OBSERVARE
Universidade Autónoma de Lisboa
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019)
!
Vol 10, Nº. 1 (May-October 2019)
ARTICLES
Institutio n al* isomor p h ism* and* the* per sis te n ce * o f * th e * p r es e n t* in t er n at io n a l* o rd e r* –* Vítor! Ramon!
Fernandes!–!pp!1-13!
Jürgen*Hab e rm as *an d*the *D em o cra tizatio n *of*W o rld*Po litics*–*André!Saramago!–!pp!14-28!
The*relevance*of*Hum an*Rights*Council*special*sessions:*the*protection* of*the*civilian* population*in*
current*internal*armed*conflicts*–*Sónia!Roque!–!pp!29-43!
Agenda-setting*a nd*framing*in*foreign*policy:* The*case*of*Russian*and*Ukrainian*televised*coverage*
of*the*Crimea*Case*–**Yuliia!Krutikova,!Maria!Raquel!Freire!e!Sofia!José!Santos!–*pp!44-65!
The* adequacy* of* the* internation a l* cooperation* means* for* combating* cybercrime* and* ways* to*
modernize*it*–!Farouq!Ahmad!Faleh!Al!Azzam!–!pp!66-83!
A*fair*global*carbon*budget*for*Least*Developed*Countries*(LDCs)*–*Gustavo!Furini!–!pp!84-9 7!
The* role* of* politics* and* institutional* environment* on* entrepreneurship:* em pirical* evidence* from*
Mozambique*–*Renato!Pereira!e!Redento!Maia!–!pp!98-111!
The* investment* of* Spanish* companies* in* Latin* America,* patterns* and* determining* features* –*
Gonzalo!Gonzalez!e!Rafael!Myro!Sánchez!–!pp!112-124!
Internat io n a l* mobility * of* a*community* of* students* from* the* Univers ida d e * do* Algarve* –* Margarida!
Viegas!e!Rita!Baleiro!–!pp!125-142!
NOTES
Cross-border*Cooperation*in*the*Galicia-Northern*Portugal*Euroregion*–*Vera!Ferreira!–!pp!143-151!
CRITICAL REVIEW
Sá,* Tiago* Moreira* de;* Soller,* Diana* (2018).* Donald* Trump:* O* Método* no* Caos.* Alfragide,*
Publicações*Dom*Quixote,*2018,*227*páginas!– * Patrícia!Caetano!–!152-155
OBSERVARE
Universidade Autónoma de Lisboa
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 1-13
INSTITUTIONAL ISOMORPHISM AND THE PERSISTENCE OF THE PRESENT
INTERNATIONAL ORDER
Vítor Ramon Fernandes
vitor.fernandes60@gmail.com
Assistant Professor at the Lusíada University (Portugal) and Visiting Scholar at the University of
Cambridge (Wolfson College and, previously, at the Department of Politics and International
Studies)
Abstract
International orders reflect the settled arrangements that define relations between states in
certain moments in history. Order breaks down when the adopted set of organizational
principles that define roles and the terms of those relations cease to operate. International
organizations are a central feature of the current order and an important source of legitimacy.
This article extracts a set of ideas derived from the new sociological institutionalism literature
in organizational analysis and sets out an argument showing their possible implications for
the present order. I argue that there are certain organizational features related to institutional
isomorphism that may well support the persistence and maintenance of the current
international order. The argument is based on the homogeneity of practices and arrangements
found in different institutions and organizations. The persistence of those practices and their
reproduction in structures are to some extent self-sustaining and may provide additional
support to the idea that the current American-led international order may last longer than is
often thought while allowing for changes in the distribution of power.
Keywords
International Organization; New Institutionalism; Institutional Isomorphism; Organizational
Field; International Order
How to cite this article
Fernandes, Vítor Ramon (2019). "Institutional isomorphism and the persistence of the present
international order". JANUS.NET e-journal of International Relations, Vol. 10, N.º 1, May-
October 2019. Consulted [online] on the date of the last visit, https://doi.org/10.26619/1647-
7251.10.1.1
Article received on May 27, 2018 and accepted for publication on February 02, 2019
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 1-13
Institutional isomorphism and the persistence of the present international order
Vítor Ramon Fernandes
2
INSTITUTIONAL ISOMORPHISM AND THE PERSISTENCE OF THE PRESENT
INTERNATIONAL ORDER
Vítor Ramon Fernandes
Introduction
The current international order
1
is considered to be changing. There are power shifts
taking place and the question regarding the nature of that change is a crucial one.
Critically, it matters whether the power transitions that are taking place will lead to a
bipolar order, or even to a multipolar one. But, in addition, it will be important to see
whether there will be major changes in the operating nature of that order, or whether it
will retain many of its main features, namely with respect to the role and importance of
international organizations.
2
Taking stock of the importance that international organizations and other institutions
have had in the creation and maintenance of the current international order, the main
argument presented here is that there is also a set of ideas that arises from sociology
that may help sustain it. There are a number of organizational features pertaining to
organizational theory related to institutional isomorphism, in particular, that should be
drawn attention to given that they are likely to have an important influence regarding
the way that international organizations operate and which, as a result, may provide
significant support to the persistence of the current international order. These ideas
follow from work related to the new institutionalism
3
in organization theory and sociology
- the new sociological institutionalism.
This approach rejects rational-actor models and considers institutions as independent
variables in alternative to the more conventional approaches that take institutions as the
consequence of motives and actions based simply on rational behaviour (Powell and
DiMaggio, 1991). The new sociological institutionalism is the most influential theory in
recent decades that studies matters related to institutional development. It is based on
1
International order is considered to be the set of norms, rules and arrangement between states that guide
the interactions between them, and, in particular, how major powers interact between them and with other
states (see, for example, Ikenberry, 2001, 2014).
2
International organizations are defined here, essentially, as organizations that have representatives from
three or more states supporting a permanent secretariat and that are assigned to perform certain tasks in
order to achieve certain defined and common objectives. Defined in this sense, it only encompasses
international governmental organizations. However, although the focus of the analysis is centred on those,
much of what is argued here in this article also applies to other international organizations, namely,
nongovernmental organizations. On this matter, see for instance, Archer (2014).
3
As noted by Powell and DiMaggio (1991: 1): “there are many ‘new institutionalisms’”. Here, I will be
concerned with the New Institutionalism in organizational studies and sociology. Its characteristics will
become clearer as I proceed.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 1-13
Institutional isomorphism and the persistence of the present international order
Vítor Ramon Fernandes
3
arguments that differ quite significantly from the more common line of research
concerning the role and importance of international organizations, most notably in the
creation and maintenance of the current international order within liberal institutional
theory and regime theory. It is, nevertheless, complementary to it.
The remainder of the article unfolds as follows: In the first section, I present a brief
analysis of the current international order with a view to characterizing the overall context
of the main argument. Here, in addition to a number of general considerations about the
nature and stability of the present order – while also contextualizing some of the power
shifts that are taking place, most notably with the rise of China – I review the importance
that international organizations have had in that order until now. The second section lays
out a number of considerations on the nature of international organizations, drawing
attention to their organizing principles and elements as bureaucracies. Here, I point out
some of the most important features of international organizations as bureaucracies from
an organizational theory viewpoint in order to highlight their importance and relevance
in international politics. In this section, I also discuss the importance of power in the
context of international organizations. In the next section, I illustrate some of the most
well-known approaches that can be applied when studying organizations, in order to
contextalize the perspective that I will follow in presenting my main argument. Some of
the differences between these perspectives are also highlighted. The following section
presents the main arguments on institutional isomorphism based on the work of Meyer
and Rowan (1977), and DiMaggio and Powell (1983), given that they are essential to the
main argument. After that, I argue that the mechanisms identified as sources of
isomorphism, and indeed of some homogenization resulting from institutional
isomorphism, are likely to play an important role in the maintenance of the current
international order. The article ends with a conclusion of the main arguments.
The enduring stability of the current international order
A great deal has been written in the international relations literature about the role of
international organizations and other institutions in the present international order, most
notably, how they have been an essential part of the current order since the end of World
War II. One very important attribute has been to provide collective legitimacy. The latter
is very important, given that “Legitimacy is a property of a rule or rulemaking institution
which itself exerts a pull toward compliance on those addressed normatively because
those addressed believe that the rule or institutions has come into being and operates in
accordance with generally accepted principles of right process” (Franck, 1990: 24).
International orders reflect the settled arrangements that define relations between states
in certain moments in history. Order breaks down when the adopted set of organizational
principles that define roles and the terms of those relations cease to operate. Agreed-
upon rules and institutions limit state power, and international organizations are a central
feature of the current order as well as an important source of legitimacy (Ikenberry,
1998/99, 2001, 2014).
Since the collapse of the Soviet Union, the United States has enjoyed unparalleled power
in the international system, with a level of power preponderance that no other state has
matched in modern history. For that reason, this order is characterized as unipolar. Time
will tell if, and when, we will return to a different kind of order, bipolar, as was the case
during the cold war or to a multipolar one as many predicted would occur soon after the
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 1-13
Institutional isomorphism and the persistence of the present international order
Vítor Ramon Fernandes
4
end of the Soviet Union. However, so far this has not happened. It does, however, seem
likely that the United States and China will continue to be the two greatest powers in the
international system in the coming decades as China’s economy continues to grow at a
fast pace, possibly even surpassing the United States on a number of fronts and despite
still lagging very significantly in terms of military power.
4
It will be crucial to watch how the relationship between these two countries,
notwithstanding others, will unfold. Largely, it will also be about the relashionship
between China and the liberal Western order that emerged after World War II through
the leadership of the Unites States (Ikenberry, 2013). China still seems quite far away
from becoming the first power, or superpower, in the world.
5
It does not seem to wish to
lead the world in a missionary way either. Nevertheless, China will want to push its
interests forward and that will probably mean that world power will be shared between
the United States and China at some point in time. In this context, there is a possibility
that these countries succeed in finding ways to manage their differences and will be able
to develop the prospects for political, economic and security cooperation leading to peace
and stability in the international system. Furthermore, while China will likely want to
reform parts of the postwar international rules-based order overtime in order to better
suit its interest, this may occur without major changes in the way it operates.
Nevertheless, the possibility of conflict in the future exists if rivalries are not contained.
The diplomacy of Beijing has sometimes been considered challenging, somewhat
disturbing and often disrupting on several occasions (Christensen, 2011; Shambaugh,
2011). There is also some scepticism on what concerns the relationship between powerful
states and international organizations. In addition, powerful states also often bend many
of the international organizations norms to their will. Notwithstanding, membership of
these organizations and adherence to the norms that they embody can be used as a way
to demonstrate power and gain advantage. China will continue to try to limit and set
boundaries on the United States power and international organizations can be effective
institutions for that purpose.
All said, this order has also been relatively stable despite some significant shifts in the
global distribution of power that seem hard to deny and are still taking place.
6
This
stability seems due to a number of institutional factors, namely, a number of
“constitutional characteristics” (Ikenberry, winter 1998/1999: 45) that mitigate the
existing differences in power between states and their implications, thereby reducing the
need for states to balance. With its rules and norms, institutions are therefore a major
component of the international order, exhibiting what Ikenberry (winter 1998/1999: 46)
calls “increasing returns” characteristics. That may be considered relevant in the sense
that the more they become a part of the present international order, the more they help
maintain it and make it more difficult to overturn it. Furthermore, the current liberal
international order can be organized in different ways. It has evolved over time and can
4
Military power is a crucial element here, notably in terms of polarity. The considerable difference still existing
between the United States and China on this front is, from my perspective, considered essential for
characterizing the international system as unipolar.
5
It remains to be seen if it ever will.
6
As one anonymous referee pointed out to me, examples such as the creation of the Asian Infrastructure
Investment Bank – that is somewhat considered as a competitor of the World Bank – can be seen as
resulting from the inability of the latter to allow changes in the distribution of power. My argument differs
in the sense that I regard that situation as one possible circumstance of adjustment within the international
order to allow for changes in the distribution of power and maintain its main features and characteristics.
