' muss, soviel ist klar, an<br />
die Ziele der Entwicklungszusammenarbeit und der wirtschaftlichen, finanziellen und<br />
technischen Zusammenarbeit anknüpfen. Doch ein Blick in die Verträge hilft kaum, hier<br />
eine genauere Abgrenzung vorzunehmen. Denn nicht nur die Zielsetzung der gemeinschaftlichen<br />
Entwicklungszusammenarbeit ist allgemein gehalten; auch die Ziele der Gemeinsamen<br />
Außen- und Sicherheitspolitik sind <strong>of</strong>fen formuliert. Und anders als in vielen<br />
Bereichen des Gemeinschaftsrecht hat der Europäische Gerichtsh<strong>of</strong> bislang wenig Licht in<br />
diese materiell-rechtliche Grauzone zwischen den Säulen bringen können, ist er doch<br />
grundsätzlich in GASP-Angelegenheiten unzuständig. 49<br />
Genau dies aber mag sich demnächst ändern – und hier liegt ein Grund für die schleppenden<br />
Verhandlungen zum Stabilitätsinstrumentes: Seit 2005 ist ein von der Kommission<br />
gegen den Rat angestrengtes Verfahren vor dem Europäischen Gerichtsh<strong>of</strong> anhängig,<br />
dass die materiellen Grenzen zwischen den Säulen in Zukunft ausloten helfen könnte.<br />
Streitgegenstand ist eine im Rahmen der GASP beschlossene Maßnahme zur Eindämmung<br />
der Verbreitung von Kleinwaffen (small arms and lights weapons – SALW), ein Bereich,<br />
der sich der einvernehmlichen Zuordnung zu den Säulen entzogen hat und zum<br />
Kulminationspunkt interinstitutioneller Kompetenzstreitigkeiten geworden ist. 50 Eine et-<br />
48 Vgl. Duke 'Areas <strong>of</strong> Grey: Tensions in EU External Relations Competences', EIPASCOPE Bulletin<br />
2006/1, S. 21-27, der folgende weitere Handlungsfelder in der Grauzone zwischen der ersten<br />
und zweiten Säule verortet: Wahlbeobachtungsmissionen, Handelsrestriktionen im Bereich<br />
Waffen und Dual-Use Güter, Maßnahmen zur Konfliktprävention sowie die Frage der EU-<br />
Außenvertretung.<br />
49 Vgl. Ketvel, 'The Jurisdiction <strong>of</strong> the European Court <strong>of</strong> Justice in Respect <strong>of</strong> the Common Foreign<br />
and Security Policy', ICLQ Bd. 55, 2007, S. 77-120.<br />
50 Rs. C-91/05, Schlussantrag vom 19.9.2007.<br />
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was ausführlichere Analyse dieses – zurecht als wegweisend eingestuften 51 – Verfahrens<br />
wird die zukünftige institutionelle Praxis in dieser kompetenzrechtlichen Grauzone abschätzen<br />
helfen.<br />
Kulminationspunkt kompetenzrechtlicher Spannungen – der ECOWAS-Fall<br />
Bemerkenswerterweise berufen sich sowohl die Kommission als auch das als Streithelfer<br />
des Rates auftretende Großbritannien in ihren Stellungnahmen auf ein Prinzip der 'Säulenhygiene'<br />
– auf pillar purity, wie wir es plakativ genannt haben. Dies wird, was die Argumente<br />
der Kommission betrifft, vor allem in der Interpretation des Art. 47 EUV deutlich.<br />
So dürfe die Union im Rahmen der GASP keine Maßnahmen ergreifen, die in die<br />
Zuständigkeit der Gemeinschaft fallen, ungeachtet der Tatsache, ob es sich um ausschließliche,<br />
geteilte oder konkurrierende Kompetenzen handelt. Mit anderen Worten:<br />
Selbst wenn die Kommission in einem gegebene Bereich bislang nicht aktiv geworden ist,<br />
es aber kompetenzrechtlich werden könnte, verbiete sich ein Handeln im Rahmen der<br />
GASP. Dieser Ansatz würde sich substantiell von der Abgrenzung zwischen Gemeinschaftsrecht<br />
und mitgliedstaatlicher Kompetenz unterscheiden.<br />
Demgegenüber vertreten der Rat und seine Streithelfer (einschließlich Großbritanniens)<br />
in Bezug auf Art. 47 EUV eine weniger säulenstrenge Position. Dieser verhindere<br />
im Rahmen der GASP keinesfalls den Einsatz von Instrumenten, die auch durch die Gemeinschaft<br />
im Rahmen der Entwicklungszusammenarbeit verwendet werden können, da<br />
die Maßnahmen jeweils unterschiedlichen Zielen dienten. Großbritannien sieht Art. 47<br />
im übrigen nur dann verletzt, wenn eine GASP-Maßnahme einer bereits ergriffenen Gemeinschaftsmaßnahme<br />
effektiv zuwiderlaufe. In Bezug auf den Streitgegenstand SALW –<br />
und hier orientieren sich der Rat und seine Streithelfer Großbritannien wieder in Richtung<br />
pillar purity – bestreiten die Antragsgegner grundsätzlich eine Zuständigkeit der Gemeinschaft.<br />
An dieser Stelle wiederum gibt sich die Kommission weniger kategorisch:<br />
Zwar sei die Bekämpfung der Verbreitung von SALW anerkanntermaßen integraler Bestandteil<br />
der gemeinschaftlichen Entwicklungspolitik, doch möge es Aspekte der SALW-<br />
Bekämpfung geben, die je nach Inhalt und Zielsetzung in den Bereich der GASP fallen.<br />
Diese erst im Laufe des Verfahrens konzedierte Nuancierung mag dem Umstand geschul-<br />
51<br />
So Duke, a.a.O.<br />
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det sein, dass ein Standpunkt, demzufolge jedwede Maßnahme zur Bekämpfung der<br />
Verbreitung von SALW außerhalb der GASP liegt, intuitiv schwer nachvollziehbar ist<br />
und im Verfahren kaum haltbar gewesen wäre.<br />
Angesichts dieser Argumente von <strong>of</strong>fenkundig grundsätzlicher Bedeutung für das interinstitutionelle<br />
Gleichgewicht ist kaum verwunderlich, dass sich die parallel stattfindenden<br />
Verhandlungen zum Stabilitätsinstrument zäh gestaltet haben. 52 Immerhin enthält<br />
das Stabilitätsinstrument zwei Positivlisten von Handlungsfeldern, die der Gemeinschaftskompetenz<br />
im Bereich Entwicklungszusammenarbeit insbesondere gegenüber der<br />
zweiten Säule Konturen verleiht. Ein Urteil im Verfahren ist für Ende des Jahres 2007 zu<br />
erwarten, doch auf Grundlage des mittlerweile vorliegenden Schlussplädoyers des Generalanwaltes<br />
kann bereits über die Entwicklung der Spruchpraxis spekuliert werden. 53<br />
Anknüpfend an die – spärliche – Judikatur des EuGH zu Fragen der Abgrenzung der<br />
GASP folgt der Generalanwalt einer der Säulenhygiene verpflichteten Linie. Hinsichtlich<br />
des Art. 47 teilt er im wesentlichen die Argumente des Kommission. Die entscheidenden<br />
Passagen lauten: „Während es den Mitgliedstaaten grundsätzlich freisteht, tätig zu werden,<br />
ist [...] ein Tätigwerden der Europäischen Union nach Titel V oder VI des EU-<br />
Vertrags grundsätzlich durch die Existenz entsprechender EG-vertraglicher Zuständigkeiten<br />
ausgeschlossen, gleich welcher Natur (ausschließlich, geteilt oder parallel) diese der<br />
52 In diesem Zusammenhang sind die Rückversicherungen aufschlussreich, die an mehreren Stellen<br />
der Verordnung zum Ausdruck gebracht werden, siehe etwa den dritten Erwägungsgrund<br />
(eigene Hervorhebungen): „Measures taken under this Regulation in pursuit <strong>of</strong> the objectives<br />
<strong>of</strong> Article 177 and 181a <strong>of</strong> the [...] EC Treaty may be complementary to and should be consistent<br />
with measures adopted by the EU in pursuit <strong>of</strong> Common Foreign and Security Policy objectives<br />
within the framework <strong>of</strong> Title VI <strong>of</strong> the [...] EU treaty. The Council and the Commission should<br />
cooperate to that effect.“ In der Praxis kommt die Kommission der Kooperationspflicht dadurch<br />
nach, dass sie das Politische und Sicherheitspolitische Komitee monatlich über die im Rahmen<br />
des Stabilitätsinstruments zu finanzierenden Projekte unterrichtet.<br />
Ebenfalls aufschlussreich sind die in Art. 1 aufgezeigten roten Linien (eigene Hervorhebungen):<br />
„1. The Community shall undertake development cooperation measures, as well as financial,<br />
economic and technical cooperation measures with third countries under the conditions set out<br />
in this Regulation. 2. In accordance with the objectives <strong>of</strong> such cooperation and within its limits as<br />
laid down in the EC treaty, the specific aims <strong>of</strong> this Regulation shall be: [...]. Measures taken under<br />
this Regulation may be complementary to, and shall be consistent with, and without prejudice to,<br />
measures adopted under Title V and Title VI <strong>of</strong> the EU Treaty.“<br />
53 In den überwiegenden Fällen liegt das Urteil auf Linie des Schlussplädoyers, was freilich nicht<br />
ausschließt, dass der EuGH gelegentlich zu gänzlich anderen Schlüssen als der Generalanwalt<br />
gelangt.<br />
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Gemeinschaft zugewiesenen Zuständigkeiten sind.“ 54 Und weiter heißt es: „Art. 47 [soll]<br />
den Vorrang des Gemeinschaftshandelns nach dem EG-Vertrag gegenüber einem Handeln<br />
auf der Grundlage von Titel V oder Titel VI des EU-Vertrags gleichsam hermetisch<br />
schützen, so dass, wenn eine Handlung nach dem EG-Vertrag vorgenommen werden<br />
könnte, sie nach diesem Vertrag vorgenommen werden muss.“ 55<br />
Im folgenden prüft der Generalanwalt konsequenterweise, ob die von der Kommission<br />
angefochtene Maßnahme im Rahmen der Gemeinschaftskompetenz für Entwicklungszusammenarbeit<br />
hätte ergriffen werden können. Hierbei – und das ist für das Ergebnis entscheidend<br />
– werden sowohl der Inhalt der Maßnahme als auch deren in den angefochtenen<br />
Rechtsakten dargelegte Zielsetzung untersucht. Letztere wird zum fallentscheidenden<br />
Kriterium. Während eine SALW-Maßnahme durchaus in den Bereich der Gemeinschaftskompetenz<br />
fallen könne (s<strong>of</strong>ern sie nämlich „ausschließlich oder hauptsächlich die<br />
Entwicklungszusammenarbeit bezweckt und zur Erreichung der sozio-ökonomischen Entwicklungsziele<br />
dieser Zusammenarbeit beiträgt“), wird die Gemeinschaftskompetenz im<br />
vorliegenden Fall verneint, da die Maßnahme genuin außen- und sicherheitspolitischen<br />
Zwecken diene.<br />
Zwei Dinge sind für das Verhältnis zwischen den Institutionen bemerkenswert: Zum<br />
einen konsolidiert der Generalanwalt mit seinem Schlussantrag die Zuständigkeit des<br />
EuGH im Bereich der zweiten Säule, indem er nämlich die angefochtenen Rechtsakte auf<br />
Grundlage der im EUV formulierten Ziele der GASP prüft. Damit folgt er einer wahrscheinlich<br />
unvermeidbaren Tendenz starker, unabhängiger Gerichtshöfe, die eigene Jurisdiktion<br />
großzügig wahrzunehmen. Zweitens – und das ist für die hier fokussierte Fragestellung<br />
interessant – gibt der Schlussantrag Aufschluss zum Verhältnis der ersten und zweiten<br />
Säule, und zwar im Sinne von pillar purity. Dogmatisch wird an der Abstraktion einer<br />
reinlichen Trennung zwischen der ersten und zweiten Säulen festgehalten. Dies gelingt<br />
freilich vernünftig nur dadurch, dass eine Maßnahme nach Inhalt und Ziel beurteilt – und<br />
zugeordnet – wird. Objektiv identische Maßnahmen mögen, folgt man dem Generalanwalt,<br />
also im Rahmen der ersten und der zweiten Säulen ergriffen werden. Die Zielsetzung<br />
54 Siehe unter Ziffer 111.<br />
55 Siehe unter Ziffer 116. Die englische Textfassung liest sich vielleicht klarer: „[...] so that if an<br />
action could be undertaken on the basis <strong>of</strong> the EC Treaty, it must be undertaken by virtue <strong>of</strong><br />
that Treaty.“<br />
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jedoch spätestens erlaubt eine eindeutige Verortung. Voraussetzung hierzu ist die Prüfung<br />
der deklarierten Ziele einer Maßnahme durch den EuGH.<br />
Was sind die praktischen Auswirkungen einer solchen Rechtsauslegung? Materiell<br />
trägt sie wenig zur Abgrenzung der GASP vom vergemeinschafteten Außenhandeln bei.<br />
Die Rückbindung an ohnehin <strong>of</strong>t allgemein formulierte politische Ziele wird kaum Klarheit<br />
stiften, wenn eine umstrittene Maßnahme der ersten oder der zweiten Säule zugeordnet<br />
werden soll. Wohl aber werden alle beteiligten Seiten Anstrengungen darauf verwenden,<br />
eine beschlossene Maßnahme plausibel in den Zielen des EU-Vertrag bzw. des EG-<br />
Vertrages zu verankern, ihre Zweckdienlichkeit für den jeweils anderen Zielkatalog hingegen<br />
in Frage stellen. Die oben dargestellte, pillar purity verpflichtete Rechtsauslegung erschwert<br />
eine großzügigere Haltung im Umgang mit kompetenzrechtlichen Fragen, die<br />
vermutlich notwendig wäre, um säulenübergreifende Synergien freizusetzen.<br />
Zusammenfassung und Ausblick im Lichte des Reformvertrages<br />
Die vier Fallbeispiele geben insgesamt wenig Hinweise auf die von uns plakativ als 'pillar<br />
synergy' bezeichnete Entwicklungstendenz. Im Gegenteil, die Säulenstruktur der EU hält<br />
wacker den unterschiedlichen Versuchen stand, die Grenzen zwischen gemeinschaftlichem<br />
Außenhandeln und der Gemeinsamen Außen- und Sicherheitspolitik durchlässiger<br />
zu gestalten. Sowohl der Rat und die Mitgliedstaaten auf der einen Seite als auch<br />
die Kommission auf der anderen Seite unternehmen Versuche, die Grenzen zwischen der<br />
ersten und zweiten Säulen zum jeweils eigenen Vorteil abzustecken. Dies gilt besonders<br />
deutlich im Innenverhältnis der Europäischen Union: Aufgabenpr<strong>of</strong>il und Weisungskette<br />
der EU-Sonderbeauftragten, die Behandlung von Sanktionsrechtsakten in den Gremien<br />
der EU und auch eine sich andeutende Judikatur des EuGH lassen sich als Belege für Säulenhygiene<br />
– pillar purity – heranziehen. Im Außenverhältnis entfalten immerhin die EU-<br />
Sonderbeauftragten mit Doppelhut politische Synergien 56 – möglicherweise mit Präzedenzwirkung<br />
für den zukünftigen Europäischen Auswärtigen Dienst. Dies kann den<br />
grundsätzlichen Befund jedoch allenfalls nuancieren.<br />
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Gegenstand Entwicklung modus operandi<br />
Fallbeispiel I:<br />
EU-Sonderbeauftragte<br />
Fallbeispiel II:<br />
Abkommen mit Drittstaaten<br />
Fallbeispiel III:<br />
Sanktionspraxis<br />
Fallbeispiel IV:<br />
'Stabilitätspolitik'<br />
Außenwirkung: pillar synergy<br />
Innenverhältnis: pillar purity<br />
Tendenz <strong>of</strong>fen<br />
Tendenz pillar purity<br />
Tendenz pillar purity<br />
einvernehmliche<br />
Weiterentwicklung<br />
Stagnation statt<br />
Weiterentwicklung<br />
geschäftsmäßige<br />
Zusammenarbeit<br />
spannungsreiche<br />
Zusammenarbeit<br />
Die Gründe für diesen Befund sind in den Beharrungskräften der interessierten Akteure<br />
(Fallbeispiele I und III), in klaren Präferenzen einzelner Mitgliedstaaten und der Kommission<br />
(Fallbeispiel II) oder in der Judikatur des Europäischen Gerichtsh<strong>of</strong>es (Fallbeispiel<br />
IV) zu suchen. Letzterer konsolidiert freilich nur die seit Gründung der Europäischen Politischen<br />
Zusammenarbeit bestehende und mit Maastricht in Vertragsform gegossene<br />
Ordnung. Pillar purity scheint in gewisser Weise den kleinsten gemeinsamen Nenner, eine<br />
für alle Seiten akzeptable Rückfallposition darzustellen.<br />
Bemerkenswerterweise gibt es neben dem im letzten Teil untersuchten Rechtsstreit<br />
keine Anzeichen für einen konfliktiven modus operandi. Reibungen, Meinungsverschiedenheiten<br />
existieren, können aber letzten Endes im Einvernehmen der Akteure<br />
gelöst werden, ohne dass die Spannungen sichtbar zu Tage treten oder den Brüsseler Entscheidungsprozess<br />
lähmen würden. Wohl aber können diese Reibungen die politischen<br />
Abstimmungen erschweren (Fallbeispiele III und IV) und institutionelle Weiterentwicklungen<br />
unterbinden (Fallbeispiel II).<br />
Ausblick<br />
Mit der Annahme des Reformvertrages durch den Europäischen Rat muss die Frage nach<br />
Ableben oder Fortbestehen der Säulenarchitektur der EU neu gestellt werden. 57 Auf den<br />
56<br />
Eine Differenzierung nach Innenverhältnis und Außenwirkung liefert in den Fallbeispielen II-<br />
IV keinen Erkenntnisgewinn.<br />
57 Das interinstitutionelle Spannungsverhältnis hat bei den Verhandlungen zum Verfassungsbzw.<br />
Reformvertrag kaum öffentliche Aufmerksamkeit erfahren. Fragen der Kompetenzverteilung<br />
wurden vielmehr im Verhältnis der EU zu den Mitgliedstaaten ('Beteiligung der nationalen<br />
Parlamente') oder im Verhältnis der Mitgliedstaaten untereinander ('Stimmengewichtung')<br />
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ersten Blick scheint die Antwort leicht: Das Fundament der Säulenstruktur, die Unterscheidung<br />
zwischen der Gemeinschaft und den im Rahmen der zweiten und dritten Säule<br />
handelnden EU-Institutionen, wird niedergerissen. „Die Union tritt an die Stelle der Gemeinschaft,<br />
deren Rechtsnachfolgerin sie ist“ wird es gemäß Reformvertrag im konsolidierten<br />
Vertrag über die Europäische Union heißen. Und mit der Personalunion des Hohen<br />
Beauftragten für die Gemeinsame Außen- und Sicherheitspolitik und des Kommissars<br />
für Außenbeziehung bekommt die Union endlich an höchstrangiger Stelle den Doppelhut,<br />
der interinstitutionelle Kohärenz nach innen und einheitliches Auftreten nach außen<br />
gewährleisten soll. 58<br />
Gleichwohl: Bereits auf den zweiten Blick tauchen Fragen auf. So werden die Bestimmungen<br />
zur Gemeinsamen Außen- und Sicherheitspolitik im EU-Vertrag belassen, während<br />
alle anderen Politikfelder im zukünftigen Vertrag über die Arbeitsweise der Europäischen<br />
Union (ehemals EG-Vertrag) behandelt werden. Allein dies mag als Beleg für die<br />
fortbestehende Sonderstellung der Gemeinsamen Außen- und Sicherheitspolitik dienen.<br />
Ein näherer Blick in den Reformvertrag bestätigt dies. Abstimmungsmodalitäten und Instrumente<br />
der GASP, die der Kommission und dem Europäischen Parlament zugewiesenen<br />
Rollen 59 und nicht zuletzt die (rudimentäre) Zuständigkeit des Europäischen Gerichtsh<strong>of</strong>s<br />
in Fragen der Außenpolitik 60 bleiben auch mit dem Reformvertrag im wesentlithematisiert.<br />
Die besondere Sensibilität der nationalen Öffentlichkeiten für die Frage der<br />
Stimmgewichtung illustriert, dass die Brüsseler Entscheidungsfindung weithin als ein Ringen<br />
um nationale Interessen, als Nullsummenspiel wahrgenommen wird. Dass in der Brüsseler Verhandlungspraxis<br />
eine Kultur des Einvernehmens selbst dort vorherrscht, wo nach qualifizierter<br />
Mehrheit entschieden wird, ist kaum bekannt. Im Bereich der GASP gilt dies verstärkt, da hier<br />
nicht nur in der Praxis eine Konsenstradition vorherrscht, sondern dies auch rechtlich der Regelfall<br />
bleibt. Auch in anderen Bereichen wird die institutionelle Praxis der Bedeutung, die die<br />
öffentliche oder wissenschaftliche Debatte einer Frage beimisst, nicht gerecht. So ist die sogenannte<br />
'konstruktive Enthaltung' gemäß Art. 23, Abs. 1 EUV in der Entscheidungspraxis der<br />
EU bislang bedeutungslos geblieben ist. Auch für den Mechanismus der 'verstärkten Zusammenarbeit'<br />
gibt es bis heute keinen Anwendungsfall. Zu den zwei großen EU-<br />
Integrationsfeldern mit unvollständiger Mitgliedschaft (dem Schengen-Raum und der Euro-<br />
Zone) enthalten die Verträge Sonderregelungen. Die Verträge von Prüm wurden außerhalb der<br />
EU geschlossen.<br />
58 Gleichzeitig wird mit dem Europäischen Präsidenten ein Amt geschaffen, dessen Verhältnis<br />
zum Amt des Kommissionspräsidenten nicht gänzlich reibungsfrei bleiben wird.<br />
59 Dies wird in der in Fußnote 22 der Schlussfolgerungen des Vorsitzes zum Europäischen Rat am<br />
21./22.6.2007 vorgesehenen Erklärung unterstrichen: „Die Konferenz stellt ferner fest, dass die<br />
Bestimmungen zur GASP der Kommission keine neuen Befugnisse zur Einleitung von Beschlüssen<br />
übertragen oder die Rolle des Europäischen Parlaments erweitern.“<br />
60 Vgl. hierzu den neuen Art. 11, Abs. 1, EUV.<br />
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chen unverändert. Damit wird sich auch die der GASP eigene Handlungslogik weiterhin<br />
von der alten 'Gemeinschaftsmethode' unterscheiden, welche nunmehr ohne 'Gemeinschaft'<br />
in der Union fortlebt.<br />
Der Reformvertrag, hierin dem Vertrag von Maastricht ähnlich, unternimmt keine<br />
Versuche der materiellen Abgrenzung der Gemeinsame Außen- und Sicherheitspolitik.<br />
Sie bleibt bis auf weiteres ein großzügig abgestecktes Politikfeld: „Die Zuständigkeit der<br />
Union in der Gemeinsamen Außen und Sicherheitspolitik erstreckt sich auf alle Bereiche<br />
der Außenpolitik sowie auf sämtliche Fragen im Zusammenhang mit der Sicherheit der<br />
Union, einschließlich der schrittweisen Festlegung einer gemeinsamen Verteidigungspolitik,<br />
die zu einer gemeinsamen Verteidigung führen kann“, heißt es im neuformulierten<br />
Art. 11 Abs. 1. Andererseits, und hierin mag man eine gewisse Widersprüchlichkeit erkennen,<br />
wird bereits im neuen Art. 4 Abs. 2 EUV herausgestrichen, dass „[i]nsb. die nationale<br />
Sicherheit [...] weiterhin in die alleinige Zuständigkeit der einzelnen Mitgliedstaaten“<br />
fällt (eigene Hervorhebung).<br />
Diese Unklarheit berührt freilich die klassische Trennlinie zwischen mitgliedstaatlichen<br />
und EU-Kompetenzen, und überhaupt, so scheint es, atmet der Reformvertrag die<br />
Furcht vor weiteren Integrationsschritten. 61 Was den Grenzverlauf zwischen der spezifischen<br />
Materie der Gemeinsamen Außen- und Sicherheitspolitik und allen weiteren Politikfeldern<br />
der EU angeht, so lässt sich gegenüber dem Vertrag von Maastricht eine gewisse<br />
Akzentverschiebung feststellen. Der bisherige Artikel 47, demzufolge der EU-Vertrag<br />
(und mithin die Gemeinsame Außen- und Sicherheitspolitik) den gemeinschafts-<br />
61 So sticht die deutliche und mehrfache Betonung des Prinzips der begrenzten Einzelermächtigung<br />
in den neugefassten Artikeln 4 und 5 EUV (konsolidierte Nummerierung) hervor. Hinsichtlich<br />
der Außenpolitik ist insbesondere der beim Europäischen Rat konsentierte Wortlaut<br />
einer Erklärung der kommenden Regierungskonferenz (vgl. Schlussfolgerungen S. 19, supra Fn.<br />
6) aufschlussreich: „Die Konferenz unterstreicht, dass die Bestimmungen des Vertrages über die<br />
Europäischen Union betreffend die Gemeinsame Außen- und Sicherheitspolitik, einschließlich<br />
der Schaffung des Amt des Hohen Vertreters der Union für die Außen- und Sicherheitspolitik<br />
und der Errichtung eines Auswärtigen Dienste, weder die derzeit bestehenden Zuständigkeiten<br />
der Mitgliedstaaten für die Formulierung und Umsetzung ihrer Außenpolitik noch ihre nationale<br />
Vertretung in Drittländern und internationalen Organisationen berühren. Die Konferenz<br />
weist auch darauf hin, dass die Bestimmungen über die Gemeinsame Außen- und Verteidigungspolitik<br />
den besonderen Charakter der Sicherheits- und Verteidigungspolitik der Mitgliedstaaten<br />
unberührt lassen. Sie hebt hervor, dass die EU und ihre Mitgliedstaaten nach wie vor<br />
durch die Bestimmungen der Charta der Vereinten Nationen und insbesondere durch die übergeordnete<br />
Verantwortung des Sicherheitsrats und seiner Mitglieder für die Wahrung von Frieden<br />
und Sicherheit in der Welt gebunden sind.“<br />
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rechtlichen Besitzstand „unberührt lässt“, hat – nunmehr als Art. 25 – eine interessante<br />
Neuformulierung gefunden, die in Gänze zu zitieren sich lohnt:<br />
„Die Durchführung der Gemeinsamen Außen- und Sicherheitspolitik lässt die Anwendung der<br />
Verfahren und den jeweiligen Umfang der Befugnisse der Organe, die in den Verträgen für die<br />
Ausübung der in den Artikeln 3 bis 6 des Vertrags über die Arbeitsweise der Union aufgeführten<br />
Zuständigkeiten der Union vorgesehen sind, unberührt. Ebenso lässt die Durchführung der Politik<br />
nach den genannten Artikeln die Anwendung der Verfahren und den jeweiligen Umfang der Befugnisse<br />
der Organe, die in den Verträgen für die Ausübung der Zuständigkeiten der Union nach<br />
diesem Kapitel vorgesehen wird, unberührt.“<br />
Mit anderen Worten: Hier wird die materielle und prozedurale Gleichrangigkeit von<br />
GASP auf der einen und anderen EU-Politiken auf der anderen Seite unterstrichen. Damit<br />
wird auch das latente Spannungsverhältnis fortgeschrieben, das seit Einführung der<br />
Europäischen Politischen Zusammenarbeit im Bereich des Außenhandelns der EU existiert.<br />
Und so ist es zumindest sachgerecht, dass im neuen Art. 10a, Abs. 3, EUV weiterhin<br />
an die Notwendigkeit von Kohärenz im auswärtigen Handeln erinnert wird. Wie bislang<br />
obliegt es dem Rat und der Kommission in geteilter Verantwortung, diese Kohärenz sicherzustellen.<br />
Hierbei wird dem Hohen Repräsentanten, der gleichzeitig Mitglied der<br />
Kommission ist, eine Schlüsselrolle zukommen. Die – institutionstheoretisch überaus<br />
spannende – Frage wird sein, ob eine Personalunion an der Spitze schwerer wiegt als eine<br />
historisch gewachsene funktionelle Ausdifferenzierung von Organen, Verfahren und Politiken.<br />
Die in den Fallbeispielen deutlich hervorgetretenen Beharrungskräfte gegenüber<br />
den unterschiedlichen Versuchen, die Säulenstruktur zu überwinden, legen jedenfalls nahe:<br />
Die Schatten von Maastricht werden lang.<br />
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<strong>hrss</strong><br />
hamburg review <strong>of</strong> social sciences<br />
Incoherent securitisation: The EU in the Iraq crisis 1<br />
Bernhard Stahl ∗<br />
1. Introduction<br />
The EU’s ‘great split’ in the Iraq crisis 2002/2003 constituted a serious setback to the<br />
common endeavour to become a recognised security actor. While some member states<br />
promoted or entirely supported the attack on Iraq, others objected to any UN Security<br />
Council Resolution legitimising war. The EU’s evident incoherence raised serious doubts<br />
as to whether the Common Foreign and Security Policy (CFSP) was anything more than<br />
‘sunshine policy’. Presumably, the EU is still suffering from a deficient common security<br />
∗<br />
PD Dr. Bernhard Stahl is currently Pr<strong>of</strong>essor <strong>of</strong> European Integration on behalf <strong>of</strong> the German<br />
Ministry <strong>of</strong> Economic Cooperation in Serbia, Prota Mateja Nenadovic College, Valjevo, Serbia.<br />
1<br />
I am indebted to all colleagues and friends who commented on previous versions <strong>of</strong> the text<br />
which have been presented at the UACES conference in Zagreb (5-7 September 2005) and the<br />
ECPR conference in Turino (12-15 September 2007). In particular, my thanks go to Julia<br />
Daufenbach, Kristin M. Haugevik, Karen E. Smith, Stefanie Vogel, the <strong>hrss</strong> reviewers, and the<br />
editors <strong>of</strong> this journal.<br />
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identity – i.e. a common understanding <strong>of</strong> ‘how the world is’ and ‘what should be done<br />
about it’ – which is held to be a necessary pre-requisite for EU actorness. Yet for many<br />
analysts, the crisis bears the fruit <strong>of</strong> future coherence. Two arguments support this view.<br />
Firstly, the Iraq drama may appear as a one-shot gaffe – “an accident waiting to happen“<br />
(Cameron 2003, 1). The CFSP has always been pushed forward by crises – a “ratchet effect”<br />
as Hill and Wallace (1996, 13) have coined it. The adoption <strong>of</strong> a ‘European Security<br />
Strategy’ (ESS) still in 2003 served as pro<strong>of</strong> for such a ratchet effect. But, in this respect,<br />
the paper calls for prudence. It will be argued here that the inconsistent securitisation <strong>of</strong><br />
the member states over Iraq reveals structural deficits within the CFSP which are not<br />
likely to be healed by the ESS when the next crisis erupts.<br />
The second argument relies on the wide-spread perception that the Europeans have<br />
fallen into two camps which can largely be identified as Atlanticists and Europeanists,<br />
known from the literature on CFSP (Stahl et al 2004). In this view, the Atlanticists were<br />
identical with the subscribers <strong>of</strong> a famous article published in numerous newspapers on<br />
30/1/2003 – “Europe and America must stand united”. The ‘Europeanist camp’ was represented<br />
by France and Germany which formed a coalition with Russia by drafting competing<br />
UN Security Council Declarations and calling for an autonomous ESDP headquarter<br />
in early 2003. Implicitly, the ‘camp thesis’ denotes that there was a considerable degree <strong>of</strong><br />
coherence inside the two camps. With regard to the literature on policy convergence and<br />
Europeanisation, this could be interpreted as a case <strong>of</strong> ‘clustered coherence’ (cf. Börzel<br />
and Risse 2003, 73). Yet this study is challenging the ‘two-camps thesis’ by claiming that<br />
the countries’ behaviour can rather be called idiosyncratic and that concerted action was<br />
merely incidental. In a qualitative assessment <strong>of</strong> eight member states’ foreign policy behaviour<br />
throughout the crisis, I will try to demonstrate that the countries diverged regarding<br />
threat perception, the urgency and need for common action and the attributed role <strong>of</strong><br />
the CFSP. By concentrating on the ‘old’ member states which at the latest acceded the<br />
EC in the 1980s the socialisation hypothesis can be challenged as a side-effect. The term<br />
‘socialisation’ is usually applied to individuals which learn the values, norms and culture<br />
<strong>of</strong> their particular society. In EU-foreign policy, socialisation means that the decisionmakers’<br />
perceptions and interests are transformed by common working habits (Manners<br />
and Whitman 2000, 8). In a wider sense, the socialisation hypothesis implies that<br />
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“prolonged participation in the CFSP feeds back into EU member states and reorients their<br />
foreign policy cultures along similar lines” (Smith 2000, 614).<br />
This study will rather suggest that in times <strong>of</strong> crisis, the member states remained unaffected<br />
by previous promises and rather acted like monads. In this respect, the study will<br />
support Hill’s (1998, 36) notion <strong>of</strong> the “renationalisation <strong>of</strong> foreign policy”.<br />
In order to qualify EU actorness, ‘consistency’ serves as a key term. Vertical inconsistency<br />
applies “when one or more member states pursues national policies which are out <strong>of</strong> kilter<br />
with policies agreed in the EU.” (Nuttall 2005, 98). 2 By contrast, ‘horizontal inconsistency’<br />
refers to EU policies pursued by different EU actors – like the Commission and the Council<br />
– which are not complementary to each other (Nuttall 2005, 97). Finally, ‘institutional<br />
inconsistency’ is characterised by mismatches in the bureaucratic apparatus – the EU’s<br />
politics and polity (ibid.). Considering that ‘consistency’ is the current term in English<br />
whereas ‘coherence’ is mostly used in German and French, I am following Nuttall (2005,<br />
93) in using ‘consistency’ and ‘coherence’ interchangeably here. The basic idea <strong>of</strong> vertical<br />
consistency does not serve analytical purposes only but is explicitly enshrined in EU law:<br />
“The Member States shall support the Union’s external and security policy actively and unreservedly<br />
in a spirit <strong>of</strong> loyalty and mutual solidarity. (...) They shall refrain from any action which is<br />
contrary to the interests <strong>of</strong> the Union or likely to impair its effectiveness as a cohesive force in international<br />
relations.” 3<br />
I assume that vertical consistency is a necessary (but, <strong>of</strong> course, not a sufficient) precondition<br />
for EU actorness. If the Union lacks consistency she is hardly capable <strong>of</strong> projecting<br />
any sensible foreign policy action. A case in point was the Yugoslav imbroglio when the<br />
member states’ inconsistence prevented the EC from intervening effectively in the crisis.<br />
With regard to Iraq, Everts and Keohane (2003, 176) put it well: “the war in Iraq (...)<br />
showed that the EU has zero influence if its member-states do not pull together.”<br />
When dealing with vertical consistency, ‘Brussels actors’ as well as member states<br />
should be included in the analysis. An obvious ‘Brussels actor’ is the Council which repre-<br />
2<br />
Similar definitions provide Duke (1999, 4) and Krenzler and Schneider (1997, 133).<br />
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sents the collective will <strong>of</strong> the member states in the CFSP – usually the foreign ministers<br />
meet in form <strong>of</strong> the ‘General Affairs and External Relations Council’ (GAERC). The<br />
European Commission has also a say in EU-foreign policy, the Commissioner for External<br />
Relations at the time (C. Patten) and the President <strong>of</strong> the Commission (R. Prodi) in particular.<br />
Since the innovations <strong>of</strong> the Amsterdam treaty, the EU-foreign policy is coordinated<br />
by the ‘High Representative for Foreign Affairs’ (J. Solana). Those ‘Brussels actors’<br />
notwithstanding, the member states still have the national foreign policies at their<br />
disposal. Regarding country selection, it seems logical to choose member states which had<br />
an institutional say in the case (Security Council member, EU presidency). Secondly, in<br />
order to enable generalisation, the case study should focus on more than half <strong>of</strong> the then<br />
EU-15, thus including smaller countries. Thirdly, in order to nullify any socialisation bias<br />
all countries selected have been EU-members since the inauguration <strong>of</strong> the CFSP (Treaty<br />
<strong>of</strong> the European Union, 1993). Thus, the member states chosen here are Denmark<br />
(Danmark - DK), France (F), Germany (Deutschland - D), Greece (GR), Italy (I), the<br />
Netherlands (NL), Spain (España - E), and the United Kingdom (UK). Admittedly, the<br />
inclusion <strong>of</strong> some <strong>of</strong> the candidate countries in the study would have been tempting, but<br />
legally, their foreign policy was not part <strong>of</strong> CFSP, at the time, and so hardly could have<br />
been shaped by its institutional effects. 4 The neutral and non-aligned member states are<br />
also ignored here because their status provides them eo ipso with opt-outs in security policy.<br />
What are the reasons for vertical inconsistency? The manifest answer refers to different<br />
national foreign policies which reflect different historical traditions, political cultures<br />
and geo-political structures. Theoretically, these factors can be subsumed under national<br />
identity approaches: Member states follow different foreign policies due to different national<br />
identities (Marcussen et al 1999 Hansen and Waever 2002 Joerißen and Stahl<br />
2003). A centrepiece <strong>of</strong> every national identity is the construction <strong>of</strong> ‘us’ and ‘them’ and<br />
threats touching upon ‘us’ (Campbell 1992). The creation and politicisation <strong>of</strong> such<br />
threats is exactly the central theme <strong>of</strong> securitisation theory (Larsen 2004, 73). Inconsis-<br />
3<br />
Consolidated Treaty on European Union, Title V, Provisions on a Common Foreign and Security<br />
Policy, Article 11 (2).<br />
4<br />
See Mouritzen (2006) for an overall assessment. Kavalski and Zolkos (2007) provide insights in<br />
Poland’s and Bulgaria’s Iraq policy.<br />
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tencies in threat perceptions can be made visible by applying the securitisation approach<br />
which was developed by the Copenhagen School in the 1990s (Buzan, Waever and de<br />
Wilde 1998). Securitisation seems well-equipped to deal with the Iraq crisis since it focuses<br />
on the politicisation <strong>of</strong> threats regardless <strong>of</strong> their materialist foundation. In a nutshell,<br />
the assumption is that the more similar the member states’ threat perceptions, the<br />
more complementary their respective securitisation strategies would be and the more consistent<br />
the EU’s foreign policy would become. By analysing who, when, and how European<br />
governments politicised Iraq, I will try to show that the reaction to the crisis was largely<br />
internally driven and thus the CFSP has a structural deficit since threat perception and<br />
