1 Explaining variation in EU human rights policy Theoretical framework and research design of a comparative case study Johanna von Bahr Paper to be presented at SNES Spring Conference, Stockholm, 19 – 20 March 2015. Abstract The human rights dimension of European foreign policy has grown to encompass the broadest array of human rights, ranging from torture to freedom of religion and freedom of expression online. The list of rights-holders specified in policies has also been lengthened and now includes for example women and girls, persons with disabilities, children, indigenous people and lesbian, gay, bisexual, transgender and intersex (LGBTI) persons. Still, the level of integration of different human rights concerns in EU external policy varies greatly. While several studies have demonstrated inconsistencies in the implementation of EU human rights policies, this paper presents a study to explain how variations are established already at the policy formulation stage. Drawing on rationalist resource-exchange theory, and a comparative case design, the aim of the study is to explain how interactions between EU institutions and HROs influence policy formulation in the EU Common Foreign and Security Policy (CFSP), Enlargement policy and Development co-operation. The study compares three cases of human rights: children’s rights, the rights of persons with disabilities and the rights of LGBTI persons. 2 Introduction The human rights dimension of European foreign policy has grown to encompass the broadest array of human rights, ranging from torture to freedom of religion and freedom of expression online. The list of specified rights-holders has also expanded and now includes women and girls, persons with disabilities, children, indigenous people and lesbian, gay, bisexual, transgender and intersex (LGBTI) persons. Still, the level of integration of different human rights concerns in EU external policy varies greatly. Several studies have demonstrated inconsistencies in the implementation of EU human rights policies (for an overview, see Schimmelfennig [2009]), for reasons such as member state strategic interests, or deficient institutional resources. I will instead attempt to explain how variations in human rights policies are established already at the policy formulation stage. This will be done through a comparative cases study of three cases of human rights policy in EU external affairs: children’s rights, the rights of persons with disabilities and the rights of LGBTI persons. This paper presents the theoretical framework and research design of the forthcoming study. The endeavour to explain differences in the level of integration of different human rights issues in EU external affairs is important for several reasons. First, the literature on human rights policy-making in EU foreign affairs consists of ample case studies on themes such as gender mainstreaming (Elgström [2000]; Lister and Carbone [2006]; Pollack and HafnerBurton [2000, 2010]), democracy and ‘good governance’ promotion (see, e.g., Börzel and Risse [2004]; Cardwell [2011]) children’s rights (Grugel and Iusmen [2012]; Iusmen [2013]), the rights of persons with disabilities (De Burca, 2010), LGBTI rights (Swiebel [2009]; Mos [2013]), death penalty (Manners, 2002) and the International Criminal Court (Garský, 2013). So far, there has been no attempt to compare EU policy-making across different human rights areas. This paper hence provides a unique comparative study of how three different cases of human rights have been integrated in EU external policy. Through the comparative approach, in contrast to the single cases study, we will be able to eliminate potential causes to human rights integration in EU external policy. Secondly, the paper will add to the scholarship on human rights lobbying at the EU level, a segment of the EU interest group literature that is still relatively small (Grugel and Iusmen, 2011). Finally, since the EU constitutes the world’s largest foreign aid donor and an important player in the global economy, its external human rights policies can potentially have great influence for the fulfilment of human rights worldwide. The study will identify the extent to which the human rights policies correspond to the idea of a ‘normative power Europe’ (Manners 2002). 3 The forthcoming study will compare how three human rights concerns have been integrated in CFSP, development co-operation and enlargement policy, from 2007 and up to present time. Drawing primarily on rationalist resource-exchange theory, the paper defines hypotheses on how exchanges of access and information between EU institutions and international human rights organizations (HROs) can explain variations in policy formulation. Evidence from the three cases will then be compared in order to assess the extent to which variables are necessary and/or sufficient to explain the policy outcomes. Data is collected through a combination of qualitative face-to-face and telephone interviews with officials from the Commission and External Action Service, permanent representatives of the Council Working Group on Human Rights (COHOM), as well as with staff at UN agencies and, detailed policy document analysis. Preliminary findings that will be presented in a forthcoming version of the paper, show that while disability rights have been integrated primarily in development policy, LGBTI rights have emerged as a salient theme in CFSP, as manifested