See also footnote 12 below.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 1-13
Institutional isomorphism and the persistence of the present international order
Vítor Ramon Fernandes
5
continue to evolve (Ikenberry, 2009). It can be more or less tied to the existing norms
and institutions, it can be more or less open, and more or less rule-based or
institutionalized.
The nature of international organizations
Irrespective of the issue that one considers in world politics, being it conflict, economic
or financial matters, humanitarian issues, environmental concerns, or any other, one is
bound to find international organizations involved. Their function is much more than just
executing international agreements between states. They shape the global international
order and, particularly since World War II, they are central to order building and its
maintenance. They often make authoritative decisions that have global reach. In many
situations, international organizations act as facilitators of policy coordination, as
mechanisms for managing and legitimizing the solutions to problems that managed
otherwise by independent states in an interdependent world, would simply remain
unsolved.
In essence, international organizations are bureaucracies, which continue to be the
privileged framework for organizing work in a complex world (Weber, 1947; Weber, Roth
and Wittich, 1978). Bureaucracies are considered to be the most efficient system of
organization and the most effective way to rationalize processes in the current world,
given some of the features that are associated with it, namely spheres of competence
defined within a division of labour with some form of hierarchy. In addition, the necessary
work and the pursuit of the defined objectives are carried out according to rules and
operating procedures, and irrespective of the people working there in a particular
moment, that is, they are impersonal. They allow an organization to respond more
effectively and predictably to demands. As such, bureaucracies are sets of rules that
define complex social tasks within a certain division of labour in the pursuit of certain
objectives.
Bureaucracies also affect the behaviour of others actors within the international system,
such as countries and other bureaucracies (Krasner, 1983; Keohane, 1984). They also
define and create rules that have an impact on the social world. Such an example would
be the case of the International Monetary Fund (IMF), in the sense of creating rules for
managing balance-of-payments problems, or activities in the sense of institutionalized
procedures for solving specific problems or accomplishing certain tasks. Not least
important, bureaucratic culture tends to guide action, although it does not determine it,
in the sense that bureaucrats tend to share a similar view of the world because those
bureaucracies influence their interests and shape their views (Campbell, 1998;
Immergut, 1987; Swidler, 1986).
Another crucial theme related to international organizations is power.
7
Much can be said
about power and international organizations and, in that respect, it is important to
distinguish power in international organizations from the power of those organizations.
More specifically, one can think of power within organizations in the sense of the capacity
and the ability that members of those organizations have in the creation and functioning
of those organizations. The same can be said in terms of negotiating ability and agenda-
setting capability. However, here I wish to focus on the power of organizations. That is,
7
For a good discussion on power and international organizations see, for instance, Barkin (2013).
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 1-13
Institutional isomorphism and the persistence of the present international order
Vítor Ramon Fernandes
6
the idea that these international organizations have independent power and one that is
non-military. That power can also be expressed in terms of influence within those
organizations, namely through agenda setting and the creation of procedures. An
example would be the United Nations, concerning international peace and security. This
power arises from moral authority, which provides the specific organization with
legitimacy to act in a depoliticized manner and from an imparcial standpoint. However,
it can also be used to push forward certain particular political positions and agendas.
The other source of power in international organizations is the production and control of
information. Often, this authoritative power is related to the ability to make use of
“epistemic communities” (Haas, 1992: 3), which allows organizations to present
themselves as depoliticized and to emphasize an objective point of view with regard to
knowledge. Again, a good example of this would be the IMF with respect to some claim
regarding monetary policy prescriptions, but many other organizations can also provide
similar examples. It is because bureaucrats possess information that others do not or,
alternatively, because they can influence what information other actors should collect
and reveal that they can increase their control over outcomes. In addition, bureaucratic
power can include the ability to transform information into knowledge, giving it meaning,
which can also have an effect in shaping social reality. All this provides a way of
establishing rules and norms that international organizations wish to spread as models
of good and adequate behaviour (Finnemore, 1996; Katzenstein, 1996; Legro, 1997).
One of the functions of international organizations is considered to be the creation,
spreading and enforcement of values and norms that are supposed to define what
constitutes the acceptable and legitimate state behaviour.
Different approaches to study international organizations
Traditionally, international organizations have been studied from an institutional
perspective (Kratochwil and Ruggie, 1986). From this perspective, which is a static one
and does not allow understanding many of the changes that occur in these institutions,
the way to proceed is generally through the study of their formal structures, organizing
principles and hierarchies, which enables understanding what a specific organization can
and cannot do. For instance, it would be impossible to understand the actions and politics
of the United Nations without knowing how the veto power of the five permanent
members of the Security Council works. The same can be said for the lending procedures
of the IMF or the World Bank without being familiar with voting procedures. In addition,
it is important to take into consideration that these organizations have both
administrative employees and political appointees. A key distinction should be made
here, given that the primary loyalty of the former is towards the organization and its
goals whereas the primary loyalty of the latter is towards their respective governments.
This has important implications for international governmental organizations.
Funcionalist and neofunctionalist approaches attempt to deal with the fact that
international organizations change and evolve over time as new demands appear and
become more international fuelled by increased cooperation. The difference between the
former and the latter is that the latter also attempts to account for political demands and
integration processes in addition to technical ones (Barkin, 2013: 29-40). Some
funcionalist perspectives consider that international organizations exist due to the
functions they perform, in the sense that states create them to try and overcome
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 1-13
Institutional isomorphism and the persistence of the present international order
Vítor Ramon Fernandes
7
problems and difficulties that otherwise would not be possible, or simply too costly. Their
attention tends to focus on issues related to transaction costs, incomplete information
and other barriers that states try to overcome, but, in essence, they do not account for
a more independent role by international organizations, one that allows the creation of
independent agendas.
Notwithstanding, it is worth noting that funcionalist analysis also leaves open other
important dimensions that have become increasingly important over the recent years,
and particularly in the current international environment and with the current U.S.
administration. Most notably, a number of international organizations, such as the United
Nations, the World Trade Organization, and the UNESCO, among others, have become a
battleground for states to operate in order to safeguard their interests within world
politics, reflecting the power shifts that are occurring.
8
Although there is a risk of this
situation endangering the maintenance of the current international order in time,
particularly if it persists, it does not undermine the correctness of my main argument.
The predominant approach for analysing international organizations in the international
politics’ realm is, in all probability, regime analysis.
9
According to this approach,
international organizations are considered to be formal structures that “can be defined
as sets of implicit or explicit principles, norms, rules, and decision-making procedures
around which actors’ expectations converge in a given area of international relations”
(Krasner, 1983: 2). As such, they also often lead to the creation of institutions, and some
of which are international organizations that promote cooperation (Krasner, 1983;
Keohane, 1984; Young, 1982, 1986). Some authors even argue that a regime always
exists when there is a regular pattern of behaviour that is sustainable for a significant
length of time (Puchala and Hopkins, 1982). In this sense, regimes and behaviour are
closely linked. In turn, this may help maintain the current order. However, a crucial idea
in this approach is that international organizations have no agency. Their role is the usual
image of international organizations seen as instruments that states use to achieve their
own goals (Archer, 2014: 117).
Significantly, and differently from what is generally considered in regime theory, several
international relations authors, some of whom with a constructivist leaning, have
disputed the value of the rational actor’s approach to the study of institutions. They tend
to adopt a more process-oriented perspective, whereby institutions constitute actors
(states) but also constrain them, and which leads policy-makers to take into
consideration norms and rules in their decision-making processes (Ruggie, 1982;
Kratochwil and Ruggie, 1986; Krasner 1988; Keohane, 1988). From their perspective,
international organizations promote norm dissemination because of the focus on trying
to generate consensus through multilateralism. According to Acharya (2006: 113)
“Without multilateralism, the norms of sovereignty would not have become so prominent
a feature of the post-war international order”. Operating according to international norms
leads to norm dissemination, where a norm can be identified as “a standard of
appropriate behaviour for actors with a given identity” (Finnemore and Sikkink, 1998:
891). Furthermore, it facilitates domestic approval for action like “international rules and
norms can affect national policy choices by operating through the domestic political
process (Cortell and Davis, 1996: 471). Moreover, norms matter and they have a real
8
I am grateful to one of the anonymous referees for pointing this out to me.
9
International regimes are generally considered to be multilateral agreements based on the notion that
international cooperation is possible and occurs.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 1-13
Institutional isomorphism and the persistence of the present international order
Vítor Ramon Fernandes
8
and relevant impact on the way states behave. This occurs either through ‘regulative’
effets, in the sense that they induce states to behave in a certain way, or in a
‘constitutive’ way, which means that they influence the preferences and interests of
states (Glanville, 2016: 186-187). Others argue that under certain restrictive conditions
of the failure of individual actions by states to secure Pareto-optimal outcomes,
international regimes may play an important role in the international system, despite its
anarchic nature (Stein, 1982; Jervis, 1982).
Notwithstanding the relevance of the different approaches to organizational analysis, the
focus here takes a different perspective, most notably from what is generally considered
in the positive theory of institutions in general. The argument here is more of a
sociological nature and does not necessarily follow a rational approach perspective.
10
It
is based on the new institutionalism literature in organizational analysis that considers
the homogeneity of practices and arrangements found in different institutions and
organizations. The persistence of those practices and their reproduction in structures are,
to a certain extent, self-sustaining. Nevertheless, most significantly, it also allows for
changes in the distribution of power within the international order.
This different approach is based on arguments of a particular type of new institutionalism,
whereby normal organizational structures reflect technical demands and resource
dependencies, but which are also shaped by institutional forces that include rational
myths, knowledge legitimated through the educational system, by the professions, and
the law. Organizations are deeply embedded in social and political environments. In
addition, these organizational practices and structures also reflect, or are responses to,
rules, beliefs, and conventions built into the wider environment. This perspective has a
clear sociological flavour that distinguishes it from the remaining ones.
Much of this is also related to the work of Bourdieu (1977, 1980, 1984) and Bourdieu
and Wacquant (1992), which follows a reflexive epistemology and a relational ontology
that builds on the notion of ‘habitus’ and fields. Bourdieu’s concept of habitus consists of
a system of dispositions that originate in social structures but that are so deeply
internalized by actors that they generate behaviour even after the original structural
conditions have changed (Swartz, 1997, particularly p. 101). Bourdieu’s notions of
fields
11
and symbolic capital deepen our understanding of the network not only as a
system of knowledge flows – an instrument or means – but also as an important
phenomenon in its own right. The core idea here is that there are processes within
organization theory that are pertinent to the realm of international
institutions/organizations. These processes may be industrywide, national or
international in scope. It can also be considered that this perspective shares common
ground with the work of Wendt (1987, 1999).
The mechanisms of institutional isomorphism and homogenization
The central argument of the new sociological institutionalism lies on the processes of
institutional homogenization (Lawrence and Suddaby, 2006; Tempel and Walgenbach,
2007). This follows, particularly, from the seminal contribution by Meyer and Rowan
(1977) and DiMaggio and Powell (1983). Meyer and Rowan argue that many formal
10
On this subject, see Powell and DiMaggio (1991, specially the introduction).
11
That is, networks or social arenas within which struggles occur for scarce resources.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 1-13
Institutional isomorphism and the persistence of the present international order
Vítor Ramon Fernandes
9
organizational structures come about as reflections of rational rules, with institutional
rules functioning as myths that organizations incorporate in their structure and mode of
operating, thereby also gaining legitimacy and stability. These authors argue that in order
to achieve legitimacy, organizations tend to construct stories about their actions and
activities. These stories are used as forms of symbolic reassurance to appease influencial
people or the public in general. The focus of DiMaggio and Powell (1983) is on processes
of institutional homogenization, as well as similarity of practices and arrangements in
institutions. In essence, they developed the former theme further. Noting the remarkable
similarity of organizations in contemporary industrialized societies, they question why
organizations tend to become so similar to each other. Their central argument is that
organizations tend to incorporate practices, rules and procedures that have been
institutionalized and, in establishing how this process occurs, they highlight coercive,
mimetic, and normative processes of reproduction that lead to the isomorphic
organizational structures that generate increased legitimacy. Rather than because of
competition, or objectives connected to greater efficiency, organizations attempt to
obtain legitimacy in their environments in response to institutional pressures. This
homogeneity of practices leads to a constant and repetitive modus operandis in organized
life that may not be easily explained by a rational-actor approach.