the attributed role <strong>of</strong> the EU remain country-specific.<br />
The rich and extensive literature on the Iraq crisis can be grouped into three strands.<br />
First, some contributions deal with the crisis as such mainly stressing transatlantic relations<br />
(e.g. Gordon and Shapiro 2004; Petersen and Pollack 2003; Shawcross 2004). A<br />
second group focuses on single-country explanations (e.g. Heywood 2003; Kampfner<br />
2004; Dalgaard-Nielsen 2003; Aliboni 2003; Gaffney 2004; Styan 2004; Szabo 2004). Finally,<br />
an increasing number <strong>of</strong> articles link the Iraq crisis to theoretical questions (e.g.<br />
Chan and Safran 2006; Dyson 2006, Mazarr 2007; Puetter and Wiener 2007; Shannon<br />
and Keller 2007). To date, only a few contributions aim at explaining the overall phenomenon,<br />
the ‘European split’ (Mouritzen 2006; Schuster and Maier 2006) and the same<br />
applies to comparative assessments (Kritzinger 2003; Menon and Lipkin 2003; Stahl<br />
2005a; Stuchlik 2005; Wood 2003). A comparative securitisation approach could provide<br />
some added-value by exploring when and how the member states securitised ‘Iraq’ in the<br />
run-up to the war.<br />
After having introduced securitisation theory, some extracted indicators (securitisation<br />
timing, threat perception, emergency action taken) will shape the subsequent empirical<br />
analysis. In the concluding remarks, possible explanations will be discussed and some<br />
implications regarding coherence and future EU actorness will be presented.<br />
2. On Securitisation<br />
The securitisation approach developed by Buzan, Waever and de Wilde (1998) has<br />
changed the traditional understanding <strong>of</strong> ‘security’ in two respects. First, it has broadened<br />
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the security agenda by including threats eminating from non-military sectors (e.g. environment,<br />
culture, economy). Second, it refrains from taking the meaning <strong>of</strong> ‘security’ as<br />
given. Rather, it treats ‘security’ as a contested concept putting it in a social-constructivist<br />
context.<br />
“(..) security is about survival. It is when an issue is presented as posing an existential threat to<br />
a designated referent object (..). The special nature <strong>of</strong> security threats justifies the use <strong>of</strong> extraordinary<br />
measures to handle them.” (Buzan, Waever and de Wilde 1998, 21).<br />
With the help <strong>of</strong> a securitising move something is presented as an existential threat to<br />
a “referent object” (Buzan et al 1998, 25). Typical referent objects are the society, the state,<br />
or the nation (p. 36). In this study – for analytical purposes – I take the referent object as<br />
given assuming that the governments are usually trying to securitise a threat to the country’s<br />
population.<br />
What remains central is the notion <strong>of</strong> ‘threat’. But different to the neorealist understanding<br />
<strong>of</strong> ‘threat’ as something quasi material and objective (Walt 1987, 23ff.), threats<br />
are defined by governments, politicians or members <strong>of</strong> the élite: “(T)he senses <strong>of</strong> threat,<br />
vulnerability, and (in)security are socially constructed rather than objecitively present or absent.”<br />
(Buzan et al 1998, 57). The US-driven insistence <strong>of</strong> Iraq as a security concern, in the aftermath<br />
<strong>of</strong> 9/11, may serve as a prime example for the usefulness and applicability <strong>of</strong> the<br />
(social-constructivist) securitisation approach. The more so, as all material foundations <strong>of</strong><br />
the attack (WMD, link to Al-Qaida) have dissolved.<br />
Securitisation can be understood “as a more extreme version <strong>of</strong> politicisation“ (p. 23).<br />
Some societal actors or groups <strong>of</strong> actors (“enunciators”/”securitisers”) are raising their<br />
voices to make a specific issue a pre-eminent topic in the public debate – they are ‘securitising’<br />
an issue. In this analysis – for convenience – I concentrate on the theory’s performative<br />
aspect. The enunciators are the member states’ governments and those politicians<br />
in the EU-foreign policy system in charge <strong>of</strong> the CFSP (Solana, Patten, Prodi). The<br />
CFSP is – in theoretical terms –<br />
“[a] security complex, a set <strong>of</strong> states whose major security perceptions and concerns are so<br />
interlinked that their national security problems cannot reasonably be analyzed or resolved apart<br />
from one another” (Buzan et al 1998, 12).<br />
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As Sheehan (2005, 55) adds, “securitizing is never an innocent act.” Politicians may have<br />
arbitrary motives when they are attempting to define a threat and make it a political toppriority.<br />
Yet, as Wæver (2002, 27) has claimed for any kind <strong>of</strong> discourse analysis: The<br />
politicians’ “thoughts or motives (..), their hidden intuitions or secret plans“ shall be ignored.<br />
However, the political authority or societal position grants those “managers <strong>of</strong> Angst”<br />
(Huysmans 1998, 243) a first mover advantage in the securitisation process. But this advantage<br />
alone does not guarantee the desired outcome. In his endeavour to comprehend<br />
‘securitisation’ as a strategic practice, Balzacq (2005, 184) notes that<br />
“the success <strong>of</strong> the securitisation is highly contingent upon the securitizing actor’s ability to identify<br />
with the audience’s feelings, needs and interests”.<br />
At this point, the securitisation approach meets identity theory, which would claim<br />
that a securitising move is likely to be successful if its contents resonate well with the respective<br />
national identity (Risse 2003, 115). So the success <strong>of</strong> the politicisation efforts depends<br />
on the public’s acceptance (Buzan et al 1998, 31). Acceptance makes the difference<br />
between the effort (“the securitisation move”) and the success (“securitisation”).<br />
Figure: The process <strong>of</strong> securitisation<br />
Sec. Actor:<br />
Threat perception,<br />
urgency<br />
Sec. Move:<br />
Politicisation<br />
Sec. Act:<br />
Emergency<br />
measures<br />
Successful sec.:<br />
Acceptance<br />
Yet, little help is provided by securitisation theory when it comes down to practical methodological<br />
questions i.e. which audience is the most relevant, and when an audience is<br />
really persuaded (Stritzel 2007, 363). In sum, a (sucessful) securitisation consists <strong>of</strong> three<br />
components (Buzan et al 1998, 26): existential threats, emergency action, and effects on<br />
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inter-unit relations by breaking free <strong>of</strong> rules. ‘Breaking free <strong>of</strong> rules’ could mean in the<br />
Iraq case to break the norm <strong>of</strong> sovereignty without the United Nation’s consent.<br />
One more definition seems useful when assessing the member states’ foreign policy behaviour.<br />
An analytical term is needed for governments/politicians who are refraining from<br />
securitising: “Desecuritisation – by contrast – means the attempt to remove an issue from the<br />
realm <strong>of</strong> the politics <strong>of</strong> existential survival” (Sheehan 2005, 54). ‘To remove an issue’ does<br />
not necessarily mean to remain silent which could be termed “asecurity” (Diez and Joenniemi<br />
1999, 5). Rather, desecuritisation applies to strategies which down-play an issue, or<br />
re-frames it in a different context.<br />
Remarkably, little is said in Buzan et al (1998) about comparative securitisation. When<br />
comparing securitisations, it seems plausible to start with the urgency <strong>of</strong> a threat. As<br />
Buzan et al (1998, 30) assume, different actors hold “different thresholds for defining a<br />
threat”. How could such ‘thresholds’ be operationalised methodologically? Firstly, a<br />
threshold can be interpreted in a dynamic way meaning differences in the perception <strong>of</strong><br />
urgency. 5 An indicator for differences concerning urgency is the timing <strong>of</strong> securitisation<br />
moves. This simply reveals which actor reckons a threat as being very urgent and which<br />
actor prefers to remain in an ‘asecurity’ stage. An ‘early bird enunciator’ not only sets the<br />
stage but also pre-directs the debate by naming and framing the issue. In the Iraq case,<br />
this role was deliberately taken by the Bush-Administration which increasingly ‘talked<br />
Iraq’ in 2002. The EU felt compelled to react and to enter the debate, though inconsistently<br />
– as we will see.<br />
A second element <strong>of</strong> a “threshold in defining a threat” refers to the threat itself – its contents<br />
and meaning. Recalling the identity perspective from above, the analytical question<br />
goes: What and who is threatening ‘us’? Different threat perceptions – the plausibility argument<br />
runs here – would lead to inconsistencies regarding common emergency measures.<br />
‘Emergency actions’ are a key element <strong>of</strong> securitisation theory which easily translates<br />
into the comparative approach employed here: In how far did the member states contribute<br />
to the attack on Iraq and the occupation forces? By contrasting the way governments<br />
speak about Iraq (‘securitisation moves’) with what they do about Iraq (‘securitisation<br />
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acts’) possible inconsistencies <strong>of</strong> the respective securitisations can be detected. In other<br />
words, to what degree are the respective timings, threat perceptions and emergency actions<br />
inter-related?<br />
So the following analysis will be divided in the three parts ‘timing’, ‘threat perception’<br />
and ‘emergency actions taken’. It will be descriptive-analytical in either a chronological or<br />
country-specific manner. I mainly stick to primary sources (government statements,<br />
speeches, newspaper articles) which are complemented by secondary literature for the<br />
purpose <strong>of</strong> substantiating judgements.<br />
3. The EU’s securitisation in the Iraq crisis (2002-2003)<br />
The European policies in the crisis can reasonably be assessed only when taking the<br />
historical context into account. In 2002, the Bush government increasingly focused on<br />
Iraq as its primary security concern (Gordon and Shapiro 2004, 66ff.). The administration<br />
provided three reasons for this: Firstly, the Iraqi regime was supposed to possess and<br />
further develop WMD. By so doing, Iraq had violated several United Nations Security<br />
Council (UNSC) Resolutions and thus international law. Secondly, there were - allegedly<br />
- links to the Al-Qaida network which would mean a serious proliferation risk. Thirdly,<br />
the autocratic character <strong>of</strong> Saddam’s regime would contribute to destabilising the Middle<br />
East and would inhibit any Western efforts to solve the Israeli-Palestinian conflict. In the<br />
following months, the US-administration attempted to convince its allies <strong>of</strong> the urgency<br />
<strong>of</strong> the threat and called for regime change, being the only adequate response. The quest<br />
for legitimacy for such a regime change by military means mainly took place in the UNSC<br />
between October 2002 and March 2003. In the discussions, the most critical point<br />
referred to the interpretation <strong>of</strong> the UN inspectors’ work and the degree <strong>of</strong> Saddam’s<br />
cooperation. In November 2002, the UNSC unanimously called for immediate Iraqi<br />
cooperation with the UN weapon inspectors, yet not specifying the consequences for<br />
Iraq’s possible non-compliance. In January 2003, the divergent views on how to proceed<br />
5<br />
Van Ham (2004, 216), for instance, has pointed out that although European leaders agreed on<br />
the nature <strong>of</strong> the Iraqi regime they disagreed on the “urgency” and strategy for action.<br />
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with Iraq became obvious: Whereas the US and some European allies like the UK and<br />
Spain considered Iraq’s compliance to the UN’s demand as inadequate and further<br />
inspections to be pointless, France, Germany and Russia insisted on an extension <strong>of</strong> the<br />
weapons inspectors’ mission. After vain efforts to gain a majority in the UNSC and<br />
France’s and Russia’s veto threat, the US decided to remove the Iraqi regime by force,<br />
renouncing a clear-cut UNSC mandate. After having crushed the Iraqi defence in a few<br />
weeks, the US and their allies occupied the country in order to stabilise it and to support<br />
its transition to democracy. Until today, the intervention remains disputed – the more so<br />
since the first two reasons given by the US administration were proven wrong. Moreover,<br />
with regard to the third reason given, most analysts conclude that the overall situation in<br />
the Middle East and in Iraq in particular has deteriorated. In the following, the focus will<br />
be on the European reactions to the US endeavour to securitise ‘Iraq’ between January<br />
2002 and March 2003.<br />
a. The immediate threat – when to move?<br />
After the successful intervention in Afghanistan, Iraq increasingly became the primary<br />
target <strong>of</strong> Washington's think tanks. In Bush's State <strong>of</strong> the Union Address in January 2002,<br />
he named Iraq as part <strong>of</strong> the „axis <strong>of</strong> evil“. The reaction to this speech was rather negative;<br />
it “caused a storm <strong>of</strong> protest and ridicule.” (Shawcross 2004, 66). The former German Minister<br />
<strong>of</strong> Foreign Affairs, Joschka Fischer (22 February 2002), stated in his speech to the<br />
Bundestag as early as in February 2002 that he doubted any connection between Al-<br />
Qaida and Baghdad. By contrast, the British Prime Minister Blair agreed in principle to an<br />
intervention after having met the US President in Crawford, Texas in April 2002<br />
(Kampfner 2004, 168): “The threat is real.” 6 Yet Blair publicly insisted all through the year<br />
that „war was not inevitable“, and attempted to gain more domestic support as well as to<br />
secure legitimacy for military action. When the EU-leaders gathered in Barcelona in<br />
March, the Commission’s head Prodi challenged Blair over Iraq – the latter still being isolated<br />
on the issue (Independent, 17 March 2002). In general though, Iraq remained a taboo<br />
in Barcelona: The Spanish Prime Minister Aznar – Spain held the EU-Presidency at<br />
6<br />
See “President Bush, Prime Minister Blair Hold Press Conference” the White House (6/4/2002),<br />
http://www.whitehouse.gov/news/releases/2002/04/20020406-3.html [15/8/2007].<br />
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the time – prevented any attempt to place the topic on the agenda (CNN.com, 16 March<br />
2002). The Spanish government stuck to their policy <strong>of</strong> ‘asecurity’ during its entire presidency<br />
term. The issue was neither mentioned in the EU-declarations in the UN nor in<br />
Aznar’s speech to the Arab League on 27 March 2002. 7 The only exception was the<br />
CFSP-declaration <strong>of</strong> 20 May 2002 when Baghdad was encouraged to let the UNinspectors<br />
return. But the text’s central element was the relaxation <strong>of</strong> export restrictions<br />
for civilian goods due to humanitarian considerations. In the coming months, the EU<br />
commented on nearly every world trouble spot – Kosovo, Bosnia, Sudan, Zimbabwe,<br />
Myanmar etc. – except one: Iraq. Neither the Spanish nor the Danish successor presidency<br />
launched any security move and no EU statement reveals anything about threat<br />
perceptions. 8 For instance, the presidency conclusions <strong>of</strong> the Copenhagen summit on 12-<br />
13 December 2002 only entailed a brief “declaration on Iraq” in the annex IV which underlined<br />
the central role <strong>of</strong> the UN Security Council (UNSC) including the inspection operations<br />
and a succinct call for Iraq’s compliance. It was only after the release <strong>of</strong> the ‘Letter<br />
<strong>of</strong> the Eight’ that the foreign ministers convened for an informal meeting on Iraq on 17<br />
February 2003.<br />
Bush's West Point speech in June and New York Times and Washington Post reports in<br />
July 2002 on the military build-up against Iraq both indicated that Iraq was at the core <strong>of</strong><br />
the US fight against terrorism. In July, the Blair government persuaded the Bush administration<br />
to go to the UN in order to secure legitimacy (Kampfner 2004, 191). By autumn,<br />
it was clear that Bush had sided with the 'hawks' in his administration and strived for a<br />
regime change in Iraq (Petersen and Pollack 2003, 135). On 5 August, the German<br />
Chancellor Schröder on the occasion <strong>of</strong> the <strong>Social</strong> Democrats’ national election campaign<br />
warned the US „not to play around with war or military action“ (Economist, 10 August<br />
2002). Much earlier, governmental statements on a possible inclusion <strong>of</strong> Iraq in the antiterror<br />
war had been negative (Harnisch 2004a, 177). Triggered by a tense domestic elec-<br />
7<br />
See the EU@UN website: www.europe-eu-un.org/articles/en/article_1258_en.htm.<br />
8<br />
See the Joint position on Iraq adopted by the 15 (17/2/2003), the 13 th Joint Council and Ministerial<br />
Meeting (EU-GCC, 3/3/2003), the Demarche by the Greek Presidency to the Iraqi government<br />
on behalf <strong>of</strong> the EU (4/2/2003), and the GAERC-Sessions on External Relations (27-<br />
28/1/2003 and 19/11/2002).<br />
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tion campaign (‘Lagerwahlkampf’), the German government opted for a ‘loud’ desecuritisation<br />
strategy which isolated the country in the EU until the French turn in January 2003.<br />
Despite the British and German positioning, most EU countries still avoided clear statements<br />
on the Iraq issue. The Danish EU Presidency tended to dissipate any split and formulated<br />
a prudent declaration on the problems in the Middle East in the run-up <strong>of</strong> the<br />
Gymnich meeting in Helsingør (Financial Times Deutschland (FTD), 29 August 2002).<br />
On this occasion, the Danish Minister <strong>of</strong> Foreign Affairs, Stig Møller, called the discussion<br />
<strong>of</strong> military action still „hypothetical“ (FTD, 2 September 2002). By so doing, he followed<br />
Prime Minister Rasmussen’s line <strong>of</strong> argumentation who had previously insisted on<br />
the inspectors’ free access to Iraq (Iraq Watch Bulletin, 25 March 2002). In Helsing r,<br />
French foreign minister De Villepin and his Spanish colleague Ana Palacio added that the<br />
Security Council should keep all options on the table. Italy’s Prime Minister and acting<br />
Minister <strong>of</strong> Foreign Affairs, Berlusconi, avoided any clear commitment at the informal<br />
meeting, but in Washington two weeks later he agreed to an UN-approved military invasion<br />
should Iraq not comply (AFP, 15 September). In his speech in Parliament in Rome<br />
(25 September 2002), he made it very clear that in times <strong>of</strong> crisis, Italy had always sided<br />
with the US. In spite <strong>of</strong> this obvious positioning, the Italian government carried on with<br />
its low-pr<strong>of</strong>ile stance on Iraq (Dassú 2002, 5).<br />
Bush's speech before the UN General Assembly on 12 September hardly changed the<br />
other member states' reluctance to take a stance. The Netherlands and Denmark in particular<br />
avoided any early positioning and stuck to their desecuritisation approach. The<br />
first Balkenende government had supported the US but fell in October 2002. In fact, the<br />
welcomed UNSC Resolution in November created some breathing space. The country<br />
was mainly absorbed by domestic problems still suffering from the rise and (tragic) fall <strong>of</strong><br />
the right-wing populist, Pim Fortuyn. With an acting government for most <strong>of</strong> the time<br />
under study, the Dutch government was pre-occupied with coalition talks with the waraverse<br />
Labour party (PvdA). Since the negotiating parties could not agree on a consistent<br />
Iraq policy, the Balkenende government refrained from taking a prominent stance on the<br />
issue. Prime Minister Balkenende opted for a low-key position concerning Iraq and even<br />
turned down the Anglo-Spanish <strong>of</strong>fer to sign the ‘Letter <strong>of</strong> the Eight’ (Gordon and<br />
Shapiro 2004, 129). This ‘asecurity policy’ was not contested – 'Iraq' was a rather marginal<br />
issue in the election campaign in January 2003 (Van Holsteyn and Irwin 2004).<br />
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Due to its responsibility as EU President, Greece was also hesitant about any early and explicit<br />
positioning on the Iraq issue. Notably, Greece was partly in charge <strong>of</strong> the EU Presidency<br />
in the second half <strong>of</strong> 2002 – due to the Danish opt-out in security and defence issues,<br />
it chaired the respective Council meetings in 2002. Early statements by the Minister<br />
<strong>of</strong> Defence Papantoniou and Premier Simitis nevertheless suggested that the government<br />
vehemently opposed any invasion <strong>of</strong> Iraq (AthensNews (AN), 27 September 2002). Any<br />
urges to make this more explicit were countered by the Minister <strong>of</strong> Foreign Affairs, Papandreou,<br />
claiming that there was no reason „why Greece should rush to take a stance“ (cf.<br />
AN, 4 October 2002).<br />
France's resistance against US plans became ultimately clear on 20 January when the<br />
Minister <strong>of</strong> Foreign Affairs explicitly attacked the US policy in a press conference following<br />
a UNSC meeting (Gordon and Shapiro 2004, 121-125). This event marked the<br />
French turn from asecurity to active desecuritisation. On the occasion <strong>of</strong> the 40 th anniversary<br />
<strong>of</strong> the Elysee friendship treaty on 22 January, President Chirac and Chancellor<br />
Schröder stated that they have the “same judgement on the crisis”. In a joint declaration<br />
with Russia (10/2/2003) the two countries objected again to going to war and pleaded for<br />
more weapons inspections instead. By the end <strong>of</strong> January, France has joined Germany’s<br />
‘loud’ desecuritisation approach. Spain had shared France’s desecuritisation diplomacy all<br />
through the year 2002 but opted for the opposite strategy <strong>of</strong> pronounced securitisation in<br />
early 2003. As a member <strong>of</strong> the UNSC at the time, Aznar and Ana Palacio stood side by<br />
side with its Anglo-Saxon partners as became highly visible with the ‘Letter <strong>of</strong> the Eight’<br />
and the media event on the Azores with Blair and Bush just before the war began.<br />
b. The immediate threat - what to securitise?<br />
As mentioned above, the British government had been a staunch promoter <strong>of</strong> military action<br />
against Iraq right from the start. On 23 September, the government published a dossier<br />
on “Iraq’s Weapons on Mass Destruction” which was presented by Blair in the House <strong>of</strong><br />
Commons the next day. In his speech in parliament, Blair insisted that Saddam would<br />
mean a real threat to Britain which demands action:<br />
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“Why now? People ask. I agree I cannot say that this month or next, even this year or next, that he<br />
will use his weapons. But I can say that if the international community having made the call for his<br />
disarmament, now, at this moment, at the point <strong>of</strong> decision, shrugs its shoulders and walks away,<br />
he will draw the conclusion dictators faced with a weakening will, always draw. That the<br />
international community will talk but not act; will use diplomacy but not force; and we know,<br />
again from our history, that diplomacy, not backed by the threat <strong>of</strong> force, has never worked with<br />
dictators and never will work. If we take this course, he will carry on, his efforts will intensify, his<br />
confidence will grow and at some point, in a future not too distant, the threat will turn into reality.<br />
The threat therefore is not imagined. The history <strong>of</strong> Saddam and WMD is not American or British<br />
propaganda. The history and the present threat are real.” 9<br />
In December, the government issued a second report focussing on the “Crimes and Human<br />
Rights Abuses” <strong>of</strong> Saddams regime. Blair explained to the members <strong>of</strong> the House <strong>of</strong> Commons<br />
in January 2003 his unequivocal support for the Bush Administration. A complementing<br />
dossier on “Iraq: Its infrastructure <strong>of</strong> concealment, deception and intimidation” which<br />
was published on 31 January became a PR-disaster (‘the dodgy dossier’) since some unreferenced<br />
and out-dated information had been included. The promulgated dossiers demonstrated<br />
Blair’s belief in the threat emanating from Iraqi’s WMD which demanded – in<br />
his view – immediate emergency action. Remarkably, Blair argued that even if the US had<br />
taken a less tough stance, it would have been him who had urged to act (Daily Telegraph,<br />
14 January 2003). 10 When Aznar came up with the idea <strong>of</strong> an open letter claiming that<br />
„Europe and America must stand united“(30/1/2003) it was Blair who edited it (Die ZEIT, 6<br />
February 2003, 3). Moreover, Blair objected to informing Solana and the Greek presidency<br />
about the open letter in advance (Kampfner 2004, 253). As Hughes (2003, 2) has<br />
noted, it was not the letter’s contents which was the problem but the evident lack <strong>of</strong> trust:<br />
Two days before, all ministers had agreed on a Council statement on Iraq but had refrained<br />
from informing each other <strong>of</strong> the letter. The intra-EU relations became increasingly<br />
frosty: When France objected to any new resolution, British government members<br />
openly denounced the French representatives for creating a ‘new Yalta’ and fostering anti-<br />
Americanism (Guardian, 14 March 2003). In spite <strong>of</strong> France’s veto threat, the UK, Spain,<br />
and the US continued to lobby in favour <strong>of</strong> a second UNSC resolution in order to achieve<br />
9<br />
“Prime Minister's Iraq statement to Parliament” (24/9/2002), http://www.number-<br />
10.gov.uk/output/Page1727.asp<br />
10<br />
Yet as Hill (2005, 396) notes, this claim is not consistent with Blair's argumentation before 2002<br />
when he had objected to any war on Iraq.<br />
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nine votes – the necessary quorum for a resolution. Eventually, the British Foreign Office<br />
conceded that this 'moral majority' was beyond reach.<br />
In September, Aznar informed Bush that he could rely on Spain’s support, in the event<br />
<strong>of</strong> a military attack on Iraq (El Mundo, 11 September 2002). Moreover, he stated that the<br />
UN should not become an obstacle to a necessary military intervention – so Spain’s<br />
closeness to the US position was obvious (Le Monde, 14 September 2002). The Aznar<br />
government launched the 'Letter <strong>of</strong> the Eight' initiative on 30 January 2003 as well as codrafted<br />
the vain second UNSC Resolution on 24 February. In addition to the British<br />
argumentation, the historic role <strong>of</strong> the US, helping out the Europeans in times <strong>of</strong> crisis,<br />
was stressed, and Aznar pointed out that, given the alternative Bush v. Saddam, the<br />
choice should be an easy one (El Mundo, 13 September 2002). Furthermore, when the<br />
difficulties in the UNSC became obvious, Aznar made it crystal clear that the war neither<br />
meant a legal nor a moral problem since Saddam's regime resembled Hitler's, Stalin's, Pol-<br />
Pot's, and Milosevic's (El Mundo, 15 March 2003).<br />
Spain’s and Italy’s approach in the crisis were overall similar. Berlusconi’s early support<br />
for the Bush administration – though – meant a pr<strong>of</strong>ound policy change. In February<br />
2002, the Iraqi Minister <strong>of</strong> Culture had been highly welcomed in Rome (Croci 2002, 93),<br />
and the Under-Secretary <strong>of</strong> Foreign Affairs, Senator Mantica, had stated in August still<br />
that<br />
“(..) there is no doubt that the allies, which includes Italy, take a different approach to the<br />
Americans’ (..). And all the allies have made it clear to the Americans that they are worried about<br />
the prospects <strong>of</strong> a war with Iraq.” 11<br />
By contrast, Berlusconi (25 September 2002) - in his speech to the Parliament in Rome -<br />
emphasised the “dictatorial political regime” in Baghdad which “is a regional and global<br />
threat” and so has to be disarmed with all means – as “the lessons <strong>of</strong> history” would remind<br />
us <strong>of</strong>. Thus, Italy also signed the pro-US letter, and Minister <strong>of</strong> Foreign Affairs Frattini<br />
confirmed Italy's support <strong>of</strong> a possible US intervention (cf. Aliboni 2003, 86). He later<br />
11<br />
“Dictatorial Regimes Collapse Unaided”, Interview by Andrea di Robilant (La Stampa) with Senator<br />
Alfredo Mantica, Under-Secretary for Foreign Affairs with responsibility for the Middle East,<br />
Source: Italian Foreign Ministry, August 9, 2002,<br />
http://www.iraqwatch.org/government/Italy/italy-mfa-080902.htm [11/11/2004].<br />
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admitted that Italy's participation was partly due to the outspoken Franco-German positioning<br />
in January (FAZ, 28 April 2003).<br />
Denmark, as noted above, followed a desecuritisation approach in its moderator role as<br />
EU President in the second half <strong>of</strong> 2002. But when Anders Fogh Rasmussen, on behalf <strong>of</strong><br />
the EU, stated that the UN-Resolutions to date sufficed to legitimise a military intervention,<br />
this statement was met with bewilderment by most colleagues (Le Monde, 14 September<br />
2002). Yet the pro-US positioning could easily be perceived when examining the<br />
government’s – and particularly Rasmussen’s statements. As Rasmussen’s opening address<br />
to the Folketing revealed, he entirely supported the US-argumentation:<br />
“Europe and the USA must join forces in the endeavour to prevent tyrannical and rogue regimes<br />
from gaining command <strong>of</strong> weapons <strong>of</strong> mass destruction. (..) Iraq is ruled by such a regime. For<br />
years, Saddam Hussein has turned a deaf ear to the binding resolutions from the UN to dispose <strong>of</strong><br />
these terrible weapons. The endeavours <strong>of</strong> the international community to enforce these resolutions<br />
through the Security Council have the full support <strong>of</strong> Denmark and the EU. After more than ten<br />
years' efforts vis-à-vis Iraq, the UN ought to live up to its obligations and put an end to the proliferation<br />
<strong>of</strong> weapons <strong>of</strong> mass destruction. It will be too late once the poison gas has spread over one <strong>of</strong><br />
our large cities.” 12<br />
Despite the threat’s alleged urgency, the government desecuritised Iraq in the following<br />
months by pointing to the UN’s responsibility and avoiding any serious securitisation<br />
moves. 13 For instance, Rasmussen did not even mention ‘Iraq’ in his address to the Nation<br />
on New Years Eve – in the face <strong>of</strong> Denmark’s first declaration <strong>of</strong> war since 140 years this<br />
represents a remarkable default. In the weeks before the war begun, the government’s<br />
main line <strong>of</strong> argumentation increasingly focused on Iraq’s non-compliance behaviour<br />
which had violated international law.<br />
The US threat perception was also shared in principle in The Hague: “the very real<br />
threat posed by the possession by Iraq <strong>of</strong> WMD and its lack <strong>of</strong> active co-operation with the<br />
12<br />
Prime Minister Anders Fogh Rasmussen's Address at the Opening <strong>of</strong> the Folketing Session on<br />
Tuesday 1 October 2002,<br />
http://www.stm.dk/Index/dokumenter.asp?o=6&n=0&h=6&t=14&d=1185&s=2,<br />
[20/1/2008].<br />
13<br />
Neither in his account <strong>of</strong> the Copenhagen European Council delivered to the European<br />
Parliament (18 December 2002), nor in his speech at the at the NATO Summit in Prague<br />
(November 21-22 2002), nor in his 'Danish EU Policy after the Presidency' Speech at ‘The<br />
Institute for International Studies’ (15/1/2003), Rasmussen found ‘Iraq’ worth mentioning. See<br />
http://www.stm.dk/Index/dokumenter.asp?o=6&n=0&h=6&t=14&d [20/1/2008].<br />
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weapons inspectors” (Letter to the Greek Presidency, 14 February 2003). On 2 February,<br />
the Dutch government declared that it appreciated military pressure in order to demonstrate<br />
the UN's willingness to act. Moreover, a second resolution was held to be desirable<br />
– but not necessary. If Iraq did not fully comply with the UNSC Resolutions – thus the<br />
government wrote in its letter to the Dutch Second Chamber and to the Greek Presidency<br />
– any extension <strong>of</strong> inspections would be pointless (Government.nl, 12 February<br />
2003). On the EU's infamous 'war summit' on 17 February, The Hague ended its asecurity<br />
period and finally sided with the Atlanticist camp – Portugal, the UK, Denmark, Italy,<br />
and Spain (Economist, 22 February 2003).<br />
As early as August 2002, Chancellor Schröder had reacted to Cheney's speech in<br />
Nashville and cautioned the US because <strong>of</strong> its policy turn from Iraq's disarmament to regime<br />
change. Regardless <strong>of</strong> any UNSC Resolution, Germany would refrain from participating<br />
in military actions against Iraq (‘double No’). Schröder reckoned that Germany as<br />
a „self-confident country“ should no longer persue „easy ways“ in foreign policy. In addition,<br />
its military capabilities were already over-stretched. 14 At the informal EU-meeting in<br />
Helsingør, Foreign Minister Fischer warned the US not to go it alone and argued that the<br />
region would be further destabilised in the event <strong>of</strong> war – an argument which was also<br />
used by the Greek government (AN, 27 September 2002). Furthermore, Fischer did not<br />
share the US-Administration’s threat analysis and „was not convinced“ (cf. Szabo 2004,<br />
40). As a member <strong>of</strong> the UNSC at that time, Germany had to experience that this early<br />
and extreme positioning left very little space for manoeuvre. It even subscribed to the ultimate<br />
use <strong>of</strong> force in the EU's common position on 17 February. But in fact, as Harnisch<br />
(2004a, 185) notes, Germany never declared its 'No' to a UNSC Resolution legitimising<br />
military means and had probably considered an abstention in case <strong>of</strong> such a decision.<br />
Whereas Germany made up its mind rather early in 2002, France remained noncommittal.<br />
Neither Chirac at the Franco-German summit in Hannover in September nor<br />
de Villepin evinced a determined position (NZZ, 8 September 2002 Economist, 10 August<br />
2002). France finally gave in when the US re-drafted SCR 1441. After having insisted<br />