in the 2013 EU guidelines on LGBTI (Council of the European Union [2013]). Child rights, on the other hand have been integrated in both policy areas. As regards pre-accession assistance (IPA), the new IPA regulation contains explicit references to LGBTI and disability rights, but is silent as regards child rights (European Parliament and the Council of the European Union [2014]). These variations in human rights policies can be explained by disparities in both the demand for this information by the EU institutions and the supply of information from HROs. Firstly, on the demand side, HROs have been the most influential in the context of high level of preference heterogeneity among member states. This explains the gap between the progressive policies on LGBTI, and the preferences held by several of the new, and some of the old, member states. Support from the most influential member states, usually some of the ‘big three’ is however a necessary condition for a human rights issue to be integrated in EU external policy. Secondly, the formation of strong alliances between HROs and the European Parliament has significant effects for human rights integration. With the increased foreign policy competence granted to the European Parliament through the Lisbon Treaty, this effect has grown to become a necessary condition for successful human rights integration. Finally, treaty ratification is not a sufficient criterion for human rights integration in EU external policy. Despite the EU ratification of the UN Convention on the Rights of Persons with Disabilities, disability rights have only been marginally addressed in the CFSP, and the issue of disability and development has still not been raised in a Commission Communication. 4 In the next section of the paper, the theoretical framework and hypotheses will be presented. The following section provides a description of the comparative research design. The paper concludes with a mapping of the studied human rights policies, i.e. the dependant variable of the study. Theoretical framework Many case studies and an increasing number of systematic studies (see, e.g., Murdie and Davis [2012]; Simmons, [2009]) have shown that human rights organizations (HROs) play a vital role for the transnational diffusion of human rights norms and policies. While EU scholars (see, e.g., Broscheid and Coen [2003]; Mazey and Richardson [2006]) have studied the formation of long-standing relationships between interest groups and the Commission, largely built on information exchanges, studies of human rights advocacy towards the EU institutions are however scarce (Grugel and Iusmen, 2012). Grugel and Iusmen (2012) and Iusmen (2012) find that child rights organizations influenced agenda- setting in EU external policy on children’s rights through the supply of detailed expertise in international law and child rights implementation, which the Commission lacked. While non-governmental organizations (NGOs) have traditionally been studied as theoretically and empirically distinct from other interest groups, recent empirical studies have successfully applied interest group theory on NGOs (Bloodgood, 2010, Tallberg et al, 2014). I agree with the view that advocacy NGOs, like other interest groups, are instrumental actors with the aim to influence decision-makers (Tallberg et al. 2014). Co-operation between interest groups and IOs is defined as exchanges of resources (Bouwen [2002]; Steffek [2013]). Steffek defines this relationship as ‘a reciprocal interaction in which organizations exchange resources of the material or immaterial kind for mutual benefit’ (2013: 994). Based on the logic of the rationalist resource- exchange model, the EU grants access to HROs to the policy process in exchange for information that the HROs have and the EU institutions cannot efficiently or sufficiently collect themselves (Bouwen [2002[; Tallberg et al. [2014]). Although access does not equal influence, recent systematic research has however shown that NGO access to IOs is the most important determinant of NGO influence (Tallberg et al 2014). The systematic study by Tallberg et al. (2013) shows that non-state actors in the fields of human rights and development are invited by IOs in policy formulation, implementation, and monitoring of policies. They are however rarely invited in decision-making (Tallberg et al. 5 2013). According to Steffek (2013) IOs are more likely to formally invite NGOs to participate in the research and analysis phase, rather than in the policy formulation phase. However, he notes that informal cooperation is likely to occur also in the policy formulation phase, between staff of the IO Secretariat and HROs. Below I will define hypotheses on how variations in EU access to HROs in policy formulation and HRO supply of information can explain variations in human rights policies. EU access As the roles of the EU institutions vary in the policy formulation phase, so does the information requested from interest groups. In order to develop hypotheses on HRO access to the different EU institutions I will draw on Bouwen’s (2002) theory of interest group lobbying. According to Bouwen (2002), the Commission will provide the highest degree of access to actors that can provide the ‘access good’ expert knowledge. Expert knowledge is demanded in the agenda setting and policy development phase, especially in new legislative areas. Expert knowledge is expected to increase the