According to DiMaggio and Powell (1983: 150): “Coercive isomorphism results from both
formal and informal pressures exerted on organizations by other organizations upon
which they are dependent and by cultural expectations in the society within which
organizations function”. As such, coercive factors may also involve political pressures and
the force of the state, and, in some cases, even provide regulatory oversight and control,
namely through defining measures and procedures that need to be implemented by the
actors within those regulated industries. However, they can also arise from cultural
expectations. In the case of international organizations, one can also think of
isomorphism resulting from more subtle and indirect processes.
A second source of institutional isomorphism is mimesis (DiMaggio and Powell, 1983:
151). This mechanism works in the sense that actors are pulled towards certain types of
organizational models, and often times of work and behaviour, as they find those
solutions to be attractive to the problems they face, or favourable in terms of
advancement and recognition. This imitation of institutional templates legitimated in the
organizations’ field often makes up for a lack of rationality of the decision and, last but
not least, becomes a saveguard in the case of failure, as one is able to demonstrate
having done “what should have been done” or acted “according to correct procedures”.
This mimetic isomorphism can be seen as a response to uncertainty and as a source of
legitimation (DiMaggio and Powell, 1983: 155; Kalev et al, 2006; Meyer and Jepperson,
2000; Meyer and Rowan, 1977; Powell and DiMaggio, 1991).
There is also isomorphism that results from normative factors that stem from the
influence of the professions and the role of education, many of them with great authority
and influence, as well as mimetic forces drawn on habitual and taken-for-granted
responses to circumstances of uncertainty. For instance, universities and other
professional training institutions diffuse standards across national boundaries and often
become “best practices” in any given profession. As such, they “are important centres
for the development of organizational norms among professional managers and their
staff” (DiMaggio and Powell, 1983: 152). Moreover, they function as developers of
common practices and ways of thinking, thereby favouring professionals in organizations
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 1-13
Institutional isomorphism and the persistence of the present international order
Vítor Ramon Fernandes
10
at various levels to become alike in background, education and orientation. In many
organizations, notably international governmental organizations, there is often an
informal filtering in hiring. A similar situation occurs thoughout career progression that
also favours isomorphism. In this context, Kontinen and Onali (2017) provide a good
example of normative institutional isomorphism involving nongovernmental
organizations (NGOs).
The three mechanisms pointed above may not be easy to distinguish from each other
empirically. They are separate but can, and most likely do, operate simultaneously, with
their results not being easily identifiable.
12
That issue needs not detain us here. More
relevant is the notion that in order to survive, organizations need to convince the
environment in which they operate that they are legitimate and that, as a result, they
deserve to exist. Organizations have a need to perpetuate these symbolic and ceremonial
activities about their activities. They become part of the environment, that is, they
become institutionalized. No doubt, international organizations are not immune to these
influences, given that their respective bureaucracies also play a determinant role in the
way they operate. In addition, some of these processes are also likely to influence
political representatives in these organizations and the policies of the single states. The
persistence of those practices in these international (governmental) organizations and
taken-for-granted ways of proceeding in terms of behaviour and attitudes favours a
reproduction of structures that provides additional support to the maintenance of the
current international order.
Conclusion
New institutionalism has become a leading approach within organizational analysis,
particularly among north-american organizational sociologists. The main idea is that
organizations need to gain legitimacy in order to survive and, as a result, they tend to
create myths about themselves, often through symbolic and ceremonial activities. Those
become institutionalized and deeply embedded in social and political environments.
We are witnessing power transitions within the international system and it is not yet
obvious how this will affect the present international order, not least to what extent.
However, despite those power transitions, the fundamental nature of the current
international order needs not to change dramatically or, seen from a different
perspective, may change at a much slower pace. Many arguments from a liberal
institutionalist perspective have argued precisely that. However, in addition to that, the
argument presented here is that there are institutional processes and mechanisms that
have been studied in organizational theory within the New Institutional Theory that may
well provide additional support to the idea of an enduring order. These processes tend to
impact organizations in general and irrespective of the area of activity and socio-political
context, and, as such, they are likely to influence international organizations as well. The
end result may well be that they are likely to play a role in the maintenance of the current
12
For instance, the Asian Infrastructure Investment Bank surely displays elements of isomorphism with the
World Bank of both mimetic and normative factors at work, albeit not necessarily easy to identify. This
would result from the adoption of similar organizational structures, rules and rituals, as many of the existing
features in one organization are present in the other in terms of acting “according to correct and best
procedures”.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 1-13
Institutional isomorphism and the persistence of the present international order
Vítor Ramon Fernandes
11
international order which, consequently, may last longer than is often thought, while
accommodating some of the shifts in power that are taking place.
References
Acharya, A. (2006). Multilateralism, Sovereignty and Normative Change in World Politics.
In Edward Newman, Ramesh Thakur and John Tirman (eds.) Multilateralism under
Challenge? Power, International Order, and Structural Change. Tokyo: UN University
Press.
Archer, C. (2014). International Organizations. London and New York: Routledge.
Barkin, S. (2013). International Organization: Theories and Institutions. New York:
Palgrave Macmillan.
Bourdieu, P. (1977). Outline of a Theory of Practice. Cambridge: Cambridge University
Press.
Bourdieu, P. (1980). The Logic of Practice. Stanford: Stanford University Press.
Bourdieu, P. (1984). Distinction: A Social Critique of the Judgement of Taste. London:
Routledge.
Bourdieu, P. and L. Wacquant. (1992). An Invitation to Reflexive Sociology. Chicago:
Chicago University Press.
Campbell, J. (1998). Institutional Analysis and the Role of Ideas in Political Economy,
Theory and Society, 27, 3: 377-409.
Christensen, T. J. (2011). The Advantages of an Assertive China: Responding to Beijing’s
Abrasive Diplomacy. Foreign Affairs, Vol. 90, 2 (March/April): 54-67.
Cortell, A. and Davis, J. (1996). How Do International Institutions Matter? The Domestic
Impact of International Rules and Norms. International Studies Quarterly, Vol. 40, 4:
451-478.
DiMaggio, P. J. and Walter W. Powell. (1983). The iron cage revisited: Institutional
isomorphism and collective rationality in organizational fields. American Sociological
Review, 48, 2: 147-160.
Finnemore, M. (1996). National Interests in International Society. Ithaca and London:
Cornell University Press.
Finnemore, M. and Sikkink, K. (1998). International Norm Dynamics and Political Change.
International Organization, 52:4 (Autumn): 887-917.
Franck, T. (1990). The Power of Legitimacy among Nations. Oxford: Oxford University
Press.
Glanville, L. (2016). Does R2P matter? Interpreting the impact of a norm. Cooperation
and Conflict, Vol. 51(2): 184-199.
Haas, P. (1992). Introduction. Epistemic Communities and International Policy
Coordination. International Organization, 46, 1: 1-35.
Ikenberry, G. J. (1998/99). Institutions, Strategic Restraint, and the Durability of
Western Order. International Security, 23, 3 (winter 1998/99): 43-78.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 1-13
Institutional isomorphism and the persistence of the present international order
Vítor Ramon Fernandes
12
Ikenberry, G. J. (2001). After Victory: Institutions, Strategic Restraint, and the
Rebuilding of Order after Major War. Princeton: Princeton University Press.
Ikenberry, G. J. (2009). Liberal Institutionalism 3.0: America and the Dilemmas of Liberal
World Order. Perspectives on Politics, Vol. 7, No. 1: 71-87.
Ikenberry, G. J. (2011). Liberal Leviathan: The Origins, Crisis, and the Transformation of
the American World Order. Princeton: Princeton University Press.
Ikenberry, G. J. (2013). The Rise of China, the United States, and the Future of the
Liberal International Order. In David Shambaugh (ed.) Tangled Titans. Plymouth, UK:
Rowman & Littlefield, Inc.
Ikenberry, G. J. (2014). The logic or order: Westphalia, liberalism, and the evolution of
international order in the modern era. In G. J. Ikenberry (ed.) Power, Order, and Change
in World Politics. Cambridge: Cambridge University Press.
Immergut, E. (1998). The Theoretical Core of the New Institutionalism, Politics and
Society, 26, 1: 5-34.
Jervis, R. (1982). Security Regimes. International Organization, 36, 2: 357-378.
Kalev, A., Frank Dobbin and Erin Kelly. (2006). Best practices or Best Guesses? Diversity
Management and the Remediation of Inequality. American Sociological Review, 71, 2:
589-971.
Katzenstein, P. (1996). The Culture of national Security: Norms and Identity in World
Politics. New York: Columbia University Press.
Keohane, R. (1984). After Hegemony. Princeton: Princeton University Press.
Keohane, R. (1988). International Institutions: Two Research Programs. International
Studies Quarterly, 32, 4: 379-396.
Kontinen, T. and Onali, A. (2017). Strengthening Institutional Isomorphism in
Development NGOs? Program Mechanisms in an Organizational Intervention. Sage Open,
Volume: 7 issue 1: 1-14. https://doi.org/10.1177/2158244016688725
Krasner, S. D. (1983). International Regimes. Ithaca: Cornell University Press.
Krasner, S. D. (1988). Sovereignty: An Institutional Perspective. Comparative Political
Studies, 21, 1: 66-94.
Kratochwil, F. and John G. Ruggie. (1986). International Organization: A State of the Art
on the Art of the State. International Organization, 40, 4: 753-776.
Lawrence, T. B., and Roy Suddaby. (2006). Institutions and institutional work. In Stewart
R. Clegg, Cynthia Hardy, Thomas B. Lawrence & Walter R. Nord (Eds.). Sage Handbook
of Organization Studies, 2nd Edition. London: Sage.
Legro, J. (1997). Which Norms Matter? Revisiting the “Failure” of Internationalism.
International Organization, 51, 1: 31-64.
Meyer, J. W. and Brian Rowan. (1977). Institutionalized organizations: Formal Structure
as Myth and Ceremony. American Journal of Sociology, 83, 2: 340-63.
Meyer, J. W. and Ronald Jepperson. (2000). The ‘Actors’ of Modern Society: The Cultural
Construction of Social Agency. Sociological Theory, 18, 1: 100-20.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 1-13
Institutional isomorphism and the persistence of the present international order
Vítor Ramon Fernandes
13
Powell, W. W. and Paul J. DiMaggio. (eds.) (1991) The New Institutionalism in
Organizational Analysis. Chicago: Chicago University Press.
Puchala, D. J. and and Raymond F. Hopkins. (1982). International Regimes: Lessons
from Inductive Analysis. International Organization, 36, 2: 245-275.
Ruggie, J. G. (1982). International Regimes, Transactions, and Change: Embedded
Liberalism in the Post War Economic Order. International Organization, 36, 2: 3779-415.
Shambaugh, D. (2011). Coping with a Conflicted China. The Washington Quarterly, Vol.
34, No. 1: 7-27.
Stein, A. (1982). Coordination and Collaboration: Regimes in an Anarchic World.
International Organization, 36, 2: 299-324.
Swartz, D. (1997). Culture and Power: The Sociology of Pierre Bourdieu. Chicago:
Chicago University Press.
Swidler, A. (1986). Culture in Action: Symbols in Strategies, American Sociological
Review, 51, 2: 273-86.
Tempel, A. and Peter Walgenbach. (2007). Global Standartization of Global Forms and
Management Practices? What New Institutionalism and the Business-System Approach
Can Learn from Each Other. Journal of Management Studies, 44, 1: 1-24.
