Collective Identity and Prospects for Political Integration: A Case Study of the East African Community Thesis Submitted in Partial Fulfillment of a Doctor of Philosophy Degree in International Development Studies (PhD IDS) to the Institute of Development Research and Development Policy (IEE) Ruhr-Universität Bochum, Germany by Catherine Promise Biira Supervised by Prof. Dr. Christof Hartmann & Prof. Dr. Uwe Andersen July, 2015 TABLE OF CONTENT List of Figures and Tables…………...………………………………………………..……vii List of Appendices…………………………………………………...………………...…...viii List of Acronyms and Abbreviations……………..……………………...…………………ix Acknowledgement……….……………………………………..…………………………...xii Declaration…….....…………………………………………………………...…………….xiii Abstract…...…………………………………………………………..…………………….xiv Chapter I……………………………….…………...……………………………….….…….1 1.0. Introduction……………………....……….………………………….………………….1 Chapter II……………….………………………….…………..……………………………..8 2.0. The East African Community: A Persistent Attempt at Political Federation.……....8 2.1. The Proposed 1963 Federation: A False Start at East African Post-Colonial Integration..…………………..……………………………………………………9 2.1.1. Uganda’s internal Struggles and its Positions in Federation Negotiations................................................................................................12 2.1.2. Looking beyond Uganda: Why Kenya and Tanzania could not federate……………………………………………………………….………16 2.2. Formation and Collapse of the East African Community 1967 -197….…….......21 2.2.1. Inadequacies in Treaty provisions…………………………..…….……...23 2.2.2. Ideological Differences…………………………………….……….……24 2.2.3. Lack of engagement with the Citizens………………………………..….25 2.3. Revival of the EAC 1999-2014: Revival of aspiration for Political Federation...28 2.3.1. Introduction………………………………………………..…………….28 2.3.2. Background to the Proposed EAC Federation………………………..….29 Chapter III…………………………………………………………………………..……....33 3.0. Understanding (Collective) Identities in Political Integration Processes: A Theoretical Perspective..…………………………………………………..……………33 3.1. Introduction…………………………………………...……………………..…..33 3.2. Situating Collective Identity in Classical Theories of Regional Integration.........35 i 3.2.1. Functionalism, neo functionalism and the idea of Political Community...37 3.2.1.1. Neo- functionalism and Political Integration………...……...………..38 3.2.1.2. Political Integration as Supranationality………………………......….40 3.2.1.3. Political Integration as Community………………………...…...……41 3.2.2. Transactionalism and the idea of Security Community……………...…..43 3.2.3. Federation...…………………………………………………..………..…44 3.3. (Liberal) Intergovernmentalism…………………………………………..….….46 3.4. Cooperation among States: An International Relations Perspective………….....47 3.4.1. Neo- Realism……………………………………..……………………....48 3.4.2. Neo-Liberal Institutionalism……………………………………….…….49 3.4.3. Constructivism………………………………………………….……..….52 3.5. Collective Identity in Regional Integration Processes: An insight into the debates……………………………………………………………………............56 3.5.1. Collective Identity as a Precondition or Outcome of Political Integration……………………………………………………………..…56 3.5.2. Cultural versus Political identity as drivers of Political Integration………………………………………………………..………60 3.6. Conceptualization of Collective Identity and Theoretical Framework……….…61 Chapter IV…………………………………………………………………………......……66 4.0. Research Design and Methods………………………………...………..……………..66 4.1. Theoretical Context of the Study……………………………………...………...66 4.2. Research Paradigm and Approach……………………………………...…...…..66 4.3. Research Question…………………………………………………………...…..67 4.3.1. Sub Questions……………………………………………………...……..67 4.4. Operationalization of Collective Identity……………………...…………...……67 4.4.1. Examining further regional integration……………...……………...……70 4.5. Linking Research Questions and Data collection sites………………...…...…...72 4.5.1. Sub Question One……………………………...…………………………72 4.5.2. Sub Question Two…………………………………………..……………73 4.5.3. Sub Question Three……………………………………………..………..75 4.6. Scope of the Study…………………………………………..…………….……..75 4.7. Data Collection Methods………………………………………….…..........……76 4.7.1. Document Review………………………………………………….….…76 ii 4.7.2. In Depth Interviews……………………………………….……….……..77 4.7.2.1. Selection of Respondents…………………………….……..…...……78 4.7.3. Commentaries and Media Reports……………………….………….…...78 4.8. Data Management and Analysis………………………………..……….……….79 4.9. Limitations of the Data……………………………...……………...……………79 Chapter V……………………………………………………………………...…………….80 5.0. Representation of the EAC Collective Identity……………………..………………..80 5.1. Introduction………………………………………………...………...………….80 5.2. Formal Organization of the East African Community………………..…………81 5.2.1. The Summit………………………………………………………..……..81 5.2.2. The Council……………………………………………………..