Commission’s efficiency and effectiveness, or its so-called output legitimacy. Previous systematic research has shown that IO demand for non-state actors resources is high in the context of technically complex policy areas, local implementation needs, and when societal actors hold relevant information on policy, implementation and compliance (Tallberg et al. 2013). Human rights policy-making in EU external policy is likely to meet all these criteria. Importantly, HROs are expected to possess this type of information at a higher level than EU institutions. Further, as the most supranational institution in EU policy-making, the Commission also demands information on the European Encompassing Interest, which can help it push member states to agree on policies that go beyond the lowest common denominator (Bouwen, 2002). This ‘access good’ is related to input legitimacy, which Bouwen (2002) defines as the ‘democratic decisionmaking at the EU level through the participation of citizens and interest groups’ (p.371). In the context of human rights, the Commission will hence also grant access to associations that can offer information on the European Encompassing Interest. The EEAS is expected to have similar demands for input. The first hypothesis can be formulated as: H1: HROs that supply expert knowledge have the highest degree of access to the Commission and EEAS. HROs that supply input on the Encompassing European Interest have less access, but better access than HROs that supply input on the Domestic Encompassing Interest. 6 In contrast, the member states are expected to primarily demand input on the Domestic Encompassing Interest, which facilitates the bargaining process in the Council. National level associations are hence expected to have the highest degree of access to the Council. Despite the intergovernmental character of policy-making in the Council, the Council secretariat will however also request input on the European Encompassing Interest, and to a lower degree expert knowledge (Bouwen, 2002). This provides a second hypothesis: H2: HROs that supply input on the Domestic Encompassing Interest have the highest degree of access to the Council. HROs that supply input on the Encompassing European Interest have less access but better access than HROs that supply expert knowledge. Finally, the primary task of the European Parliament (EP) is to evaluate the Commission’s legislative proposals from a European perspective. It therefore needs input on the European Encompassing Interest rather than expert knowledge. Further, since Members of the EP (MEPs) are elected directly they will also request information on Domestic Encompassing Interest (Bouwen, 2002). The third hypothesis then is: H3: HROs that supply input on the Encompassing European Interest have the highest degree of access to the European Parliament. HROs that supply input on the Domestic Encompassing Interest have less access to the European Parliament, but better access than HROs that supply expert knowledge. In addition to institutional factors, the preferences of EU institutions are expected to affect access for HROs. In foreign policy matters (trade policy exempted) the costs and benefits to societal groups are in general relatively weak, unclear or diffuse. Hence, decision makers are expected to act under relatively limited pressure from societal groups. ‘The more general and less predictable [policy area] the larger the space for leading politicians and partisan elites to act on the basis of ideological predilections’ (Moravcsik 1993: 495). While human rights generally are expected resonate with the national values and norms of EU member states, as all have all ratified the core United Nations human rights conventions, there are nevertheless significant differences in the extent to which states have institutionalized human rights norms in their national legislation, as well as in their respective foreign policy agendas. The EEAS and the Commission are generally expected to prefer human rights policies that expand their policy making mandate (Tallberg 2002). They will hence demand information from HROs 7 and other actors that support the enlargement of their mandate. A recent study by Dür et al. (2015) shows that in cases of divergent preferences among member states and EU institutions, influence of citizen groups was higher than in cases of preference homogeneity. In line with this finding, we would expect that: H4: The more heterogeneous preferences among EU institutions and member states, the more access will be provided for HROs in policy formulation. HRO supply of information This article applies a definition of ‘civil society’ as comprising of non-governmental, nonviolent and non-profit seeking actors (Steffek et al. 2008). An alternative concept, which is often applied in interest group literature, is non-governmental organizations (NGOs) (Steffek, 2013). However, civil society is a broader concept as it includes organizations that would not classify as NGOs, such as labour unions and churches. Both concepts exclude corporations1. According to Keck and Sikkink (1998) ‘principled-issue networks’ are distinguished from other types of interest groups, as they may choose outsider strategies over insider status, if the desired norm transformation is perceived to happen too slowly or at a too limited scale. While inside strategies involve direct interaction with decision makers, outside strategies put pressure