Weber, M. (1947). Theory of Social and Economic Organization. New York: Oxford
University Press.
Weber, M., Guenther Roth, Ckus Wittich. (eds.) 1978. Economy and Society: An Outline
of Interpretative Sociology, vols. I e II. Berkeley: University of California Press.
Wendt, A. (1987). The Agent-Structure Problem in International Relations Theory.
International Organization, 41 (3): 335-470.
Wendt, A. (1999). Social Theory of International Politics. Cambridge: Cambridge
University Press.
Young, O. (1982). Regime Dynamics: The Rise and Fall of International Regimes.
International Organization, 36, 2: 277-297.
Young, O. (1986). International Regimes: Towards a New Theory of Institutions. World
Politics, 39, 1: 104-122.
OBSERVARE
Universidade Autónoma de Lisboa
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 14-28
JÜRGEN HABERMAS AND THE DEMOCRATIZATION OF WORLD POLITICS
André Saramago
avsaramago@gmail.com
Invited Assistant Professor of International Relations at the University of Coimbra and the
University Beira Interior (Portugal). He is also an Online Teaching and Research Assistant with
DiploFoundation, University of Malta and an Associate Researcher with the Orient Institute. He
holds a PhD in International Politics from Aberystwyth University. His areas of expertise include
International Relations Theory, with a focus on Critical International Theory, Historical Sociology
and East Asia studies. Amongst his recent published work, he is the editor of Climate Change,
Moral Panics and Civilization, authored by Amanda Rohloff and published by Routledge, and of
‘Singapore’s use of education as a soft power tool in Arctic cooperation’, co-authored with Danita
Burke and published in the Asian Survey.
Abstract
This article consists of a review of Jürgen Habermas’s discussions of the dilemma posed by
human global interdependence to the possibility of democratic politics. According to
Habermas, since the Second World War, and in a process that has become only more
pervasive since the end of the Cold War, human societies have been brought into increasingly
tighter and more complex political, social and economic networks of interdependence that
have ultimately undermined the capacity of state-based democratic publics to have some
degree of influence over their conditions of existence. From a critical international theory
perspective, Habermas’s argument highlights the fundamental contemporary challenge faced
by the social sciences in general, and International Relations (IR) in particular. From that
perspective, the fundamental task of IR is not only to explain world politics, but also to
orientate social and political practice towards an expansion of democratic control over them.
The purpose of this article is to show how Habermas’s work makes a fundamental contribution
to improve that critical orientating role of IR. The article connects Habermas’s more recent
political writings on the European Union (EU) and the United Nations (UN) with his earlier
work on the development of a theory of social evolution. In doing so, it shows how Habermas’s
work can constitute the basis for an approach to the study of world politics that both
understands how the present dilemma between global complexity and democracy came to be
the defining feature of the present stage of human development, and that discloses the
immanent potential gathered by modernity for a radical expansion of democratic politics to
the level of world politics.
Keywords
International Relations; Critical international theory; Democracy; Power; Capitalism;
European Union
How to cite this article
Saramago, André (2019). "Jürgen Habermas and the Democratization of World Politics".
JANUS.NET e-journal of International Relations, Vol. 10, N.º 1, May-October 2019. Consulted
[online] on the date of the last visit, https://doi.org/10.26619/1647-7251.10.1.2
Article received on October 15, 2018 and accepted for publication on February 26, 2019
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 14-28
Jürgen Habermas and the democratization of world politics
André Saramago
15
JÜRGEN HABERMAS AND THE DEMOCRATIZATION OF WORLD POLITICS
André Saramago
1
Introduction
Throughout his vast career, Jürgen Habermas has been engaged in the development of
a theory of social evolution that captures the dynamics of human historical development.
In this context, Habermas came to characterise the history of the species as a long-term
collective learning process in two interrelated fields; that of moral-practical knowledge
and that of technical-instrumental knowledge (Habermas, 1987). While the former refers
to learning at the level of collective norms that regulate social life, the latter refers
predominantly to learning in the areas necessary to the material reproduction of social
life, namely the control of non-human nature through productive activities. Habermas's
argument is that, throughout history, different stages of development of moral-practical
knowledge have been embodied in human societies’ social norms and background shared
moral understandings (what Habermas refers to as the 'lifeworld'), while different stages
of technical-instrumental knowledge have been embodied in the economy and related
spheres, such as bureaucratic and technical administrations (what Habermas refers to as
the 'system'). Habermas's argument is that as human societies develop and become
more complex, there is a rising tension between lifeworld and system. If, on the one
hand, moral-practical learning creates the possibility to exercise greater democratic
control over social life, on the other hand, social complexity creates pressures towards
greater systemic autonomy, with bureaucratic and economic social sectors assuming
dynamics of their own that escape democratic politics (Habermas, 1987).
In the last 20 years, Habermas (1996; 2001; 2012) came to argue that modernity faces
a fundamental ‘systemic problem’ that, with the global interweaving and interdependence
of humanity brought about by globalization processes, now encompasses the whole
world. A core feature of this problem is how, with the integration of national economies
in a global capitalist market, and especially with the radical liberalization of financial
markets since the end of the gold standard in 1971, there has been a dramatic increase
in the autonomy of systemic contexts in relation to democratic publics that have
remained state-bound (Habermas, 2001). This has undermined the balance between
democracy and systemic autonomy that had been achieved within welfare states since
the end of the Second World War. It is also the source of the contemporary resurgence
of ethno-nationalist movements calling for a reinforcement of state sovereignty as a
1
I would like to thank Professor Andrew Linklater and Dr. Kamila Stullerova for comments on earlier drafts
of this article. I would also like to thank the editorial board of JANUS.NET and the two anonymous reviewers
whose comments greatly improved the quality of the article.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 14-28
Jürgen Habermas and the democratization of world politics
André Saramago
16
supposed solution to the unplanned harmful social consequences of a global capitalist
system that is out of control (Haro, 2017). However, to Habermas, a return to the state
is an illusory escape from the problem. Rather, his argument is that it is necessary to
develop a new 'principle of organisation' for world politics; one capable of expanding
social adaptive capacity to the developmental challenges posed by growing global
interdependence (Habermas, 2012).
In this context, Habermas has been mainly concerned with identifying the cognitive
potential, available in modern worldviews and consciousness structures, for the
development of such a principle of world political organisation that changes the prevalent
balance between state-based democratic constituencies and global autonomous systems.
In particular, Habermas is interested in understanding how the process of
democratisation of social life, already initiated at the level of welfare democratic states,
can be extended to world politics in a manner that reinforces human collective and
conscious control over the systemic character of inter-state relations and the global
capitalist economy.
Habermas’s arguments in this regard are analysed in the following four sections. First,
the article addresses Habermas’s observations on how human global interweaving
undermines the degree of democratic control that citizens of democratic welfare states
are capable of exercising over their conditions of existence. Second, it considers
Habermas’s argument that a reconstruction of Kant’s project for perpetual peace is
required as an orientating framework regarding how the global web of humanity can be
organised in a manner that guarantees a greater degree of collective and conscious
control over its future development. Third, it analyses the connection between this
argument and Habermas’s more recent writings on the European Union, and on the
decoupling between democracy and state power that can occur in its context. And fourth,
the article addresses how Habermas’s analysis of the EU informs his boulder proposal for
a reform of the United Nations and associated radical democratization of world politics.
Global interdependence and democracy
Since 1971, with the end of the gold standard and subsequent radical liberalization of
financial markets, the systemic dynamics of capitalism were unleashed from the
boundary conditions established by national democratic publics and became capable of
developing out of their own accord in conditions of greater autonomy. The capacity to
freely move capital across the webs of the world economy meant that, increasingly,
important areas of society were submitted to relations on the basis of money as the main
means of social integration (Habermas, 2001: 78). This permitted multinational
companies to withhold investment in certain states or social areas, blocking the access
to important sources of revenue through taxation, unless states underwent reforms to
make their internal conditions more adequate to the needs and interests of capitalist
corporations. States have thus become increasingly compelled to compete with each
other in making themselves more attractive to global business interests, namely, through
the privatisation of areas such as health and education, the reduction of workers’ salaries
and benefits, the extension of working hours, and a combination of increased taxes for
citizens with a reduction of corporate taxes (Habermas, 2001: 79).
Under these conditions, welfare states’ social security systems, designed to alleviate the
negative effects of capitalist development, became overburdened with rising
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 14-28
Jürgen Habermas and the democratization of world politics
André Saramago
17
unemployment and a shorter taxation basis. Increasingly, then, welfare states became a
channel for the systematisation of national lifeworlds by global systemic imperatives and
lost the capacity to guarantee democratic control over capitalist dynamics. Accompanying
the growing intricacy of global economic networks, there also emerged unplanned chains
of interlocking political decisions and outcomes that, when combined with the way that
cultural and political identities are reshaped and rekindled by such processes, have made
many local and regional sub-state actors question the legitimacy of the nation-state as a
representative and accountable centre of power (Habermas, 1973; Habermas, 2006;
Held, 1995: 136). The process of globalisation has thus 'enmeshed' nation-states in the
dependencies of an increasingly interconnected world society whose systemic contexts
'effortlessly bypass territorial boundaries' (Habermas, 2006: 175; see also: Walker,
1988).
One of the answers to this situation has been the hegemonic behaviour exhibited by the
United States (US) in the last two decades. Recent attempts by the superpower to use
its military, technological and economic superiority to create a global order compatible
with its ‘religiously coloured notions of good and evil’ constitute an expression of the
historical possibility for the emergence of an ‘imperial answer’ to the challenge of
regulating global interdependence (Habermas, 2006: 149). However, according to
Habermas, the most likely outcome of the continued pursuit of such a strategy, given the
inevitable resistance on the part of other great powers, such as Russia and China, is the
emergence of a ‘Schmittian’ world order, characterized by the ‘alarming prospect of
competition among hemispheres’ (Habermas, 2006: 148). Such a global order would, in
effect, undermine the possibility of collective control over the process of globalisation, as
the unplanned dynamics arising out of great power competition would push people and
states into patterns of interaction not intended by any of them, and with potentially
harmful implications for all the participants.
Instead, Habermas (2012) proposes an alternative ‘principle of organisation’ for world
politics in the form of an extension, to the level of international society, of the long-term
process of democratisation of social life that has hitherto been confined to the intra-state
level. The democratic-legal taming of state power that has been occurring within welfare
states needs to be carried further, in the form of a democratisation of the international
system of states, that pacifies relations between states and controls their anarchic
competition for power. Furthermore, such pacification would create the conditions for the
establishment of new supranational procedures and institutions, as well as new forms of
solidarity between people, on the basis of which a higher degree of conscious and
collective control might come to be exercised over the dynamics of the global economic
system.
In this context, Kant’s project for perpetual peace is suggested as the most compelling
alternative to the hegemonic proposal. However, it is also found to be in need of
‘reconstruction’ in light of Habermas's own research into long-term processes of legal
pacification of state power.
The political constitution of world society
Kant’s project is built on the awareness of the internal connection between peace and
freedom (Kant, 2015; Habermas, 2006: 175). Only under conditions of international
peace can human beings exercise a sufficient degree of control over inter-state relations
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 14-28
Jürgen Habermas and the democratization of world politics
André Saramago
18
that guarantees they are capable of freely self-determining their conditions of existence
and not be dragged by the unplanned dynamics of inter-state competition and conflict.
Both the pacification and the greater control of inter-state relations can be achieved, in
Kant’s view, through the establishment of a code of law regulating all possible dimensions
of human interdependence (Kant, 1991). Respectively, civil law regulating relations
between citizens within a state; international law regulating relations between states;
and cosmopolitan law regulating relations between states and human beings in their
quality of world citizens.
