University of Ghana http://ugspace.ug.edu.gh THE AFRICAN UNION AND THE QUEST FOR PEACE AND SECURITY IN AFRICA: 2002 -2012 JULIANA ABENA APPIAH 10120383 THIS THESIS IS SUBMITTED TO THE UNIVERSITY OF GHANA, LEGON, IN PARTIAL FULFILLMENT OF THE REQUIREMENTS FOR THE AWARD OF DOCTOR OF PHILOSOPHY IN INTERNATIONAL AFFAIRS LEGON JUNE 2014 University of Ghana http://ugspace.ug.edu.gh DECLARATION I hereby declare that this work is the result of an original research conducted by me under the joint supervision of the undersigned. References to all publications have been duly acknowledged. I am, however, solely responsible for any lapses, marginal or substantial, which may be found in this work. Signature……………………… JULIANA A. APPIAH (STUDENT) Date ……………………………. Signature………………………. Signature………………….. DR. BONI YAO GEBE DR. VLADIMIR ANTWI-DANSO (PRINCIPAL SUPERVISOR) (SUPERVISOR) Date……………………………. Date……………………… Signature………………………. DR. KEN AHORSU (SUPERVISOR) Date……………………………. i University of Ghana http://ugspace.ug.edu.gh DEDICATION To the glory of God Almighty To my entire family for their relentless support throughout my academic life Also to my beloved husband Theodore and children: Raymond, Philip, Nana Yaw, Nkunim and Andy. May God richly bless you all. ii University of Ghana http://ugspace.ug.edu.gh ACKNOWLEDGEMENTS The task of completing this work has been very exacting and exciting. A number of individuals have in diverse ways contributed significantly towards the completion of this work. My utmost thanks go to my Father in Heaven for His provision, protection and abundant grace throughout the cause of this study. Again, my heartfelt gratitude goes to Dr. Boni Yao Gebe who as lead supervisor put the necessary pressure to ensure I completed the study on time. His patience, comments, encouragement and advice helped me complete this work. I am equally grateful to the other members of the supervisory team, Dr. Vladimir Antwi-Danso and Dr. Kennedy Ahorsu for their invaluable contributions towards the successful completion of this work. I want to say a special thank you to Professor Kofi Kumado and Prof. Boafo-Arthur for their immeasurable support and belief in my ability to complete this study. Further, I am grateful to the University of Ghana for giving me the opportunity to enjoy one academic year at the University of Rochester, New York, USA. The Dean of International Programmes of the University of Ghana, Prof. Naa Adamafio was instrumental in securing me this offer and deserves special commendation. A special thank you goes to Phil, Yvonne, Peace and Rita for believing in me. Eric Amartey, thank you for taking time to format the entire work and getting it ready for submission. I am grateful. I am also grateful to the AU Commission for the kind reception and assistance during my visit to Addis Ababa. Finally, I wish to thank the Director, Faculty and Staff of the Legon Centre for International Affairs and Diplomacy (LECIAD), University of Ghana for their support. Thank you to all who in diverse ways contributed to the completion of this work. iii University of Ghana http://ugspace.ug.edu.gh LIST OF ABBREVIATIONS AMIB African Union Mission in Burundi AMIS African Union Mission in Sudan AMISEC African Union Mission in Support of the Elections in the Comoros AMISOM African Union Mission in Somalia AMU Arab Maghreb Union APF Africa Peace Facility APSA African Peace and Security Architecture ASF African Standby Force AU African Union AUC African Union Commission BBC British Broadcasting Corporation CADSP Common African Defence and Security Policy CEPGL Economic Community of the Great Lakes Countries CEMAC Economic and Monetary Union of Central Africa CEN-SAD Community of Sahel Saharan States CEWS Continental Early Warning System CNDD National Council for the Defence of Democracy in Burundi COMESA Common Market for East and Southern Africa CSSDCA Conference on Security, Development and Cooperation in Africa EAC East African Community EASBRIG East African Brigade ECCAS Economic Community of Central African States ECOMOG Economic Community of West African States Ceasefire Monitoring Group iv University of Ghana http://ugspace.ug.edu.gh ECOSOCC Economic, Social and Cultural Council ECOWAS Economic Community of West African States EU European Union FDD Forces for the Defence of Democracy FES Friedrich Ebert Stiftung FRODEBU Democratic Front of Burundi G8 Group of Eight ICC International Criminal Court ICG International Crisis Group IGAD Inter-governmental Authority on Development IGADSOM IGAD Peace Support Mission in Somalia IOC Indian Ocean Commission ISS Institute for Strategic Studies JEM Justice and Equality Movement KANU Kenya African National Union MAES African Union Electoral and Security Assistance Mission to the Comoros MIOC