on decision makers through the mobilization of public opinion (and is often referred to as ‘shaming’) (Dellmuth et al. forthcoming). Human rights organizations are defined as civil society organizations engaged in human rights advocacy with an ultimate aim to transform prevailing norms, policies and practices. They are expected to be instrumental actors with principled aims (see more above). HROs are further anticipated to attempt to influence EU policy-making through both inside and outside strategies (Dür [2008]; Dür et al. [2013]). The focus of the current study is however only the insider strategies used by HROs in interaction with EU institutions. Most of the HROs that carry out advocacy at EU level are international umbrella organizations, such as Save the Children International and the European Region of the International Lesbian, Gay, Bisexual, Trans & Intersex Association (ILGA). They sometimes act individually, and sometimes form larger advocacy networks. The term human rights organizations (HROs) is used here to denote both individual organizations and networks. 1 As a comparison, ‘transnational actors‘ (TNAs) comprise of all non-state actors that act across state boarders (Uhlin, 2010 p. 17) 8 Based on the logic of the resource-exchange model, the relationship between HROs and EU institutions will only be sustained if both parties provide the goods that the other party needs. As we have seen above, EU institutions primarily demand the ‘access goods’ expert knowledge and information on European Encompassing Interest. Expert knowledge in the context of human rights policy would include expertise in human rights law and policy, up-todate information on the situation the ground’ including on the experiences of domestic civil society, and practical knowledge on how to apply a human rights- based approach to policy and programming. Regarding the European Encompassing Interest it is expected that European umbrella associations and organizations that directly represent their constituencies are best equipped to provide this access good. We hence predict that: H5: The more capable a HRO is at providing expert knowledge or input on the European Encompassing Interest, the more likely it will be granted formal or informal access to EU institutions. Previous research has demonstrated that human rights NGOs have influenced national delegations to international organizations (IOs) (Clark et al. 1998). This study is nevertheless too small to systematically account for domestic advocacy by HROs towards the member states. Further, I argue that HROs should in general prefer EU policy instruments with comprehensive scopes (in terms of geographic and thematic coverage) and mandatory monitoring mechanisms. However, different types of HROs are expected to have different preferences regarding the precision of policies. For single-topic organizations, precision in policy texts is vital to make sure that their specific concern is addressed with sufficient detail. Multi-topic organizations should however prefer more comprehensive and vague policy formulations over precise texts that exclude some of the topics they work on. This would provide that: H6: The narrower the agendas of the HROs that are granted access to the policy formulation process, the more precise policy texts. 9 Finally, based on the literature on human rights treaty ratification of states, treaty ratification provides civil society, with an opportunity to build political support and gain legitimacy for their demands for human rights (Risse et al. [1999]; Simmons [2013]). While this is especially true for domestic actors that have a large and on-going stake in the outcomes of ratification, this may also be true for European level HROs. Another hypothesis will therefor be developed, as follows: H7: The ratification of International human rights treaties by the EU and/or its member states, should increase HRO influence over EU human rights policy. Comparative case design The comparative case design allows for an assessment of the extent to which explanatory variables are necessary and/or sufficient to explain the policy outcomes. The primary weakness of the comparative case study design is however what Lijphart (1971:687) calls the “problem of many variables”. One way to minimize this problem is to select cases that share many features and operate within comparable contexts, but display sufficient variation regarding the conditions to be analysed (Lijphart [1971]; Rihoux [2006]). This is the small-n counterpart to quantitative control for potential independent predictors of influence. I have selected three cases that concern the rights of specifically defined groups: children, persons with disabilities and LGBTI persons. Alternative cases could have been the rights of women or indigenous people. While, gender equality and women’s empowerment in EU foreign policy have been studied extensively already (see, e.g., Elgström [2000]; Pollack and Hafner-Burton [2000, 2010]; Lister and Carbone [2006]), the case of indigenous peoples’ rights is not considered a comparable case in this study as it involves collective rights and the right to land. Moreover, cases related to human rights violations caused by war or other crisis is not included in the study in order to avoid complex discussions on the relationship between human rights and International Humanitarian Law. Hence, children and armed conflict will not be discussed in the