that the text should not legitimise any violence, Paris is said to have convinced<br />
14 See Schröder’s speech in Hannover on 5/8/2002, www.spd-bebelh<strong>of</strong>.de/div/such.htm<br />
[24/6/2005] and his Interview in the ARD-Report from Berlin on 9/8/2002,<br />
www.bundesregierung.de/interview-428321/Interview-mit-Bundeskanzler-Sc.htm [16/4/2005].<br />
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Syria not to vote against it and this way helped to achieve a unanimous decision (Handelsblatt,<br />
8/9 November 2002). Chirac even assured Bush that France would participate<br />
in military action if Iraq did not comply (FAZ, 19 March 2003). In December, a French<br />
liaison <strong>of</strong>ficer talked with US Commander Tommy Franks about the possibility <strong>of</strong> including<br />
15,000 troops in the Allied forces (Gordon and Shapiro 2004, 142). Furthermore,<br />
Chirac told the French military to be aware <strong>of</strong> all situations. This was widely interpreted<br />
as a sign that France had not yet made up his mind (FTD, 8 January 2003). But after an<br />
UNSC meeting on 20 January, de Villepin announced that France would oppose any<br />
Resolution leading to war (cf. Petersen 2004, 15). Yet completely taken by surprise by the<br />
Letter <strong>of</strong> the Eight, the French President lost his contenance when the 'Vilnius 10' sided<br />
with the Eight one week later: „They should have better remained silent“, he moaned and<br />
warned the „badly brought-ups“ that their behaviour might diminish their chances for EU<br />
accession (Nouvel Observateur, 19 February 2003). Together with Germany and Russia,<br />
France presented some proposals for overcoming the deadlock in the UNSC in February<br />
and March. On 7 March, France could somewhat reap the harvest <strong>of</strong> its anti-war stance.<br />
In a UNSC debate, de Villepin succeeded in rhetorically out-performing his US counterpart<br />
and yielded an unprecedented applause from the audience. When the UK, Spain and<br />
the US attempted to gain a majority in the UNSC in favour <strong>of</strong> a second resolution, France<br />
actively lobbied against it. The assertive desecuritisation finally peaked out when Chirac<br />
publicly announced France's veto against any resolution legitimising war (Le Monde, 11<br />
March 2003). Not only would a war destabilize the entire Middle East it would also<br />
weaken the West’s fight against terrorism, Chirac warned. In addition, the role <strong>of</strong> the UN,<br />
international law and the inspectors’ successful work were also part <strong>of</strong> his argumentation.<br />
15<br />
The Greek position is not easy to discern as Greece had acted on behalf <strong>of</strong> the EU<br />
since 1 January 2003 and partly already since 1 July 2002. However, Papandreou made it<br />
crystal clear that Greece would not support any unilateral action against Iraq, leaving the<br />
question whether it would comply after a respective SC decision unanswered (AN, 4 Oc-<br />
15<br />
Interview télévisée de M. Jacques Chirac, Président de la République par M. Patrick Poivre<br />
d’Arvor (TV1) et David Pujadas (France 2), (10/3/2003), and de Villepin (Le Figaro 26/2/2003)<br />
as well as practically all speakers in the National Assembly debate on 26/2/2003.<br />
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tober 2002). Already in September, Premier Simitis had opposed an Iraq invasion (AN, 9<br />
September 2002), yet he took a cautious stance before the European Parliament on 14<br />
January, urging for a more vigorous geopolitical presence <strong>of</strong> the EU in general (cf. AN, 17<br />
January 2003). The implications <strong>of</strong> war for the Middle East remained one <strong>of</strong> Greece’s<br />
main concerns (Simitis' letter to EU, 13 February 2003). Greece succeeded in organising<br />
and formulating common EU positions – examples were the conclusions <strong>of</strong> 27 January and<br />
17 February and the tough Démarche to Iraq on 4 February (even exceeding the Greek<br />
and German position). Athens considered the informal meeting on 17 February – the infamous<br />
‘war summit’ – to have been successful, as it would not otherwise have suggested<br />
to turn it into an <strong>of</strong>ficial one afterwards (EU Joint position, 17 February 2003). The 'Letter<br />
<strong>of</strong> the Eight' took Greece by surprise, but as an initial reaction, the foreign ministry<br />
claimed that it did not contradict prior EU decisions. Thereafter, Simitis strongly criticised<br />
the Eight, arguing that the declaration was at odds with the EU's endeavour to reach<br />
a common position (AN, 31 January 2003). Papandreou (12 March 2003) admitted that<br />
the EU had experienced a serious crisis and stated that big member states did not really<br />
pay attention to the small ones. Greece sided with the Franco-German-Russian initiative<br />
<strong>of</strong> early March (AN, 7 March 2003). Eventually, on the eve <strong>of</strong> war, Simitis expressed in<br />
parliament his government's strict opposition to war emphasising the lack <strong>of</strong> legitimacy<br />
and US unilateralism and noting that a war “(...) means catastrophes, denial <strong>of</strong> human values,<br />
the establishment <strong>of</strong> blind violence and arbitrary behaviour” (cf. AN, 28 March 2003).<br />
The External Relations Commissioner at the time, Christopher Patten, followed a<br />
middle-<strong>of</strong>-the-road approach. On the one hand, he stressed “the evil nature <strong>of</strong> the regime led<br />
by Saddam Hussein” as well as the fact that “Iraq never complied with this [1284] Security<br />
Council Resolution”. On the other hand, he cautiously stated that<br />
“there are legitimate suspicions that the Iraqi regime is developing WMD. At his point <strong>of</strong> time, no<br />
clear evidence has emerged” and pointed out that “we must all respect the authority <strong>of</strong> the<br />
United Nations and <strong>of</strong> international law.” 16<br />
16<br />
Quoted from: Speech by The Rt. Hon Chris Patten, Plenary Session <strong>of</strong> the European Parliament,<br />
Strasbourg (4/9/2002), similar: Interview with Chris Patten in: NPQ, Global viewpoint<br />
(9/9/2002).<br />
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After having made these statements in September, he withdrew from the debate. This indecisiveness<br />
was underlined by the European Parliament’s failure to reach any kind <strong>of</strong><br />
agreement on the Iraq crisis (on 27 March 2003). The Commission’s rather desecuritising<br />
approach was shared by Javier Solana, the EU’s High Representative, who took a low-key<br />
pr<strong>of</strong>ile in the crisis, too. Usually, he followed SC statements and refrained from giving his<br />
personal point <strong>of</strong> view. Implicitly, it was apparent that he did not share Bush’s threat perception<br />
concerning Iraq. On the “nature <strong>of</strong> the new terrorism”, Solana précised:<br />
“We face an enemy that is unpredictable, multinational, suicidally fanatical, an enemy that operates<br />
at sub-state level but which is ready and capable <strong>of</strong> unleashing massive destructive power.”<br />
(Javier Solana: “The view from Europe”, IHT 10/9/2002)<br />
Evidently, Iraq did not fit the definition. As early as in May 2002, he had identified the<br />
state <strong>of</strong> the transatlantic relations as a matter <strong>of</strong> concern due to divergent threat perceptions<br />
and diverging methods dealing with the world’s problems (FT, 21 May 2002). In a<br />
Financial Times interview (7 January 2003), he envisaged different worldviews and attributed<br />
them to an Atlantic cultural and religious gap. After having been bypassed by events<br />
he impressingly regained his momentum in the following summer: In order to heal the<br />
wounds <strong>of</strong> the great split and the transatlantic frictions he tabled a common strategy paper<br />
to become the ESS on the European Council meeting in Thessaloniki: “A secure<br />
Europe in a better world”.<br />
c. Emergency action - how to react?<br />
The United Kingdom mobilised reservists in early January, the final figure added up to<br />
30.000 troops. They actively took part in combat and took charge <strong>of</strong> the Southern sector<br />
in Iraq. The significant contribution to the occupation forces and the emergency measures<br />
taken were largely consistent with the government’s early securitisation moves and threat<br />
perceptions. By the end <strong>of</strong> 2004, the UK still held 8,700 troops in Iraq (IHT, 4 February<br />
2005). Even when Bush decided for a temporary build-up <strong>of</strong> US-troops in early 2007,<br />
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Britain continued to gradually reduce its occupation forces - handing over Basra to the<br />
Iraqi army in late 2007.<br />
Whether Denmark was going to actively support a military intervention even without<br />
a clear UN mandate was left open until 18 March (Copenhagen Post, 17 March 2003).<br />
On the same day, the government decided to go to war and deployed a submarine, a destroyer<br />
and 160 troops to join the 'coalition <strong>of</strong> the willing'. Backed by the Danish Parliament,<br />
the Folketing, the Danish government <strong>of</strong>ficially declared war on Iraq – an unprecedented<br />
move since the war against Prussia in 1864. Denmark submitted its troops to US<br />
command, and its liaison <strong>of</strong>ficer Tidemand later admitted that even before the ‘Letter <strong>of</strong><br />
the Eight’, Denmark had been prepared to actively support the USA (FAZ, 8 April 2003).<br />
Considering the Danish desecuritisation strategy when EU president, the assertive emergency<br />
actions taken – declaration <strong>of</strong> war and military engagement – came as a surprise<br />
and contrasted with the rest <strong>of</strong> the ‘coalition <strong>of</strong> the willing’ under study. Denmark contributed<br />
510 troops to the occupation forces. The Danish government objected to any US<br />
suggestions to extend the mission but remained determined even when one Danish soldier<br />
was killed in Iraq (Reuters, 1 October 2005). When Britain announced a gradual troop<br />
withdrawal in early 2007, Rasmussen proclaimed that the Danish forces would leave the<br />
country by August 2007.<br />
Unlike Denmark, the Dutch government decided to refrain from active participation<br />
in the war (RNW, 18 March 2003). As the Minister <strong>of</strong> Foreign Affairs, de Hoop Scheffer<br />
(4 April 2003), emphasised, this was not seen as a problematic stance since the<br />
Netherlands would thereby join Spain and Italy. Given this position, it turned out to be<br />
an embarrassing moment for the government when on the first day <strong>of</strong> the attack, a Dutch<br />
Lieutenant-Colonel appeared on TV next to the Commander <strong>of</strong> the coalition forces,<br />
Tommy Franks (FAZ, 28 March 2003). The clear self-portrait as part <strong>of</strong> the Atlanticist<br />
camp also became visible when the Netherlands actively compensated for the German<br />
denial to deliver Patriot missiles to Turkey. In June 2003, The Hague took part in the<br />
stabilisation force with 1,300 troops. The overall pro-US stance <strong>of</strong> the acting government<br />
was mitigated by domestic constellations. Therefore, the Dutch desecuritisation approach<br />
was largely consistent: Due to a war-sceptical population and a split coalition the<br />
government gradually moved from asecurity to desecuritisation. Non-participation in the<br />
war and the employment <strong>of</strong> occupation forces were consistent follow-up policies. When<br />
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one soldier died in combat, Balkenende announced a re-consideration <strong>of</strong> the Dutch<br />
mission and decided to withdraw the troops after the mandate’s expiration in March<br />
2005. 17<br />
Berlusconi’s decision to support the US increasingly met domestic resistance which<br />
was fuelled by the Vatican’s anti-war attitude (FAZ, 13 March 2003). After the Highest<br />
Defence Council, including President Ciampi, had stated that a direct participation in the<br />
war had to be excluded due to constitutional constraints, the Minister <strong>of</strong> Foreign Affairs<br />
Frattini (29 March 2003) made it clear that Italy was not a nation at war. He summarised<br />
Italy’s policy as follows:<br />
“Italy decided on its own not to participate in military operations, and has chosen to stand beside<br />
a democratic United States and against a blood-thirsty dictator.” 18<br />
Italy refrained from actively taking part in the war either with material or with troops but<br />
granted fly-over rights and allowed the US to use bases – yet not for direct attacks. Considering<br />
that the main threat did not stem from Saddam’s WMD but from the possible deterioration<br />
<strong>of</strong> the transatlantic partnership, the mere rhetorical support for the Bush administration<br />
seems comprehensible. Yet the affirmative participation in the occupation<br />
forces was remarkable: Italy sent around 3,000 troops to Iraq. Several hostage affairs put<br />
the Italian engagement under constant domestic pressure. When the security agent<br />
Calipari was shot by US friendly fire after having managed to release the journalist Guilia<br />
Sgreba from an Iraqi terrorist group, Berlusconi surprisingly floated the idea <strong>of</strong> an Italian<br />
troop withdrawal (EUobserver.co, 16 March 2005) but re-considered the decision the<br />
next day. In December 2005, Italy’s Minister <strong>of</strong> Defence announced the gradual withdrawal<br />
<strong>of</strong> 300 troops (Guardian, 15 December 2005). The newly elected Prodi government<br />
terminated the Italian engagement in Iraq by December 2006 (Le Monde, 1 December<br />
2006). In sum, the securitisation behaviour suggests that Italy zigzagged through<br />
17<br />
See the website <strong>of</strong> the Dutch government:<br />
http://www.government.nl/Subjects/Dutch_military_mission_to_Iraq [10/10/2007].<br />
18<br />
Statement by Franco Frattini, Italian Foreign Minister. Reply to the Government’s Report to the<br />
Senate on developments in the Iraq crisis, Italian Ministry <strong>of</strong> Foreign Affairs, 19 March 2003,<br />
http://www.iraqwatch.org/government/Italy/italy-mfa-frattini-031903. htm [11/11/2004].<br />
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the Iraq crisis: After having swapped sides from the ‘European’ to the ‘Atlantic’ position<br />
in September it still followed a desecuritisation strategy. As a ‘nation not at war’, the government<br />
refrained from participating in any military action but then contributed significantly<br />
to the occupation forces.<br />
After having hesitated until mid-March, Aznar finally opted for a similar path. He announced<br />
that Spain would not actively take part in the war but send three ships and 900<br />
troops for medical support and anti-mine capabilities. The role <strong>of</strong> the engagement was<br />
characterised in Aznar's words by their „humanitarian mission“ (El Mundo, 19 March<br />
2003). Spain contributed these 900 troops to the occupation forces. On 24 June 2003, the<br />
Aznar government announced it would send 1.100 additional troops to be deployed in the<br />
Polish sector (Lee 2003). The Spanish securitisation behaviour seems rather inconsistent.<br />
The Aznar government moved from asecurity as EU presidency 2002 to ‘loud’ securitisation<br />
moves in early 2003 but then degraded the emergency action to a ‘humanitarian mission’.<br />
This inconsistency might be explained by the huge élite-mass split and the massive<br />
contestation in Spain. 19 Due to the terrorist attacks in Madrid on 11 March, the Spanish<br />
election <strong>of</strong> 14 March 2004 received an historic flavour. After the Partido Popular had surprisingly<br />
lost the general elections, the newly elected <strong>Social</strong>ist government decided an<br />
immediate withdrawal from Iraq (FAZ, 16 March 2004).<br />
Greece had tried hard to bring everybody together in the EU and to develop a common<br />
stance. When all its endeavours turned out to be fruitless, Simitis declared that<br />
Greece would not participate even if there was an approval by the UN-SC. In that case,<br />
Greece would support indirectly, logistically, as it had in Afghanistan (FAZ, 19 January<br />
2003). The Greek desecuritisation moves were largely consistent with the nonparticipation<br />
in the war. The government had done its very best to conceal its proper attitude<br />
in order to act as an 'honest broker' as EU President (Zervakis 2002/03, 356). This<br />
ambition was owed to the partly dark chapters <strong>of</strong> Greek Presidencies and its intransigent<br />
policy regarding the Macedonian question in the 1990s. In its moderator role, the government<br />
had to depart from its own position and received vivid criticism both from the<br />
19<br />
In a poll at that time, 60 per cent <strong>of</strong> the Spaniards objected to attack Iraq – the Spanish were the<br />
most critical on the issue in Europe (Noya 2003, 65). On 15 March, hundred thousands <strong>of</strong> Spaniards<br />
showed their discontent with the war in the streets (El Mundo, 15 March 2003).<br />
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left (Communist Party and Leftist Coalition) and from the right (New Democracy) (AN,<br />
28 March 2003). Simitis and Papandreou were “walking tightrope” (AN, 4 October 2002)<br />
but were nevertheless by-passed by events – the Letter <strong>of</strong> the Eight in particular.<br />
Simitis’ approach was similar to that <strong>of</strong> the Schröder government since Greece also objected<br />
to any active participation but allowed the US to use its bases on Greek territory<br />
due to bilateral treaties. In February 2003, Germany, together with Belgium and France,<br />
for some time, even blocked a decision in the NATO Council regarding defensive missiles<br />
for Turkey which led to a severe crisis in the Alliance (FTD, 11 February 2003). France<br />
joined Germany and Greece in opposing any participation in the war. Moreover, they rejected<br />
any direct participation in the occupation <strong>of</strong> Iraq. Instead, they preferred to contribute<br />
to the EU's, NATO's and the UN's assistance to the reconstruction <strong>of</strong> the country.<br />
While Germany trained Iraqi personnel outside Iraqi territory, France urged for a UN<br />
Resolution providing the UN with a central role in the country's reconstruction (Handelsblatt,<br />
21 July 2003). In sum, both desecuritisations look consistent in each case – yet<br />
two differences stand out: Timing and forums <strong>of</strong> the desecuritisation moves. Whereas<br />
France followed a desecuritisation approach all through the year 2002, Germany broached<br />
the issue <strong>of</strong> Iraq in August already. In so doing, the Schröder government preferred domestic<br />
forums to politicise Iraq while the French government capitalised on traditional<br />
diplomacy and made use <strong>of</strong> the international arena, the UNSC in particular.<br />
d. Understanding inconsistent securitisations<br />
The empirical findings <strong>of</strong> this study can be condensed as shown in table 1. The table reveals<br />
the great split in the Iraq crisis with regard to securitisation. On the whole, no easy<br />
pattern emerges when looking at the European actors’ (de)securitisations. Inconsistencies<br />
not only applied across countries but the respective securitisations hardly follow the securitisation<br />
ideal. In an ideal case, credible threat perceptions signal urgency which leads to<br />
‘loud’ securitisation moves translating into determined emergency actions which are accepted<br />
by the public.<br />
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Table 1: Comparative securitisation in the Iraq crisis<br />
Criteria<br />
Country<br />
Securitisation<br />
move: timing<br />
Securitisation:<br />
the threat<br />
Securitisation:<br />
Emergency<br />
action taken<br />
Overall<br />
assessment<br />
D<br />
(UN-SC)<br />
F<br />
(UN-SC)<br />
GR<br />
(EU-Pres.)<br />
5 August 2002<br />
20 Jan. 2003<br />
9 September 2002<br />
NL 12 February 2003<br />
I 15 Sept. 2002<br />
E<br />
(UN-SC, EU-<br />
Pres)<br />
DK<br />
(EU-Pres.)<br />
UK<br />
(UN-SC)<br />
11 September<br />
2002<br />
30 Jan 2003<br />
6 April 2002<br />
No immediate<br />
threat, risk <strong>of</strong><br />
regional<br />
destabilisation<br />
No immediate<br />
threat, risk <strong>of</strong><br />
regional<br />
destabilisation<br />
No immediate<br />
threat, risk <strong>of</strong><br />
regional<br />
destabilisation<br />
Breach <strong>of</strong> UNresolutions,<br />
WMD<br />
Damage to transatl.<br />
relations,<br />
Iraq’s regime<br />
character<br />
Damage to transatl.<br />
relations,<br />
Iraq’s regime<br />
character<br />
Breach <strong>of</strong> UNresolutions,<br />
Damage<br />
to transatl. relations<br />
WMD,<br />
Iraq’s regime<br />
character<br />
‘Double No’: No<br />
participation in<br />
military actions<br />
whatever SC<br />
decides<br />
Active lobbying,<br />
Veto-threat in SC<br />
No participation in<br />
military actions<br />
Only rhetorical<br />
support,<br />
participation in<br />
occupation forces<br />
Only rhetorical<br />
support,<br />
participation in<br />
occupation forces<br />
‘Humanitarian<br />
mission’,<br />
participation in<br />
occupation forces<br />
Declaration <strong>of</strong><br />
war, participation in<br />
attack and occupation<br />
forces<br />
Participation in<br />
attack and<br />
occupation forces<br />
Early<br />
desecuritisation<br />
Late<br />
desecuritisation<br />
Desecuritisation<br />
Desecuritisation<br />
Desecuritisation<br />
Late<br />
securitisation<br />
Late securitisation<br />
Early<br />
securitisation<br />
Commission 4 September 2002<br />
Damage to UN and<br />
international law<br />
None, delegation to<br />
SC<br />
Desecuritisation<br />
High<br />
Representative<br />
10 September<br />
2002<br />
Damage to transatl.<br />
relations<br />
None but launch <strong>of</strong><br />
ESS<br />
Desecuritisation<br />
Council,<br />
Presidency<br />
12-13 December<br />
2002<br />
Not specified<br />
Delegation to SC,<br />
call for Iraqi<br />
compliance<br />
Desecurtisation<br />
By contrast, the timings by no means pre-determined the content <strong>of</strong> the securitisation<br />
move nor the following behaviour! Moreover, theoretically speaking, the securitisations<br />
were incomplete since the governments’ securitisation moves did not meet the publics’<br />
acceptance – Denmark being a debatable exception. At least, the emergency measures<br />
taken corresponded to the threat perceptions. The belief in the existence <strong>of</strong> WMD led to<br />
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military engagement (UK), the alleged breach <strong>of</strong> UNSC resolutions to a declaration <strong>of</strong><br />
war (DK), the possible deterioration <strong>of</strong> the transatlantic partnership to supporting rhetoric<br />
and participation in the occupation forces (I, E, NL), while the fear <strong>of</strong> a destabilising<br />
Middle East resulted in non-participation (D, F, GR). In this respect, the member states<br />
behaved in a consistent way.<br />
The analysis <strong>of</strong> the European Union’s securitisation timing has shown that the ‘early<br />
birds’ (UK, D) reacted to US securitisation moves in April and August 2002 respectively.<br />
Cheney and Bush’s speeches in late summer seem to have triggered some European reactions<br />
in September (‘September group’: E, GR, I, Commission, HR). Finally, there were<br />
some late-comers who objected to any explicit securitisation move before January 2003<br />
(NL, F, DK, Council). To eventually take a stance at that time – considering the discursive<br />
battles in the UNSC and the massive military build-up in the Gulf – could hardly be<br />
avoided. The securitisation timings indicate rather idiosyncratic foreign policies which<br />
were partly event-driven, notably by the behaviour <strong>of</strong> the Bush administration. Remarkably,<br />
hardly any ‘strategic interaction’ occurred with the notable exceptions <strong>of</strong> the ‘Gang <strong>of</strong><br />
8’ and the Franco-German understanding (but only after 20 January 2003). This impression<br />
is supported by the threat perceptions and the emergency actions taken. When<br />
comparing the contents <strong>of</strong> the respective securitisation moves it becomes obvious that the<br />
threat perceptions were different – even inside the ‘coalition <strong>of</strong> the willing’. Unlike Blair,<br />
Aznar, Berlusconi and Rasmussen made it clear that their primary concern was not Iraq’s<br />
possible WMD but the relationship to the US. The Danish Premier was outspoken on<br />
this:<br />
“Who else could guarantee our security? Could France – could Germany? There is only one<br />
power on this earth that can: the USA“ (cf. CP, 25 March 2003).<br />
Also with regard to emergency action, the camp-thesis can harldy be up-held. The<br />
spectrum among the ‘willing’ ranged from rhetorical support (NL), ‘nation not at war’ (I),<br />
‘humanitarian mission’ (E) to ‘declaration <strong>of</strong> war’ (DK) and to finally massive military engagement<br />
(UK). Even among the anti-war fraction, France, Germany and Greece, three<br />
different policy behaviours applied: active lobbying and veto threat (F), ‘double no’ (D),<br />
decent moderator/no participation (GR).<br />
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Why did the countries’ securitisations diverge? As Waltz (1959) has postulated, causes<br />
for war can be attributed to three different levels <strong>of</strong> analysis (‘images’): to the individual<br />
(1 st ), the society/the state (2 nd ), and the international system (3 rd ). Schuster and Maier<br />
(2006, 232) have argued that third image explanations do not look plausible for the behaviour<br />
<strong>of</strong> Western European countries. In spite <strong>of</strong> significant US pressure, a common external<br />
threat and institutional restraints from CFSP the member states’ foreign policy did<br />
not converge. With this in mind, neither neorealist theory, nor institutional liberalism,<br />
nor socialisation theory provide the explanation. More plausible is first image factors.<br />
When leaders took action against public opinion – like Blair did – the personal factor was<br />
obvious (Dyson 2006; Hill 2005). Yet the personal factor becomes less persuasive when<br />
leaders’ decisions were not contested domestically (F, D, DK). Consequently, the most<br />
promising explanations stem from second image factors. 20 All kinds <strong>of</strong> securitisation<br />
strategies depended on domestic political configurations. Empirically, this was most evident<br />
in the Dutch case when Balkenende explicitly justified the government’s desecuritisation<br />
behaviour with domestic constraints i.e. coalition-talks and public opinion.<br />
My thesis here is that identity theory provides some insights. As noted above, the<br />
starting point is that external threats resonate differently within the national discourse.<br />
Resonance depends on which ‘part’ <strong>of</strong> the national identity currently is ‘in power’ i.e.<br />
holds the ‘discursive hegemony’. For instance, in cases when Atlanticist-minded élites<br />
were dominant (E, I, DK, NL) we could expect pro-US behaviour: Regardless <strong>of</strong> the immediate<br />
threat all those governments ranked the transatlantic relationship high in their<br />
rhetoric (the ‘solidarity argument’) and uttered, at least, political support for the Bush administration.<br />
21 The degree <strong>of</strong> material support in terms <strong>of</strong> emergency action depends on<br />
the level <strong>of</strong> contestation – in other words on the power <strong>of</strong> those domestic actors who represent<br />
competing interpretations <strong>of</strong> the national identity. In the Netherlands, explicit<br />
emergency action was hindered by coalition-talks and an élite-mass split, in Italy by constitutional<br />
constraints and in Spain by massive public protest. In Denmark, hardly any<br />
20<br />
Schuster and Maier (2006, 235) make the claim that the “ideological background <strong>of</strong> governments”<br />
could be the most promising factor. Applying New Geopolitical Theory, Hans Mouritzen (2006,<br />
138) relies on “Atlantic predispositions” which reside in the political élite or even in the political<br />
culture.<br />
21<br />
In some way, the argument here fits to Mouritzen’s (2006) “Atlantic predispositions”. Menon and<br />
Lipkin (2003, 19f.) discuss different forms <strong>of</strong> ‘Atlanticism’.<br />
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contestation took place since the Atlanticist-minded government played the UN resolutions<br />
breach card which s<strong>of</strong>tened the (internationalist) opposition. 22 No wonder that<br />
Denmark made use <strong>of</strong> the most extreme emergency action – declaring war on Iraq.<br />
Let us now turn to those countries where either hardly any Atlanticist-minded élite<br />
exists (GR, F), or the Atlanticists did not hold the discursive hegemony at the time (UK,<br />
D). In the UK, the majority <strong>of</strong> the Labour Party and the Liberal Democrats subscribe to<br />
an internationalist-ethical understanding <strong>of</strong> foreign policy which supports military engagement<br />
in case <strong>of</strong> ‘humanitarian catastrophes’ only. But Blair stuck to a ‘realist’ argumentation<br />
stressing the immediate threat posed by WMD and the partnership to the US.<br />
This securitisation move did not resonate well within the ‘humanitarian responsibility discourse’<br />
23 and thus caused fierce domestic contestation including the resignation <strong>of</strong> two<br />
ministers. In the decisive vote in the House <strong>of</strong> Commons in January, Blair was only saved<br />
by the (Atlanticist) Conservative Party and never recovered from his loss <strong>of</strong> credibility. In<br />
Greece as well as in France, realist-minded élites held the discursive hegemony which<br />
largely explains their governments’ insistence on the argument <strong>of</strong> regional instability in<br />
the Middle East. In both countries, this argumentation was fed by odd multi-polar and<br />
partly anti-American worldviews. The most striking case is Germany since the government<br />
opted for a ‘loud’ desecuritisation strategy which was neither in line with its traditional<br />
transatlantic security policy nor its behaviour in the Kosovo war. Yet, when voting<br />
on Germany’s engagement in Afghanistan one year before Iraq, Schröder had to undergo<br />
a vote <strong>of</strong> confidence in order to get party dissenters on the track. Schröder's decision to<br />
object to any participation in the war was, therefore, largely motivated by the need to reunite<br />
the government on foreign policy facing a strenuous election campaign (Dalgaard-<br />
Nielsen 2003, 101; Harnisch 2004b, 29ff.). But besides those tactical motivations it was<br />
22<br />
Following Nikolaj Petersen (cf. Copenhagen Post, 6 March 2003), the desire to avoid any clear<br />
positioning in 2002 reflects that Danish loyalty has been divided between the UN (Møller) and<br />
the US (Rasmussen) – Europe not at stake. Not only that the government followed a<br />
desecuritisation policy, the literature on the Danish presidency in this respect is revealing:<br />
Neither synopses on „Wonderful Copenhagen“ (Laursen/Laursen 2003, Friis 2003) nor a Danish<br />
analysts' roundtable (Wehmueller 2003) found 'Iraq' worth even mentioning. This impressively<br />
demonstrates that the separation <strong>of</strong> 'Europe' and 'security' is widely accepted in the Danish élite.<br />
23<br />
Lene Hansen (2007, 128) has extensively elaborated on the elements and stability <strong>of</strong> this discourse<br />
during the Bosnian war.<br />
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remarkable that the newly established discursive hegemony hardly met any domestic contestation<br />
so that even the (Atlanticist-minded) Chancellor Merkel decided to stick to it.<br />
Admittedly, my country-specific argumentation here needs further elaboration 24 but in<br />
sum it can be stated that identity theory provides a good starting point for comprehending<br />
the member states’ uneven securitisation – in particular when actual government constellations<br />
and domestic discursive hegemonies are taken into account.<br />
4. Conclusions: A structural securitisation problem?<br />
The findings support the assumption that the EU’s foreign policy consistency largely depends<br />
on the member states’ threat perceptions and subsequent securitisation strategies.<br />
Different views on the urgency, definition and management <strong>of</strong> the threat ‘Iraq’ superseded<br />
the commonly desired “spirit <strong>of</strong> loyalty and mutual solidarity” and indeed “impaired the EU’s<br />
effectiveness as a cohesive force in international relations” - as the CFSP provisions have<br />
warned. When the focus shifts from the member states level to the EU as a whole, the<br />
empirical result can be sketched like this: Until summer 2002, the EU remained in an asecurity<br />
stage with the notable exception <strong>of</strong> the UK. In late 2002, the EU moved from asecurity<br />
to desecuritisation delegating threat definition, securitisation moves and emergency<br />
actions to the UNSC. In this period, Germany stood out by following a ‘loud’ and pronounced<br />
desecuritisation strategy. Even in the run-up <strong>of</strong> the war, the EU stuck largely to<br />
its desecuritisation approach. The intra-EU rift peaked in January and February 2003<br />
when Spain joined the UK’s pronounced securitisation while France sided with Germany’s<br />
determined desecuritisation. But the seemingly emerging two camps detracted from another<br />
insight: With the exception <strong>of</strong> the British government, the EU neither believed in<br />
the urgency nor in the definition <strong>of</strong> the threat ‘Iraq’. This is why even the members <strong>of</strong> the<br />
‘coalition <strong>of</strong> the willing’ (E, DK, I, NL) did not securitise Iraq before January 2003. To<br />
them, the major threat was not Saddam’s regime but a possible damage to transatlantic<br />
relations, i.e. the governments took the US-side because <strong>of</strong> friendship, not because they<br />
have been convinced. For that reason, the famous newspaper article on 30/1/2003 did not<br />
read “Saddam’s WMD are threatening Europe” but “Europe and America must stand united”.<br />
24<br />
For a more country-specific argumentation based on identity theory, see Stahl (2005b), 19-35.<br />
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So ironically, in view <strong>of</strong> securitisation theory, the newspaper article could serve as a pro<strong>of</strong><br />
for transatlantic estrangement regarding threat perception.<br />
How can these findings be interpreted in light <strong>of</strong> future policy coherence so urgently<br />
needed for enhanced EU actorness? I resume the observation that some governments<br />
(NL, I, DK) which – in principle – accepted the threat and its urgency opted for a desecuritisation<br />
strategy for most <strong>of</strong> the time under study. The Danish case is striking: How does<br />