In Habermas's interpretation, (though there are others, see: Kleingeld, 2012; Mikalsen,
2011) Kant considers that such a code of law requires the constitution of a world
federation of republican states with coercive powers to ensure its compliance. An
understanding that Habermas contests by noticing how the actual historical development
of international law since Kant’s time leads to a different conclusion. Namely, that there
is an important difference between the development of legal control over state power
within states, and legal control over state power in the relations between states
(Habermas, 2006: 122). The former implies a process in which an already existent
monopoly over the means of legitimate violence comes to be circumscribed in its
operation by civil laws that, concomitantly, depend on that same monopoly to guarantee
their compliance. In the latter case, there is no supranational monopoly over the means
of legitimate violence to ensure the application of international law. Rather, international
law is developed and guaranteed on the basis of the expectation of self-restraint on the
part of states. Hence, the development of international law ‘runs counter’ to the
development of civil law, given that the main challenge at the level of international
relations is how to make international law effective, and not how to tame and legitimize
the power of an already existent monopoly over the means of legitimate violence
(Habermas, 2006: 172). At the international level thus occurs what Habermas (2006:
134) refers to as a ‘decoupling’ of law and state power, which does not occur at the intra-
state level.
If taken into account, this ‘decoupling’ shows that Kant’s model of a ‘democratic federal
state writ large – the global state of nations or world republic – is the wrong one’
(Habermas, 2006: 134). It is wrong not only because it understands the pacification of
world politics as a reproduction of the process that already took place at the intra-state
level, but also because it envisions that the monopoly over the means of legitimate
violence and international law remain fused in a single institution, the world federation
of states. Instead, an analysis of the actual historical development of international law
reveals a decoupling between state power and law, which opens up the possibility for an
alternative to Kant’s world federation (see: Beardsworth, 2011: 32).
According to Habermas, this alternative is found in the possibility of a ‘decentred world
society’, as a ‘multilevel’ global order that lacks the character of a state, but ensures
collective democratic control over the dynamics of both the inter-state and the global
economic systems (Habermas, 2006: 136). This multilevel world society implies not only
the constitution of the three levels of law envisioned by Kant – respectively, the civil, the
international and the cosmopolitan – but also the creation of three levels of decision-
making. First, the supranational level of a world organization which is responsible for the
clearly circumscribed tasks of securing peace and protecting human rights without,
however assuming the state-like character of a world federation of states. Second, the
transnational level in which great powers and continental unions of states address
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 14-28
Jürgen Habermas and the democratization of world politics
André Saramago
19
economic, social and ecological problems within the framework of permanent
conferences. And third, the national level in which each state’s lifeworld, expressed in
their respective public spheres, can reacquire democratic control over national state
power and the globally-connected national economy, given their integration in the
multilevel world society (Habermas, 2006: 136). By stressing the plurality of legal orders
in a politically constituted world society, Habermas effectively rejects the notion that law
should form a unitary and hierarchical normative system, instead envisioning the
coordination of legal orders to be guaranteed not by a vertical chain of authority, but
rather by the performance of deliberative processes of consensualization of norms at
different levels of decision-making.
Habermas (2006: 136) notes that, at the present historical juncture, only ‘natural great
powers’, such as the USA, Russia or China, have the necessary resources to operate at
the transnational level and establish continental regimes regulating economic, social and
environmental policies in their respective areas of the globe. Consequently, in order to
further give shape to this politically constituted world society, states in the various ‘world
regions have to unite to form continental regimes on the model of the European Union’
(Habermas, 2006: 136). With this proposal for the political constitution world society,
Habermas intends to show that a ‘world republic’ is not the only institutional form that
the Kantian project can assume, nor is it the most adequate orientating device for how
to pursue the pacification and democratization of world politics, given the cognitive
potential gathered by world historical development (Beardsworth, 2011: 32)
The next two sections address in greater detail Habermas's reflections on the
transnational and the supranational levels of his envisioned multilevel world society by
focusing, first, on his discussion of the European Union and, afterwards, on his proposals
for the reform of the United Nations.
The European model
Habermas’s most elaborate proposal for the political constitution of world society is found
in the compilation of texts entitled The Crisis of the European Union: A Response (2012).
There, he argues that, under conditions of global interdependence, human beings can
only attain a greater degree of democratic control over the global systemic dynamics that
threaten them with environmental, economic and social disruption via the constitution of
continental unions of states responsible for the regulation and coordination of policies in
their respective areas of the globe.
The European Union (EU) is the longest surviving effort at extending the pacification of
social life initiated within states to the international level. This effort has been developed
in order to not only pacify the inter-state relations of a continent ‘drenched in blood’ but
also to develop decision-making and steering capacities that enable European states to
collectively exercise a greater degree of control over the dynamics of the international
and economic systems that affect the continent as a whole and ignore state borders
(Habermas, 2012: 28). An essential aspect of this process has been the development of
European law regulating state behaviour without, however, the constitution of a
European monopoly over the means of legitimate violence. The innovations coming into
being in the EU can thus, in time, serve as a reference for other, less integrated, regional
institutions (Habermas, 2001). In particular, the fact that European law is obeyed and
has its own constituency independently of domestic law and state power sets a
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 14-28
Jürgen Habermas and the democratization of world politics
André Saramago
20
'precedent' for regional and global politics, effectively posing a new relation between law
and power. This new relation is argued to provide a new 'model' for political organisation
at the regional and global levels (Habermas, 2012, see also: Beardsworth, 2001: 98).
However, Habermas also notes that the democratization process in the context of the EU
is far from finished. One of the main challenges is the fact that European economic
integration has not been matched by the creation of democratic political institutions
capable of regulating the common market. The EU's continued reliance on economic
interdependence driven by business interests as the main integrative and pacifying force
on the continent is 'no longer acceptable' without a concomitant effort to match the logic
of market efficiency with the democratization of European political institutions
(Habermas, 2012, Verovšek, 2012: 369). Decision-making processes at the level of the
EU thus continue to be predominantly shaped by relations of power between states that
escape the influence of national public spheres, while producing decisions that have a
profound effect on the conditions of existence of the populations of each state. Hence,
European law, while enabling the self-regulation of the European system of states,
frequently lacks legitimacy in the eyes of European citizens given how it is not constituted
by deliberative processes of consensualization between all those who stand to be affected
by it (see: Linklater, 2007; Fraser, 2007). The present character of the EU is thus better
described as form of ‘executive federalism’, in which the European Council, composed of
representatives of each state, enacts measures that are implemented at the national
level through governmental majorities that disempower national parliaments and escape
the control of deliberative national publics (Habermas, 2012: 28). As such, national
governments and bureaucratic administrations can use European institutions to escape
the regulation of national public spheres and recover a degree of systemic autonomy
from the normative constraints of national lifeworlds.
Habermas thus sees the EU as a highly contradictory social formation. On the one hand,
it has contributed to the pacification of European inter-state relations and to the
development of European institutions with the capacity to extend legal and democratic
control over systemic forces that have bypassed national boundaries. But, on the other
hand, these same institutions reinforce the autonomy of state power vis-à-vis national
lifeworlds and diminish the level of collective democratic control that people are capable
of exercising over their lives, becoming a 'kind of post-democratic, bureaucratic rule'
(Habermas, 2012: 52). The EU is a 'paradox' to the extent that it shows marked
tendencies for a deepening of its democratic deficit while also gathering the potential to
serve as a vehicle for the extension of democratic governance beyond the nation-state
and thus for the development of democratic boundaries on the 'socially corrosive' impacts
of globalisation (Habermas, 2001; Grewal, 2001).
The EU stands at a crossroads in Habermas's assessment. On the one hand, it faces the
danger of a deepening of its democratic deficit by becoming a conveyer belt for the
transformation of national lifeworlds according to the systemic pressures of state
bureaucracies and capitalist interests. On the other hand, the historical development of
European institutions and the legal pacification of the continent constitutes a 'novel' event
in world politics that gathers the immanent potential for extending democratic decision-
making to the transnational level of world society. Such an extension would permit the
constitution of a European ‘transnational democracy’ that further approximates an ‘ideal
communication community’ (Habermas, 2012: 52).
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 14-28
Jürgen Habermas and the democratization of world politics
André Saramago
21
The main difficulty facing the democratization of the EU, Habermas observes, is that,
except for the European Parliament, democratic institutions of decision-making continue
tied to the state level. In this context, some have argued that the democratization of the
EU is impossible given the absence of a common 'demos' beyond European nation-states,
a collective European identity that creates bonds of solidarity between European citizens
and makes them a single constitutional subject (Dahl, 1999). The ‘no demos’ thesis can,
however, be contested in light of Habermas’s theory of social evolution that notes that
while the ‘nation’ has served as the basis for political community at the state level, it has
done so only to the extent that it was the historical solution to the tension inherent in
the identity of modern citizens. A tension between their universal moral character, which
is ‘better suited to world citizens’, and the reality of the fragmentation of world politics
between different nation-states (Habermas, 1979: 115). As such, inherent in the moral
orientations of modernity is already present the cognitive potential to overcome the
‘nation’ as the main principle of organisation for political communities (Habermas, 2006:
76).
In modern, universalistic worldviews and consciousness structures lies the potential for
the validity and legitimacy of social norms to derive less from being grounded in ethno-
nationalist identities than in universal principles that have been constituted via
deliberative processes of consensualization involving all those who stand to be affected
by them. This deliberative character of the validity and legitimacy of law implies its
decoupling from the background of shared national traditions. Decision-making processes
concerning common problems can thus be informed by 'principles of justice' rather than
in terms of the ‘fate of the nation’, given how people’s ‘emotional fixation’ can move from
the ethno-national community to the deliberatively constituted law (Habermas, 2006:
77-78). Increasingly, ‘civic solidarity’ can be defined not by belonging to a common
nation-state, but instead by a common allegiance to deliberatively achieved constitutional
principles embodied in law. From that perspective, it becomes possible to conceive of an
'enlargement' of civic solidarity and of the boundaries of political community to
encompass non-nationals and outsiders as rightful members of a transnational dialogic
community of co-legislators who are bound by their affectability by common norms,
rather than by shared cultural orientations or political aspirations (Linklater, 1998: 85;
2017). Habermas calls this transnational civic solidarity ‘constitutional patriotism’
(Habermas, 2006: 53; Habermas, 2006b: 118).
Constitutional patriotism expresses a possible new principle of organisation for welfare
states and world politics that permits the expansion of civic solidarity beyond the frontiers
of the 'nation'. It points to the possible emergence of a European-wide civic solidarity
that binds together in a ‘post-national constellation’ people from different states through
a shared allegiance to the principles of European law, which they collectively recognise
as legitimate and valid if these principles derive from deliberative processes of decision-
making involving all those who stand to be affected by them. The cognitive potential for
the development of European transnational democracy is thus already present in the
modern worldviews and consciousness structures of the citizens of modern European
welfare states.
In fact, according the Habermas, the partial actualization of this cognitive potential of
modern world views can already be observed in the growing decoupling of European law
from state power. The Lisbon treaty is an expression of this process when, in the absence
of a European monopoly over the means of legitimate violence, derives the legitimacy of
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 14-28
Jürgen Habermas and the democratization of world politics
André Saramago
22
European law from constitutional principles that have been constituted by the EU's ‘dual
constitutional subject’, which is defined as the national peoples (represented by their
states) and the citizens of the European Union (Habermas, 2012: 37). In Habermas’s
view, the Lisbon treaty thus confirms de jure what the EU has historically denied de facto;
i.e. that the legitimacy of European law can only be secured if it derives from democratic
deliberative processes of decision-making involving both the citizens and the member-
states of the Union. Consequently, the present decoupling of European law from state
power on which the EU is structured, as well as the validity of European law, can only be
maintained if the Union actualises the ideal of the political constitutionalization of world
society at the transnational level and makes the ‘dual constitutional subject’ of the Union
an institutional reality (see: McCormick, 2007).