African Union Military Observer Mission in the Comoros MOU Memorandum of Understanding MRU Mano River Union MSC Military Staff Committee NARC National Rainbow Coalition NATO North Atlantic Treaty Organisation NGO Non-Governmental Organisations ODM Orange Democratic Party OAS Organisation of American States v University of Ghana http://ugspace.ug.edu.gh OAU Organisation of African Unity PAP Pan-African Parliament PF Peace Fund PNDS National Party for Democracy and Socialism PNU Party of National Unity PoW Panel of the Wise PSC Peace and Security Council PSD Department of Peace and Security PSOD Peace Support Operations Division REC Regional Economic Community R2P Responsibility to Protect RR Rally for Republicans SACU Southern African Customs Union SADC Southern African Development Community SAPSD South African Protection Detachment SLM/A Sudan Liberation Movement/Army SOP Standard Operating Procedures TFG Transitional Federal Government TGoB Transitional Government of Burundi UIC Union of Islamic Court UK United Kingdom UN United Nations UNAMID United Nations-African Union Hybrid Operation in Darfur UNECA United Nations Economic Commission for Africa UNOAU United Nations Office to the African Union vi University of Ghana http://ugspace.ug.edu.gh UNSC United Nations Security Council UPRONA Union for National Progress WAEMU West African Economic and Monetary Union vii University of Ghana http://ugspace.ug.edu.gh TABLE OF CONTENTS DECLARATION …. … … … … … … … i DEDICATION … … …. … … … … … ii ACKNOWLEDGEMENTS … … …. … … … … … iii LIST OF ABBREVIATIONS … … …. … … … … iv TABLE OF CONTENTS … … …. … … … … … viii LIST OF FIGURES … … …. … … … … … … xvi LIST OF TABLES … … …. … … … … … … xvii ABSTRACT … … …. … … … … … … xviii CHAPTER ONE: RESEARCH DESIGN 1.0 Introduction … … …. … … … … … … 1 1.1 Statement of the Problem … … …. … … … … 4 1.2 Objectives … … …. … … … … … … 6 1.3 Hypothesis … … …. … … … … … … 6 1.4 Theoretical Framework … … …. … … … … 7 1.4.1 The Traditional Institutionalism … … …. … … 7 1.4.2 Characteristics of Traditional Institutionalism … … …. … 8 1.4.3 Criticisms of Traditional Institutionalism … … …. … … 10 1.4.4 New Institutionalism … … …. … … … … 10 1.4.5 Core Assumptions of New Institutionalism … … …. … 12 1.4.6 Approaches to New Institutionalism … … …. … … 13 1.4.7 Strengths of New Institutionalism … … …. … … 14 viii University of Ghana http://ugspace.ug.edu.gh 1.4.8 Criticisms of the New Institutionalism … … …. … 15 1.4.9 Justifying the Use of New Institutionalism … … …. … 16 1.5 Literature Review … … … … … … … … 19 1.5.1 General Studies on Regions, Regionalism and Regional Organisations in the International System … … … … … … 19 1.5.2 Regional Organisations: A Historical Overview … … … 26 1.5.3 Regional Organization in Asia, Europe and the Americas … … 32 1.5.4 Studies on Africa’s Regional Organisation - OAU in the Area of Peace and Security … … … … … … … 40 1.5.5 African Union Interventions … … … … … … 48 1.6 Methodology … … …. … … … … … … 56 1.6.1 Study Area … … …. … … … … … 57 1.6.2 Data Collection … … …. … … … … 59 1.7 Chapter Arrangements … … …. … … … … 61 Endnotes … … … … … … … … … 62 CHAPTER TWO: THE ORGANISATION OF AFRICAN UNITY (OAU) AND THE AFRICAN UNION (AU): A HISTORICAL OVERVIEW 2.0 Introduction … …. … … … … … … … 68 2.1 Pan-Africanism … …. … … … … … … 68 2.2 The Pan-African Congresses … …. … … … … … 69 2.3 African Nationalism … …. … … … … … … 71 2.4 The Birth of the OAU … …. … … … … … … 73 2.5 Organisational Structure of the OAU … …. … … … … 76 2.5.1 Principles of the OAU … …. … … … … … 77 ix University of Ghana http://ugspace.ug.edu.gh 2.5.2 Objectives of the OAU … …. … … … … 78 2.5.3 Membership …. … … … … … … … 79 2.5.4 Organs of the OAU … …. … … … … … 79 2.6 Rationalizing OAU’s Transition to AU … …. … … … 81 2.6.1 The Sirte Declaration and the Birth of the AU … …. … 82 2.6.2 Objectives of the AU … …. … … … … … 84 2.6.3 Principles of the AU … …. … … … … … 87 2.7 Institutional Structure of the AU … …. … … … … 89 2.7.1 The Assembly and the Commission … …. … … … 90 2.7.2 The Pan-African Parliament … …. … … … … 91 2.7.3 The ECOSOCC … …. … … … … … 92 2.7.4 The African Court of Justice … …. … … … … 93 2.7.5 The Peace and Security Council … …. … … … 94 2.8 Conclusion … …. … … … … … … … 94 Endnotes … … … … … … … … … 95 CHAPTER THREE: NORMATIVE CHANGES IN THE MANAGEMENT OF PEACE AND SECURITY IN AFRICA 3.0 Introduction … …. … … … … … … … 97 3.1 The Development of Norms: OAU … …. … … … … 98 3.2 The AU and the Changing Security Norms … …. … … … 101 3.3 Sovereignty and the OAU … …. … … … … … 103 3.3.1 The AU and the Redefinition of Sovereignty … …. … … 107 3.4 The OAU and the Principle of Non-Intervention … …. … … 108 x University of Ghana http://ugspace.ug.edu.gh 3.4.1 Intervention within the