a declaration <strong>of</strong> war fit with desecuritisation behaviour all through the year 2002? Intuitively,<br />
most explanations would touch upon the country’s EU-Presidency in the second<br />
half <strong>of</strong> 2002. Due to the Danish opt-out in security and defence the government showed<br />
no interest in securitising the issue. Yet the similar Spanish behaviour in the first half <strong>of</strong><br />
2002 raises doubts whether the opt-out is a sufficient explanation. Here the expectations<br />
<strong>of</strong> the EU-Presidency as a moderator come in. The Presidency’s role rather demands to<br />
identify ‘doable’ policy initiatives which are then streamlined into concrete projects. Its<br />
external functions are mainly representative and the respective national apparatus is usually<br />
stretched with the operative work-load (Cameron 2007, 47). From this observation<br />
stems the first structural deficit <strong>of</strong> the CFSP: The Presidency has no incentive to touch<br />
upon ‘hot potatos’. What applies to the Presidency can be generalised to the other Brussels<br />
actors. A lack <strong>of</strong> vertical consistency practically means a lack <strong>of</strong> mandate to speak up:<br />
When the divergence between the member states grew Solana, Prodi and Patten left the<br />
stage. This is a clear indicator that in terms <strong>of</strong> actorness, the EU remains a ‘collective actor’.<br />
To put it bluntly, the innovations <strong>of</strong> the Amsterdam and Nice treaties gave the CFSP<br />
a face but no voice.<br />
Particular constellations <strong>of</strong> governments notwithstanding, the national differences in<br />
securitisation tend to be a structural phenomenon resisting to socialisation processes, considering<br />
that all <strong>of</strong> the countries under study have been members <strong>of</strong> CFSP right from its<br />
inauguration. This is not to say – <strong>of</strong> course – that there is no convergence at all in CFSP.<br />
As even one sceptic noted ten years ago: “European states’ foreign interests (..) have been<br />
converging for the past forty years” (Gordon 1997/98, 97). Moreover, in comparison to other<br />
regional powers the big member states’ threat perceptions look very similar indeed (Sperling<br />
2007, 265). Rather – the argument would run here – the overall convergence does<br />
not apply to foreign policy crisis yet. What has been analysed for the war against terror –<br />
that already existing differences between the member states tended to sharpen (Hill 2004,<br />
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161; Duke 2002, 16) – has found its culmination point in the Iraq crisis. Yet when dealing<br />
with Iran in the aftermath <strong>of</strong> the Iraq rift, the European ‘ratchet effect’ was highly visible:<br />
Coherent threat perceptions <strong>of</strong> the ‘big three’ (UK, F, D) could be streamlined into coordinated<br />
and consistent action vis-à-vis Teheran – with Washington’s consent.<br />
The directoire approach regarding Iran seems even more remarkable when considering<br />
two worrying observations from the Iraq experience. Firstly, the big member states’ most<br />
radical positions were complemented by a considerable degree <strong>of</strong> introversion and lack <strong>of</strong><br />
co-operation. The outspoken non-interest <strong>of</strong> the Blair, Chirac, and Schröder governments<br />
in their smaller partners, the EU-Presidency, Solana, and the European Commission sheds<br />
some gloomy light on the perspectives <strong>of</strong> future foreign policy coherence. Secondly, not<br />
only that European norms like coherence were contested separately in the domestic realm<br />
– as Puetter and Wiener (2007, 1085) have pervasively argued – but European institutions<br />
are not accepted as suitable forums for security policy. As the Iraq affair has demonstrated,<br />
the securitisation forums for member states' foreign policies were press conferences<br />
in Washington, newspapers and domestic election campaigns – not the European institutions.<br />
The fact that securitisation moves are still disconnected hinders a European<br />
discursive space from emerging and limits the ‘power <strong>of</strong> persuasion’. This is deplorable<br />
since the mass demonstrations across Europe on 15/2/2003 had shown that there is a<br />
common ground for debate among the peoples <strong>of</strong> Europe.<br />
Primary sources<br />
Agence France Presse (AFP), AthensNews (AN), CNN, Copenhagen Post (CP), Daily<br />
Telegraph, The Economist, El Mundo, EUobserver, Financial Times (FT), Financial<br />
Times Deutschland (FTD), Frankfurter Allgemeine Zeitung (FAZ), The Guardian, Handelsblatt,<br />
The Independent, International Herald Tribune (IHT), Iraq Watch Bulletin, Le<br />
Figaro, Le Monde, Neue Züricher Zeitung (NZZ), New York Times Europe (NYT), Nouvel<br />
Observateur, Radio Netherlands Wereldomroep (RNW), Reuters, Die ZEIT.<br />
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<strong>hrss</strong><br />
hamburg review <strong>of</strong> social sciences<br />
The European Neighbourhood Policy:<br />
A Flavour <strong>of</strong> Coherence in the EU’s External Relations? 1<br />
Elsa Tulmets ∗<br />
Introduction<br />
The question <strong>of</strong> coherence has become one <strong>of</strong> the main issues <strong>of</strong> the foreign relations <strong>of</strong><br />
the European Union (EU) since the creation <strong>of</strong> the pillar division and the launching <strong>of</strong> a<br />
Common Foreign and Security Policy (CFSP) at Maastricht in 1992. The academic literature<br />
on the European Communities (EC) and the EU external relations has always been<br />
rather critical <strong>of</strong> the EC/EU’s capacity to become an international actor. Already in the<br />
∗ Elsa Tulmets, Ph.D., is a Research Fellow, Institute <strong>of</strong> International Relations, Lecturer,<br />
Charles University, Prague. tulmets@iir.cz.<br />
1<br />
I would like to thank the two editors <strong>of</strong> this issue, an anonymous reviewer <strong>of</strong> HRSS and my colleagues<br />
<strong>of</strong> the IIR in Prague for their useful comments.<br />
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1970s, François Duchêne advocated for an EC with civilian power, while Hedley Bull<br />
pointed at the impossibility <strong>of</strong> the EC being a power without a coherent foreign and security<br />
policy (Duchêne, 1973; Bull, 1982). The creation <strong>of</strong> the CFSP in 1992 and <strong>of</strong> the<br />
European Security and Defence Policy (ESDP) in 1999 revived the debate, in the 1990s,<br />
on EC/EU international actorness, i.e. on its capability to lead a coherent external action.<br />
It is still debated whether the EU is a “normative power” (Manners, 2002; Sjursen, 2006)<br />
or a “neo-medieval empire” (Zielonka, 2007) with a policy discourse on “s<strong>of</strong>t power” (Johansson-Nogués,<br />
2007; Tulmets, 2007) or, on the contrary, is becoming a foreign policy<br />
actor “with teeth” (Smith, 2000). These various qualifications in fact reflect the difficulty<br />
<strong>of</strong> evaluating the real share and weight <strong>of</strong> the EU community and its intergovernmental<br />
policies abroad. New security challenges (terrorism, environmental threats, transnational<br />
crime, etc.) have added to the growing difficulty <strong>of</strong> keeping separated policies which are<br />
increasingly interconnected. For all these reasons, the Treaty <strong>of</strong> Lisbon <strong>of</strong> 2007 envisages<br />
to abolish the pillar structure and to enhance coherence in the making <strong>of</strong> external policies<br />
within and outside the EU. I will thus take into consideration the whole spectrum <strong>of</strong> EU<br />
external relations – the activities <strong>of</strong> the first, second and third pillars abroad as well as the<br />
foreign policies <strong>of</strong> the member states – in order to discuss the notion <strong>of</strong> coherence.<br />
It is crucial to investigate the notion <strong>of</strong> coherence in the light <strong>of</strong> the recent changes<br />
which occurred since the beginning <strong>of</strong> the 1990s, especially in the context <strong>of</strong> the<br />
launching <strong>of</strong> the CFSP / ESDP and <strong>of</strong> the Eastern enlargement <strong>of</strong> the EU. In the report <strong>of</strong><br />
the High Representative for the CFSP Javier Solana <strong>of</strong> 2000 on the enhancement <strong>of</strong><br />
coherence and effectiveness in EU external action, the experience <strong>of</strong> enlargement is<br />
quoted as a way to extend the benefits <strong>of</strong> European integration to a wider circle <strong>of</strong><br />
European states, but “preserving peace, promoting stability and strengthening<br />
international security worldwide” is also considered as “a fundamental objective for the<br />
Union, and preventing violent conflict constitutes one <strong>of</strong> its most important external<br />
policy challenges” (Solana, 2000: 3). After the rejection <strong>of</strong> the Constitutional Treaty by<br />
referendum in France and the Netherlands in 2005, the European Council asked the<br />
Commission to work further on possibilities to save some <strong>of</strong> the important innovations <strong>of</strong><br />
the rejected treaty in the field <strong>of</strong> foreign relations and thus to reach greater coherence and<br />
effectiveness. There is now a need to understand what the notion <strong>of</strong> coherence refers to<br />
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in EU external relations and also in view <strong>of</strong> a possible ratification <strong>of</strong> the Lisbon Treaty <strong>of</strong><br />
2007.<br />
Empirically, the European Neighbourhood Policy (ENP) represents one <strong>of</strong> the best<br />
case studies for analysing the notion <strong>of</strong> coherence. This policy was launched in 2003-2004<br />
in the context <strong>of</strong> enlargement so that the enlarged EU would be able to cope with<br />
instability and insecurity in its new neighbourhood. It is one <strong>of</strong> the main policies quoted in<br />
the European Security Strategy <strong>of</strong> 2003 dealing with CFSP issues (Solana, 2003), and<br />
members <strong>of</strong> the Commission <strong>of</strong>ten call it the “newest foreign policy” <strong>of</strong> the European<br />
Union to insist on the fact that it represents a new way <strong>of</strong> conceiving and implementing<br />
foreign policy. As the ENP was born in the context <strong>of</strong> the EU’s Eastern enlargement, it is<br />
thus not surprising that enlargement served as a strong point <strong>of</strong> reference in the launching<br />
<strong>of</strong> the ENP in order to reach “stability, prosperity and security” in the EU’s<br />
neighbourhood. As this policy was evaluated as the “EU’s most successful foreign policy”<br />
(European Commission, 2003), methods for reaching institutional coherence in<br />
enlargement served as a reference for the ENP. However, the logics <strong>of</strong> enlargement and<br />
the ENP differ in the sense that the ENP does not <strong>of</strong>fer the incentive <strong>of</strong> accession.<br />
Furthermore, the ENP deals with security issues (frozen conflicts) which the EU did not<br />
have to deal with in enlargement and which rather concern second pillar issues.<br />
This article explains the extent to which a new method, born in the context <strong>of</strong> EU<br />
enlargement, is currently being tested in the European Neighbourhood Policy to remedy<br />
the lack <strong>of</strong> coherence in EU external relations. It argues that this new method (from here<br />
referred to as the ENP method) was created in an incremental way in the larger field <strong>of</strong><br />
the EU’s external relations in the 1990s and the 2000s in order to improve the coherence<br />
<strong>of</strong> the EU’s external relations. However, after testing the analytical frame presented below<br />
to evaluate the impact <strong>of</strong> this method on coherence in the ENP, it concludes that the<br />
ENP method aimed, thus far, at enhancing the internal coherence <strong>of</strong> the EU’s external<br />
action rather than its external coherence.<br />
1. Coherence in the EU’s external relations: an analytical framework<br />
In the fields <strong>of</strong> European Studies and International Relations, the words “coherence” and<br />
“consistency” are generally used as synonyms to indicate the quest for better coordination,<br />
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and thus for avoidance <strong>of</strong> overlaps and mismanagement, in the field <strong>of</strong> foreign policy 2 .<br />
However, the literature was not very fruitful so far in defining these two notions <strong>of</strong> coherence<br />
and consistency in the EU’s external relations and in finding criteria to clarify the<br />
issue. Very <strong>of</strong>ten, scholars focused on the existence <strong>of</strong> gaps and failures in the external relations<br />
<strong>of</strong> the EU, but only few <strong>of</strong> them tried to define precise criteria in order to investigate<br />
the lack <strong>of</strong> coherence and consistency. After the failure <strong>of</strong> the CFSP in the Western<br />
Balkans in the early 1990s, Christopher Hill pointed at the EU’s capability-expectations<br />
gap, i.e. at the difficulties the EU encounters in matching strategies with expectations and<br />
in making resources available to allow implementation (Hill, 1993). Among the various<br />
attempts to define coherence or consistency, the works <strong>of</strong> Simon Duke (1999, 2006) and<br />
especially <strong>of</strong> Simon Nuttall (2005) are particularly helpful. For Nuttall, consistency refers<br />
to three main issues (Nuttall, 2005: 97):<br />
- institutional consistency between community and intergovernmental processes;<br />
- horizontal consistency between the three EU pillars and EU policies;<br />
- vertical consistency between the EU and the member states’ policies.<br />
Within each issue, Nuttall identifies three various ways for the EU to foster consistency:<br />
a) legal instruments and practices (provision in the treaty for interaction, combined recourse<br />
to separate instruments); b) structures (organisational arrangements); c) obligations<br />
(exhortations to practise consistency) (Nuttall, 2005: 98).<br />
These elements <strong>of</strong> the definition represent ideal-types: This is what the EU should<br />
ideally reach in order to have a consistent foreign policy – at least internally. As Nuttall<br />
notices (2005: 92), one has to be aware <strong>of</strong> three mistaken assumptions when looking at<br />
consistency: it is not a simple but a complex phenomenon; it does not always have to be<br />
normatively seen as positive in the European context; it does not have to highlight only<br />
foreign policy issues but can also concern domestic ones. The external relations <strong>of</strong> the EU<br />
are <strong>of</strong>ten criticised for their lack <strong>of</strong> consistency and efforts made towards coherence<br />
should avoid the following three gaps: institutional competition, thematic overlaps and<br />
2<br />
For a review <strong>of</strong> the literature in the field <strong>of</strong> development studies, and possible differences on the<br />
way to define coherence in external relations, see Ash<strong>of</strong>f (2005), see Horký (2008).<br />
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duplication between the EU and the member states’ activities. Thus, a dissection <strong>of</strong> the<br />
term “coherence” allows for a better understanding <strong>of</strong> the complexity <strong>of</strong> the phenomenon.<br />
However, Nuttall’s analytical frame needs to be complemented with further points<br />
regarding the geographical consistency <strong>of</strong> the policy, in particular if the policy analysed<br />
deals with a specific region or with a specific group <strong>of</strong> countries: Is the policy oriented<br />
towards one or several countries or regions? How does it coordinate with further EU and<br />
member states initiatives in this region? It is also not clear how one should differentiate<br />
internal from external coherence, which I propose to assimilate with the (internal)<br />
conception <strong>of</strong> the policy and its (external) implementation. This distinction is essential, as<br />
it will gain importance over the logic <strong>of</strong> pillars if the Lisbon Treaty <strong>of</strong> 2007 is to be<br />
ratified. This article therefore suggests to complement the above-mentioned analytical<br />
frame with these additional elements (see chart below), which allow for a more detailed<br />
understanding <strong>of</strong> coherence in the field <strong>of</strong> external relations, especially in the case <strong>of</strong><br />
complex situations.<br />
Table 1: Analytical framework <strong>of</strong> coherence in foreign policy<br />
Internal coherence<br />
External coherence<br />
Institutional consistency - legal instruments and practices<br />
- structures<br />
- obligations<br />
Horizontal consistency - legal instruments and practices<br />
- structures<br />
- obligations<br />
Vertical consistency - legal instruments and practices<br />
- structures<br />
- obligations<br />
Geographical consistency - legal instruments and practices<br />
- structures<br />
- obligations<br />
-> check three criteria against<br />
implementation<br />
-> check three criteria against<br />
implementation<br />
-> check three criteria against<br />
implementation<br />
-> check three criteria against<br />
implementation<br />
Source: Own compilation, based on Nuttall’s (2005) analytical framework.<br />
In this understanding, there is a slight difference between consistency and coherence:<br />
while consistency is checked against criteria defined in advance, coherence reflects the<br />
overall result <strong>of</strong> the policy. I will now turn to the empirical part <strong>of</strong> this article and verify,<br />
with the help <strong>of</strong> first hand and second hand documents (political speeches, <strong>of</strong>ficial reports,<br />
treaties, semi-direct interviews, academic literature) and the academic approach <strong>of</strong><br />
triangulation (check-crossing material), how far the method used in the ENP aims to<br />
remedy the four cases <strong>of</strong> a lack <strong>of</strong> consistency in EU external relations. I will start with an<br />
analysis <strong>of</strong> the overall internal coherence <strong>of</strong> the policy (parts 2, 3, 4 and 5) and then<br />
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check whether implementation is consistent with what is decided and expected within the<br />
EU to draw some conclusion on the external coherence <strong>of</strong> the ENP (part 6).<br />
2. Internal coherence in the ENP (1): a new method to reach institutional consistency<br />
For Nuttall, institutional consistency “denotes the problems which arise because the EU<br />
has chosen to handle a single policy sector, that <strong>of</strong> external relations, by two sets <strong>of</strong> actors<br />
applying two sets <strong>of</strong> procedures”, the intergovernmental set and the community set (Nuttall,<br />
2005: 92). The ENP highlights perfectly this reality and the attempt to introduce a<br />
new method in the EU’s foreign policy able to deal with various policy procedures and<br />
modes <strong>of</strong> decision under a single foreign policy frame. When sticking to Nuttall’s analytical<br />
points, this method should aim at a better coordination <strong>of</strong> the structure <strong>of</strong> European<br />
institutions, include classical and more innovative legal instruments and practices, and<br />
manage the whole policy through monitoring and controlling obligations.<br />
2.1. A better coordination between European institutions<br />
In 1992, the Maastricht Treaty incorporated the European Political Cooperation (EPC)<br />
into the Union as the CFSP (2nd pillar) and gave the responsibility to ensure the coherence<br />
<strong>of</strong> its external activities as a whole in the context <strong>of</strong> its external relations, security,<br />
economic and development policies to both the Council and the Commission (Nuttall,<br />
2005, Duke, 2006). The academic literature on the EU’s external relations has mainly focused<br />
so far on incoherence between European institutions, especially on the difficulties<br />
<strong>of</strong> coordinating intergovernmental and community competences. After the events <strong>of</strong><br />
1989, the Commission gained competencies in the field <strong>of</strong> external relations, especially<br />
through the management <strong>of</strong> foreign aid programmes like PHARE or TACIS. The Council<br />
also asked the Commission to draw up a proposal to be discussed among the member<br />
states when an agreement was to be found on a foreign policy which would deal more with<br />
community policies, as was the case in enlargement. Along this vein, the Commission<br />
played a central role in shaping the innovative policy frame <strong>of</strong> the ENP, although in this<br />
context second pillar issues (crisis prevention and management <strong>of</strong> frozen conflicts) have a<br />
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more prominent share than in accession policies. As far as the European Parliament is<br />
concerned, it has been particularly active in generating political debates and in using its<br />
competencies in budgetary issues, although the EU treaties envisage, only a marginal role<br />
for this institution in EU external relations.<br />
2.1.1. The role <strong>of</strong> the Council and the member states in the making <strong>of</strong> a policy frame<br />
When the <strong>of</strong>ficial negotiations for accession were opened in the EU in 1998, various political<br />
initiatives regarding Eastern Europe, which primarily came from the United Kingdom,<br />
Sweden, Poland and Germany, have been drawn up in the form <strong>of</strong> a “proximity policy”<br />
and more generally in the form <strong>of</strong> a “Wider Europe” initiative. These propositions,<br />
taking the form <strong>of</strong> articles published in newspapers, letters to the presidency <strong>of</strong> the EU or<br />
non-papers, were mainly addressed to the European Council, and they aimed at creating a<br />
sub-regional policy towards the EU´s Eastern neighbours similar to the Northern Dimension<br />
or the Euro-Mediterranean Partnership 3 . From the opening <strong>of</strong> accession negotiations<br />
in 1998 to the launching <strong>of</strong> the European Neighbourhood Policy (ENP) in 2003-04, the<br />
new member states from Eastern Europe – which were still candidates at the time – played<br />
a major role in influencing the European agenda and putting pressure on the Council 4 .<br />
The speeches and propositions <strong>of</strong> Polish politicians added to the support <strong>of</strong> British and<br />
Swedish calls for a “Wider Europe” policy and to the early propositions <strong>of</strong> the Finnish and<br />
German governments to enhance the Northern and Eastern dimensions <strong>of</strong> the EU’s foreign<br />
relations. They were showing their concern about the absence <strong>of</strong> an EU policy in<br />
Eastern Europe. The Baltic States were also pro-active in moving the Eastern and the<br />
Southern Caucasus into the European agenda, and the Visegrád countries as well showed<br />
some motivation in getting engaged in this issue. But countries like France, Spain and Italy<br />
began to complain that too much attention and resources had already been given to<br />
the EU’s Eastern neighbours and argued that the re-launching <strong>of</strong> the Barcelona process<br />
should take first priority. They also feared that the term “Wider Europe” could be con-<br />
3<br />
The common letter <strong>of</strong> Chris Patten/Anna Lindh <strong>of</strong> 2001, Jack Straw’s Letter to the Spanish<br />
presidency, speeches from Polish ex-Foreign Minister Cimoszewicz, Polish strategies on Wider<br />
Europe, and German-Polish strategies on ENP.<br />
4<br />
More on this: Tulmets, 2007; Kratochvíl, Tulmets, 2007.<br />
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fused with an accession perspective. To sum up, some countries wanted a policy toward<br />
the East, while others preferred a policy toward the South.<br />
To solve this stalemate, the General Affairs and External Relations Council<br />
(GAERC) asked the Commissioner, Chris Patten, and the High Representative/Secretary<br />
General (HR/SG) for the CFSP, Javier Solana, to prepare a common strategy on Wider<br />
Europe able to generate a consensus among the member states, which resulted in a common<br />
letter (Patten, Solana, 2002). The Council then asked the Commission to elaborate,<br />
on the basis <strong>of</strong> this letter, a policy proposal, which the Council endorsed almost entirely in<br />
2004. To underline the importance <strong>of</strong> the policy and its security aspects, Javier Solana<br />
also included the ENP in the European Security Strategy <strong>of</strong> 2003 (Solana, 2003). Two<br />
ESDP missions were launched in the Eastern neighbourhood (the EUJUST Themis mission<br />
related to the Rule <strong>of</strong> Law in Georgia and the EUBAM border assistance mission to<br />
Moldova and Ukraine) and EU Special Representatives were appointed abroad (to<br />
Moldova and to the South Caucasus). At various occasions, the GAERC asked the<br />
Commission to define the ENP in more detail and to add coherence to the various actions<br />
undertaken towards the EU’s neighbours (EC, 2003b, 2004a,b, 2006, 2007). Therefore,<br />
the Commission also had an active share in launching the ENP and might be considered<br />
as the main tailor <strong>of</strong> the operational frame <strong>of</strong> the policy. As a matter <strong>of</strong> fact, the main policy<br />
documents were elaborated within the task force “Wider Europe”, situated, at that<br />
time, at DG Enlargement.<br />
2.1.2. The Commission as the tailor <strong>of</strong> institutional consistency in the ENP<br />
In 2003, the Council gave the Commission the difficult task <strong>of</strong> proposing a framework for<br />
a policy <strong>of</strong> “Wider Europe” able to create institutional consistency. The Commission came<br />
up with a proposition entitled “Wider Europe – Neighbourhood”, which included a<br />
method drawing on the experience <strong>of</strong> enlargement as a new way to do foreign policy,<br />
which had been complemented with the experience in the Western Balkans as a way to<br />
manage crisis. An important restructuring partly explains why the original policy ideas<br />
and instruments <strong>of</strong> the ENP were adapted from the experience <strong>of</strong> enlargement (Tulmets,<br />
2005, 2006; Del Sarto, Schumacher, 2005; Kelley, 2006). In 2003, the Task Force “Wider<br />
Europe”, composed <strong>of</strong> civil servants from the DG Enlargement and DG Relex, was created<br />
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to deal with the EU’s relations towards its Eastern neighbours. In 2004, when the ENP<br />
was <strong>of</strong>ficially launched with the larger aim <strong>of</strong> integrating both Eastern and Southern<br />
neighbour countries, the <strong>of</strong>ficials working in the Task Force from the DG Enlargement<br />
were moved to DG Relex (Interviews DG Enlargement, 2003-2004, DG Relex, 2006).<br />
This allowed for what one may term “policy transfer” or, more precisely, “policy<br />
adaptation” from enlargement in the ENP 5 .<br />
Institutionally, the ENP method establishes a bilateral dialogue with each ENP country<br />
on the basis <strong>of</strong> already existing economic agreements, which are a pre-condition for the<br />
negotiation <strong>of</strong> bilateral Action Plans (European Commission, 2003). Thus, the<br />
negotiation, screening and monitoring process takes place in the framework <strong>of</strong> the<br />
committees and sub-committees <strong>of</strong> the Association Agreements (AA, for the Southern<br />
neighbours) and the Partnership and Cooperation Agreements (PCA, for the Eastern<br />
neighbours) or Enhanced Agreements (e.g. Ukraine). This allows for a differentiated<br />
approach and for the creation <strong>of</strong> a bilateral partnership in the ENP.<br />
2.1.3. The role <strong>of</strong> the European Parliament<br />
Although the European Parliament has no major role to play in the EU’s external relations,<br />
the issues <strong>of</strong> a “Wider Europe” and the European Neighbourhood Policy have been<br />
intensively discussed in 2002-2005 (Goujon, 2005). The Committee on Foreign Affairs<br />
took the lead in organising the debates and in publishing various reports on the ENP and<br />
its instruments 6 . Its composition – old member states interested by the issue and representatives<br />
<strong>of</strong> almost all the new member states – partly explains why the issue was regularly<br />
on the agenda <strong>of</strong> discussions <strong>of</strong> the Committee. The debates at the European Parliament<br />
were followed with great interest by the members <strong>of</strong> the Commission, in particular at DG<br />
Relex. Finally, for some analysts, the Parliament played a crucial role because it was le-<br />
5<br />
Richard Rose defines policy adaptation as occurring “when a program in effect elsewhere is the<br />
starting point for the design <strong>of</strong> a new program allowing for differences in institutions, culture,<br />
and historical specifics. Adaptation rejects copying every detail <strong>of</strong> a program; instead, it uses<br />
particular measure as a guide to what can be done” (Rose, 1993: 31).<br />
6<br />
The European Parliament issued several reports on the propositions <strong>of</strong> the Commission and<br />
the decisions taken in the ENP, available online at:<br />
http://ec.europa.eu/world/enp/index_en.htm.<br />
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gally able to vote the necessary budget for the ENP. Traditionally, the European Parliament<br />
is also pro-active on issues linked to the respect <strong>of</strong> human rights and democracy. It<br />
also has a say in the ratification <strong>of</strong> the economic agreements negotiated by the Commission<br />
with each ENP country.<br />
Table 2: Institutional structure <strong>of</strong> the ENP<br />
Formation Functions Involved in:<br />
Council<br />
European Council<br />
GAERC, HR/SG on<br />
CFSP, COREPER, Political<br />
and Security Commit-<br />
- Decides on the overall policy<br />
objectives<br />
- Decisions on CFSP / ESDP issues<br />
Political dialogue<br />
AA and PCA Committees<br />
tee (PSC),<br />
- Policy management<br />
Political directors,<br />
Working groups<br />
(COEST, COMEM,<br />
COMAG, EUROMED...)<br />
European<br />
Commission<br />
DG Relex<br />
AidCo<br />
- Prepares policy propositions,<br />
conducts negotiations and monitoring<br />
in AA/PCA committees,<br />
prepares evaluations and reports<br />
- Manages policy assistance<br />
AA and PCA committees<br />
AA and PCA subcommittees<br />
Programme management<br />
committees<br />
European Parliament<br />
Committee on Foreign<br />
Affairs<br />
- Debates and reports on the policy<br />
- Co-decision on EU budget<br />
- Ratification <strong>of</strong> AA, PCA<br />
Source: Own compilation on the basis <strong>of</strong> European Commission (2003a,b) and interviews,<br />
2004-2007.<br />
2.2. Legal instruments as a way to improve coordination between Community and inter-<br />
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governmental issues<br />
The method mentioned above was not created out <strong>of</strong> the blue. It draws on legal means<br />
and practices in order to manage the general policy frame <strong>of</strong> the ENP. More concretely, it<br />
relies partly on the experience <strong>of</strong> enlargement and <strong>of</strong> the signature <strong>of</strong> new types <strong>of</strong> economic<br />
agreements in the 1990s (first pillar oriented issues) as well as on new procedures<br />
introduced in the field <strong>of</strong> CFSP, e.g. the Common Strategies (second pillar issues), which<br />
were already typical <strong>of</strong> a growing thematic overlap. Given the complexity <strong>of</strong> international<br />
relations and the importance <strong>of</strong> economic issues in the EU’s foreign policies, economic<br />
and political aspects – first and second pillar issues – cannot be kept separate from each<br />
other.<br />
This was already true during the period <strong>of</strong> European Political Cooperation (EPC).<br />
However, although the EC treaties <strong>of</strong>ficially mentioned the necessity <strong>of</strong> achieving consistency<br />
since the Single European Act, there were no legal instruments to allow for a better<br />
coordination <strong>of</strong> the first and second pillar issues, not to mention those <strong>of</strong> the third pillar.<br />
The Maastricht treaty, in keeping the pillar structure, did not meet the expectations <strong>of</strong><br />
the integrationists but insisted on the necessity for the Council and the Commission to<br />
ensure the consistency <strong>of</strong> the EU’s external relations, security, economic and development<br />
policies. From a legal point <strong>of</strong> view, the use <strong>of</strong> some instruments, like the economic<br />
agreements or the common positions and joint actions, has built the first real bridges between<br />
these pillars. The Association Agreements (AA) and the Partnerships and Cooperation<br />
Agreements (PCA) launched respectively with the candidate countries as well as<br />
with Russia and Ukraine between 1993 and 1994 mainly dealt with first pillar issues but<br />
also contained a chapter on political dialogue typical for second pillar issues. For this reason,<br />
most <strong>of</strong> them have been concluded as mixed agreements. The CFSP and the EC, in<br />
fact, pursue similar goals – the consolidation <strong>of</strong> democracy, the rule <strong>of</strong> law and the respect<br />
<strong>of</strong> fundamental rights. One component <strong>of</strong> the CFSP is to promote international cooperation,<br />
which <strong>of</strong>fers potential intersections “with virtually all external Community activities,<br />
ranging from purely commercial relations to all other kinds <strong>of</strong> cooperation” (Weidel,<br />
2002: 50). The issue <strong>of</strong> thematic overlaps has gained particular relevance with regard to<br />
the Common Strategies as introduced in the Treaty <strong>of</strong> Amsterdam (art. 13 TEU). This<br />
instrument covers areas <strong>of</strong> common interest in which the member states should make<br />
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their means available to the Union 7 . Before launching the ENP in 2004, the Council<br />
made use <strong>of</strong> this instrument three times by adopting Common Strategies for Russia 8 , the<br />
Ukraine 9 and the Mediterranean region 10 . The Common Strategies were perceived as a<br />
response to the need <strong>of</strong> more consistent policy-making coverage which would extend to<br />
all <strong>of</strong> the Union pillars (Spencer, 2001: 36). They were thus ascribed a “cross-pillar nature”<br />
