Europe’s Foreign and Security Policy The Institutionalization of Cooperation Michael E. Smith .6768B:DDC Cambridge54B697 B95B7 Books 4B69727BCD/ Online © Cambridge University0D Press, 2009C475DDD:74B697B7 D7BC8C747D:DDC 54B697 B95B7D7BC :DDC6 B9 ,1 CAMBRIDGE UNIVERSITY PRESS Cambridge, New York, Melbourne, Madrid, Cape Town, Singapore, São Paulo Cambridge University Press The Edinburgh Building, Cambridge CB2 2RU, United Kingdom Published in the United States of America by Cambridge University Press, New York www.cambridge.org Information on this title: www.cambridge.org/9780521831352 © Michael E. Smith 2004 This book is in copyright. Subject to statutory exception and to the provision of relevant collective licensing agreements, no reproduction of any part may take place without the written permission of Cambridge University Press. First published in print format 2003 isbn-13ISBN-13 978-0-511-49170-2 OCeISBN isbn-13ISBN-13 978-0-521-83135-22 hardback isbn-10ISBN-10 0-521-83135-00 hardback isbn-13ISBN-13 978-0-521-53861-99 paperback isbn-10ISBN-10 0-521-53861-00 paperback Cambridge University Press has no responsibility for the persistence or accuracy of URLs for external or third-party internet websites referred to in this book, and does not guarantee that any content on such websites is, or will remain, accurate or appropriate. .6768B:DDC Cambridge54B697 B95B7 Books 4B69727BCD/ Online © Cambridge University0D Press, 2009C475DDD:74B697B7 D7BC8C747D:DDC 54B697 B95B7D7BC :DDC6 B9 ,1 Europe’s Foreign and Security Policy The Institutionalization of Cooperation The emergence of a common security and foreign policy has been one of the most contentious issues accompanying the integration of the European Union. In this book, Michael Smith examines the specific ways foreign policy cooperation has been institutionalized in the EU, the way institutional development affects cooperative outcomes in foreign policy, and how those outcomes lead to new institutional reforms. Smith explains the evolution and performance of the institutional procedures of the EU using a unique analytical framework, supported by extensive em- pirical evidence drawn from interviews, case studies, official documents and secondary sources. His perceptive and well-informed analysis cov- ers the entire history of EU foreign policy cooperation, from its origins in the late 1960s up to the start of the 2003 constitutional convention. Demonstrating the importance and extent of EU foreign/security policy, the book will be of interest to scholars, researchers and policymakers. MICHAEL E.SMITH is Assistant Professor of Political Science, Georgia State University, Atlanta. .6768B:DDC Cambridge54B697 B95B7 Books 4B69727BCD/ Online © Cambridge University0D Press, 2009C475DDD:74B697B7 D7BC8C747D:DDC 54B697 B95B7D7BC :DDC6 B9 ,1 For Pen with love .6768B:DDC Cambridge54B697 B95B7 Books 4B69727BCD/ Online © Cambridge University0D Press, 2009C475DDD:74B697B7 D7BC8C747D:DDC 54B697 B95B7D7BC :DDC6 B9 ,1 .6768B:DDC Cambridge54B697 B95B7 Books 4B69727BCD/ Online © Cambridge University0D Press, 2009C475DDD:74B697B7 D7BC8C747D:DDC 54B697 B95B7D7BC :DDC6 B9 ,1 Contents List of tables page xi Acknowledgments xii List of abbreviations xiv Introduction: foreign and security policy in the European Union 1 Part I Institutions and foreign policy cooperation: the theoretical and empirical terrain 1 The institutionalization of cooperation: an analytical framework 17 2 Institutions and European foreign policy cooperation: the empirical link 37 Part II The institutionalization of cooperation 3 Origins: intergovernmentalism and European Political Cooperation 63 4 Information-sharing and the transgovernmental EPC network 90 5 Norms, rules, and laws in European foreign policy 117 6 Organizations and European foreign policy 145 7 Toward governance: the Common Foreign and Security Policy 176 ix .6768B:DDC Cambridge54B697 B95B7 Books 4B69727BCD/ Online © Cambridge University0D Press, 2009C475DDD:74B697B7 D7BC8C747D:DDC 54B697 B95B7D7BC :DDC6 B9 ,1 x Contents Part III Residual institutional issues 8 Unfinished business: coherence and the EU’s global ambitions 209 Conclusion: beyond the CFSP: institutions, defense, and the European identity 239 References 264 Index 284 .6768B:DDC Cambridge54B697 B95B7 Books 4B69727BCD/ Online © Cambridge University0D Press, 2009C475DDD:74B697B7 D7BC8C747D:DDC 54B697 B95B7D7BC :DDC6 B9 ,1 Tables 2.1 EPC actions, and CFSP common positions and joint actions, 1970–95 page 51 2.2 Year of first use of major EPC/CFSP policy instruments 53 2.3 Qualitatively measuring EU foreign policy cooperation 56 3.1 EPC according to the Luxembourg Report (October 1970) 75 4.1 EPC according to the Copenhagen Report (July 1973) 96 4.2 Growth in the number of COREU telexes on EPC, 1974–94 