case of children’s rights. While similar on these regards, the cases differ on one aspect that might play a vital role in human rights integration in EU external policy, namely the International legal basis of different human rights concerns. The rights of persons with disabilities gained a unique legal status in 2011, when the EU became a party to the UN Convention on the Rights of Persons 10 with Disabilities (CRPD). This provides that EU level policies, legislative and programming actions must comply with the CRPD’s provisions on disability rights, within the limits of EU competences. Further, the EU has committed itself to regularly report on progress made towards the implementation of the convention to the United Nations Committee on the Rights of Persons with Disabilities. The rights of children are defined in the UN Convention on the Rights of the Child (1989) to which all member states are state parties. As regards LGBTI persons, the right to non-discrimination is enshrined in numerous international instruments, including the International Covenant on Civil and Political Rights (ICCPR) and the International Covenant on Economic, Social and Cultural Rights (ICESCR). Explicit references to sexual orientation and gender identity are however not made in any of the core human rights treaties. In 2008, the United Nations General Assembly (UNGA) issued a statement on human rights, sexual orientation and gender identity, which was supported by 68 countries, including by the EU member states. The hypotheses on treaty ratification (see above) would predict that the HROs engaged in disability issues should be the best positioned to hold EU institutions accountable to their human rights commitments, while the LGBTI movement should have the most disadvantaged position. However the degree and type of influence HROs exercise has to be studied empirically, as we do not know if theories to predict effects of ratification for states also apply to regional organizations. Method for measuring actor influence Influence can be defined as: “when one actor intentionally transmits information to another that alters the latter’s actions from what would have occurred without that information.” (Knoke 1990:3). Measuring influence in policy formulation is to attempt to reply to the counterfactual question: Without the involvement of actor x, would the policies have been formulated differently? It is not possible to measure actor influence in policy-making directly. A mere comparison of policy statements is not enough, as policy convergence may simply be coincidental. Influence instead involves a causal process (Lowery et al. 2008). Further, to compare preferences of different actors and identify the level of preference-attainment may hide gaps between what actors demand publicly and what they wish to accomplish unofficially (Uhlin 2011). Moreover, influence measured by actors’ self-assessment is also problematic since actors may have strategic reasons to under-or overestimate their influence (Tallberg et al. 2014). Methodological triangulation provides the best opportunity to resolve these problems. 11 The focus of the current study is how the exchange relationships between EU institutions and HROs affect policy formulation. Influence through HROs’ outsider strategies will hence not be studied. The first five hypotheses are focused on the relationships between different EU institutions and HROs while the last hypothesis instead predicts the effects of HRO characteristics (multi-or single-topic) and issue characteristics (International legal basis) for policy formulation. In order to test the first five hypotheses, information is collected on the access provided for HROs as well as on their supply of information. In this way we follow the process through which influence has been exercised, and thus avoid the problem of ‘black boxing’ the process (Dür 2008). Secondly, in qualitative interviews, different actors have been asked about their perceived influence over policy formulation, as well as over the influence by other actors involved in the process. In addition, document analysis of actor preferences ex ante and ex post policy adoption has been carried out. In order to identify member states’ preferences, foreign policy statements, development policies and EU presidency programs have been analysed. In addition, I have recorded recommendations made by EU member states in the United Nations Universal Periodic Review (UPR). The preferences of the other EU institutions have been identified through analysis of different legislative drafts and policy proposals. As regards HROs, I have studied policy documents, statements and opinions in open Commission consultations. Mapping human rights across external policies This brief chapter presents a description of the integration of the three cases of human rights across CFSP, development co-operation and Enlargement policy. CFSP Though not legally binding, EU human rights guidelines represent ‘a strong political signal that they are priorities for the Union’ (EEAS 2014). The guidelines serve as implementation tools for EU representations upon which to base specific actions in multilateral forums, regional and bilateral relations as well as in geographic and thematic development aid instruments. For a complete list of human rights guidelines see Annex 1. The integration of the three cases in human rights guidelines is assessed according to three specific