able to coordinate the full range <strong>of</strong> Community and Union external policies and instruments<br />
(Hillion, 2000: 295). Nevertheless, the Common Strategies could not overcome<br />
the problems arising from the different organisational structures <strong>of</strong> the three Union pillars<br />
(Ojanen, 2000: 374).<br />
Although the Common Strategies have been interpreted as an innovation in the EU<br />
treaties, they have also been heavily criticised, among others by the High Representative<br />
for the CFSP Javier Solana at the end <strong>of</strong> 2000 for their imperfections and for the large role<br />
given to the Commission in foreign policy issues. Therefore, a new approach was needed<br />
in order to go beyond the legal tool <strong>of</strong> Common Strategies. The Action Plans, proposed by<br />
the European Commission, represent the new document launched in 2003 to deal with<br />
cross-pillar issues. Interestingly, it was inspired by the Accession Partnerships, which contained<br />
around 30 chapters for negotiation on the European policies and acquis. The Action<br />
Plans are not as detailed as the Accession Partnerships, but as the very first ones were<br />
almost copied and pasted from the Accession Partnerships, they entailed many similarities<br />
in their structure (interviews, DG Enlargement, 2004). In practice, the Action Plans are<br />
negotiated between the Commission and the third countries and then agreed by the<br />
Council in consultation with the European Parliament.<br />
7<br />
“The Union commits itself to make appropriate use <strong>of</strong> all relevant instruments and means available<br />
to the Union, the Community and the Member States in order to contribute to the objectives<br />
<strong>of</strong> the CS” (Weidel, 2002: 53).<br />
8<br />
Decision 1999/414/CFSP, Common Strategy <strong>of</strong> the European Union on Russia, OJ L 157,<br />
24.6.1999, 1.<br />
9<br />
Decision 1999/877/CFSP, European Council Common Strategy on Ukraine, OJ L 331,<br />
23.12.1999, 1.<br />
10<br />
Decision 2000/458/CFSP, Common Strategy <strong>of</strong> the European Council on the Mediterranean<br />
region, OJ L 183, 24.7.2000, 5.<br />
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Table 3: Main legal instruments <strong>of</strong> the ENP<br />
Status<br />
Association Agreement (AA),<br />
International (economic) agreement<br />
Partnership and Cooperation Agreement (PCA) or Enhanced<br />
Agreement<br />
Action Plan<br />
Political agreement<br />
Source: Own compilation on the basis <strong>of</strong> European Commission (2003a,b).<br />
2.3. A new method to generate obligations for institutional coherence<br />
The EU treaties contain an obligation (or exhortation) to ensure (institutional)<br />
consistency in the field <strong>of</strong> external relations. But further difficulties emerged from the new<br />
structures created in EU external relations with the Maastricht and the Amsterdam<br />
Treaties, and, to some extent, institutional consistency was easier to manage before the<br />
reforms introduced by these two treaties (Nuttall, 2005: 98, 102): “The links between<br />
member states in the first and second pillars were scanty to the point <strong>of</strong> non-existence.<br />
The Commission almost alone provided a link between the two pillars, and was able (…)<br />
to translate a political consensus in EPC [European Political Community] into action on<br />
the Community side, while at the same time warning EPC <strong>of</strong> potential difficulties in the<br />
Community. This was embodied in the fact that the same <strong>of</strong>ficial represented the<br />
Commission in the Political Committee and in Coreper” (Nuttall, 2005: 102).<br />
Furthermore, the creation <strong>of</strong> the <strong>of</strong>fice <strong>of</strong> High Representative for the CFSP only added to<br />
competition between the structures <strong>of</strong> the Council and those <strong>of</strong> the Commission: “What<br />
has previously been a fairly obscure institutional difficulty has now been mediatised as a<br />
personal duel, Solana versus Patten” (Nuttall, 2005: 103). Many analysts also consider<br />
that the institutional innovations <strong>of</strong> the Lisbon Treaty will not reduce competition<br />
between the various foreign policy actors if the Treaty is ratified, as competences will have<br />
to be shared at least between the President <strong>of</strong> the European Union nominated for two<br />
years and a half, the High Representative for External and Foreign Affairs (also President<br />
<strong>of</strong> the Commission) and the Commissioner for Foreign Trade.<br />
In the case <strong>of</strong> the ENP, the first political initiatives came from some member states and<br />
candidate countries, as explained above. The common letter <strong>of</strong> Solana and Patten <strong>of</strong> 2002<br />
not only aimed at generating consensus among the member states, but also at smoothing<br />
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cooperation between Community and intergovernmental measures. The making <strong>of</strong> a<br />
cross-pillar policy may appear as something new. However, it relies on the experience <strong>of</strong> a<br />
growing interface between the EU pillars in the 1990s and the experience <strong>of</strong> the Common<br />
Strategies. After the Common Strategies were criticised, a growing role was given to objectives,<br />
goals or guidelines defined at the level <strong>of</strong> the Council and generally proposed by<br />
the Commission. The ENP method, which mainly aims at governing through guidelines,<br />
might therefore be perceived as a way for the EU to overcome the “pillarisation” <strong>of</strong> its external<br />
relations (Winn, Lord, 2001), i.e. to avoid tensions between the logics <strong>of</strong> integration<br />
and sovereignty. This approach also sets up a more procedural way <strong>of</strong> dealing with<br />
foreign policy and thus allows the Council and the member states to keep an eye on the<br />
Commission to avoid mismanagement and to ensure transparency, especially after the<br />
mismanagement <strong>of</strong> EU external assistance denounced by the European Parliament and<br />
the European Court <strong>of</strong> Auditors in 1997 as well as after the demission <strong>of</strong> the Commission’s<br />
collège in 1999.<br />
In this context, the Commission had to elaborate a more transparent method, which<br />
was already defined in the “Agenda 2000” (European Commission, 1997). The economic<br />
agreements, country reports, and Action Plans – which particularly resemble the European<br />
agreements, the accession “avis” and the Accession Partnerships – represent the legal<br />
ground for a benchmarked approach employed to pressure and monitor the neighbour<br />
countries. As in enlargement, the Commission is in charge <strong>of</strong> the monitoring and the<br />
evaluation <strong>of</strong> the reforms and the political engagements <strong>of</strong> the ENP partners with the EU<br />
as well as <strong>of</strong> the management <strong>of</strong> the assistance policy which supports the reforms through<br />
the diffusion <strong>of</strong> best practices from the member states and the adaptation <strong>of</strong> EU norms<br />
abroad (Tulmets, 2005).<br />
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Table 4: Main components <strong>of</strong> the method <strong>of</strong> governing per objectives<br />
Policy objectives (e.g. respect EU values, conditionality)<br />
Country reports<br />
Action Plans / Economic agreements<br />
Lists <strong>of</strong> acquis communautaire, benchmarks and best practices<br />
Monitoring, peer reviews<br />
Regular evaluations<br />
Redefinition <strong>of</strong> objectives<br />
Source: Own compilation on the basis <strong>of</strong> European Commission (2003a,b).<br />
The ENP method, in mobilising various innovative tools, thus aims at enhancing institutional<br />
coherence between the Council representing the member states, the Commission<br />
and the European Parliament. The documents and management tools adopted serve as a<br />
common point <strong>of</strong> reference but also to avoiding thematic overlaps and thus to improve<br />
horizontal consistency as well.<br />
3. Internal coherence (2): avoiding thematic overlaps to reach horizontal consistency<br />
Horizontal consistency “refers to EU policies in general, adopted in pursuit <strong>of</strong> different objectives<br />
but with external implications which are not always taken into account. This applies<br />
to many important areas <strong>of</strong> EU activity”, like agriculture, the environment, transport,<br />
competition policy, consumer protection, etc. “All these policies, domestic in origin,<br />
can have significant impact for the world outside the EU” (Nuttall, 2005: 104). In<br />
enlargement, the externalisation <strong>of</strong> internal policies is considered as a “normal” process as<br />
the candidates aim at entering the EU one day. However, this is not as evident for the<br />
neighbour countries, especially for those which have no right, according to the EU treaties,<br />
to apply for candidacy.<br />
3.1. The introduction <strong>of</strong> conditions in EU’s external relations<br />
The definition <strong>of</strong> conditionality at the end <strong>of</strong> the 1980s and in the 1990s in the enlargement<br />
and the development policies <strong>of</strong> the EC/EU (Smith, 1998) helps one to understand<br />
its presence as a fundament <strong>of</strong> the Neighbourhood Policy. Lacking <strong>of</strong> “hard” military<br />
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power, the European Community developed until 1992 a foreign policy mainly based on<br />
elements like economy and finance in the framework <strong>of</strong> its external economic relations.<br />
After 1992, political speeches clearly state the central role <strong>of</strong> European values and norms<br />
<strong>of</strong> democracy, human rights and the rule <strong>of</strong> law in the EU’s external relations. In 1993,<br />
the EU member states agreed on the necessity to enlarge to Central and Eastern European<br />
countries, but only under certain conditions. The Council <strong>of</strong> Copenhagen stated that<br />
candidates should have: 1) stable institutions guaranteeing democracy, the rule <strong>of</strong> law,<br />
human rights and minority rights ; 2) a functioning market economy and the capacity to<br />
cope with competitive pressures inside the EC ; 3) the ability to adopt the acquis and to<br />
accept the aims <strong>of</strong> the political, economic, and monetary union. At the Council <strong>of</strong> Madrid<br />
in 1995, the member states also insisted on the necessity for candidates to have the administrative<br />
and judicial capacity to implement the acquis communautaire, i.e. the whole<br />
range <strong>of</strong> European treaties, directives, regulations and case law defined by the European<br />
Court <strong>of</strong> Justice. These conditions in fact represented a way for the EU to export its own<br />
norms and values abroad in developing an external dimension to its internal policies<br />
(Lavenex, 2004; Tulmets, 2006). A similar logic was applied in the ENP as the Commission<br />
particularly values the international dimension <strong>of</strong> the EU’s internal policies:<br />
“If we are to preserve an international order based on the rule <strong>of</strong> law and respect for those values<br />
we hold dear – human rights, democracy, good governance – we need to be using all means at our<br />
disposal to persuade emerging powers to sign up to it now. (…) We already have an impressive<br />
range <strong>of</strong> policy instruments, including development aid, diplomacy, trade policy, civilian and military<br />
crisis management, and humanitarian assistance. We also need to do more to recognize and<br />
utilise the external dimension <strong>of</strong> the EU’s internal policies. Thanks to globalization, most internal<br />
policies now have an international element” (Ferrero-Waldner, 2006)<br />
However, the ENP does not propose any perspective <strong>of</strong> accession. Therefore, ENP<br />
countries are not politically committed to respect all these conditions but only those<br />
which they agreed upon in the Action Plans negotiated with the EU. As <strong>of</strong>ficial speeches<br />
show, the EU can only insist on the ENP countries’ will to cooperate on certain issues.<br />
Despite the fact that the Copenhagen criteria have been defined for candidate countries,<br />
they have also inspired the Commission’s rhetoric on the ENP. In his investiture speech<br />
before the European Parliament in 1999, Romano Prodi pointed out the necessity <strong>of</strong><br />
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reinforcing stability in Europe through efforts on both sides and an acceptation <strong>of</strong> the<br />
common values <strong>of</strong> security and stability (Prodi, 1999). Later on, the Commission gave a<br />
more precise definition <strong>of</strong> the ENP conditionality, taking over some elements <strong>of</strong> the<br />
enlargement conditionality and <strong>of</strong> the negotiation chapters created for the candidate<br />
states. In the Commission’s documents, the neighbour countries have to respect their<br />
“commitments to shared or common values”:<br />
“(…) that is respect for human rights, including minority rights, the rule <strong>of</strong> law, good<br />
governance, the promotion <strong>of</strong> good neighbourly relations, and the principles <strong>of</strong> a market<br />
economy and sustainable development as well as to certain key foreign policy goals”<br />
(European Commission, 2004a).<br />
Thematic conditions thus represent a way to achieve coherence across sectors in the internal<br />
definition <strong>of</strong> the ENP. In its economic agreements and Action Plans with the ENP<br />
countries, the EU not only defined conditions, but it also insisted on conditionality, i.e. on<br />
the causal relationship between the progress <strong>of</strong> the partners in their reforms and the evolution<br />
<strong>of</strong> their relations with the EU. Like in the European agreements with the candidates,<br />
respect <strong>of</strong> democratic principles and human rights is a condition for delivering <strong>of</strong><br />
assistance. It means that the economic agreement and assistance can be suspended if the<br />
conditions are not respected (negative conditionality). However, in the ENP, as in its external<br />
relations in general, the EU clearly favours positive conditionality over negative<br />
conditionality. It means that the scope <strong>of</strong> assistance is linked with the realisation <strong>of</strong> internal<br />
reforms: the more reforms are introduced along EU norms, the more assistance is allocated<br />
to the partner country.<br />
3.2. The structures <strong>of</strong> horizontal consistency: intergovernmental formations and working<br />
groups<br />
Horizontal consistency aims at coordinating the various sectors <strong>of</strong> the EU’s activity<br />
abroad. Given the growing interconnection <strong>of</strong> these sectors, cooperation within the EU<br />
works on the thematic basis <strong>of</strong> the conditions or common values defined in the bilateral<br />
partnership between the EU and the partner countries.<br />
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As indicated in the chart on “Institutional structure in the ENP”, they are various intergovernmental<br />
formations and working groups concerned with the internal coordination<br />
and discussion on the issues linked to the ENP. Technical questions and issues <strong>of</strong> less political<br />
importance are dealt with in the geographical working groups like COEST (dealing<br />
with Eastern Europe), COMAG, COMAM (Maghreb and Middle-East) as well as<br />
EUROMED (Euro-Mediterranean Partnership) and other groups related with the ENP<br />
framework. The more political issues are discussed at the level <strong>of</strong> the political directors <strong>of</strong><br />
the Ministries <strong>of</strong> Foreign Affairs <strong>of</strong> the member states. The main political decisions are<br />
prepared at the Committee <strong>of</strong> Permanent Representatives (COREPER) and taken at the<br />
General Affairs and External Relations Council (GAERC). These represent the various<br />
institutional frames allowing for more horizontal and cross-pillar consistency within the<br />
EU on the ENP.<br />
3.3. Exhortations to practice horizontal consistency<br />
The EU treaty and especially the ENP documents present many exhortations to practice<br />
horizontal consistency, for example, in regard to transversal issues like human rights and<br />
the rule <strong>of</strong> law but also in civilian crisis management. Very <strong>of</strong>ten, these issues concern the<br />
three EU pillars: they require the decisional framework <strong>of</strong> CFSP/ESDP but generally<br />
mobilise the civilian resources from the first and the third pillars.<br />
In the ENP, crisis prevention was dealt with so far in the framework <strong>of</strong> CFSP/ESDP<br />
missions, like the ESDP mission on border management between Ukraine and Moldova or<br />
the Rule <strong>of</strong> Law mission in Georgia, and complemented institution-building projects led<br />
by the Commission. As some ENP partners expect the EU to play a growing role in crisis<br />
prevention in its neighbourhood, horizontal consistency will need to improve to avoid duplications<br />
in the definition and the implementation <strong>of</strong> the projects.<br />
Furthermore, horizontal consistency implies that EU policies do not contradict with<br />
each other. One example is a strict visa policy on the side <strong>of</strong> the member states which<br />
hampers innovations promoted by the Commission like the development <strong>of</strong> people-topeople<br />
projects or the participation <strong>of</strong> ENP partners in EU committees.<br />
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To conclude on horizontal consistency, the ENP method has made possible the<br />
definition <strong>of</strong> conditions and values on the basis <strong>of</strong> which the differentiated partnership<br />
between the EU and each ENP country is defined. Interestingly, what could be seen as the<br />
military component <strong>of</strong> the ENP (because it was linked to ESDP missions) in practice<br />
mobilises civilian means (for example, the Rule <strong>of</strong> law mission in Georgia, the ESDP<br />
mission on border management in Ukraine/Moldova). One therefore needs to recognise<br />
that the ENP method aims at inducing change in the neighbourhood in the long term not<br />
through coercion but through the cumulative mobilisation <strong>of</strong> civilian means (Tulmets,<br />
2007). The content <strong>of</strong> the Actions Plans constitutes the common ground for negotiations<br />
and dialogue; it also represents a useful document for avoiding duplication <strong>of</strong> actions<br />
between the EU and its member states.<br />
4. Internal coherence (3): vertical consistency as a way to avoid duplication<br />
Vertical consistency “comes into play when one or more member states pursue national<br />
policies which are out <strong>of</strong> kilter with policies agreed in the EU” (Nuttall, 2005: 98). Exhortations<br />
in the EU treaties towards more vertical consistency and the introduction <strong>of</strong> the<br />
ENP method have, however, led to changes that one might refer to as “a process <strong>of</strong> Europeanisation”<br />
11 <strong>of</strong> the member states’ foreign policies.<br />
4.1. National policies towards the neighbours<br />
In the field <strong>of</strong> assistance, the EU treaties allow for one EU policy and then for as many assistance<br />
policies as there are member states. However, in the recent treaty reforms (Amsterdam,<br />
Nice) and policy reforms (reform <strong>of</strong> the development policy in 2005), member<br />
states were exhorted to coordinate their policies with those <strong>of</strong> the EU. Therefore, organisational<br />
structures were created to enhance the consistency between Community and national<br />
measures.<br />
11<br />
Europeanization is generally defined as a top-down and “incremental process re-orienting the<br />
direction and shape <strong>of</strong> politics to the degree that EC political and economic dynamics become<br />
part <strong>of</strong> the organizational logic <strong>of</strong> national politics and policy-making” (Ladrech, 1994:69). See<br />
also the work <strong>of</strong> Radaelli and that <strong>of</strong> Risse and Börzel.<br />
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After the political changes <strong>of</strong> 1989, several member states <strong>of</strong> the European Communities<br />
had formulated various initiatives to assist the transformations in Eastern Europe in<br />
parallel to the European assistance (the PHARE and TACIS programmes). These were<br />
national programmes financed by national budgets aiming at transferring national norms<br />
to the East. The Germans, for example, set up in 1992 the Transform programme, which<br />
lasted until the beginning <strong>of</strong> the 2000s (Tulmets, 2003); the French launched the “Mission<br />
interministérielle pour la cooperation avec l’Europe centrale et orientale” (Miceco) at<br />
the beginning <strong>of</strong> the 1990s to promote economic and cultural cooperation, especially with<br />
Poland, Czechoslovakia, Hungary and Romania; the United Kingdom supported a programme<br />
called the Know-How Fund in all the candidate countries as well as in Ukraine<br />
and Russia; the Swedes were also very active through their Swedish International Development<br />
and Cooperation Agency (SIDA), and the Dutch were active through their programme<br />
MATRA. All these programmes came to an end or were reduced after accession<br />
was politically agreed in 1998. The reforms introduced in 1997-98 by the Commission,<br />
which created, among others, the ISPA (Structural Fund), SAPARD (agriculture) and<br />
Twinning (institution-building) programmes, also <strong>of</strong>fered, as consequence, new financial<br />
means as an alternative to the national ones. At that time, national experts and institutions<br />
all became strongly involved in EU projects. The Commission, which was lacking<br />
technical and regional expertise on the candidates, partly relied on the expertise <strong>of</strong> the<br />
member states to check if the accession criteria were fulfilled. In practice, this resulted in<br />
what one might call the Europeanisation <strong>of</strong> the assistance policies <strong>of</strong> the member states at<br />
the level <strong>of</strong> the norms and values promoted abroad as well as at the level <strong>of</strong> the institutions<br />
used to implement the policies (Tulmets, 2003). As most <strong>of</strong> the national programmes<br />
still concern countries like Belarus, Ukraine, Moldova and the countries <strong>of</strong> the<br />
South Caucasus, the launch <strong>of</strong> the ENP extended the adaptation process <strong>of</strong> national<br />
means to European priorities and a greater involvement in EU projects in the East.<br />
As far as the national policies to the South are concerned, they follow a similar<br />
pathway <strong>of</strong> Europeanisation since the ENP was created as a complementary instrument to<br />
the Euro-Mediterranean Partnership and its MEDA programme, launched in 1995. Claire<br />
Visier, for example, showed how far France’s assistance towards its Southern neighbours<br />
has evolved since 1995 in defining its policy more and more within the European frame<br />
(Visier, 2003). The French proposition <strong>of</strong> a Union <strong>of</strong> the Mediterranean, which was<br />
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accepted this year in a modified version at the European level, confirms this analysis. In<br />
the framework <strong>of</strong> the ENP, the national instruments continue to “europeanise” in order to<br />
make use <strong>of</strong> the European frame for the implementation <strong>of</strong> projects. As a consequence,<br />
national expertise is made available at the EU level.<br />
In both cases (those <strong>of</strong> the East and the South), committees were created to manage<br />
the EU assistance policy (the PHARE, ISPA, SAPARD, TACIS, MEDA committees) and<br />
to make sure that the preferences <strong>of</strong> the member states would be respected. The<br />
management <strong>of</strong> the Twinning and TAIEX projects also necessitated the creation <strong>of</strong><br />
National Contact Points at the level <strong>of</strong> the EU member states to liaise between the<br />
national experts and the Commission. These structures therefore contributed to<br />
enhancing the coordination between the EU and the national activities <strong>of</strong><br />
implementation. On this basis, it became possible to introduce a more encompassing<br />
assistance policy for the neighbours <strong>of</strong> the enlarged European Union.<br />
4.2. The European Neighbourhood and Partnership Instrument (ENPI)<br />
In 2007, the “European Neighbourhood and Partnership Instrument” (ENPI) replaced the<br />
TACIS and MEDA programmes for the financial perspective <strong>of</strong> 2007-2013 (European<br />
Commission, 2003b) and, on the insistence <strong>of</strong> the European Parliament, the European<br />
Initiative for Democracy and Human Rights (EIDHR) was kept and renamed into European<br />
Instrument for Democracy and Human Rights. The ENPI also applies to Russia,<br />
which is not <strong>of</strong>ficially part <strong>of</strong> the ENP. Like the pre-accession strategy, the ENPI supports<br />
progress towards democracy and reforms towards harmonisation with EU laws. Interestingly,<br />
at least four instruments created for the pre-accession strategy have been introduced<br />
in the ENPI, in which experts from the member states participate: a) Twinning<br />
(medium-term projects to improve institutional capacities, good governance and the rule<br />
<strong>of</strong> law), b) TAIEX (short-term projects to improve institutional capacities, good governance<br />
and the rule <strong>of</strong> law), c) Cross-Border Cooperation (CBC) (security and border management),<br />
d) opening <strong>of</strong> EU programmes and agencies (people-to-people cooperation).<br />
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The first instrument was, in fact, mobilised very quickly after the launch <strong>of</strong> the ENP.<br />
Twinning was introduced in 1997 in the enlargement policy to support capacity-building<br />
in candidate countries through institutional transfers and adaptation (Tulmets, 2006). Its<br />
primary aim is to make available the expertise <strong>of</strong> member state practitioners in foreign<br />
administrations on a specific issue – administrative and judicial capacities – where the EU<br />
has almost no acquis (promotion <strong>of</strong> good or best practices). Since 2003, Twinning was introduced<br />
in Jordan, Morocco, Lebanon, Tunisia, Egypt, Ukraine, and in the countries <strong>of</strong><br />
the Southern Caucasus. The political character <strong>of</strong> some projects implies that implementation<br />
in neighbour countries depends mainly on the political will <strong>of</strong> the governments to cooperate<br />
with the EU on their national reforms. Twinning projects cover the sectoral priorities<br />
defined in the Action Plans and provide advice, for example, in the fields <strong>of</strong> internal<br />
market, justice and home affairs, energy, transport, communication, environment, research<br />
and innovation, and social policies (for more on this, see Königová, Tomalová,<br />
Tulmets, 2006). The experts are provided by the member states’ administrations and institutions<br />
dealing with the implementation <strong>of</strong> the acquis.<br />
The decision was taken in June 2006 to include TAIEX into the ENPI as a complement<br />
to Twinning, as difficulties were encountered in the first Twinning projects due to<br />
bureaucratic procedures, weak administration in almost all neighbour countries, a high<br />
turnover <strong>of</strong> civil servants, and a lack <strong>of</strong> resources on the partner’s side. The Technical Assistance<br />
Information Exchange Office (TAIEX) was created in 1995 to assist candidate<br />
countries in adopting and implementing the chapters <strong>of</strong> the acquis most directly connected<br />
with the integration into the European Internal Market. It did so by providing information<br />
from a database on the acquis and by sending independent experts on shortterm<br />
missions to the candidate countries. Since one <strong>of</strong> the aims <strong>of</strong> the ENP is to <strong>of</strong>fer<br />
neighbour countries “a stake in the EU’s internal market” (European Commission,<br />
2003a), DG AidCo introduced TAIEX in its unit that deals with Twinning on the model<br />
<strong>of</strong> the Institution-Building Unit <strong>of</strong> the DG Enlargement. In the ENP, TAIEX is conceived<br />
as an instrument which can allow for the preparation <strong>of</strong> or serve as follow-up to Twinning<br />
projects (Königová, Tomalová, Tulmets, 2006).<br />
The Commission also proposed in 2003 to improve cross-border cooperation (CBC)<br />
with specific projects in order to “prevent new dividing lines” in Europe. Cross-border projects<br />
between member states and neighbour countries mainly promote sustainable eco-<br />
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nomic, social, and environmental development in the border regions <strong>of</strong> the EU. CBC in<br />
the ENPI mainly draws on the experience <strong>of</strong> the PHARE and TACIS cross-border projects.<br />
However, difficulties in clarifying procedures on the EU’s side and the lack <strong>of</strong> administrative<br />
capacities at the local level have added some delays to the launching <strong>of</strong> the<br />
first projects, which should start in 2008 (European Commission, 2007).<br />
Finally, the ENPI also intends to increase “people to people” activities through the<br />
building <strong>of</strong> sectoral networks and the participation <strong>of</strong> neighbouring countries in EU programmes<br />
and agencies in areas like education, training and youth, health, research, environment,<br />
and culture (European Commission, 2003a, 2004a). Some experience <strong>of</strong> including<br />
citizens from non-member states in EU programmes was gained from the Mediterranean<br />
cooperation (e.g. the Anna Lindh Foundation), the Northern Dimension, and especially<br />
enlargement, which brought a larger opening <strong>of</strong> EU programmes to non-member<br />
countries. In 2006, the Commission has listed the agencies able to welcome closer sectoral<br />
cooperation (European Commission, 2006). The proposition to enhance direct contacts<br />
between people was accepted by the Council and, on the suggestion <strong>of</strong> the German Presidency’s<br />
report <strong>of</strong> 2007, the Commission began to negotiate with Israel, Morocco and<br />
Ukraine protocols allowing for participation in Community programmes and agencies<br />
(European Commission, 2007: 9).<br />
The budget <strong>of</strong> the ENPI has been discussed in a lively manner by the Council, the<br />
Commission and the European Parliament. While the Commission proposed a budget <strong>of</strong><br />
about Euro15 billion, the Council accepted the decision to allocate Euro12 billion, which<br />
had to be split among sixteen countries plus Russia for a period <strong>of</strong> seven years (2007-13).<br />
Various specialists and analysts were sceptical about the EU’s capacity to implement such<br />
costly instruments with this budget, and the <strong>of</strong>fer was constantly downsized when compared<br />
to the last European enlargement. Thus, the Council accepted in 2007 the proposition<br />
<strong>of</strong> the Commission to introduce two new facilities: The Governance Facility would<br />
provide additional support (about Euro 50 million a year) for 2007-10 to partner countries<br />
that have made progress in implementing the governance priorities in their Action Plans,<br />
and the Neighbourhood Investment Facility (NIF) would support lending to ENP countries<br />
from 2008 on (European Commission, 2007).<br />
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To summarise, the experience gained in the past twenty years <strong>of</strong> assistance to transition<br />
countries and the new organisational structures have allowed for a better coordination<br />
between EU and national measures and for a greater amount <strong>of</strong> consultation between<br />
EU partners. Competition still takes place between EU member states to exert influence<br />
abroad, but it happens more within the European framework.<br />
4.3. Exhortations for better coordination: the example <strong>of</strong> crisis prevention and management<br />
Nowadays, member states recognise that crisis prevention and conflict management can<br />
be dealt with better within the European frame rather than the national one. However,<br />
conflict management is an issue where exhortations to practice consistency are important,<br />
given the fact that the Council and the Commission do not always share the same approach<br />
in this field. Member states tend to favour ESDP missions, where they can pursue<br />
their national preferences (and sometimes their more military perspective), while the<br />
Commission defends an approach based on the experience <strong>of</strong> cooperation with development<br />
countries and almost twenty years <strong>of</strong> democratisation and stabilisation processes in<br />
transition countries. Interestingly, the ESDP missions conducted so far in the EU’s<br />
neighbourhood were decided before or during the launching <strong>of</strong> the ENP strategy and<br />
pushed forward by certain member countries and even by some countries which were not<br />
EU members yet. The benefits <strong>of</strong> these missions were included a posteriori in the ENP<br />
framework and in the evaluations <strong>of</strong> the Commission. Therefore, vertical consistency still<br />
needs to be improved in these fields (e.g. Nowak, 2006).<br />
5. Internal coherence (4): the ENP, a policy able to link various geographical regions?<br />
In order to complement Nuttall’s analytical framework, one also has to look at the consistency<br />
<strong>of</strong> the geographical region(s) targeted by the analysed policy. In the case <strong>of</strong> policies<br />
reaching a group <strong>of</strong> countries, the definition <strong>of</strong> sub-regions and the linking <strong>of</strong> these various<br />
regions represent a real challenge, as the ENP shows.<br />
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5.1. Legal acceptation <strong>of</strong> the geographical scope <strong>of</strong> the ENP<br />
The geographical scope <strong>of</strong> the ENP was at the centre <strong>of</strong> political and academic discussions<br />
since the first political proposals on a Wider Europe policy. It was first referred to in the<br />
context <strong>of</strong> discussions <strong>of</strong> the necessity to launch a policy towards the EU’s Eastern<br />
neighbours, especially towards possible candidates like Ukraine, Moldova and, to a certain<br />