The institutional apparatus for the actualization of the ‘dual constitutional subject’ is
already in place, in the form of European citizenship and institutions such as the European
Parliament and the European Council. What is required is that these institutions embody
the cognitive potential gathered in modern worldviews and consciousness structures by
establishing a European-wide democratic ‘two-track’ decision-making process. One that
enables individuals, both in their quality of European citizens, and of citizens of their
respective national states, to participate – respectively in the Parliament and the Council
– in the constitution of European law (Habermas, 2012: 28). This scenario implies that
the ‘same persons’ will embody these two roles in ‘personal union’ and adopt ‘different
justice perspectives’ depending on which of the two decision-making tracks is involved.
What counts as a ‘public’ interest in deliberative processes that they undertake as citizens
of a state, changes into a ‘particularistic’ interest in deliberative processes that they
undertake as European citizens. (Habermas, 2012: 37). This tension arises from the dual
character of the decision-making process and has important consequences for the
democratic character of the European Union.
On the one hand, it ensures that European law actually possesses democratic validity
and can secure its compelling power to regulate inter-state relations, even in the absence
of a European monopoly over the means of legitimate violence. Furthermore, it also
extends the level of democratic control that European citizens are capable of exercising
over the systemic contexts affecting the European continent – be it those of inter-state
relations or those of the capitalist market. On the other hand, the fact that the dual
constitutional subject of the EU is composed not only by European citizens, but also by
the states of the Union, means that European law cannot be superimposed on national
constitutional laws. Each state is capable of safeguarding its own internal legal and
normative framework, by ensuring that European law must satisfy the standards of civil
liberties that have already been historically achieved at the state level. Hence, European
law embodies both the ‘universal’ orientations of European citizens and protects the
‘difference’ of the several cultural biotypes of each one of the national peoples of the
Union (Habermas, 2012: 40).
The transformation of the European Union into a transnational democratic association of
states and citizens would contribute to the actualisation of the new principle of
organisation of world politics which is immanent in modern worldviews and consciousness
structures. It would be a ‘further step’ in the political constitution of world society and in
the democratization of world politics by permitting deliberative publics to acquire a
greater degree of collective and conscious control over the systemic dynamics of inter-
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 14-28
Jürgen Habermas and the democratization of world politics
André Saramago
23
state and global economic relations, which have escaped their control within welfare
states (Linklater, 1998: 167; Linklater, 2011).
However, Habermas is well-aware that any such developments in the European Union
are necessarily intertwined with wider dynamics of the international system and global
capitalism and that the democratization of the transnational EU level can only be
successful if framed in the wider democratization of world politics. The next section thus
turns to how Habermas’s reflections on the EU are complemented by his work on the
potential for the political constitutionalization of the supranational level of human
interdependence. Namely, it considers his proposal for a reform of the United Nations as
a condition for the expansion of democratic control over the global inter-state and
capitalist systems that presently undermine human beings’ capacity to self-determine
their conditions of existence.
The cosmopolitan condition
The goal of expanding democratic legal control over systemic contexts beyond national
borders derives its impetus from a ‘paralysing constellation’ in world politics. The
globalisation of human interdependence has ‘exhausted’ the capacity of states to answer
to the problems posed by the global systemic forces of inter-state competition and
capitalism that have developed beyond the control of even the most powerful states or
unions of states (Habermas, 2012: 54). Hence, transnational efforts at democratic legal
regulation, such as those of the European Union, must be complemented by the further
democratization of world politics. Namely, via a reform of the United Nations that
democratizes its role in the legal definition of the boundary conditions for the operation
of inter-state relations and capitalist markets.
According to Habermas (2006: 137), the democratic reform of the UN demands a
transition to a 'cosmopolitan condition' in world politics, characterized by the
'substitution' of international law by cosmopolitan law. Unlike current international law,
cosmopolitan law would be the result of decision-making processes involving not only
states, but also world citizens in their quality of constitutional subjects of the world
organisation. The UN would thus have to institutionally embody the two innovations that
Habermas sees as immanent in the transnational level of the EU. On the one hand, it
would have to ensure the compliance of member states with cosmopolitan law even
though the monopoly over the means of legitimate violence would remain at state level.
On the other hand, it would have to institutionally embody a ‘dual constitutional subject’,
composed of world citizens and national peoples; represented by their respective states,
or by other representative entities, such as NGO’s, in the case of sub-state or stateless
peoples (Habermas, 2012: 54).
While the first of these two conditions can already be discerned in the institutional
framework of the United Nations, the actualisation of the second element requires the
attribution, to every single human being on the planet, of the status of world citizen, and
the constitution, parallel with the General Assembly, of a ‘world parliament’ composed
by their elected representatives (Habermas, 2012: 58; see parallels between Habermas’s
proposal for world citizenship and those made by Apel (2007) who, however, lacks
Habermas’ level of engagement with the institutional changes that might be required to
actualize forms of world/cosmopolitan citizenship). The world parliament would not
transform the United Nations into a world republic, but it would reinforce the democratic
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 14-28
Jürgen Habermas and the democratization of world politics
André Saramago
24
legitimacy of cosmopolitan law by making world citizens, alongside with states, one of its
constitutional subjects. In other words, in the same manner of what would take place in
an EU transformed into a transnational democracy, cosmopolitan law would not
superimpose itself on national constitutional law or ethno-national conceptions of the
good life. Member-states, as the second constitution-founding subjects, would be able to
protect their internal orders from cosmopolitan law that did not meet their standards of
civil liberties (Habermas, 2012: 58). Furthermore, since the world organisation is not a
world federation of states and does not possess a supranational monopoly over the
means of legitimate violence, it would have to rely on ‘national monopolists’ for the
fulfilment of its tasks, including those envisioning the implementation of coercive
measures in order to reinstate compliance with cosmopolitan law. The need for the world
organisation to rely on member-states in this manner not only confirms the decoupling
between law and state power that characterizes the political constitution of world society,
but also ensures the protection of the autonomy of states through the maintenance of
the monopoly over the means of legitimate violence at the state level (Habermas, 2012:
61). In this manner, the democratization of world politics envisaged by Habermas would
effectively 'wed together' the Kantian ideal of equal membership of a universal kingdom
of ends with the Marxian project of dismantling systems of domination and exclusion that
undermine human autonomy by promoting new relations between universality and
difference (Linklater, 1998).
Essential in this regard, according to Habermas, is that the world organisation restrict
itself to the tasks of maintaining peace and protecting human rights, leaving decision-
making processes related to economic, social or ecological problems to the transnational
level of world society. The restriction of the UN to this narrow set of core functions derives
from the argument that issues related to economic, social or ecological problems, while
expressing a ‘shared abstract interest’ of all human beings, necessarily imply answers
that relate to particular conceptions of the ‘good life’ (Habermas, 2012: 63). These are
issues whose answers involve the self-affirmation of particular cultural and political
identities and, as such, while admitting of consensualization between people who share
common cultural characteristics as part of their collective history and belonging to a
particular region of the globe, are not liable to truly universal answers arising from global
processes of consensualization between world citizens. Consequently, these issues
should be dealt with at the transnational level, where continental unions of states in the
same cultural areas can potentially come closer to common agreements on preferable
‘ways of life’ (Habermas, 2012: 63). However, the same judgement does not apply to
issues of world peace and human rights. In Habermas’s (2012: 64) assessment, these
issues express an a priori general interest shared by the world population, ‘beyond all
political-cultural divisions’, in the avoidance of violence and in the expression of solidarity
with ‘everything that has a human face’. These issues have an inherently universal
character, to the extent that shared human vulnerability to war and violence is a common
feature of the species (see: Linklater, 2011). As such, their discussion is liable to produce
truly universal answers, arrived at through global processes of consensualization of
norms involving world citizens and all the states into which humankind is divided. The
world organisation must thus restrict itself to those issues that admit of universally
shared human interest.
According to Habermas, the universal, species-wide, character of the core functions of
the UN also means that the world organisation has different legitimacy requirements than
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 14-28
Jürgen Habermas and the democratization of world politics
André Saramago
25
the transnational level of continental unions. Given that ‘negative duties to refrain from
unjustifiable human rights violations and wars of aggression are rooted in the core moral
content of all the major world religions and in the cultures they have shaped’, global civic
solidarity amongst world citizens can be based on these shared convictions and does not
require a deeper collective commitment to a common conception of the ‘good life’, as
occurs at the transnational level (Habermas, 2012: 65). Consequently, the democratic
assessment of the deliberative decision-making processes of the world parliament can be
based only on the ‘expression of the, in essence morally justified, “yes” or “no” to the
supranational application of presumptively shared moral principles and norms’
(Habermas, 2012: 65). So, while the legitimacy of law at the transnational European
level demands not only a dual constitutional subject but also the permanent consideration
of transnational issues in a European public sphere, the weaker legitimacy requirements
of cosmopolitan law do not demand the formation of a permanent global public sphere.
They simply require the thematic and temporally circumscribed constitution of a global
public ‘sparked intermittently by this or that major event without achieving structural
permanence’ (Habermas, 2012: 62).
Conclusion
Habermas’s reflections on the possibility of democratization of world politics provide an
important starting point to discuss how to deal with the erosion of the capacity of state-
bound democratic publics to control the social processes that bind them together at the
global scale. In Habermas’s assessment, the answer to this erosion demands a new
principle of organisation for world politics. One whose actualization lies immanent in the
cognitive potential that has been gathered in modern consciousness structures by the
long-term process of human development. According to Habermas, the cognitive
potential of modernity implies the possibility of a decoupling between democracy and
state power, on the basis of which the political constitution of world society can occur in
a manner that would re-establish the balance between democratic politics and the
systemic imperatives of global capital and inter-state relations. Habermas’s theory of
social evolution thus provides a highly compelling approach to a critically-committed IR
that seeks to fulfil its role as a means of orientation that is adequate to deal with the
challenges posed by the complexity of human global interdependence. In other words,
an IR that seeks to constitute itself as an orientating framework that can help people
both acquire a better understanding of themselves and of their present historical context
and identify what sort of international institutional innovations are required to actualize
the immanent potential of modernity for a further expansion of human beings’ capacity
to self-determine their conditions of existence.
Habermas’s proposals, however, constitute only a starting point for the development of
such an IR. Further works needs to be done, especially in better connecting Habermas’s
philosophical-theoretical proposals with more concrete historical-sociological analyses of
world politics. For example, it is debatable whether Habermas’s restriction of the tasks
of the world organization to those of the maintenance of peace and human rights – under
the argument that these tasks, unlike those related to economic, social and ecological
problems, are more universal and less bound with particular conceptions of the good life
– is completely tenable. The historical record shows that matters such as the
maintenance of peace and human rights are as politicized and caught up with particular
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 14-28
Jürgen Habermas and the democratization of world politics
André Saramago
26
conceptions of the good life as those related to economic, social and ecological problems.
Sufficient evidence of this can be found in the numerous debates in the Security Council
surrounding the legitimacy of international interventions in the name of the maintenance
of peace or in recent debates about whether human rights, as currently conceived, are
truly universal, or if their content is still expressive of a phase of predominance of
Western powers in international society (see: Sun, 2016; Qi, 2005; Regilme, 2018) .
Furthermore, recent developments in world politics have seen international organizations
at the transnational level, such as the European Union or the African Union, assuming,
or with the intention of assuming, a greater role at the level of the maintenance of peace
and security in their respective areas of the globe (see: Joshua and Olanrewaju, 2017;
Nováki, 2018). And finally, it is highly debatable whether problems that arise with
economic, social and ecological interdependence can be adequately dealt with purely at
the level of transnational continental unions, or whether these issues, especially in the
context of increasingly out-of-control capitalist globalization and global climate change
processes, do not require also at least some degree of global coordination; a coordination
that would necessarily have to take place at the level of Habermas’s envisioned world
organization.
As such, Habermas’s critical approach to world politics needs to be further developed,
namely through a deeper engagement with the historical-sociological study of world
politics in order to disclose the actual existing immanent potentials for the development
of the type of ‘cosmopolitan vision’ Habermas is seeking to nurture (see: Beck, 2006).
