Department of History THE ROLE PLAYED BY NGOs IN THE COMMON SECURITY AND DEFENCE POLICY OF THE EUROPEAN UNION Thesis presented in partial fulfilment of the Requirements for the Degree of Doctor in Security Studies and Defence by Pedro Ferreira Viegas Supervisor: Professor Doctor – Coronel Nuno Correia Barrento de Lemos Pires Professor/Researcher ISCTE – Lisbon University Institute / Military Academy December 2018 The Role played by NGOs in the Common Security and Defence Policy of the European Union Abstract Knowledge about how non-governmental organisations (NGOs) influence the European Union (EU) during its policy processes is not widespread across public opinion in the EU or even among those which regularly follow its governance. Focusing on the EU External Policy, mainly its Crisis Management components, we can realize not only that these policy processes inside the European institutions take turns and shifts of direction but also that intentions change without visible causes for the ordinary citizen. This investigation can be considered as a ‘road map’ to figure out the relationship between an intergovernmental organization such as the EU and Non-State Actors (NSA) mainly NGOs, and how they influence each other. In this work, we show that the theoretical relationship between the behaviour of the EU foreign policy institution and the behaviour of NGOs that operate and work with it, is somewhat dynamic and conditional, with the influence of NGOs on decision-making processes being dependent on certain rules of engagement for specific ‘bodies’ of the EU, while allowing lobbying of individual members of the parliament for example. It is also argued that NGOs influence the EU directly and indirectly, operating as information providers, lobbying groups, agenda setters, and norm generators. An analysis is made of the influence of NGOs on states’ decisions about foreign aid, particularly for some specific missions or operations of the EU foreign policy trough the European External Action Service. The theoretical understanding of NGO-EU relationships will contribute to the study of NGOs and their interaction with intergovernmental organizations. Keywords: Intergovernmental Organizations / Non-governmental Organizations / Crisis Management / Humanitarian assistance Classifications: International Conflicts / Negotiations / International Organizations i The Role played by NGOs in the Common Security and Defence Policy of the European Union Resumo O conhecimento sobre como as organizações não-governamentais (ONGs) influenciam a União Europeia (UE) nos seus processos políticos não é amplo na opinião pública na UE ou mesmo nos que seguem regularmente a sua governação. Concentrando-nos na Política Externa da UE, principalmente nas componentes da Gestão de Crise, conclui-se não só que estes processos políticos vão mudando de direção, mas também que as intenções subjacentes por vezes mudam sem causas visíveis para o cidadão comum. Esta investigação é como um "roteiro" para a relação entre uma organização intergovernamental, como a UE e atores não estatais (NSA), principalmente ONGs, e como elas se influenciam mutuamente. Neste trabalho, mostramos que a relação teórica entre o comportamento da instituição de política externa da UE e o comportamento das ONGs que trabalham com ela, é algo dinâmico e condicional, com a influência das ONGs sobre os processos de tomada de decisão dependentes de certas regras de engajamento para “órgãos” específicos da UE, permitindo, ao mesmo tempo, fazer lobby de membros individuais do parlamento. Argumenta-se também que as ONGs influenciam direta e indiretamente a UE, atuando como provedores de informação, grupos de lobby, definidores de agenda e geradores de normas. É analisada a influência das ONGs nas decisões dos estados sobre a ajuda externa, particularmente para algumas missões específicas ou operações da política externa da UE através do Serviço Europeu de Ação Externa. A compreensão teórica das relações entre ONGs e UE contribuirá para o estudo das ONGs e sua interação com organizações intergovernamentais. Palavras-Chave: Organizações Intergovernamentais / Organizações Não Governamentais / Gestão de Crises / Assistência Humanitária Classificações: Conflitos / Negociações / Organizações Internacionais ii The Role played by NGOs in the Common Security and Defence Policy of the European Union Table of Contents Abstract .............................................................................................................. i Resumo ............................................................................................................. ii Table of Contents ............................................................................................. iii List of Tables ................................................... Error! Bookmark not defined. List of Figures ................................................................................................ viii Glossary of Acronyms ..................................................................................... ix Acknowledgments ......................................................................................... xiii 1. Introduction ......................................................................................................... 1 1.1 Motivation ................................................................................................. 1 1.2 Research Objectives .................................................................................. 3 1.3 Methodological Approach ........................................................................ 5 1.4 Literature Review .................................................................................... 11 1.5 Case Selection ......................................................................................... 14 1.6 Work Structure ........................................................................................ 15 2. The Common Security and Defence Policy – Historical Background .............. 17 2.1 The French Path to the Refusal of the EDA ........................................... 20 2.2 De Gaulle’s Ambitions and Actions ....................................................... 27 2.3 The Common Foreign and Security Policy (CFSP) – Birth and Development ........................................................................................... 28 2.4 The Maastricht Treaty ............................................................................. 29 2.5 The Balkans and its consequences to the EU – From 1998 to the new century ..................................................................................................... 30 2.5.1 The Civilian Component of European Crisis Management ....................... 36 2.6 The Common Security and Defence Policy (CSDP) – Since 2008 ........ 42 2.7 The Treaty of Lisbon .............................................................................. 46 2.7.1 Some relevant aspects of the Treaty of Lisbon .......................................... 52 2.7.2 Permanent Structured Cooperation – PESCO ........................................... 55 2.7.3 Mutual Assistance and Solidarity Clauses – MAC.................................... 56 iii The Role played by NGOs in the Common Security and Defence Policy of the European Union 2.8 NGOs after the Treaty of Lisbon ............................................................ 57 2.8.1 How NGOs are involved in the decision-making process at the EU level – forms and mechanisms ...................................................................................... 62 3. Common Security and Defence Policy (CSDP) and Crisis Management…… . 73 3.1 From the Civil Protection Mechanism to Crisis Management ................ 75 3.1.1 Recent Developments ................................................................................ 79 3.2 A theoretical framework of Crisis Management ..................................... 80 3.2.1 Comprehensive Approach as a key concept for the EU Crisis Management and the Whole of Government Approach (WOA) ............................................. 86 3.3 European Union’s Institutional Architecture for Crisis Management .... 90 3.3.1 European Commission (EC) ...................................................................... 91 3.3.1.1 Instruments of the Commission ................................................ 92 3.3.1.2 DG DevCo - Directorate-General for International Cooperation and Development ............................................................................... 93 3.3.1.2.1 IfS - Instrument for Stability ....................................................... 94 3.3.1.3 ECHO - Directorate-General for Humanitarian Aid and Civil Protection ........................................................................................... 94 3.3.1.3.1 ERCC - Emergency Response Coordination Centre ................... 96 3.3.1.4 DGE - Directorate-General for External Policies of the Union 97 3.3.2 European Parliament ................................................................................. 97 3.3.3 The Council ............................................................................................... 98 3.3.3.1 European Council ..................................................................... 98 3.3.3.2 Council of the European Union ................................................ 99 3.3.3.2.1 FAC - Foreign Affairs Council ................................................... 99 3.3.3.2.1.1 GAC - General Affairs Council ................................