extent, Belarus. As France, Spain and Italy were more interested in reinforcing their cooperation<br />
with the South and in launching the Euro-Mediterranean partnership again,<br />
propositions then also included ones related to the Mediterranean countries. After the<br />
Rose Revolution in Georgia, the countries <strong>of</strong> the South Caucasus were also included<br />
among the beneficiaries <strong>of</strong> the policy. In 2003, Russia refused to participate in the ENP<br />
and negotiated a policy based on four common spaces with the EU.<br />
The geographical scope <strong>of</strong> the ENP thus evolved over time and gained its legal acceptance<br />
only when the Council approved the communication <strong>of</strong> the Commission in 2004.<br />
As a matter <strong>of</strong> fact, the Commissioner, Chris Patten, and the Special Representative for<br />
the CFSP, Javier Solana, identified in their common letter <strong>of</strong> 2002 various regions towards<br />
which the EU should clarify its policy (Patten, Solana, 2002). The Commission had the<br />
task to give a more precise view on how the EU should deal with these bordering countries:<br />
the countries <strong>of</strong> the Western Balkans and Turkey were clearly given a perspective<br />
for accession; the countries <strong>of</strong> the Community <strong>of</strong> Independent States bordering the EU,<br />
those <strong>of</strong> the Euro-Mediterranean Partnership and those <strong>of</strong> the Southern Caucasus were<br />
included in the ENP strategy. The definition <strong>of</strong> the EU’s policy targets in sub-groups <strong>of</strong><br />
countries thus justified the development <strong>of</strong> two different processes, one including the<br />
Western Balkans and Turkey, managed by DG Enlargement, and a second one with the<br />
other groups <strong>of</strong> countries, managed by DG Relex and EuropeAid.<br />
5.2. Structures to deal with the geographical scope <strong>of</strong> the ENP<br />
Geographical diversity was dealt with in a common policy frame: the ENP and its<br />
assistance policy in the form <strong>of</strong> the ENPI include all the beneficiary countries, even those<br />
which refused to be included into this frame. Thus, the geographical coherence <strong>of</strong> the<br />
ENP is still undermined by structures inherited from past EU policies. The ENP, in fact,<br />
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represents a supplementary layer to already existing policies in the North and in the<br />
South, a substitute to enlargement and to an absent regional approach in the East. In<br />
terms <strong>of</strong> decisions, the main work is done in the working groups, which are organised on a<br />
geographical basis (COEST, COMAG, COMAM). However, common meetings between<br />
geographical working groups are organised to favour discussions on horizontal issues and<br />
to increase coordination within the EU. But they remain the exception rather than the<br />
rule (interviews at Permanent representations <strong>of</strong> the member states, Brussels, 2005-06).<br />
5.3. Obligations to maintain geographical consistency<br />
In fact, the debate on geographical coherence is still a lively one. This is reflected by the<br />
fact that some countries want to focus on the Eastern dimension <strong>of</strong> the ENP (e.g. Poland,<br />
Germany, Finland), others on its Southern dimension (Spain, France, Italy), and some on<br />
the South Caucasus (Baltic States) and the Black Sea region (Romania, Bulgaria). However,<br />
the presidency <strong>of</strong> the Council <strong>of</strong> the European Union was so far used as a place to<br />
promote one or another geographical dimension <strong>of</strong> the ENP, may it be towards the North<br />
(Finland), the East (Germany) or the South (Portugal). The EU member states are exhorted<br />
to maintain in this way a certain balance between the various geographical groupings<br />
concerned by this policy.<br />
This also has some consequences on the external legitimacy (Beetham, Lord, 1998)<br />
and acceptance <strong>of</strong> the policy abroad and thus on its efficiency, an aspect to which I will<br />
now turn.<br />
6. Checking external coherence: Legitimacy and effectiveness <strong>of</strong> implementation<br />
A foreign policy which is not coherent is rarely legitimate and, without support from the<br />
various stakeholders, is rarely effective. One may recognise the importance <strong>of</strong> dealing with<br />
the policy strategies as well as with the policy implementation as foreign policy, like every<br />
public policy, has two sides: a conceptual and an operational side. The question <strong>of</strong><br />
inadequacy between both <strong>of</strong> these elements and expectations from abroad has been<br />
characterised as a “capability-expectations gap” in the EU’s foreign relations (Hill, 1993).<br />
However, the question <strong>of</strong> implementation was rarely tackled in the field <strong>of</strong> foreign policy<br />
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analysis, although it may give useful information on how a policy may gain coherence and<br />
legitimacy over time. External coherence will be checked in this part against the elements<br />
used to identify internal coherence.<br />
6.1. Institutional consistency and its external effects<br />
Even if a policy was decided unanimously and under a single legal framework, it does not<br />
mean that implementation will be or appear to be coherent. The EU has created institutional<br />
frames to structure the partnerships, the political dialogue (more linked to the<br />
Council), and the political and thematic committees (more linked to the Commission). It<br />
builds on the experience <strong>of</strong> the negotiations within the committees <strong>of</strong> the economic<br />
agreements between the EU and third countries and the innovative elements on political<br />
dialogue added during the last accession process.<br />
The AA and PCA Committees, led by the Commission. represent the institutional<br />
frame <strong>of</strong> discussion and negotiations on thematic issues. They mobilise an expertise which<br />
ranges from economic issues linked with the EU’s internal market to environmental and<br />
social issues. Interestingly, the Commission managed to propose more political committees<br />
based on the same model, like the sub-committees on human rights with Tunisia and<br />
Morocco, which represent an innovation in the EU’s external relations as the committees<br />
managed by the Commission no longer deal only with technical issues in their relations<br />
with third states (interviews, DG Relex, 2006).<br />
The political dialogue was an important element introduced at the Summit <strong>of</strong> Essen in<br />
1994 in the context <strong>of</strong> enlargement. It has spread to cooperation with development countries<br />
and now to cooperation with the ENP countries. Situated at the level <strong>of</strong> the Council,<br />
it consists in discussing issues at the level <strong>of</strong> Ministers <strong>of</strong> Foreign Affairs and their representatives<br />
on sensitive political issues in relation with the EU and with (potential) regional<br />
conflicts. It is now conceived as an important tool <strong>of</strong> crisis prevention as it is used<br />
to discuss cross-sectoral issues and to negotiate situations <strong>of</strong> crisis.<br />
Given this dual institutional setting, the Council (representing the member states) and<br />
the Commission are steadily in competition, especially in regard to issues related to the<br />
second pillar, and so are the various DGs <strong>of</strong> the Commission responsible for external affairs<br />
(DG Enlargement, DG Relex, EuropeAid, DG Development, etc.). Despite the exis-<br />
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tence <strong>of</strong> a new method defining common objectives and benchmarks, competition over<br />
the definition and the management <strong>of</strong> the ENP still undermines the institutional coherence<br />
<strong>of</strong> the policy. Competition between the HR/SG for CFSP and the Commissioner for<br />
External Relations did not end with the publication <strong>of</strong> the common letter <strong>of</strong> 2002. Officials<br />
interviewed at the DG Relex <strong>of</strong> the Commission reported that J. Solana was keen on<br />
taking the Wider Europe initiative out <strong>of</strong> the hands <strong>of</strong> the Commission: the ENP was, indeed,<br />
one <strong>of</strong> the key policies quoted in the European Security Strategy <strong>of</strong> 2003 (interviews,<br />
DG Relex, April 2006). The Council and the Commission were not always on the<br />
same line as far as the definition <strong>of</strong> the policy, its budget and its implementation were<br />
concerned. In practice, there have been various actions undertaken in different legal<br />
frameworks. However, they sometimes took place in similar policy fields, on the same issues<br />
or in the same country (for example, the TACIS projects and the ESDP mission on<br />
the Rule <strong>of</strong> Law in Georgia). The measures might be seen as complementary, but they entail<br />
a more competitive aspect. The European Parliament was also very proactive in the<br />
ENP. It indicated its positions on various issues through lively debates and the publication<br />
<strong>of</strong> reports and would as well welcome the intensification <strong>of</strong> inter- parliamentary dialogue.<br />
It is thus not surprising to observe signs <strong>of</strong> incoherence in the EU’s action abroad, as institutional<br />
competition is still present within the EU. Empirical findings on the ENP teach<br />
us so far that despite the new method identified, institutional consistency is still difficult<br />
to reach in the EU’s external relations. However, efforts are made to growingly improve<br />
horizontal consistency in the field <strong>of</strong> external relations.<br />
6.2. Horizontal consistency in the EU’s neighbourhood<br />
The legal aspects <strong>of</strong> horizontal consistency are not always clear and thus easy to deal with.<br />
Although some decisions are taken in the second EU pillar (ESDP missions, for example),<br />
their implementation <strong>of</strong>ten mobilises resources from the first or the third pillar. This<br />
occasions small conflicts and competition in the phase <strong>of</strong> implementation.<br />
Negotiations undertaken in the AA and PCA committees teach us that the content <strong>of</strong><br />
the norms and values promoted by the EU is not always well defined and is thus subject to<br />
various interpretations and definitions. The conditions <strong>of</strong> the cooperation evolve through<br />
time as the internal integration <strong>of</strong> the EU evolves as well.<br />
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The ENP method relies on documents elaborated to coordinate the EU policies<br />
around specific topics, like the country reports and the Action Plans. However, some decisions<br />
and policies decided at the EU level can also contradict with each other. In such<br />
cases, the Commission is <strong>of</strong>ten asked to find a solution. For example, the member states<br />
traditionally defend a rather strict visa policy, which hampers the development <strong>of</strong> peopleto-people<br />
measures (cooperation in EU programmes) and sometimes renders the implementation<br />
<strong>of</strong> the ENP contradictory. On this specific issue, efforts on the side <strong>of</strong> the<br />
member states were made in 2007 to lower the costs <strong>of</strong> visas, at least for Ukraine and<br />
Moldova.<br />
6.3. Vertical consistency abroad<br />
Although exhortations towards better vertical consistency are inscribed in the EU Treaties,<br />
better coordination between the policies <strong>of</strong> the EU and the member states is not always<br />
easy to ensure in practice. It is challenged by contradictions emerging between<br />
community priorities and the member states’ preferences and by difficulties occurring<br />
mainly at the level <strong>of</strong> implementation. The creation <strong>of</strong> the ENPI does not prevent the fact<br />
that according to the EU treaties, EU member states can keep on defining and implementing<br />
their own assistance policies to enhance their special relationships with some<br />
ENP countries.<br />
The Commission regularly asks the member states to practice more consistency in the<br />
field <strong>of</strong> assistance to avoid a duplication <strong>of</strong> actions. It tries to be kept informed <strong>of</strong> the policies<br />
undertaken by the member states abroad, but there is no obligation for the member<br />
states to inform the Commission about this. Furthermore, the very nature <strong>of</strong> the EU implies<br />
that many kinds <strong>of</strong> actors are involved in the implementation <strong>of</strong> the EU policies. The<br />
TAIEX and Twinning projects as well as the CBC and people-to-people cooperation involve<br />
experts, civil servants, companies, universities from the member states and local actors.<br />
An ESDP mission, for example, can be implemented with means from the first and<br />
the third pillars. The Commission <strong>of</strong>ten tries to give coherence to the EU actions on the<br />
ground through the country reports, which represent a common frame <strong>of</strong> evaluation <strong>of</strong><br />
EU actions towards one specific country.<br />
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6.4. External geographical coherence<br />
Despite the will to create one single policy frame with a method able to take into consideration<br />
the specific context <strong>of</strong> each partner country, the coherence <strong>of</strong> the policy is undermined<br />
by the fact that, since the beginning, the ENP does not entail any geographical<br />
consistency. It was first created as a response to the lack <strong>of</strong> an EU policy towards the<br />
“Wider” Eastern Europe, but politicians have decided to enlarge it to other sub-regions<br />
like the Mediterranean countries and the South Caucasus. As a result, differences in priorities<br />
towards the East or the South persist. Recent examples are the German and Czech<br />
accents placed on the ENP towards the East during their respective EU presidencies or<br />
the French proposition <strong>of</strong> a Mediterranean Union to reinforce the Euro-Mediterranean<br />
Partnership. Institutionally, the management <strong>of</strong> geographical coherence is difficult to<br />
achieve due to the institutional organisation <strong>of</strong> the political and technical groupings dealing<br />
with policy decisions (Council, working groups) and those dealing with policy management<br />
and implementation (AA and PCA committees) along geographical regions. As<br />
far as implementation is concerned, the ENP relies on the already existing structures <strong>of</strong><br />
the Association Agreements in the South and the Partnership and Cooperation Agreements<br />
in the East. Despite the fact that the various institutional frameworks <strong>of</strong> the assistance<br />
policy (the MEDA and TACIS programmes) were merged to create a single framework<br />
<strong>of</strong> implementation, the ENPI, policy management still works on a geographical basis<br />
between East and South.<br />
One might explain this reality through the chain <strong>of</strong> political decisions taken within the<br />
ENP that have led to the creation <strong>of</strong> geographical groupings which geographers do not<br />
really agree with. As a matter <strong>of</strong> fact, the policy involves several groups <strong>of</strong> countries with<br />
very different political, economic and cultural backgrounds without any consideration <strong>of</strong><br />
long time historical issues. The EU member states are now exhorted to maintain consistency<br />
between groups <strong>of</strong> countries which have no geographical definition in common except<br />
for the fact that these countries are all (more or less) geographical neighbours <strong>of</strong> the<br />
EU. The term “neighbour” is in fact used as a substitute to a coherent geographical definition<br />
<strong>of</strong> this policy, and it can also be questioned in relation to the way it is perceived and<br />
understood in the ENP countries (Meloni, 2007).<br />
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Finally, the fact that some countries, like Russia, have refused the EU <strong>of</strong>fer and that<br />
others are not ready to negotiate Action Plans (Belarus, Algeria) reinforces the conviction<br />
that this policy works on the basis <strong>of</strong> inclusive and exclusive circles which overlap with<br />
other circles <strong>of</strong> cooperation defined in the EU framework. The ENP created various expectations<br />
in the neighbour countries, especially in Ukraine and Moldova, which have the<br />
right to become candidates to the EU. But the question remains whether the EU will be<br />
able to deal with these various expectations and to avoid a “clash <strong>of</strong> interpretations” (Kratochvil,<br />
2006).<br />
To conclude on external coherence, the EU has made important efforts in the last few<br />
years to better coordinate its various actions in its external relations. The ENP is a good<br />
test case for showing this, but empirical findings also indicate that the EU’s ability to become<br />
a coherent international actor is still open. While a large part <strong>of</strong> the answers mainly<br />
lies within the EU, it is not certain that the institutional changes proposed in the Lisbon<br />
Treaty <strong>of</strong> 2007 will simplify the issue. One has to take into account the ability <strong>of</strong> the EU<br />
to stay consistent in the phase <strong>of</strong> implementation with what was decided within the EU.<br />
However, the reasons for inconsistency do not all lie on the EU’s side. The will and the<br />
ability <strong>of</strong> the partner countries to welcome and implement the policy is also another important<br />
parameter to take into consideration, an argument which could not be elaborated<br />
here.<br />
Conclusion<br />
Coherence is not easy to find in the field <strong>of</strong> external foreign policies. But the innovations<br />
which occurred in the last few years in the field <strong>of</strong> the external relations <strong>of</strong> the European<br />
Union indicate that, at least, the political will is there to improve the EU’s actions and<br />
image abroad. The example <strong>of</strong> one <strong>of</strong> the EU’s latest foreign policies, the European<br />
Neighbourhood Policy, indicates that the experience <strong>of</strong> enlargement was an important<br />
source <strong>of</strong> inspiration in creating a coherent legal, institutional and political framework<br />
able to coordinate the EU actions in an institutional, horizontal, vertical and geographical<br />
way. This analysis on the ENP tends to conclude that the EU resembles more a civilian<br />
power in the sense <strong>of</strong> Duchêne (see also Johansson-Nogués, 2007; Tulmets, 2007). However,<br />
on paper, the ENP already has the flavour <strong>of</strong> internal coherence, as it roughly fulfils<br />
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the criteria defined in the analytical framework presented above. But as far as external coherence<br />
is concerned, a lot still needs to be done so that, in practice, the implementation<br />
<strong>of</strong> the policy would be consistent with what has been decided within the EU and meets<br />
the expectations <strong>of</strong> the neighbour countries. To conclude, the ENP method aimed so far<br />
at enhancing – even if imperfectly – the internal coherence <strong>of</strong> EU’s external action rather<br />
than its external one. The improvement <strong>of</strong> the latter remains one <strong>of</strong> the difficult tasks<br />
which the EU will have to deal with in the upcoming years.<br />
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Manners Ian (2002), “Normative Power Europe: A Contradiction in Terms?”, Journal <strong>of</strong><br />
Common Market Studies, 40 (2), pp. 235-58.<br />
Meloni Gabriella (2007), “Who’s my Neighbour?”, European Political Economy <strong>Review</strong>,<br />
(7), Summer, pp. 24-37. www.eper.org<br />
Nowak, Agnieszka (ed.) (2006). Civilian Crisis Management: the EU Way. Chaillot Paper<br />
90, Paris, ISS.<br />
Nuttall Simon (2005), “Coherence and Consistency”, in: Hill Christopher, Smith Michael<br />
(eds.), International Relations and the European Union, Oxford, Oxford Univ.<br />
Press, pp. 91-112.<br />
Ojanen Hanna (2000), “The EU and Its ‘Northern Dimension’: An Actor in Search <strong>of</strong><br />
Policy, or a Policy in Search <strong>of</strong> an Actor?”, European Foreign Affairs <strong>Review</strong>, 2000,<br />
pp. 359-376.<br />
Patten Chris, Solana Javier (2002), Wider Europe. Available on:<br />
http://europa.eu.int/comm/world/enp/pdf/_0130163334_001_en.pdf<br />
Portela Clara (2007), “Community Policies with a Security Agenda. The Worldview <strong>of</strong><br />
Benita Ferrero-Waldner”, EUI Working Papers, RSCA 2007/10.<br />
Prodi Romano (1999), “Investiture speech before the European Parliament”, 14 September.<br />
Rose Richard (1993), Lesson-Drawing in Public Policy. A Guide to Learning across Time<br />
and Space, Chatham (New Jersey): Chatham House Publishers.<br />
Sjursen Helene (ed.) (2006), “Special Issue: What Kind <strong>of</strong> Power? European Foreign Policy<br />
in Perspective”, Journal <strong>of</strong> European Public Policy, March.<br />
Smith Karen (1998), “The Use <strong>of</strong> Political Conditionality in the EU’s Relations with<br />
Third Countries : How Effective ?”, European Foreign Affaires <strong>Review</strong>, 2 (3),<br />
Summer, pp. 253-274.<br />
Smith Karen E. (2000), „The End <strong>of</strong> Civilian Power EU: A Welcome Demise or Cause for<br />
Concern?“, The International Spectator, 35 (2), April-June, pp. 11-28.<br />
Solana Javier (2000), “Improving the Coherence and Effectiveness <strong>of</strong> the European Union<br />
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Council by the Secretary General/High Representative and the Commission, Nice,<br />
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720-739.<br />
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Tulmets Elsa (2003), « La coopération allemande face à l’élargissement de l’Union européenne<br />
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Tulmets Elsa (2005), “New Modes <strong>of</strong> Governance in EU’s External Relations: Explaining<br />
the Transfer <strong>of</strong> Ideas and Cooperation Methods from the Enlargement to the<br />
Neighbourhood Policy”, in: Šarunas Liekis et al (eds.), European Union and its New<br />
Neighbourhood: Different Countries, Common Interests, Mykolas Romeris University,<br />
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Tulmets Elsa (2006), “Adapting the Experience <strong>of</strong> Enlargement to the Neighbourhood<br />
Policy : The ENP as a Substitute to Enlargement?”, in: Kratochvíl Petr (ed.), The<br />
EU and its Neighbourhood: Policies, Problems, Priorities, Institute <strong>of</strong> International Relations,<br />
Prague, 2006, pp. 16-34.<br />
Tulmets Elsa (2007), “Can the Discourse on “S<strong>of</strong>t Power” Help the EU to Bridge its Capability-Expectations<br />
Gap?”, European Political Economy <strong>Review</strong>, (7), Summer 2007,<br />
pp. 195-226. www.eper.org<br />
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France en Méditerranée, Paris, L’Harmattan.<br />
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on the Union’s External Policy”, in : Griller Stefan, Weidel Birgit (eds.),<br />
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Wien/New York, pp. 23-64.<br />
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Palgrave.<br />
Zielonka Jan (2007), Europe as Empire: The Nature <strong>of</strong> the Enlarged EU (2 nd ed.), Oxford,<br />
Oxford University Press.<br />
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<strong>hrss</strong><br />
hamburg review <strong>of</strong> social sciences<br />
Human Security and Coherence within the EU:<br />
The Case <strong>of</strong> the 2006 UN Small Arms Conference<br />
Javier Alcalde and Caroline Bouchard *<br />
Introduction 1<br />
In recent years, the EU has reiterated its commitment to play a greater global role and actively<br />
participate in international organizations. In particular, the EU has pledged to work<br />
toward the strengthening <strong>of</strong> the United Nations. The EU’s influence on negotiations at<br />
the UN can be affected by the EU ability to “speak with one voice”, to demonstrate coherence.<br />
*<br />
Javier Alcalde is a PhD Candidate at the European University Institute at Florence, Italy.<br />
Caroline Bouchard is a PhD Candidate at the University <strong>of</strong> Edinburgh, UK.<br />
1<br />
The authors would like to thank their interviewees, who were kind enough to share their experiences<br />
and knowledge, three anonymous reviewers, the editors and the coordinator <strong>of</strong> this Special<br />
Issue for their constructive comments. Caroline Bouchard wishes to thank UACES for supporting<br />
this research project. Javier Alcalde wishes to thank the Juan March Foundation.<br />
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Since the early 1990s, the UN has been increasingly active in the policy area <strong>of</strong> human<br />
security. The United Nations Development Programme (UNDP) first used the concept <strong>of</strong><br />
human security in its 1994 Human Development Report. The report argued that the<br />
scope <strong>of</strong> global security should be expanded to include threats in seven areas: economic<br />
security, food security, health security, environmental security, personal security, community<br />
security and political security. 2 Human security was thus put forward to describe new<br />
security concerns and to emphasize the shift from a state concerned security to a peoplecentered<br />
approach to security.<br />
The EU has presented itself as an important actor in the promotion <strong>of</strong> concrete actions<br />
on several human security issues, such as the prohibition <strong>of</strong> landmines and the current<br />
negotiation process on cluster bombs. This paper examines the coherence <strong>of</strong> the EU as an<br />
actor at the UN and whether coherence issues affected the EU’s effectiveness in a specific<br />
case <strong>of</strong> human security negotiations: 3 the 2006 UN Small Arms <strong>Review</strong> Conference. The<br />
paper suggests that although the EU appeared to show some consistency (horizontal, vertical<br />
and institutional) the EU was unsuccessful at the <strong>Review</strong> Conference. To the EU,<br />
the NGOs and other actors’ disappointment, the <strong>Review</strong> Conference failed to adopt a final<br />
document.<br />
2<br />
The components <strong>of</strong> human security are defined as follows: economic security: an assured basic<br />
income, minimum job security, while the threats to economic security are rampant uncontrolled<br />
inflation, economic depression and financial crises; food security: questions <strong>of</strong> access <strong>of</strong>ten<br />
are in fact more important than simply “having enough to go around”, the threats come<br />
therefore from unequal distribution, while obviously famine and starvation due to real food<br />
shortages are the worst case threats; health security: death and illness linked to poverty, unsafe<br />
and unclean environments, access to healthcare, and the problem <strong>of</strong> pandemics such as<br />
HIV/AIDS and infectious diseases; environment security: degradations <strong>of</strong> local and global ecosystems,<br />
one <strong>of</strong> the major challenges being access and cleanliness <strong>of</strong> water; personal security:<br />
against threats <strong>of</strong> sudden physical violence exercised by the state, by other states in war, or<br />
from other individuals from other groups due to ethnic tensions, also encompassing specific personal<br />
security <strong>of</strong> women against violence and exploitation, or <strong>of</strong> children against all forms <strong>of</strong><br />
child abuse; community security to tackle threats such as intra-community strife, tensions, or<br />
hurtful practices directed against certain members <strong>of</strong> the community, such as women; political<br />
security against torture, political repression, ill treatments and disappearances. See UNDP<br />
1994. On the concept <strong>of</strong> human security, see also Lodgaard 2000 and Paris 2001.<br />
3<br />
The concept <strong>of</strong> effectiveness can be understood from different points <strong>of</strong> view. As it will be explained<br />
in the next section, the EU’s effectiveness is considered as the achievement <strong>of</strong> the<br />
broader small arms and light weapons (SALW) policy objectives expressed in the various EU<br />
documents. The absence <strong>of</strong> agreement on a final document in the 2006 <strong>Review</strong> Conference will<br />
show that the EU has been unsuccessful.<br />
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The paper begins by proposing an analytical framework based on a multilevel game approach<br />
to explore the link between the coherence <strong>of</strong> the EU and its effectiveness at the<br />
<strong>Review</strong> Conference. It explores the ways in which a complex web <strong>of</strong> actors and institutions<br />
interact at three different levels: UN, EU and domestic. By using this analytical<br />
framework and various qualitative methods such as expert interviews, documentary analysis<br />
and participant observation, this paper aims to examine the factors which might have<br />
hindered the effectiveness <strong>of</strong> the EU at the 2006 Small Arms <strong>Review</strong> Conference. Finally,<br />
the paper discusses whether these factors are linked to problems <strong>of</strong> coherence within the<br />
EU.<br />
1. The European Union at the 2006 <strong>Review</strong> Conference: achieving coherence in a multilevel<br />
game<br />
To grasp the factors that might have affected the EU effectiveness at the <strong>Review</strong> Conference<br />
and to identify if these factors are related to problems <strong>of</strong> coherence, our analytical<br />
approach takes into account not only the complex nature <strong>of</strong> the EU as an international<br />
actor, but also the ways in which a complex web <strong>of</strong> actors and institutions interact. In the<br />
next section, the paper suggests an analytical framework that uses different categories <strong>of</strong><br />
the concept <strong>of</strong> coherence and a multilevel game approach to examine the factors affecting<br />
the effectiveness <strong>of</strong> the EU at the 2006 Small Arms <strong>Review</strong> Conference.<br />
Effectiveness is a concept <strong>of</strong>ten used to discuss the EU’s role in international affairs.<br />
Yet, it is rarely defined. 4 For the purpose <strong>of</strong> this paper, effectiveness will be defined as the<br />
EU ability to attain its objectives at the <strong>Review</strong> Conference. With regard to this UN conference,<br />
the EU had a clear objective: the EU wished the <strong>Review</strong> Conference to adopt “a<br />
forward looking and substantial outcome document”. 5 The effectiveness <strong>of</strong> the EU will be<br />
thus evaluated on the basis <strong>of</strong> progress made towards this goal.<br />
4<br />
For a discussion on the concept <strong>of</strong> the EU’s effectiveness see Laatikainen and Smith 2006.<br />
5<br />
See Statement on behalf <strong>of</strong> the EU, UN Conference to <strong>Review</strong> Progress Made and the Implementation<br />
<strong>of</strong> the Programme <strong>of</strong> Action to Prevent, Combat and Eradicate the Illicit Trade in<br />
SALW in all its aspects. New York, 26 June 2006.<br />
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1.1 The Coherence <strong>of</strong> the EU in International Negotiations 6<br />
The importance <strong>of</strong> “coherence” in EU foreign-policy making was recognized early on by<br />
the Member States. The Single European Act (SEA) emphasized the responsibility <strong>of</strong> the<br />
European Union to speak with one voice and to act with consistency and solidarity. The<br />
Treaty <strong>of</strong> Maastricht, with the creation <strong>of</strong> the Common Foreign and Security Policy<br />
(CFSP) and the position <strong>of</strong> the High Representative for the CFSP, aimed to address some<br />
<strong>of</strong> the EU’s coherence problems in its external affairs. The Treaty also accentuated the<br />
importance <strong>of</strong> consistency across the newly created pillars. Smith argues that the institutionalization<br />
<strong>of</strong> the EU’s competencies for its external relations has in fact created more<br />
uniform methods and solutions for the EU in dealing with external problems (Smith 2001:<br />
192). In contrast, some observers claim that the nomination <strong>of</strong> the High Representative<br />
for CFSP and the creation <strong>of</strong> other CFSP institutions have not necessarily improved the<br />
EU’s coherence or for that matter its effectiveness. In reality these characteristics <strong>of</strong> the<br />
CFSP may slow down the process <strong>of</strong> responding effectively to crisis-situations and in some<br />
ways reduce the effectiveness <strong>of</strong> the EU’s external policy (Sjursen 2003: 37).<br />
The literature on CFSP suggests that the EU is still struggling with problems <strong>of</strong> consistency<br />
and it remains sceptical about the capability <strong>of</strong> the EU to be a coherent actor. 7<br />
Sjursen notes that the EU as a global actor suffers from coherence problems both vertically<br />
and horizontally. Problems <strong>of</strong> vertical coherence may occur when the foreign and security<br />
policies <strong>of</strong> individual Member States do not fit together with policies decided at EU<br />
level. On the other hand, problems <strong>of</strong> horizontal consistency are linked to the EU being<br />
involved in various external activities that are part <strong>of</strong> different pillars. If these activities<br />
are not consistent with each other and do not strengthen each other, then the EU may<br />
experience horizontal inconsistencies (Sjursen 2003: 37) As Nuttall rightly stresses “as<br />
long as the EU organises its affairs in separate Pillars, consistency will need to be managed”<br />
(Nuttall 2005: 96).<br />
6<br />
The terms “coherence” and “consistency” will be used interchangeably in this paper. As Nuttall<br />
notes: “ ‘consistency’ is the <strong>of</strong>ficially preferred term in English, ‘coherence’ is used in French,<br />
and in many other European languages, and may well have a broader signification” (Nuttall<br />
2005: 93).<br />
7<br />
See, inter alia, Peterson and Sjursen 1998 and Bretherton and Vogler 2006.<br />
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The purpose <strong>of</strong> this paper is to examine the EU’s coherence in international negotiations<br />
on small arms and light weapons (SALW). The production and export <strong>of</strong> SALW<br />