Recent developments in critical international theory appear to be moving in this direction,
either calling for the need for greater historical-sociological engagement (Schmide, 2018,
Devetak, 2018), or seeking to develop it themselves (Linklater, 2016). It is up to
contemporary and future scholars to complete this task and understand if, and how,
Habermas’s ethical vision for the future of world politics might be actualized.
References
Apel, Karl-Otto (2001). «Discourse Ethics, Democracy and International Law: Toward a
Globalization of Practical Reason». The American Journal of Economics and Sociology
(66:1): 49-70.
Beardsworh, Richard (2011). Cosmopolitanism and International Relations Theory.
Cambridge: Polity Press.
Beck, Ulrich (2006). Cosmopolitan Vision. Cambridge: Polity Press.
Dahl, Robert (1999). «Can International Organisation be Democratic? A Sceptic’s View».
In Shapiro, Ian and Hacker-Cordon, Casiano (eds.) Democracy’s Edges. Cambridge:
Cambridge University Press, 19-36.
Devetak, Richard (2018). Critical International Theory: An Intellectual History. Oxford:
Oxford University Press.
Fraser, Nancy (2007). «Transnationalising the Public Sphere: On the legitimacy and
efficacy of public opinion in a post-Westphalian world». Theory, Culture and Society
(24:4): 7-30.
Grewal, Shivdeep (2001). «The Paradox of Integration: Habermas and the Unfinished
Project of European Union». Politics (21:2): 114-123.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 14-28
Jürgen Habermas and the democratization of world politics
André Saramago
27
Habermas, Jürgen (1973). Legitimation Crisis. London: Heinemann.
Habermas, Jürgen (1979). «History and Evolution». Telos (39): 5-44.
Habermas, Jürgen (1987). The Theory of Communicative Action, vol. 2: Lifeworld and
System – The Critique of Functionalist Reason. Cambridge: Polity Press.
Habermas, Jürgen (1996) Between Facts and Norms: Contributions to a Discourse Theory
of Law and Democracy. Cambridge: Polity Press.
Habermas, Jürgen (2001). The Postnational Constellation. Cambridge: Polity Press.
Habermas, Jürgen (2006). The Divided West (Cambridge: Polity Press.
Habermas, Jürgen (2006b). Times of Transition. Cambridge: Cambridge University Press.
Habermas, Jürgen (2012). The Crisis of the European Union: A Response. Cambridge:
Polity Press.
Haro, Fernando (2017). «The Decivilizing Effects of the Financial System». Human
Figurations: Long-term perspectives on human development (6:2).
Held, David (1995). Democracy and the Global Order: From the Modern State to
Cosmopolitan Governance. Cambridge: Polity Press.
Joshua, Segun and Olanrewaju, Faith (2017). «The AU’s Progress and Achievements in
the Realm of Peace and Security». India Quarterly: A Journal of International Affairs
(73:4): 454-471.
Kant, Immanuel (1991). «Perpetual Peace: A Philosophical Sketch». In Hans Reiss (ed.)
Kant: Political Writings. Cambridge: Cambridge University Press, 93-130.
Kant, Immanuel (2015). Critique of Practical Reason. Cambridge: Cambridge University
Press.
Kleingeld, Pauline (2012). Kant and Cosmopolitanism: The Philosophical Ideal of World-
Citizenship. Cambridge: Cambridge University Press.
Linklater, Andrew (1998). The Transformation of Political Community: Ethical
Foundations of the PostWestphalian Era. Cambridge: Polity Press.
Linklater, Andrew (2007). «Public Spheres and Civilising Processes». Theory, Culture and
Society (24:4): 31-37.
Linklater, Andrew (2011). The Problem of Harm in World Politics: Theoretical
investigations. Cambridge: Cambridge University Press.
Linklater, Andrew (2016). Violence and Civilization in the Western States-Systems.
Cambridge: Cambridge University Press.
McCormick, John (2007). Weber, Habermas and the Transformation of the European
State: Constitutional, Social and Supranational Democracy. Cambridge, Cambridge
University Press.
Mikalsen, Kjartan. (2011). «In Defense of Kant’s League of States». Law and Philosophy
(30:3): 291-317.
Nováky, Niklas (2018). «The EU’s Permanent Structured Cooperation in defence: Keeping
the Sleeping Beauty from snoozing». European View (17:1): 97-104.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 14-28
Jürgen Habermas and the democratization of world politics
André Saramago
28
Qi, Zhou (2005). «Conflicts over Human Rights between China and the US». Human
Rights Quarterly (27:1): 105-124.
Regilme, Salvador (2018). «The Global Human Politics of Human Rights: From Human
Rights to Human Dignity?». International Political Science Review (40:2): 279-290.
Schmide, David (2018). «The Poverty of Critical Theory in International Relations:
Habermas, Linklater and the Failings of Cosmopolitan Theory». European Journal of
International Relations (24:1): 198-220.
Sun, Pinghua (2016). «Chinese Discourse on Human Rights in Global Governance». The
Chinese Journal of Global Governance (1:2): 192-213.
Verovšek, Peter. (2012). «Meeting Principles and Lifeworlds Halfway: Jürgen Habermas
on the Future of Europe». Political Studies (60:2): 363-380.
Walker, Rob (1988). One World, Many Worlds: Struggles for a Just World Peace. London:
Zed Books.
OBSERVARE
Universidade Autónoma de Lisboa
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 29-43
THE RELEVANCE OF HUMAN RIGHTS COUNCIL SPECIAL SESSIONS: THE
PROTECTION OF THE CIVILIAN POPULATION IN CURRENT INTERNAL ARMED
CONFLICTS
Sónia Roque
sroque@live.com.pt
PhD student in International Relations at the Faculty of Economics, University of Coimbra-Center
for Social Studies (FEUC-CES, Portugal). Scholarship Holder of the Foundation for Science and
Technology.
Abstract
This article focuses on the analysis of the first decade (2006-2016) of the Human Rights
Council (HRC) work. We analyze particularly the relevance of the HRC special sessions in what
concerns to the protection of civilians in current non-international armed conflicts (NIAC). The
HRC, that replaced the Commission on Human Rights, was established by the United Nations
General Assembly (UNGA) Resolution 60/251 adopted on 15 March 2006. This institutional
reshaping intended to transform the HRC into an action-oriented body, in an attempt to give
a more effective and rapid response to global human rights (HR) protection challenges.
Following the 2004 Report of the High-Level Panel on Threats, Challenges and Change, the
United Nations General-Secretary Kofi Annan drew attention to the fact that a decisive
moment for the United Nations (UN) had began. Kofi Annan highlighted in particular the need
to fulfill the aspirations established in the United Nations Charter (UNC), and emphasized in
general terms the challenges facing HR protection, particularizing the protection of the civilian
population given the complexity of our days armed conflicts. Therefore the HRC appears in
this line of institutional restructuring.
The special sessions are one of the working methods of the HRC which allows the consideration
of gross HR violations that need attention and require an urgent decision-making. The author
argues that the analysis of these sessions is particularly relevant, because it allows us, on the
one hand to examine which situations were analyzed, and on the other hand the different
positions regarding this decision-making method that has not always proved consensual. I
also argue that this decision-making procedure reflects some opportunities and faces
challenges in trying to deal with the different perspectives of the actors within the HRC.
Keywords
Human Rights Council; Special Sessions; Protection; Civilian Population; Internal Armed
Conflicts
How to cite this article
Roque, Sónia (2019). "The relevance of Human Rights Council special sessions: the protection
of the civilian population in current internal armed conflicts". JANUS.NET e-journal of
International Relations, Vol. 10, N.º 1, May-October 2019. Consulted [online] on the date of
the last visit, https://doi.org/10.26619/1647-7251.10.1.3
Article received on May 24, 2018 and accepted for publication on September 4, 2018
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 29-43
The relevance of Human Rights Council special sessions: the protection of the civilian population in current
internal armed conflicts
Sónia Roque
30
THE RELEVANCE OF HUMAN RIGHTS COUNCIL SPECIAL SESSIONS: THE
PROTECTION OF THE CIVILIAN POPULATION IN CURRENT INTERNAL ARMED
CONFLICTS
1
Sónia Roque
Introduction
The HRC was established by the UNGA Resolution A/RES/60/251 adopted on 15 March
2006 replacing the Commission on Human Rights. The Commission had been criticized
for being a highly politicized body (Sheeran and Rodley, 2013: 745), in which countries
were seeking seats to avoid the discussion of their HR internal situation, and the approval
of measures such as the appointment of fact-finding missions, commissions of inquiry or
even the adoption of sanctions, by which the mission that gave rise to it “the protection
of the victims of HR abuses” became a protective shield for the offenders (Lauren, 2007:
307).
It is therefore not surprising that when talking about the need for more comprehensive
reforms in the UN system, special attention was devoted to replacing the Commission on
Human Rights and to the importance of HR for collective security (Lauren, 2007: 330-
331), as discussed after the World Summit, in the report of the High-Level Panel on
Threats, Challenges and Change entitled “A more secure world: our shared
responsibility”, as well as in the report of the United Nations Secretary-General (UNSG)
Kofi Annan “In larger freedom: towards development, security and human rights for all”.
On this issue Cox (2010: 95) emphasized the fact that the UNSG, the UN High-Level
Panel, and a growing number of Member States have lobbied in such a way that the
Commission began to be seen by many as a problematic institution that needed to be
replaced. As the World Summit in 2005 demonstrated, the idea of replacing the
Commission on Human Rights took over the UN, leading to a constant pressure to replace
this body that States may have perceived as a reputation cost if they did not support a
new institution. The HRC was therefore established in this sense as an action-oriented
body as set out in Resolution 60/251. Its status was also elevated to a subsidiary body
of the UNGA, which gave to this body greater powers of action and a higher autonomy
as advocated by the UNSG.
1
The translation of this article was funded by national funds through FCT - Fundação para a Ciência e
a Tecnologia - as part of OBSERVARE project with the reference UID/CPO/04155/2019, with the aim of
publishing Janus.net. Text translated by Cláudia Tavares.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 29-43
The relevance of Human Rights Council special sessions: the protection of the civilian population in current
internal armed conflicts
Sónia Roque
31
From a constructivist point of view, the negotiation process and the establishment of the
HRC itself denote the influence that agents can have on the structure of the United
Nations (Ruggie, 1998; Wendt, 1995). Since we are dealing with an intergovernmental
process the role of the UNSG, the role of the Experts appointed by the SGNU and the
position of the Member States responsible for the decision-making were central in the
whole process.
Among the working methods of the HRC is the holding of special sessions which take
place whenever 1/3 of the Member States consider that there is a flagrant situation of
HR abuses that require attention and an urgent decision-making (A/RES/60/251: 4). This
method was sought as a way to counteract the political blockade that had begun to
discredit the work of the Commission, which allows us to infer about the importance of
these sessions for the protection of HR.
The convening of these sessions was also made more flexible compared to what
happened in the Commission. Besides analyzing the situation in specific countries, it is
also possible to hold sessions on topics on the field of HR (thematic sessions). Another
innovation was the reduction of the number of States needed to convene these sessions,
which allows urgent issues to be discussed in the HRC more easily (ICRC, 2008: 490).
All these innovations were aimed to respond quickly to HR urgent needs.
Special Sessions
Between 2006 and 2016, the first decade of the HRC work, which can be considered as
a milestone for the analysis of its performance, in which all expectations were put into
the work of this new body, were held 26
2
special sessions. This reveals on the one hand,
the greater capacity of performance and analysis of the HRC and, on the other hand, the
greater facility of convening these sessions. These sessions will be analyzed from the
point of view of their contribution to the protection of civilians in NIAC, taking into account
the initiative of their convocation, the contributions and positions for the decision-making
and the final result of the session in order to infer about the fulfillment of these
expectations.