policy dimensions, which viewed together classify policies on a scale from ‘hard’ to ‘soft’. The three dimensions are inspired by the work by Abbott and Snidal (2000) on hard and soft law, as interpreted by Pollack and Hafner-Burton (2010) in their comparative study 12 on gender mainstreaming and environmental integration in the EU. The classification has however been adapted to fit the non-legally binding EU human rights guidelines. The underlying logic of the classification is that hard policy instruments are more likely to lead to compliance by Commission DGs and services than soft policies (ibid). I have defined the precision as the distinctiveness and clarity of goals and activities. Some guidelines have checklists of issues to be addressed in relations with third party. This is considered a high precision in activities. The scope of the policy has been assessed by the clarity of the administrative responsibilities (for example EU delegations) and the extent to which geographic coverage is specified (for example in all countries that have not ratified treaty x). Third, as regards monitoring, it has been identified if the implementing units are required to report on compliance with the guideline. Table 1 presents a summary of how the three cases are covered in human rights guidelines. Disability rights are not covered in any specific guidelines. The child rights guidelines from 2007 present a first focus area for implementation: violence against children. This issue is to be implemented in a pilot program of maximum ten countries, which are not named. The guideline on LGBTI provides a checklist of specific policy and legal issues to include in an analysis the situation of LGBTI. LGBT is hence the most integrated human rights issue in human rights guidelines Table 1. Human rights guidelines Rights-‐holders Human rights guidelines Precision of goals and activities Scope & monitoring Children ‘Promotion and Protection of Child Rights’ (2007) 2 Priority area: violence against children. No checklist. Priority area to be pilot-‐ tested in ten countries. COHOM review of guidelines and pilot reports. Persons with disabilities None specifically on disability. -‐ -‐. LGBTI persons ‘Promote and protect the enjoyment of all human rights by lesbian, gay, bisexual, transgender and intersex (LGBTI) persons’ (2013) Clear and concise objectives, priority areas. Checklist. Priority countries specified. COHOM review. Reporting by Heads of missions. 2 The 2003/2008 Guidelines of Children Affected by Armed Conflict are not included in the analysis for reasons discussed above. 13 Development and Enlargement policy The Development Cooperation Instrument (DCI) allocating €19,662 million for the period 2014-2020, is the largest of the external financing instruments covered by the EU budget. The DCI covers all developing countries except the countries covered by the Pre-Accession Instrument (see below). The geographic programmes under the DCI cover developing countries in Asia, Central Asia, Middle East, Latin America, and South Africa. The DCI further includes two thematic programmes: 'Global public goods and challenges' of which at least a quarter is allocated to social inclusion and human development; and a programme that provides support to civil society and local authorities. In addition, the DCI includes a regional programme to support the strategic partnership between the EU and Africa. The Instrument for Pre-accession Assistance (IPA) allocates €11,699 million for the period 2014-2020 to candidate and aspiring candidate countries: Albania, Bosnia and Herzegovina, Kosovo , Montenegro, Serbia, Turkey and the former Yugoslav Republic of Macedonia. The ∗ IPA aims to support the countries in the implementation of reforms as part of the preparation to become EU members. The main elements of the IPA are support for the rule of law and fundamental rights, economic governance, regional co-operation and administrative capacity. Table 2 shows how the three human rights cases have been integrated in the three different policy instruments: DCI, IPA and human rights guidelines. As seen, all cases have been integrated in two out of three policies. While LGBTI has not been integrated in the DCI, children are not explicitly referred to in the IPA, and finally, persons with disabilities are not covered in any human rights guidelines. The forthcoming article will seek to explain this variation. 14 Table 2. Human rights across external policies Rights-‐ holders Development Co-‐ operation Enlargement Children Crosscutting issue -‐ 2007. No checklist. 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EU Human Rights Guidelines Death Penalty (1998, updated 2008, 2013) Torture and other cruel, inhuman or degrading treatment or punishment (2001, updated 2008, 2012) Human Rights dialogues with third countries (2001, updated 2009) Children and armed conflict (2003, updated 2008) Human Rights Defenders (2004, updated 2008) Promotion and Protection of the Rights of the Child (2007) Violence against women and girls and combating all forms of discrimination against them (2008) International Humanitarian Law (2009) Promote and protect the enjoyment of all Human Rights by lesbian, gay, bisexual, transgender and intersex (LGBTI) persons (2013) Promotion and protection of freedom of religion or belief (2013) Freedom of Expression Online and Offline (2014) 19
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