remains within the competence <strong>of</strong> EU Member States. EU actions on small arms have to<br />
be agreed within the Common Foreign and Security Policy (CFSP) framework. Given that<br />
EU Member States remain in charge <strong>of</strong> foreign and security policy matters (unless they<br />
agree otherwise), the Commission has only a subsidiary role in international negotiations<br />
on CFSP issues. However, the Commission recently designed several development programmes<br />
to directly address the negative consequences <strong>of</strong> the proliferation <strong>of</strong> SALW. The<br />
response <strong>of</strong> the EU to the problem <strong>of</strong> SALW has now become a cross-pillar issue, thus<br />
having the potential to create consistency problems. This will be explored by using two<br />
broad categories <strong>of</strong> consistency as defined by Nuttall (2005). The first category is horizontal<br />
consistency (which includes institutional consistency). The second category is vertical<br />
consistency.<br />
Horizontal consistency focuses on the various policies <strong>of</strong> the EU. These policies,<br />
though may have different objectives, should aim to be consistent with each other. To illustrate<br />
this category, Nuttall notes the example <strong>of</strong> existing problems <strong>of</strong> incoherence between<br />
the Common Agricultural Policy (CAP) and the EU’s development policy. In the<br />
case <strong>of</strong> EU policy on SALW, consistency problems could potentially arise at least between<br />
two main policy areas: its security policy and its development policy. A particular subgroup<br />
<strong>of</strong> horizontal consistency is institutional consistency. Nuttall notes that this categorisation<br />
contains particular characteristics and may be seen as a separate category (Nuttall<br />
2005: 99). However, in this paper, institutional consistency will be considered as part <strong>of</strong><br />
the category <strong>of</strong> horizontal consistency. Institutional inconsistencies stem from the fact<br />
that external relations in the EU are managed by two different branches with different decision-making<br />
procedures and different approaches to solve the same issue. The question<br />
<strong>of</strong> “who is responsible for what” (the Commission or the Member States) in the EU external<br />
affairs is a key issue in this category. In the case <strong>of</strong> SALW, both the Member States<br />
under the Common Foreign and Security Policy (CFSP) and the Commission have<br />
pledged to combat their proliferation. As we will see, the approach taken by these two sets<br />
<strong>of</strong> actors is quite different. One should note, however, that in negotiations at the UN, the<br />
Member States remain the dominant players and the Commission’s leeway to participate<br />
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in negotiations is dependent on their willingness, more particularly on the Member State<br />
holding the Presidency.<br />
Vertical consistency refers to the coherence between the national policies <strong>of</strong> the<br />
Member States and the policies approved at the EU level. This type <strong>of</strong> consistency is usually<br />
difficult to manage, as it is the most politically delicate, especially in the case <strong>of</strong> CFSP<br />
policies. EU Member States remain the central players in this specific policy area, since<br />
the European Court <strong>of</strong> Justice has no jurisdiction in CFSP. Member States rarely have to<br />
face consequences if they do not follow the EU position. Nuttall points out that even with<br />
the introduction <strong>of</strong> CFSP instruments, such as joint actions and common strategies, the<br />
responsibility <strong>of</strong> the Member States to comply with the EU position is never absolute<br />
(Nuttall 2005: 117). Problems <strong>of</strong> vertical consistency regarding CFSP issues such as<br />
SALW touches upon the willingness <strong>of</strong> EU Member States to cooperate on foreign policy<br />
matters.<br />
As the analysis <strong>of</strong> the 2006 SALW <strong>Review</strong> Conference will reveal, various problems <strong>of</strong><br />
consistency emerged during the negotiations. We will suggest that, from a theoretical<br />
point <strong>of</strong> view, Nuttall´s typology might need to be sophisticated to be helpful for our<br />
analysis. As shown by Figure 1, we argue that each category <strong>of</strong> coherence (vertical/horizontal)<br />
can be related to two aspects: aspects <strong>of</strong> policy content, but also aspects <strong>of</strong><br />
representation, both between the different players (vertical) - Members States and EU institutions<br />
-, and also between the different policy areas (horizontal). In our case, the ‘representation<br />
aspect” relates to the external representation <strong>of</strong> the EU as an actor in multilateral<br />
settings.<br />
Figure 1. A typology <strong>of</strong> coherence problems<br />
Horizontal<br />
Vertical<br />
Content<br />
Representation<br />
Conflicting priorities between policy areas<br />
Coordination problems between policy<br />
and/or between different branches areas and/or between different branches.<br />
Conflicting priorities between Members Coordination problems between EU<br />
States and EU priorities.<br />
Member States<br />
Own elaboration, built from Nuttall´s (2005) categories<br />
In other words, EU Member States can act coherently or incoherently in multilateral settings<br />
regarding the content <strong>of</strong> their priorities, i.e. policy (in)coherence, but also <strong>of</strong> their<br />
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representation, i.e. coordination (in)coherence. 8 As we will see, in our empirical case,<br />
while the EU appeared to have a cohesive position regarding priorities at the beginning <strong>of</strong><br />
the negotiations, this position gradually crumbled. Moreover, the national positions <strong>of</strong> the<br />
Member States in the end seemed to overshadow the position agreed at the EU level and<br />
created emerging problems <strong>of</strong> coordination vis-à-vis third parties.<br />
1.2 The EU in international negotiations: a multilevel game approach<br />
The study <strong>of</strong> the EU as an international actor has challenged theorists (Tonra and<br />
Christiansen 2004). The EU represents a double challenge for mainstream IR theories: it<br />
is neither a state, nor a typical intergovernmental organisation. Rational theories tend to<br />
assume that states are rational “unitary” actors with fixed preferences and the ability to<br />
adopt various strategies to achieve their preferred outcomes. Yet, it is difficult to consider<br />
the EU as a unitary actor in the international system, especially in the context <strong>of</strong> negotiations<br />
at the UN. First, the EU is not a member <strong>of</strong> the UN and the EU Member States remain<br />
the main players. Second, other EU actors, such as the Commission as well as different<br />
levels <strong>of</strong> decision-making, need to be considered to understand the behaviour <strong>of</strong> the<br />
EU as an actor at the UN (Farrell 2006: 33-36). As Elgström and Strömvik (2005) point<br />
out, EU actors involved in international negotiations have not only to consider the positions<br />
<strong>of</strong> other international actors, but also the bargaining process with the partners at the<br />
EU level as well as domestic negotiations. This reality has prompted a number <strong>of</strong> scholars<br />
to adopt a multilevel game approach based on a n-level game to study the EU as a global<br />
actor.<br />
Scholars, such as Robert D. Putnam (1988), have argued that international agreements<br />
should be viewed as the product <strong>of</strong> a multilevel game. More specifically, Putnam<br />
argues that international negotiations should be decomposed into two different stages (a<br />
“two-level game”). The first stage consists <strong>of</strong> negotiations to achieve a provisional agreement<br />
at the international level (Level I). The second stage entails negotiations at the domestic<br />
level (Level II) within various groups about whether to accept, or ratify, the provi-<br />
8<br />
It has to be noted that even if all cells have been presented for analytical purposes, the problems<br />
<strong>of</strong> horizontal representation are theoretically less likely to be present in multilateral forums, where<br />
the EU negotiators should have already done the horizontal coordination work at the EU level.<br />
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sional agreement. In this two-level game, each side is represented by a “chief negotiator”,<br />
or “chief <strong>of</strong> government”, who plays at two levels (Evans 1993: 399). Putnam’s approach<br />
implies that the two games are played simultaneously. Decisions taken at one level can<br />
have a direct effect on negotiations at the other level. Thus, strategies and outcomes at<br />
different levels <strong>of</strong> the game simultaneously affect one another. According to Putnam, the<br />
crucial link between international negotiations and domestic politics lies in the necessity<br />
<strong>of</strong> ratification; in order for negotiations to be successful, the chief negotiator must not only<br />
reach an agreement at the international level, but also assure that the agreement will be<br />
accepted, or ratified, at the domestic level. Furthermore, any modification added to the<br />
Level 1 agreement counts as a rejection <strong>of</strong> the agreement unless all the other parties to<br />
the agreement approved the modification. The multilevel game approach thus depicts diplomacy<br />
as “a process <strong>of</strong> strategic interactions in which actors simultaneously try to take<br />
into account <strong>of</strong> and, if possible, influence the expected reactions <strong>of</strong> other actors, both at<br />
home and abroad” (Moravcsik 1993: 15).<br />
A number <strong>of</strong> studies have applied Putnam’s two-level game to the analysis <strong>of</strong> the EU’s<br />
external relations (Meunier 2000; Collinson 1999; Patterson 1997). In most <strong>of</strong> these analyses,<br />
the two-level game was adapted to become a three-level game. The three levels can<br />
be defined as follows: Level I remains the international level, or in our case the UN level.<br />
Level II becomes the European Union level, where negotiations mainly take place in EU<br />
institutions and involve various EU actors. Finally, the third level is the domestic level.<br />
Collinson (1999) points out that the key EU negotiators at Level I are not always the<br />
same individuals playing at Level II and Level III. In addition, negotiations at Level I may<br />
involve more than one actor and each one may represent different interests (as in the case<br />
<strong>of</strong> the Member State holding the EU Presidency). This paper recognizes that the variation<br />
<strong>of</strong> negotiator does pose an analytical problem, but only if the dynamics <strong>of</strong> the three-level<br />
games are different from the two-level game. To overcome this obstacle, one must make<br />
sure that the links between the three levels <strong>of</strong> negotiations are still present. This paper<br />
suggests that <strong>of</strong>ficials from foreign ministries constitute the interface between the three<br />
levels <strong>of</strong> negotiations: they are part <strong>of</strong> their national delegation, they coordinate with their<br />
colleagues from the other EU Member States and they participate in the UN negotiating<br />
forum.<br />
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The multilevel game’s approach in this paper will be used to examine the factors that<br />
might affect the EU’s effectiveness, but also to explore potential problems <strong>of</strong> EU coherence<br />
at the <strong>Review</strong> Conference.<br />
2. Case Study: The UN Small Arms <strong>Review</strong> Conference: A Missed Opportunity for the<br />
EU?<br />
Small arms and light weapons (SALW) are responsible for the majority <strong>of</strong> armed conflict<br />
deaths and are used in more than 40% <strong>of</strong> homicides in the world. In 2006 the estimated<br />
number <strong>of</strong> SALW in existence was around 640 millions (Small Arms Survey 2006). Following<br />
the sudden increase <strong>of</strong> the global arms trade after the end <strong>of</strong> the Cold War and<br />
their use in the internal conflicts in the 1990s in Rwanda, Somalia and in the Balkans,<br />
numerous states, international organizations and NGOs focused on the proliferation <strong>of</strong><br />
SALW as the next human security issue to be addressed by the international community.<br />
At the UN, the adoption <strong>of</strong> a comprehensive ban <strong>of</strong> SALW was never considered as a realistic<br />
option. Small arms are used by armed forces and police forces around the world and<br />
are legally owned by civilians in many states. In the late 1990s the UN recognized that a<br />
much broader approach would be needed to effectively deal with the effects <strong>of</strong> this type <strong>of</strong><br />
weapons. The EU became one <strong>of</strong> the most vocal actors to support UN initiatives to stem<br />
the proliferation <strong>of</strong> SALW.<br />
The EU’s involvement in this area can be explained by a number <strong>of</strong> factors. First, several<br />
EU Member States were (and still are) important exporters <strong>of</strong> small arms. 9 These<br />
states began to recognize that an increasing portion <strong>of</strong> their small arms production was being<br />
“recycled” and illegally sold on the global arms market and used in conflict areas (see<br />
Small Arms Survey 2003). In addition, systematic studies showed that large quantities <strong>of</strong><br />
arms were smuggled through the EU and brokered by EU companies and individuals. 10<br />
Second, EU activities in the areas <strong>of</strong> development assistance, humanitarian aid and con-<br />
9<br />
In 1995 the EU accounted for 33% <strong>of</strong> the total arms export. See Eavis/Benson 1999: 89. Currently,<br />
at least 1,134 companies in 98 countries worldwide are involved in some aspect <strong>of</strong> the<br />
production <strong>of</strong> small arms and/or ammunition. The largest exporters <strong>of</strong> SALW by volume are<br />
the EU (e.g., Belgium, Germany, France, Italy and the UK) and the US. .<br />
10<br />
See Saferworld 1998.<br />
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flict prevention were directly affected by the proliferation <strong>of</strong> small arms. In 1997, the EU<br />
took a first step to address the small arms issue by adopting a political declaration, the<br />
Programme for Preventing and Combating Illicit Trafficking in Conventional Arms. The Programme<br />
was followed by a series <strong>of</strong> other initiatives. In June 1998, the General Affairs<br />
Council formally adopted the EU Code <strong>of</strong> Conduct on Arms Exports, a document that is<br />
not legally binding. However, EU Member States agreed to apply the Code <strong>of</strong> Conduct<br />
and its common criteria when assessing application to export arms and to share information<br />
on export control policies. 11 A few months later, the first Joint Action on SALW<br />
(1999/34/CFSP) was approved by the Council <strong>of</strong> Ministers. It suggested objectives and<br />
measures to combat the destabilizing accumulation and spread <strong>of</strong> SALW and provided financial<br />
and technical assistance to specific actions in this field. In December 2000 the EU<br />
presented a Plan <strong>of</strong> Action on small arms to the UN General Assembly. The Plan <strong>of</strong> Action<br />
stated the EU’s priorities with regard to national, regional and international initiatives<br />
on small arms. More importantly, the Plan also supported the elaboration <strong>of</strong> a legally<br />
binding agreement to restrict the production and trade in small arms. 12<br />
The EU’s efforts to reach an international agreement on small arms were supported by<br />
the creation in 1998 <strong>of</strong> the International Action Network on Small Arms (IANSA), a<br />
global network <strong>of</strong> civil society organizations working to stop the proliferation and misuse<br />
<strong>of</strong> small arms and light weapons. 13 The EU and IANSA first collective effort was to focus<br />
on the promotion <strong>of</strong> a UN conference on small arms and introduction <strong>of</strong> stringent international<br />
commitments. However, several states, including the United States, were more<br />
apprehensive about the conclusion <strong>of</strong> international agreements on the regulation <strong>of</strong> the<br />
trade <strong>of</strong> small arms. These states privileged national or regional approaches over the adoption<br />
<strong>of</strong> global guidelines (Small Arms Survey 2006; Bondi 1999). These States actively<br />
lobbied for the UN conference to only focus on the illicit, and not the legal, trade <strong>of</strong> small<br />
arms.<br />
11<br />
See European Union, EU Code <strong>of</strong> Conduct on Arms Exports, Council document 8675/2/98<br />
Rev.2,Brussels, 8 June 1998. This Code stipulates that arms should not be sent to countries<br />
where there is a clear risk that they might be used for external aggression or internal repression.<br />
12<br />
UN Document A/Conf.192/PC/21<br />
13<br />
See www.iansa.org<br />
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Despite some unenthusiastic support from several UN members, the United Nations<br />
Conference on the Illicit Trade <strong>of</strong> Small Arms and Light Weapons in All Aspects opened in<br />
New York on 9 July 2001. A few weeks before the beginning <strong>of</strong> this Conference, the<br />
European Commission, with the support <strong>of</strong> the Swedish Presidency, published a report entitled<br />
Small Arms and Light Weapons- The response <strong>of</strong> the European Union. The report stated<br />
the EU’s objectives for the UN Small Arms Conference which included the implementation<br />
<strong>of</strong> international exports controls and principles, the development <strong>of</strong> international instruments<br />
on marking and tracing and on arms brokering and the need to address the issues<br />
<strong>of</strong> civilian possession and transfer to non-state groups.<br />
Negotiations were difficult at the 2001 Conference. The US refused to support an international<br />
agreement that would focus on the legal trade and manufacturing <strong>of</strong> SALW,<br />
regulate small arms transfer to non-state actors or prohibit civilian possession. The African<br />
bloc, the region most affected by the proliferation <strong>of</strong> small arms, also rejected to compromise<br />
on the issues <strong>of</strong> civilian possession and transfers to non-state actors. Negotiations<br />
concluded on the morning <strong>of</strong> 21 July. A politically (not legally) binding document, the<br />
Programme <strong>of</strong> Action (PoA) to Prevent, Combat and Eradicate the Illicit Trade in Small Arms<br />
and Light Weapons in All Its Aspects, was adopted by consensus later that same day. It suggested<br />
a broad set <strong>of</strong> measures to tackle the illicit trade <strong>of</strong> SALW. A <strong>Review</strong> Conference<br />
<strong>of</strong> the Programme <strong>of</strong> Action was also planned for 2006. Several international actors, including<br />
the EU welcomed the adoption <strong>of</strong> the Programme <strong>of</strong> Action (PoA), but also insisted<br />
that stronger commitments and efforts were needed from the international community. 14<br />
The Small Arms <strong>Review</strong> Conference would be a crucial opportunity for the European Union<br />
and the international community to reaffirm their commitment to stop the proliferation<br />
<strong>of</strong> SALW.<br />
14<br />
In this sense, in its final statement the President <strong>of</strong> the Conference expressed his “disappointment<br />
over the Conference’s inability to agree, due to the concerns <strong>of</strong> one state [the United<br />
States], on language recognizing the need to establish and maintain control over private ownership<br />
<strong>of</strong> these deadly weapons and the need for preventing sales <strong>of</strong> such arms to non-state<br />
group”. See United Nations, Annex- Statement by the President <strong>of</strong> the Conference after the<br />
adoption <strong>of</strong> the Programme <strong>of</strong> Action to Prevent and Eradicate the Illicit Trade in Small Arms<br />
and Light Weapons in All its aspects. Report <strong>of</strong> the United Nations Conference on the Illicit Trade<br />
in Small Arms and Light Weapons in All its Aspects, New York, 9-20 July 2001 (A/CONF.192/15)<br />
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In the next sections, the proposed analytical framework is used to examine the EU’s<br />
coherence and effectiveness at the 2006 Small Arms <strong>Review</strong> Conference. All three levels<br />
<strong>of</strong> negotiations are analyzed to identify the factors that might have influenced the EU<br />
success during the negotiations. The paper focuses first on negotiations at the EU level<br />
(Level II) to explore the EU approach, which shaped negotiations at the UN (Level I).<br />
Finally, a discussion <strong>of</strong> some <strong>of</strong> the actors and the policy-making processes in the domestic<br />
arena (Level III) is also included.<br />
• Negotiations at the EU level<br />
Negotiations at the EU level prior to the 2006 <strong>Review</strong> Conference concentrated on<br />
achieving coherence in the different dimensions we have highlighted. Following the 2001<br />
UN Small Arms Conference, the EU Member States and the Commission remained active<br />
on this issue. While the Commission continued to manage a number <strong>of</strong> initiatives in<br />
various part <strong>of</strong> the world, SALW was still considered by the Member States as a CFSP issue.<br />
At the EU level, the Council <strong>of</strong> Ministers and, more specifically, the Council <strong>of</strong> General<br />
Affairs and External Affairs and two <strong>of</strong> its working groups (COARM, the working<br />
group on conventional arms exports; and CODUN, responsible for the coordination between<br />
the EU Member States at the UN) remained the key players in this area.<br />
In July 2002 the Council adopted a new Joint Action (2002/589/CFSP), which replaced<br />
the 1998 Joint Action. The new Joint Action had a geographical focus (Africa,<br />
Asia, Latin America and the Balkans) and several objectives: to combat the destabilizing<br />
spread <strong>of</strong> SALW and to reduce existing accumulation <strong>of</strong> SALW and their ammunitions in<br />
these regions. In the following year, the EU continued to strengthen its approach to<br />
SALW and strive towards vertical consistency by adopting a Common Position on the<br />
controls <strong>of</strong> arms brokering (2003/468/CFSP). The Common Position established a clear<br />
legal framework and requested from the EU Member States to adopt the necessary national<br />
measures to control arms brokering activities on their territory.<br />
Moreover, the PoA revealed that key issues, such as controlling arms transfers and arms marking<br />
and tracing, would require follow-up negotiation. See e.g. Greene 2002.<br />
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During its EU presidency in the second half <strong>of</strong> 2005 the UK, one <strong>of</strong> the most active actors<br />
on SALW, undertook several initiatives to address this issue at the EU level. First,<br />
with the Control Arms campaign and the British NGO Saferworld, the UK organized a<br />
meeting in Brussels in October 2005 to discuss an Arms Trade Treaty (ATT) with representatives<br />
from EU Member States, the European Commission and the European Parliament,<br />
as well as various European NGOs. 15 The ATT would create legally binding controls<br />
and international standards on arms trade. The ATT rapidly gained support among<br />
the EU Member States as it would introduce global standards similar to the EU Code <strong>of</strong><br />
Conduct, thus ensuring that EU arms manufacturers would not be disadvantaged in the<br />
global market. By the end <strong>of</strong> 2005 the General Affairs Council supported the idea <strong>of</strong> an<br />
international treaty to establish common standards for the global trade in conventional<br />
arms.<br />
Second, with the preparatory sessions <strong>of</strong> the <strong>Review</strong> Conference scheduled for the beginning<br />
<strong>of</strong> January 2006, the EU Member States, backed by the Commission, recognized<br />
the need to address vertical and, to a certain extent, horizontal coherence. The EU Strategy<br />
to combat the Illicit Accumulation and the Trafficking <strong>of</strong> SALW and their Ammunitions was<br />
adopted by the European Council on 15-16 December 2005. The Strategy, which is linked<br />
to the 2003 European Security Strategy, is presented as a guidance tool for all EU activities<br />
in the area <strong>of</strong> SALW. It highlights the need for an integrated approach to combat the<br />
illicit trade <strong>of</strong> SALW. It also outlines measures to be taken at the global level, but also<br />
within the EU. At the EU level, the Strategy’s Action Plan calls for an effective response<br />
to the accumulation <strong>of</strong> SALW and for the establishment and development <strong>of</strong> the necessary<br />
structures within the EU to deal with the issue. This includes the strengthening <strong>of</strong><br />
the Council Secretariat’s capabilities to ensure a coherent application <strong>of</strong> the strategy by<br />
working in close cooperation with SALW experts from the Commission and Member<br />
States. The Strategy also promotes greater horizontal coordination and exchange <strong>of</strong> information<br />
between the Council’s experts groups both geographical and thematic<br />
(CODUN, COARM, etc). Finally, the Strategy stresses the need to ensure consistency<br />
15<br />
The global Control Arms Campaign was launched in 2003 by three UK-based NGOs: Oxfam,<br />
Amnesty International and IANSA to support the Arms Trade Treaty. The idea <strong>of</strong> an international<br />
Arms Trade Treaty was first put forward by a group <strong>of</strong> Nobel Peace Laureates in 1995<br />
with the aim <strong>of</strong> limiting the spread and misuse <strong>of</strong> conventional arms, both light and heavy.<br />
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between the Council decisions in the CFSP framework and actions implemented by the<br />
Commission in the field <strong>of</strong> development aid.<br />
With the adoption <strong>of</strong> its Strategy on small arms, the EU aimed not only to address coherence<br />
problems, but also to demonstrate that it could speak with one voice on this issue.<br />
Yet, the EU Strategy on SALW was the result <strong>of</strong> negotiations and compromises at the<br />
EU level. For instance, the Strategy was adopted “to combat illicit accumulation and trafficking<br />
<strong>of</strong> SALW and also their ammunition”. The fact that ammunitions were included<br />
in the title <strong>of</strong> the Strategy seems to indicate that certain states for which ammunition was<br />
a main concern must have pressed for this issue to become a priority for the EU. As the<br />
next section will show, Germany and France were part <strong>of</strong> these countries that called for<br />
action regarding the accumulation <strong>of</strong> ammunition. Furthermore, the EU Strategy supports<br />
the adoption <strong>of</strong> a legally binding instrument on marking and tracing. This clearly reflected<br />
the priorities <strong>of</strong> states such as the UK. The EU Strategy suggested that although the EU<br />
Member States agreed that the international community should act to tackle the proliferation<br />
<strong>of</strong> SALW, they had different priorities with regards to what measures should be<br />
adopted.<br />
The EU Strategy on Small Arms gives a central role to the Council and the Member<br />
States in the campaign against the spread <strong>of</strong> SALW. Yet, it does acknowledge the role <strong>of</strong><br />
another EU institution: the European Commission. Human security issues such as the<br />
production and trade <strong>of</strong> SALW do not generally fall into the competence <strong>of</strong> the Commission<br />
as they are considered CFSP issues. However, the Commission is responsible for the<br />
European Community actions in the field <strong>of</strong> humanitarian and development assistance,<br />
which are considered by many as intrinsic parts <strong>of</strong> human security. Following the 2001<br />
Small Arms Conference, the Commission created several SALW-related programs using<br />
different lines <strong>of</strong> budget and the European Development Fund (EDF) to fund SALW related<br />
assistance in ACP (African, Caribbean and Pacific) countries and Overseas Countries<br />
and Territories (OCT). Furthermore in October 2004 the European Commission<br />
funded a wide-ranging research project on “Strengthening European Action on SALW<br />
and Explosive Remnants <strong>of</strong> War”. This study focused on some <strong>of</strong> the consistency problems<br />
<strong>of</strong> the EU SALW policy and was carried out by the UN Institute for Disarmament<br />
Research (UNIDIR). Although the research project was initiated before the adoption <strong>of</strong><br />
the EU Strategy on SALW, it was only completed in June 2006. The study, which was<br />
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presented as complementing the EU Strategy, was mainly funded by the Commission, but<br />
it also received additional funding from the UK. While the report’s aim was to <strong>of</strong>fer suggestions<br />
on how the EU as a whole could become more effective in the area <strong>of</strong> SALW, it<br />
focused primarily, but not exclusively, on initiatives that could be carried out by the<br />
Commission. The final report <strong>of</strong> the study covered all SALW-related activities funded by<br />
the different institutional branches. It suggested that problems <strong>of</strong> (both content and representation)<br />
institutional consistency (mostly between the Council and the Commission)<br />
were inevitable and should be addressed by the EU.<br />
Thus the UNIDIR report highlighted an important issue: EU SALW policy suffered<br />
from some consistency problems. In the years between the 2001 Small Arms Conference<br />
and the 2006 <strong>Review</strong> Conference, the Commission and the Member States had adopted<br />
different approaches regarding the small arms issue. As a recent opinion <strong>of</strong> the European<br />
Court <strong>of</strong> Justice (ECJ) demonstrates, the Commission centered the debate on SALW on<br />
its policy <strong>of</strong> development cooperation. 16 The Commission argued that the campaign<br />
against the proliferation <strong>of</strong> SALW had become an integral part <strong>of</strong> the policy <strong>of</strong> development<br />
cooperation and should fall within the scope <strong>of</strong> the competences conferred on the<br />
Community in that field. In contrast, the Member States argued that the campaign<br />
against the spread <strong>of</strong> SALW was an issue <strong>of</strong> disarmament and arms control. It should thus<br />
not fall within the Community’s competences as the main aims <strong>of</strong> the EU policy on<br />
SALW are preserving peace and strengthening international security. At the opening <strong>of</strong><br />
the <strong>Review</strong> Conference in June 2006 the debate between the Commission and the Member<br />
States on the EU SALW policy was still in progress. 17 With the adoption <strong>of</strong> a Strategy<br />
on small arms, the EU wished to address potential consistency problems. Yet, some <strong>of</strong><br />
these consistency problems, both within the content and the representation dimensions<br />
would affect the EU’s ability to be an effective actor at the <strong>Review</strong> Conference.<br />
16<br />
See Opinion <strong>of</strong> AG Mengozzi in ECJ Case C-91/05, Commission <strong>of</strong> the European Communities<br />
vs. Council <strong>of</strong> the European Union, pending, 19 September 2007.<br />
17<br />
In fact, the EU’s agenda in the 2006 <strong>Review</strong> Conference was indeed a compromise between the<br />
Member States in order to ensure horizontal content coherence. This fact may have played a<br />
role in the development <strong>of</strong> the negotiations, as other main players at the conference may have<br />
been aware <strong>of</strong> this.<br />
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• Negotiations at the UN level<br />
The Preparatory Committee <strong>of</strong> the Small Arms <strong>Review</strong> Conference met in New York in<br />
January 2006. At this Committee, the EU multiplied its efforts to convince other states to<br />
support the adoption <strong>of</strong> strong international commitments. The EU also presented its<br />
Strategy on SALW, which, in the framework <strong>of</strong> the PoA, supported the adoption <strong>of</strong> a legally<br />
binding international agreement on the tracing and marking <strong>of</strong> SALW, the creation<br />
<strong>of</strong> a group <strong>of</strong> experts on brokering, the strengthening <strong>of</strong> exports control and the inclusion<br />
<strong>of</strong> minimum common international criteria and guidelines for controls on SALW transfers.<br />
This EU strategy aimed not only to ensure that the EU security strategy and its development<br />
policy were consistent, but also to contribute to enhance the credibility <strong>of</strong> the<br />
EU as a policy advocate on the issue <strong>of</strong> SALW, i.e. the horizontal and vertical content<br />
dimensions (see fig. 1).<br />
While the EU Strategy attempted to address issues <strong>of</strong> horizontal consistency, problems<br />
<strong>of</strong> coordination between the Member States emerged at the Preparatory Committee, i.e.<br />
vertical representation incoherence. Several EU Member States campaigned for the <strong>Review</strong><br />
Conference to concentrate on specific issues, which reflected their national interests.<br />
For example, France and Germany emphasized the need to combat the illicit trade <strong>of</strong><br />
ammunitions. At the same time, the Netherlands and the UK presented a working paper<br />
on the negative humanitarian and development impact <strong>of</strong> the illicit trade <strong>of</strong> SALW and<br />
recommended that the link between SALW and development should be clearly spelled<br />
out in the final document <strong>of</strong> the Conference. With EU Member States campaigning for<br />
different issues to be included in the final document, it became unclear which <strong>of</strong> these issues<br />
were considered the priorities for the EU and on which <strong>of</strong> them the EU would be<br />
willing to compromise.<br />
Negotiations were arduous as a number <strong>of</strong> states including the United States, Iran, Israel<br />
and Egypt refused to compromise on certain issues. There was a general agreement<br />