101 5.1 EPC according to the London Report (October 1981) 127 5.2 EC rules invoked in the context of EPC 131 6.1 EPC according to the Single European Act (February 1986) 150 7.1 The CFSP policy process under Maastricht 181 8.1 The TEU’s organization of external relations 213 9.1 General logics and causes of institutionalization 241 9.2 Specific causes and components of EU foreign policy institutionalization 243 xi .6768B:DDC Cambridge54B697 B95B7 Books 4B69727BCD/ Online © Cambridge University0D Press, 2009C475DDD:74B697B7 D7BC8C747D:DDC 54B697 B95B7D7BC :DDC6 B9 ,1 Acknowledgments It is somehow appropriate that a book on international cooperation should begin by acknowledging the generous support of individuals and institutions on two continents. I would first like to thank Wayne Sandholtz for his extensive advice and unfailing encouragement throughout the en- tire process, from conception to research to writing. I could not have asked for a better mentor for this project. Roy Ginsberg’s detailed studies of EU foreign policy actions helped to inspire this volume; he also gra- ciously provided extensive comments on earlier drafts of the manuscript. The other members of my dissertation committee, Russell Dalton and Patrick Morgan, added their votes of confidence to my efforts at key stages and for that I am grateful. I would also like to thank several scholars whose large body of work on the EU provided much of the empirical evidence for the analysis presented here. They were also kind enough to take interest in my work and lend their insights to the project. In addition to Roy Ginsberg, these scholars include David Allen, Simon Bulmer, Fraser Cameron, Jim Caporaso, Thomas Grunert, Christopher Hill, John Peterson, and Michael Smith. I am also grateful to the members of two “Institutionalization of Europe” workshops led by Wayne Sandholtz, Alec Stone Sweet, and Neil Fligstein, who helped stimulate some of the ideas presented here. Special mention goes to Simon Nuttall, who shared his detailed knowledge of the history of EU foreign and security policy with me and saved me from a number of errors. Any that remain, of course, are entirely my own. This research was supported financially by several institutions: the Council for European Studies, the US Institute for International Ed- ucation (Fulbright fellowship), the University of California Institute on Global Conflict and Cooperation/MacArthur Foundation, the UC- Irvine Regent’s fellowship program, the European Union Center of the University System of Georgia, and the Bicentennial Swedish-American Fund of the Swedish Government Information Service. The Centre for European Studies in Brussels provided a very stimulating environment for my initial explorations into the EU; the manuscript also benefited from xii .6768B:DDC Cambridge54B697 B95B7 Books 4B69727BCD/ Online © Cambridge University0D Press, 2009C475DDD:74B697B7 D7BC8C747D:DDC 54B697 B95B7D7BC :DDC6 B9 ,1 Acknowledgments xiii presentations at meetings of the European Union Studies Association, the Council for European Studies, and the International Studies Asso- ciation, as well as graduate student conferences at Columbia University, Georgetown University, and Harvard University. Small portions of the argument have appeared in the Journal of Common Market Studies and the Journal of European Public Policy, and I appreciate the input given by the editors of those journals (Iain Begg, John Peterson, and Jeremy Richardson). My editor at Cambridge University Press, John Haslam, expertly guided me through the book production process, and I am especially grateful to the two external reviewers he chose for their sound advice on improving the final manuscript. I would also like to thank the numer- ous officials involved in EU foreign policy who agreed to be interviewed for this project. It would have been impossible to develop my arguments about the relationship between institutionalization and cooperation with- out the valuable inside knowledge provided by these individuals. The same is true for officials from the US mission to the European Union who monitor the foreign policy of the EU and shared their opinions of it with me. Finally, I would like to thank my family for their generous emotional (and financial) support of my scholarly ambitions. I would not have had the courage to take this path without them. My last word of thanks is reserved for the person to whom this book is dedicated, my wife Penny, for her love, patience, and encouragement. .6768B:DDC Cambridge54B697 B95B7 Books 4B69727BCD/ Online © Cambridge University0D Press, 2009C475DDD:74B697B7 D7BC8C747D:DDC 54B697 B95B7D7BC :DDC6 B9 ,1 Abbreviations ACP African, Caribbean, and Pacific States ASEAN Association of Southeast Asian Nations ASEM Asia–Europe Meeting