………..81 5.2.3. The Coordination Committee……………………………………...……..82 5.2.4. The Sectoral Committees…………………………………....……..…….82 5.2.5. The East African Court of Justice…………………………………......…82 5.2.6. The East African Legislative Assembly…………………………...……..83 5.2.7. The Secretariat…………………………………………………...……….84 5.3. Discerning EAC Collective Identity from Official Discourse………………..…84 5.3.1. Constitutive Norms and Assignment of EAC Collective Identity……….85 5.3.1.1. Criteria for Membership of the EAC……………………………..…..85 5.3.1.2. Fundamental Principles of the Community…………………………..86 5.3.1.3. The operational principles to govern practical achievement of the community’s objectives…………………………………………..…...88 5.3.1.4. General Undertaking as to Implementation…………………………..89 5.3.1.5. Political Affairs ‘code of conduct’………………………………...….90 5.3.1.6. Regional Peace and Security……………………………………...…..91 5.3.2. Social Purposes, Relational Comparisons and Assignment of EAC Collective Identity…………………………….………………………….92 5.3.3. Cognitive Models and Assignment of EAC Collective Identity………...95 5.4. Normative Assignment of EAC Collective Identity: A Synthesis…………..….98 5.4.1. Reflection on the Community’s past experience…………………….......99 5.4.2. Appeal to Pan African Ideals………………………………...………….100 5.4.3. Re-emphasis of Desired Identity………………………………..………101 5.4.4. Focus on ‘integrative influence.’…………………………………...…...102 iii 5.4.5. Creating Obligations…………………………...………………………..103 5.4.6. Prescribing Domestic Policies……………………………...…………...103 5.5. Conclusion……………………………………...………………………………104 Chapter VI………………………………………………………………………..………..108 6.0. Exploring the manifestations of Collective Identity in Empirical Episodes that Advance EAC Regional Integration…………………………………………..……...108 6.1. Introduction…………………………………………...……………………......108 6.2. Enlargement of the Community: The Admission of Republics of Rwanda and Burundi and the Rejection of the Republic of Sudan…………………...………109 6.2.1. Procedure for Admission of New Members into the EAC……………...109 6.2.2. Admission of Rwanda and Burundi………………………………..…...111 6.2.2.1. Delay in Admission………………………………..………………..111 6.2.2.2. Considerations in the Admission of Rwanda and Burundi……….....112 6.2.2.3. Collective Identity manifestations in the decision to admit Rwanda and Burundi………………………………………………………..……..115 6.2.3. Issues in Sudan’s Rejection……………………………………………..119 6.3. Negotiating the EAC Common Market Protocol…………………………..…..123 6.3.1. Sticky issues in the Negotiations………………………………...……...124 6.3.1.1. Travel Documents…………………………………...………………125 6.3.1.2. Abolition and Non-Introduction of Restrictions………………...…..126 6.3.1.3. Permanent Residence……………………………………...………...127 6.4. A behind the Scenes Insight from the Chief Negotiators…………………...….129 6.4.1. Focus on Relative Gains………………………………………...………129 6.4.2. Reputation of Tanzania as staller…………………………………..…..130 6.4.3. Stereotypes at Play?................................................................................131 6.4.4. Loss of the Big Picture?..........................................................................132 6.5. Analysis of Collective Identity issues in the Negotiations……………...……...133 6.5.1. Negative Relational Comparisons……………………………..………..133 6.5.2. Application of Constitutive Norms and Social Purposes…………….....134 6.5.3. Conclusion………………………………………...…………………….135 Chapter VII…………………………………………………………………………...……137 7.0. Identity Manifestations in the Active Sphere of the EAC Integration Process…...137 7.1. Introduction…………………………..………………………………………...137 iv 7.2. Relationship between New and Founding Members………………………...…138 7.3. Implementation of the Common Market Protocol…………………………..…141 7.4. Variable Geometry as a means of circumventing implementation paralysis in the EAC……………………………………..………………………………………142 7.4.1. Immediate Context of the Tri lateral Summits……………………….....144 7.4.2. The 1st Trilateral Infrastructure Summit……………………………......146 7.4.3. The 2nd Infrastructure Summit…………………………..……………..147 7.4.4. The 3rd Infrastructure Summit…………………………………..……...148 7.4.5. Progress of Trilateral Summits following Tanzania’s Reaction………..149 7.5. Opinions of EAC Bureaucrats on the Trilateral Summits…………………...…149 7.6. Tanzania’s response to the application of Variable Geometry in the EAC….....151 7.6.1. Expulsion of Illegal Immigrants………………………………...……...151 7.6.2. Tanzanian Elites Speak Out……………………………………..……...152 7.7. Identity Dynamics in the Tri-lateral Arrangements…………………………....156 7.7.1. The Land Question……………………………..……………………….157 7.7.2. Process of Integration………………………………………...…………158 7.7.3. Demography and Labour Force……………………………………...….159 7.7.4. Island of Peace in a Sea of Turbulence……………………...………….160 7.7.5. Multiple Memberships as a Wild Card…………………………...……..160