among states, including EU Member States, that the <strong>Review</strong> Conference should not renegotiate<br />
the existing Programme <strong>of</strong> Action, but rather complement or enhance the PoA<br />
and its implementation. However negotiations reached an impasse on issues such as civilian<br />
possession or transfer to non-state actors. Negotiations at the Preparatory Committee<br />
ended on 20 January without agreement on a final draft to forward to the <strong>Review</strong> Confer-<br />
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ence. The Chairman produced a conference room paper, but, to the EU’s dismay, was unable<br />
to gain support for its incorporation into the final document; only texts <strong>of</strong> an organizational<br />
nature were adopted and forwarded to the <strong>of</strong>ficers <strong>of</strong> the <strong>Review</strong> Conference.<br />
Six months later, the 2006 United Nations Conference to <strong>Review</strong> the Implementation <strong>of</strong><br />
the UN Programme <strong>of</strong> Action to Prevent, Combat and Eradicate the Illicit Trade <strong>of</strong> Small Arms<br />
and Light Weapons in all its Aspects opened in New York on 26 June 2006. Even before the<br />
start <strong>of</strong> this <strong>Review</strong> Conference, there was some controversy. In the weeks preceding the<br />
Conference, the powerful American National Rifle Association (NRA) had launched a<br />
campaign <strong>of</strong> mass mailing to the UN to denounce “the UN attempts to deny the rights <strong>of</strong><br />
Americans to guns ownership” (Hoge 2006). This campaign prompted the UN Secretary-<br />
General to reaffirm that the <strong>Review</strong> Conference would not negotiate a “global gun ban”<br />
or try to “deny law-abiding citizens their right to bear arms in accordance with their national<br />
law”. 18 Nonetheless, spirits were high at the beginning <strong>of</strong> the Conference, as many<br />
international actors, including the EU, believed that the adoption <strong>of</strong> a strong outcome<br />
document would be beneficial to the work against the illicit trade <strong>of</strong> SALW.<br />
At the <strong>Review</strong> Conference, the EU attempted to reaffirm that it had a coherent approach<br />
to tackle the spread <strong>of</strong> SALW. Transfer controls, marking and tracing, brokering<br />
regulations, ammunition and the integration <strong>of</strong> SALW measures into development assistance<br />
were all identified as EU priorities and several EU member states, including the UK,<br />
Germany and the Netherlands also made statements supporting the EU (vertical and<br />
horizontal) content priorities. 19 In contrast to the position <strong>of</strong> the EU, other states, including<br />
India and China expressed their reservations to negotiate on a number <strong>of</strong> issues. Furthermore,<br />
the US would not agree to negotiate any provisions restricting civilian possession<br />
or the legal trade <strong>of</strong> firearms inconsistent with US laws and practices. Ammunitions<br />
and the transfer to non-state actors were also established as “red lines” for the Americans.<br />
18<br />
See http://www.un.org/events/smallarms2006<br />
19<br />
These priorities are closely connected with the history <strong>of</strong> the process. On the one hand, there<br />
are issues which were not included in the 2001 Programme <strong>of</strong> Action, such as the civilian<br />
possession <strong>of</strong> SALW, transfers to non-state actors or global guidelines for national decisions on<br />
whether to authorize SALW transfers that also take certain criteria into account, such as the<br />
situation <strong>of</strong> human rights, the risk <strong>of</strong> conflict caused by weapons transfers, or possible negative<br />
consequences for the development <strong>of</strong> the country. On the other hand, from 2001 to 2006 several<br />
instruments had been negotiated, such as the one on marking and tracing, leaded by sev-<br />
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Formal negotiations on the draft final document were only initiated on 5 July as the<br />
High-level segment <strong>of</strong> the Conference overran the scheduled time. However, a number <strong>of</strong><br />
informal meetings were held between 30 June and 7 July. A side-event entitled EU Action<br />
in the Area <strong>of</strong> SALW was also organized on 30 June to present a comprehensive overview<br />
<strong>of</strong> the EU’s activities. Representatives from the Presidency, the Council Secretariat/Office<br />
<strong>of</strong> the High Representative for CFSP’s Personal Representative on non-proliferation and<br />
the European Commission presented the EU SALW policy and the instruments put in<br />
place to achieve the objectives set out in the EU Strategy. While the EU wished to show<br />
institutional coherence not only by highlighting the different EU players involved on the<br />
SALW issue, but also by delineating the responsibilities <strong>of</strong> each institution, this side-event<br />
actually revealed that horizontal consistency had yet to be achieved, particularly on the<br />
dimension <strong>of</strong> representation. The participation <strong>of</strong> the Office <strong>of</strong> the Personal Representative<br />
<strong>of</strong> the High Representative on non-proliferation was a clear signal that curbing the<br />
proliferation <strong>of</strong> SALW remained first and foremost a CFSP issue. Yet, the presence <strong>of</strong> the<br />
European Commission also reflected another reality: a number <strong>of</strong> SALW related programmes<br />
under different EC budget lines are managed by the European Commission. The<br />
involvement <strong>of</strong> the European Parliament in the <strong>Review</strong> Conference was, however, quite<br />
limited. Members <strong>of</strong> the European Parliament were allowed to participate in the EU sideevent,<br />
but only as part <strong>of</strong> the Presidency delegation. The delegation <strong>of</strong> the European Parliament<br />
also had a private meeting with the President <strong>of</strong> the <strong>Review</strong> Conference. This<br />
delegation presented its own priorities to the President, which in some aspects differed<br />
from the EU’s priorities and were closer to the NGO community’s vertical content concerns.<br />
20 While this meeting had probably little impact on the negotiations, it emphasized<br />
the fact that the EU institutions were not speaking with a single voice. In other words, internal<br />
factors influenced European coordination. Following our theoretical proposal, the<br />
EU suffered from some coherence problems linked to the aspect <strong>of</strong> representation. The<br />
EU seemed to be represented by different negotiators.<br />
eral EU member states and Europe-based NGOs. Regarding civil society priorities, all NGO <strong>of</strong>ficials<br />
interviewed point out that the PoA should be legally binding.<br />
20<br />
Interview with R. Romeva, MEP Green Party, Leader <strong>of</strong> the Delegation <strong>of</strong> the European Parliament<br />
at the <strong>Review</strong> Conference, New York, 30.06.2007. Romeva had prepared the annual<br />
report <strong>of</strong> the European Union Code <strong>of</strong> Conduct on Arms Exports, a document approved by the<br />
European Parliament and interpreted as “very progressive” by the NGO <strong>of</strong>ficials.<br />
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While the EU Presidency (Austria in the first week and Finland in the second week)<br />
held a number <strong>of</strong> coordination meetings to achieve an EU common position on the key<br />
issues discussed at the Conference and organized two meetings between the EU and<br />
European NGOs attending the Conference, problems <strong>of</strong> coordination between the EU<br />
Member States resurfaced at the <strong>Review</strong> Conference. As soon as the negotiation phase<br />
began, several EU member states were pushing for their own priorities and even conducting<br />
negotiations without their other EU colleagues. France and Germany wanted the final<br />
document to include a reference to ammunitions and focused their efforts at the <strong>Review</strong><br />
Conference on trying to reach a deal with the Americans on this specific issue. The UK<br />
advocated for specific issues, such as transfer control to be included in the outcome<br />
document. Together with the Netherlands, the UK also advocated for the link between<br />
fight against the spread <strong>of</strong> illicit SALW and sustainable development to be recognized.<br />
Furthermore, the British delegation attempted to persuade the American delegation to<br />
support the inclusion <strong>of</strong> other issues in the final document. However, these British initiatives<br />
were criticized by other EU member states as some <strong>of</strong> these states felt that the UK<br />
was too close to the US to advocate strict positions on some <strong>of</strong> the controversial issues.<br />
The UK also made several proposals and suggestions to the President <strong>of</strong> the Conference,<br />
especially on transfer controls, without consulting its EU partners. The fact that individual<br />
Member States fervently lobbied for their national priorities rather than the EU’s more<br />
general objectives created a situation where the EU’s willingness to compromise was eclipsed<br />
by EU Member States’ inflexibility on certain issues. 21<br />
The <strong>Review</strong> Conference being based on consensus, many EU Member States realized<br />
that most <strong>of</strong> their efforts should be concentrated on convincing less enthusiastic states to<br />
support the adoption <strong>of</strong> a final document. Several authors have emphasized that institutional<br />
decision-making rules can shape negotiations at the international level (Jupille<br />
1999; Depledge 2006; Buzan 1981). In the context <strong>of</strong> the <strong>Review</strong> Conference, the reluc-<br />
21<br />
Apart from obvious problems <strong>of</strong> policy coordination, in the context <strong>of</strong> a negotiation with multiple<br />
actors and extremely limited time, the fact that there were different priorities among the<br />
European member states was also a content coherence problem. Even if theoretically their priorities<br />
were not mutually exclusive, the fact is that negotiators had to choose in which ones<br />
concentrate their efforts. As a matter <strong>of</strong> fact, they became competing policy proposals, which<br />
raised issues <strong>of</strong> vertical content incoherence.<br />
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tance <strong>of</strong> several states to negotiate on certain specific issues clearly had an effect on the<br />
EU. The inflexibility <strong>of</strong> the Americans regarding their “red lines” constituted a colossal<br />
obstacle for the EU. Negotiations were also complicated because the US delegation had to<br />
send to Washington the various versions <strong>of</strong> the draft outcome document produced during<br />
the negotiations. This considerably slowed down the bargaining process. Cuba, India and<br />
other countries, such as Iran and Pakistan also refused to negotiate on particular issues.<br />
Furthermore, two <strong>of</strong> the main SALW producers, China and Russia, used the consensus<br />
rule to maintain their positions on certain controversial issues without making much noise.<br />
The EU had therefore to work twice as hard: first, to achieve consensus with other UN<br />
partners and then to maintain a strong EU common position on all these issues.<br />
During the <strong>Review</strong> Conference, the EU was criticized by other states for spending too<br />
much time on trying to coordinate the EU position and not enough talking to other potential<br />
allies, including several African and Asian states. This fact suggests that coherence<br />
issues are more complex than what the literature tends to consider, showing the need to<br />
refine the theoretical categories in this field. In this sense, it seems that the efforts to a-<br />
chieve (internal) consistency within the EU member states could have prevented the EU<br />
to effectively negotiate with potential allies in the negotiations.<br />
Indeed, this fact was seen as particularly problematic as these are the most affected regions<br />
by the scourge <strong>of</strong> SALW. In fact, most African and Asian countries supported proposals<br />
for stronger regulations. However, these states, lacking the necessary political<br />
weight and resources, were not in a position to impose their preferences and crucially<br />
needed the EU to support their initiatives. Furthermore, the EU was not able to clearly<br />
convey their priorities to these potential allies. For example, the EU failed to convince key<br />
partners to recognize the link between development assistance and the adoption <strong>of</strong> international<br />
measures on SALW. Indeed, several developing countries vetoed any mention <strong>of</strong><br />
this link in the final document. A number <strong>of</strong> states from the Non-Aligned Movement, including<br />
India and Indonesia and the Caribbean States, raised concerns about the idea <strong>of</strong><br />
conditionality on development aid and about resources from the donor countries being<br />
diverted from development to small arms projects. The link between development aid and<br />
measures on SALW had been identified as a central EU priority at the beginning <strong>of</strong> the<br />
Conference. However, during the negotiations, it was only truly championed by a small<br />
group <strong>of</strong> EU Member States, including the UK and the Netherlands. The EU initiatives to<br />
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create new funds to specifically deal with the proliferation <strong>of</strong> SALW were thus unnoticed<br />
or misinterpreted by the developing countries. The EU’s approach to SALW aimed to<br />
achieve horizontal content consistency between the EU policy, especially between its security<br />
and development policy. The EU wished to export this notion <strong>of</strong> horizontal coherence<br />
to developing countries. Yet, it failed to do so in an effective manner. This objective<br />
was not clearly explained to the EU’s partners during the negotiation, which diminished<br />
the EU’s leverage.<br />
With a few hours <strong>of</strong> negotiations left at the <strong>Review</strong> Conference, EU Member States<br />
recognized that their efforts should be concentrated on convincing other states to support<br />
the final (weak) document rather than pushing for more stringent commitments. Nevertheless,<br />
the content consistency problem <strong>of</strong> several EU Member States having different<br />
priorities did not allow them to act effectively. With the deadline <strong>of</strong> 6pm rapidly approaching,<br />
it became clear that no consensus could be reached on an outcome document.<br />
Some delegations hoped that the <strong>Review</strong> Conference would be extended for a few hours<br />
in order to find a similar agreement as the one reached at the first SALW Conference in<br />
2001. However, around 5.30pm, the President <strong>of</strong> the <strong>Review</strong> Conference, Ambassador<br />
Kariyawasam, began the procedures to close the conference and adopted a procedural document;<br />
hence the final outcome document stated that “the Conference was not able to<br />
agree to conclude a final document”. 22<br />
Many national delegations and NGOs representatives were disappointed by the lack <strong>of</strong><br />
result <strong>of</strong> the Conference; some states even described the Conference as a failure. Ambassador<br />
Kariyawasam in its closing remarks said that a consensus on the final document had<br />
been “within grasp”. He believed that despite the lack <strong>of</strong> consensus on a final document,<br />
the <strong>Review</strong> Conference had been successful in attracting the interest <strong>of</strong> the international<br />
community. In its final statement at the Conference, Finland on behalf <strong>of</strong> the EU, stated<br />
that the “conference has been a missed opportunity to make a real difference in our common<br />
fight against the scourge <strong>of</strong> illicit small arms and light weapons”.<br />
• Negotiations at the domestic level<br />
22<br />
See Doc. A/CONF.192/2006/RC/9.<br />
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At the <strong>Review</strong> Conference, the issues <strong>of</strong> transfer controls, marking and tracing, brokering<br />
regulations, ammunition and the integration <strong>of</strong> small arms measures into development assistance<br />
were all identified as EU priorities. Yet, during the negotiations in New York, a<br />
number <strong>of</strong> EU Member States opted to focus only partially on these priorities as a whole.<br />
This created some content consistency problems. The analysis <strong>of</strong> the domestic level can<br />
reveal why some states chose to concentrate on some priorities rather than on others. A<br />
comprehensive multilevel analysis <strong>of</strong> negotiations at the <strong>Review</strong> Conference would require<br />
looking at the domestic politics <strong>of</strong> 25 EU Member States. However, due to lack <strong>of</strong><br />
space, the analysis will concentrate on three EU Member States: the United Kingdom,<br />
France and Germany. Not only are these states dominant in the CFSP framework and<br />
major SALW exporters, but they were also central players at the <strong>Review</strong> Conference.<br />
Since the late 1990s, issues <strong>of</strong> arms exports, brokering and transparency have dominated<br />
the debate on SALW within EU Member States. This was primarily fuelled by the<br />
publication <strong>of</strong> studies showing that large quantities <strong>of</strong> arms were smuggled through the<br />
EU and brokered by EU companies and individuals. According to a study undertaken by<br />
the NGO Saferworld in 1998, France and the UK, along with Belgium, were the EU most<br />
implicated countries in the illicit trade <strong>of</strong> SALW in the region <strong>of</strong> Sub-Saharan Africa (Saferworld<br />
1998). The study revealed that arms manufactured in France and in the UK were<br />
used in Sudan. French manufactured arms also found their way to Rwanda and the Democratic<br />
Republic <strong>of</strong> Congo.<br />
In France, control over arms exports, including SALW exports came to the forefront<br />
<strong>of</strong> domestic politics with the “Quiles” Commission. This Commission was established in<br />
1998 to investigate the role <strong>of</strong> France in Rwanda between 1990 and 1994. The Commission<br />
was set up following strong pressure from French civil society, including NGOs,<br />
members <strong>of</strong> the media and the academic community. The Commission strongly criticised<br />
the lack <strong>of</strong> transparency regarding French arms exports including SALW exports<br />
(McNulty 2000). Following the publication <strong>of</strong> the Commission’s report, the French government<br />
adopted several measures to enhance the transparency <strong>of</strong> arms exports, including<br />
the publication <strong>of</strong> a report to the Parliament identifying measures taken by the government<br />
to control arms exports and supplying statistics on arms orders and deliveries. In<br />
2002 the French government also adopted stricter regulations that require brokers operat-<br />
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ing in France to be registered and keep records <strong>of</strong> their activities. The French government’s<br />
priority regarding strengthening control over arms exports and brokering was again<br />
strongly voiced at the EU level.<br />
In contrast, Germany has been described as the most transparent SALW exporter in<br />
the European Union (Small Arms Survey 2006). SALW exports remain a sensitive issue<br />
in German domestic politics. Germany has <strong>of</strong>ten been regarded as a front-runner in applying<br />
strong control over small arms exports. This can be explained by the Germany’s “constitutional<br />
and political-cultural legacy as a defeated aggressor in the Second World War”<br />
which meant that “the reconstruction <strong>of</strong> an arms industry, let alone and export-based industry,<br />
was viewed with great apprehension both domestically and amongst its<br />
neighbours” (Holm 2006: 226). Germany early on encouraged other EU Member States<br />
and the EU to adopt stronger transparency measures on arms exports.<br />
Since the adoption <strong>of</strong> its Strategy on Small Arms, the EU has reaffirmed the necessity<br />
to have an integrated approach regarding SALW. One <strong>of</strong> the EU priorities at the <strong>Review</strong><br />
Conference was the integration <strong>of</strong> SALW measures into development assistance. This<br />
priority was principally championed by the UK. As early as July 2000, the British Government<br />
established the Global Conflict Prevention Pool, which included a strategy on<br />
SALW. This pool was managed jointly by the Foreign and Commonwealth Office, the<br />
Department for International Development and the Ministry <strong>of</strong> Defence. The British<br />
SALW strategy aimed to coordinate existing programmes managed by the three departments<br />
under a single set <strong>of</strong> objectives and resources. It also included support for partnership<br />
with UN agencies and civil society organisations. In addition to the SALW strategy,<br />
the British government adopted in 2002 the Export Control Act, which introduced a<br />
strong revision <strong>of</strong> its export control legislation. Within its policy on SALW, the UK aimed<br />
to achieve content horizontal consistency. Having already addressed these issues at the<br />
domestic level, the UK was in a better position to carry on this idea at the EU level.<br />
The question <strong>of</strong> SALW ammunition was also identified as an EU priority. In Germany,<br />
this issue had become particularly challenging. The end <strong>of</strong> the Cold War saw more than<br />
one million <strong>of</strong> SALW, ammunition and explosives decommissioned in Germany. The<br />
massive amount <strong>of</strong> ammunition accumulated on German soil became problematic. First,<br />
stockpiles <strong>of</strong> ammunition posed potentially significant security risks for population close to<br />
ammunition depots. Second, the German authorities were also concerned by the risks <strong>of</strong><br />
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leakage from these stockpiles, which could lead to illicit trafficking to criminal and terrorist<br />
groups. The issue <strong>of</strong> ammunition became a central priority for the German government.<br />
It attempted to convince both its EU partners and the states participating to the<br />
<strong>Review</strong> Conference <strong>of</strong> the urgent need to address the illicit trade in SALW ammunition.<br />
Civilian ownership also became a central issue in domestic debates on SALW. In 1997,<br />
following the killing <strong>of</strong> children and a teacher in Dunblane Scotland by a lone gunman in<br />
March 1996, the British government banned the private ownership <strong>of</strong> handguns. In 2002,<br />
following the shooting <strong>of</strong> students and staff in a high school, the German parliament also<br />
introduced stronger regulations with regard to civilian firearm possession.<br />
An analysis <strong>of</strong> domestic politics in the UK, France and Germany also reveal that national<br />
NGO campaigns in these three states successfully pressed their government to address<br />
the issue <strong>of</strong> SALW both at the domestic, EU and the international level. From its<br />
creation, IANSA developed a close connection with several EU countries, but particularly<br />
with the UK. Indeed, the funding provided by the British Department for International<br />
Development supported the activities <strong>of</strong> the network during its first years <strong>of</strong> operation.<br />
IANSA headquarters and most <strong>of</strong> its biggest and more influential members, including<br />
Amnesty International, OXFAM and Saferworld, are based in London and Oxford. Having<br />
its headquarters in the EU, IANSA intensively lobbied, first, EU Member States - particularly<br />
the UK - and, second, EU institutions to get the EU to adopt a strong unified position<br />
on SALW. In this sense, European NGOs also recognized that achieving horizontal<br />
and vertical consistency within the EU was crucial. 23<br />
Furthermore, in March 2004, the British Foreign Secretary, Jack Straw, announced<br />
that the UK would support the idea <strong>of</strong> an international treaty on the arms trade. In all its<br />
initiatives regarding the Arms Trade Treaty, the UK was supported by IANSA and the<br />
Control Arms Campaign. Again, the UK with the help <strong>of</strong> various European NGOs took<br />
23<br />
It has to be noted that in the coordination meetings between EU and European NGOs, the<br />
number <strong>of</strong> NGO representatives was bigger than the group <strong>of</strong> EU diplomats. At these meetings<br />
NGOs made clear the need for the EU to achieve consistency in order to be successful in the<br />
<strong>Review</strong> Conference. However, if the NGOs were pushing the EU member states to spend more<br />
political capital opposing reluctant countries (particularly the US), some countries, such as the<br />
UK, made clear that they were not willing to do it. In this sense, the adoption <strong>of</strong> a more flexible,<br />
rather than a pre-fixed, negotiation strategy which aimed to find compromises with both<br />
the US and promoters <strong>of</strong> strong SALW control separately, and then aimed to broaden the<br />
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up this initiative at the EU level and convinced its EU partners <strong>of</strong> the need for the EU to<br />
support an international treaty on arms trade. The Control Arms campaign gained momentum<br />
when the EU member states supported the ATT during the European Council in<br />
October 2005. While the ATT was not formally discussed at the <strong>Review</strong> Conference, it<br />
was nevertheless envisaged by the EU as the next step to be taken by the international<br />
community to address the SALW issue.<br />
Conclusion<br />
The EU has been one <strong>of</strong> the most committed actors in the fight against the proliferation<br />
<strong>of</strong> SALW. Negotiations at the 2006 <strong>Review</strong> Conference focused on multiple complex issues,<br />
including civil ownership, trade arms controls, transfers to non-state actors and development<br />
assistance. At the start <strong>of</strong> the <strong>Review</strong> Conference, the EU Member States<br />
showed a united front and campaigned for the adoption <strong>of</strong> strong international commitments<br />
on these issues. 24 However, the EU was ineffective in its efforts to convince other<br />
states to support the reinforcement <strong>of</strong> the UN Programme <strong>of</strong> Action. This paper suggests<br />
that several factors linked to the multilevel nature <strong>of</strong> decision-making in the EU, especially<br />
in international negotiations, affected the effectiveness and the consistency <strong>of</strong> the<br />
EU at the <strong>Review</strong> Conference. In particular, problems <strong>of</strong> vertical and horizontal content<br />
coherence, but also vertical representation coherence have been identified.<br />
Hence the lack <strong>of</strong> consistency in the EU camp may have affected the success and the<br />
leadership <strong>of</strong> the EU at the <strong>Review</strong> Conference. Austria and Finland, which held the EU<br />
Presidency during the negotiations, attempted to enhance the coherence <strong>of</strong> the EU and<br />
tried to display some type <strong>of</strong> formal leadership. However, the effective leadership was<br />
mostly exerted by the UK, arguably the most active state during the <strong>Review</strong> Conference.<br />
The EU’s lack <strong>of</strong> leadership might also stem from other EU member states, including<br />
France and Germany, pursuing their own priorities (reflecting domestic interests) rather<br />
than the EU position. This resulted in a situation where “in attempts to take stronger pocommon<br />
ground, might have been more successful in reaching the EU’s objectives. We thank<br />
an anonymous reviewer for this suggestion.<br />
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sitions on a number <strong>of</strong> themes, several EU member states spoke on behalf <strong>of</strong> their individual<br />
governments, rather than allowing the moderate joint EU statements to represent<br />
them” (Buchanan 2006) and influenced the EU’s capacity to exert clear leadership in the<br />
negotiations. However, given the inflexible position <strong>of</strong> some reluctant countries in this<br />
conference, it could be argued that even if all the EU representatives had effectively developed<br />
their common agreed agenda, the final consensus in this conference would have<br />
been extremely difficult to achieve.<br />
In any case, institutional consistency problems at the EU level have become important<br />
features <strong>of</strong> the EU action on SALW, which can affect the EU effectiveness in international<br />
negotiations on this issue. From a vertical coherence point <strong>of</strong> view, it remains unclear<br />
whether and for how long the fight against the proliferation <strong>of</strong> SALW will remain<br />
outside the Community’s competence. As a recent opinion <strong>of</strong> the European Court <strong>of</strong> Justice<br />
(ECJ) demonstrate, the Commission as well as the European Parliament are increasingly<br />
arguing that the campaign against the proliferation <strong>of</strong> SALW has become an integral<br />
part <strong>of</strong> the policy development cooperation and should fall within the scope <strong>of</strong> the competences<br />
conferred on the Community in that field. Moreover, our analysis shows a controversial<br />
role <strong>of</strong> the European Parliament (EP). On the one hand, its active work can foster<br />
negotiations and agreements. On the other hand, due to divergence with the frequently<br />
lighter common EU position, giving more voice to the EP could be interpreted as leading<br />
to further fragmentation <strong>of</strong> representation, which can undermine thus coherence.<br />
External factors may have also fostered, in some sense, the coherence <strong>of</strong> the EU. The<br />
involvement <strong>of</strong> NGOs at the domestic level is one <strong>of</strong> them. Indeed, the EU Member States<br />
were urged by NGOs and IANSA to adopt a cohesive position on SALW. From the<br />
end <strong>of</strong> the 1990s, European NGOs intensively and successfully lobbied several key EU<br />
member states to adopt stricter regulations regarding SALW, not only at the domestic level,<br />
but also at the EU level. Between 2001 and 2006, the EU adopted more than a dozen<br />
agreements addressing the issue <strong>of</strong> SALW, including a series <strong>of</strong> Joint Actions, an EU Code<br />
<strong>of</strong> Conduct, an EU Plan <strong>of</strong> Action and the EU Strategy on SALW. The EU Member<br />
States also used European NGOs to raise awareness on this issue and gained public<br />
24<br />
Indeed, compared to other CFSP issues (e.g. the recent events connected to the independence<br />
<strong>of</strong> Kosovo), the EU member states have a comparatively comprehensive approach to the<br />
SALW area.<br />
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lic support for their embrace <strong>of</strong> “humanitarian values”. Yet, during the <strong>Review</strong> Conference,<br />
the NGOs’ insistence on the EU being a cohesive and coordinated actor was not<br />
sustained. The NGO community’s approach to the EU consisted on relying on specific EU<br />
Member States to defend their position rather than support the EU as a collective actor.<br />
For example, the UK was perceived as the natural ally by part <strong>of</strong> the NGO community.<br />
Moreover, other national NGOs attempted to influence their national counterparts, including<br />
France, Germany or other countries, such as Japan or Brazil. 25<br />
The decision-making procedures during the <strong>Review</strong> Conference and the management<br />
<strong>of</strong> the negotiations also created obstacles for the EU. First, the bargaining phase was extremely<br />
short: formal negotiations on the draft final document were only initiated during<br />
the second week. This fact was aggravated by a weak position <strong>of</strong> the president <strong>of</strong> the Conference,<br />
Ambassador Kariyawasam from Sri Lanka. On the one hand, the Ambassador<br />
had to deal with the strong demands <strong>of</strong> the EU and NGOs. On the other hand, he also<br />
had to manage the reluctance <strong>of</strong> powerful states to negotiate on several issues on the table.<br />
These facts created difficulties for the EU, who was trying to act as a coordinated and<br />
coherent actor. The multilevel nature <strong>of</strong> the EU as an international actor meant that it<br />
would have needed both time and flexibility on the part <strong>of</strong> other actors to not only to<br />
maintain its coherence, but also to be successful during the negotiations. In the end, only<br />
an effective and coherent EU will increase the chance <strong>of</strong> producing effective initiatives to<br />
tackle human security issues, such as the spread <strong>of</strong> SALW.<br />
In this analysis, we have sophisticated the categories proposed by Nuttall in order to<br />
account for different problems both on content and on action/coordination among the actors.<br />
By doing so, we have been able to identify concrete coherence issues in this case <strong>of</strong><br />
EU foreign policy. On the one hand, due to pillar competition (e.g. the SALW case<br />
brought to the Court <strong>of</strong> Justice by the Commission on the grounds <strong>of</strong> violation <strong>of</strong> its competence).<br />
On the other hand, on the content dimension, different policy priorities in a<br />
complicated negotiation bargaining become competing proposals. Further work remains to<br />
be done on the internal and external factors that affect the member states coherence in<br />
25<br />
In this sense, we should remind that the NGOs had legitimate reasons to work with national<br />
governments. On the one hand, given that not all NGOs had the same objectives it could be<br />
reasonable for them to work with the government closest to their priorities. On the other hand,<br />
some NGOs in this field have strong links (also economical) with their national governments.<br />
This could also explain the fact that they chose national governments as their primary target.<br />
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multilateral settings. In this sense, a comparison with other cases <strong>of</strong> EU negotiations <strong>of</strong><br />
human security issues in the UN context could be particularly fruitful.<br />
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