Sudan
The first case in the ambit of our analysis to be taken before the HRC was the HR situation
in Sudan. This was the HRC fourth special session convened by Finland (A/HRC/S-4/1).
The session was supported by States from the various continents including Cuba, Russia,
China, India and Ecuador, which show greater susceptibility to interference in States
internal affairs. This could lead to a good prognosis for the HRC work. Nevertheless this
session had the opposition from the State concerned, Sudan that however participated
in the session, as did all States whose internal situation was analyzed. The States position
indicates, on the one hand, the acceptance of the competence of international bodies in
which States decide to participate, in this case, the HRC, and on the other hand, their
attempt to influence the decision-making of these bodies.
2
7 of these sessions referred to the Israel-Palestine conflict characterized by the UN as an international
conflict (TIJ, 2004: 7-8). The 7th, 10th and 13th sessions do not refer to armed conflict situations.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 29-43
The relevance of Human Rights Council special sessions: the protection of the civilian population in current
internal armed conflicts
Sónia Roque
32
The information presented by the Independent Experts, the HRC Special Rapporteurs and
by the UN Special Representatives is essential in these sessions and in general terms to
the HRC decision-making. They are responsible for presenting concrete information on
each situation whose credibility or veracity is difficult to challenge, since the functions of
these experts are part of a mandate given to them in the framework of the UN system
and, as such, accepted by the UN Member States. This is a fundamental component of
the HRC work. As an intergovernmental political body the independence of these Experts
from Member States is crucial in the analysis of HR situations. Although cooperation is
the essential engine of this interaction, the work and independence of these Experts
allows them to persuade States to change their positions and perceptions regarding the
various issues as analyzed by Constructivism, and in our case, in what concerns to the
protection of the civilian population
3
.
The seriousness of the HR situation in Sudan, in particular, the offenses and abuses
against civilians, had come to the attention of the Commission, but without great practical
results. At the meeting, the representative of the Commission of Inquiry on Darfur, the
UNSG Special Adviser on the Prevention of Genocide, the UNSG and the United Nations
High Commissioner for Human Rights (UNHCHR) emphasized the attacks on civilians who
were sometimes instigated by the government itself. The UNHCHR specifically
enumerated these HR and International Humanitarian Law (IHL) violations (torture and
other cruel, inhuman or degrading treatments; sexual violence and other abuses; the
displacement of civilians; the looting of civilian property; the obstruction of humanitarian
assistance; the threats of murder; the impediment to the return of internally displaced
persons (IDPs); arbitrary arrests and detentions).
In line with these reports, Finland, the promoter of the session, introduced the draft
resolution A/HRC/S-4/L.1 in which concern was expressed regarding the humanitarian
and HR situation in Darfur and a call was made on the end of HR and IHL violations
(A/HRC/S-4/L.1: 1-2). Alternatively, Algeria, on behalf of the African Group (AG),
presented the draft resolutions A/HRC/S-4/L.2 and A/HRC/S-4/L.3. These proposals did
not contain any recognition of HR and IHL violations despite the information given by the
Independent Experts and Finland’s proposal. In this session as a result of the divergent
positions of Member States was approved the Decision S-4/101 adopted without a vote.
In this Decision, in general terms, the HRC Member States expressed their concern about
the humanitarian and HR situation in Darfur and decided to send a High-Level Mission to
assess the HR situation and the needs of the country in this regard (A/HRC/S-4/5: 3).
The AG's position indicates the lack of support for a strong and condemnatory action on
the situation in Darfur, which reveals at this early stage of the HRC's work a reluctance
of most States in adopting measures which could have internal implications particularly
at the criminal responsibility level. However the seriousness of the situation proven by
the information presented led to the appointment of a fact-finding mission,
demonstrating the importance of the Experts reports on the situation and the pressure
on the need to continue to monitor the humanitarian and HR situation in Sudan. The
focus on the protection of civilians in Sudan and the pressure to achieve an improvement
3
By civilians, as provided for in Article 50 of the I Additional Protocol to the Geneva Conventions (GC), we
mean persons who are not members of the armed forces; the civilian population comprises all persons who
are civilians. Some practice adds the condition that civilians are persons who do not participate in
hostilities (ICRC, 2005).
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 29-43
The relevance of Human Rights Council special sessions: the protection of the civilian population in current
internal armed conflicts
Sónia Roque
33
of the situation on the ground led to the analysis of the situation in regular sessions, in
which support from the govern and the AG was obtained.
South Sudan
Albania, Paraguay, the United Kingdom and the United States of America (USA)
requested a session about the HR situation in South Sudan, the HRC 26th special session
(A/HRC/S-26/1). This session had an interregional support, except from Venezuela and
South Sudan. Nevertheless South Sudan was willing to cooperate, reserving however its
sovereign right to take appropriate measures in a timely manner. This position reveals
that sovereignty remains an unavoidable point in international relations, although we
may regard cooperation as a counterweight to this situation in the sense analyzed by
Wendt (1995). According to this author the interaction in social structures (in which we
can include the HRC) can shape the identities and interests of the actors that seek also
legitimacy and international recognition.
We should begin by highlighting the independence of South Sudan from the State of
Sudan in 2011 and that despite the HR and IHL violations reported since 2006, as we
discussed on the special session on Sudan, no special session on the situation was
requested, being the regular forums considered sufficient to monitor the situation.
In the session the UNHCHR referred to HR violations in the country such as abductions,
arbitrary arrests and forced displacement and violations of civil and political rights
(freedom of movement, expression and opinion). The HR Commission in South Sudan
has denounced these offenses, including infractions against children, highlighting the
process of ethnic cleansing in the country also mentioned by the UNSG Special Adviser
on the Prevention of Genocide. The imminence of hunger; the reduction of civil society
groups and the increasing number of refugees and IDPs were also mentioned. For its
part, the Chair of the Coordination Committee of HRC Special Procedures (CCSP) referred
in particular to the sexual and gender-based violence used as a tool for ethnic cleansing
and also to the attacks on civilian infrastructures and sites; forced recruitment of
children; enforced disappearances; torture and ill-treatment and extrajudicial executions.
Taking the initiative of the decision-making the USA introduced the draft resolution
A/HRC/S-26/L.1 which was adopted without a vote in Resolution S-26/1 (A/HRC/S-26/2:
9). This shows the support of the AG in this late stage of HRC work regarding the need
of ensuring the protection of civilians. This Resolution included references to the
infractions against civilians as mentioned by the Experts. It also included the issue of the
accountability of offenders and the government’s responsibility to protect its population
from genocide, war crimes, ethnic cleansing and crimes against humanity (A/HRC/S-
26/L.1: 2-4). The project also noted the importance of providing timely assistance and
protection to survivors of sexual and gender-based violence, taking into account the
needs of people with disabilities and referred to the restrictions on HR and fundamental
freedoms (A/HRC/S-26/L.1: 3). These references clearly link IHL to the safeguards of
International Human Rights Law (IHRL) in protecting civilians, a significant step in the
protection of civilians compared to the restrictive Decision approved in the fourth special
session.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 29-43
The relevance of Human Rights Council special sessions: the protection of the civilian population in current
internal armed conflicts
Sónia Roque
34
Myanmar
The HR situation in Myanmar was examined at the initiative of Slovenia on the HRC fifth
special session (A/HRC/S-5/1). However this session was not supported by Myanmar,
Russia and India. This situation demonstrates that States don’t like to be targeted directly
in a specific session that blames them for failures in HR protection, but which can be
achieved under the new HRC working rules, which highlights the significance of the
structures in which States participate.
Regarding Myanmar, the Special Rapporteur on Myanmar warned about the violent
repression of peaceful demonstrations by security forces and the restrictions on the
media. Among the blatant violations were summary executions; restrictions on the
freedom of religion and expression; torture and ill-treatment; lack of independence of
judges and lawyers, as well as arbitrary arrests and detentions. The infractions were
reinforced by the information provided by the UNHCHR.
These reports were included in the draft resolution A/HRC/S-5/L.1 submitted by Portugal
on behalf of the European Union (EU) adopted without vote in the Resolution S-5/1
(A/HRC/S-5/2: 8). It was consensual to include besides the protection of the life and the
physical integrity of civilians, the need to respect HR and fundamental freedoms such as
peaceful political activities, guaranteeing also the freedom of peaceful assembly and
association and the freedom of opinion and expression, including for free and
independent media, and to ensure unhindered access to media information in Myanmar
(A/HRC/S-5/L.1: 1-2). In spite of the initial reluctance cooperation was obtained for the
resolution’s approval as well as the consensus of Myanmar, Russia and India, evidencing
the costs of reputation of States, due to the reports of the Experts and the mandate given
to the HRC in which they agree to participate.
Democratic Republic of the Congo (DRC)
France had the initiative on the analysis of the HR situation in the DRC (A/HRC/S-8/1).
This was the HRC 8th special session.
In what concerns to HR violations the UNHCHR has reported in the country the occurrence
of summary or arbitrary executions; widespread abductions; looting and sexual violence
and abuses, including against IDPs, women and children. In this regard, as the facilitator
of the session, France presented, on behalf of the EU, the draft resolution A/HRC/S-8/L.1,
but after long discussions on the proposal A/HRC/S-8/L.2/Rev.2 submitted by Egypt on
behalf of the AG and the consensus reached, withdrew the draft. This allowed Resolution
S-8/1 to be adopted without a vote in order to secure a consensus regarding the
protection of civilians.
The initial proposal presented by Egypt A/HRC/S-8/L.2 was drafted in general terms,
without reference to acts of infraction. The pressure made by the promoters of the draft
resolution L.1 achieved consensus on the inclusion of the reference to offenses committed
in Kivu against civilians, in particular sexual violence, child militia recruitment and the
need for accountability for HR and IHL violations (A/HRC/S-8/L.2/Rev.1: 2). This
achievement proves the relevance of the actors identities in the HRC structure and the
mutual influence of these actors in the HRC work. The importance given to humanitarian
assistance (food, water, medicines and shelter) and to the free movement of people and
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 29-43
The relevance of Human Rights Council special sessions: the protection of the civilian population in current
internal armed conflicts
Sónia Roque
35
goods were also mentioned, going beyond the protection of the physical integrity and
dignity of civilians, increasingly consensual among States.
Sri Lanka
The HR situation in Sri Lanka was assessed at the HRC 11th special session on the
initiative of Germany (A/HRC/S-11/l). This session was supported mostly by the Western
European and Other States Group, with resistance from the countries of other continents
and from Sri Lanka. This opposition was based on the argument that this was an internal
situation of fight against terrorism.
The UNHCHR seeking to achieve progress in the protection of civilians has reported the
existence of HR and IHL violations in the country (killings; forced displacement;
destruction of property and livelihoods; lack of food, water and medical assistance and
lack of independence of national institutions). It also referred to the importance of
assisting the victims of violence that should have access to justice and remedies.
However, given the opposition to the session and in order to influence the final decision,
Sri Lanka presented the draft resolution A/HRC/S-11/L.1. In this proposal only the
offenses of the Tamil Tigers Eelam were mentioned. In the first amendment to the draft
resolution that resulted in Resolution S-11/1 (A/HRC/S-11/2: 10), there was an attempt
to reach consensus, given the refusal to accept Germany's proposal and some progress
was made. To the protection of civilians was added the responsibility of the State to
provide protection and humanitarian assistance (water, sanitation, food, medical care)
and the obligation to respect IHRL and IHL. There was evidence that the protection of
civilians was still insufficiently guaranteed by this proposal, and therefore this Resolution
did not count with the support of the States that promoted the session. A main argument
to this opposition was the fact that the infractions committed by the government were
not included in the Resolution.
Ivory Coast
The 14th special session about the HR situation in Ivory Coast was requested by Nigeria
(on behalf of the AG) and the USA (A/HRC/S-14/1: 4-5). The AG's position had been of
cooperation within the HRC. This Group tried to solve or manage the HR problems on the
Continent also through a decision-making position.
The Deputy High Commissioner for Human Rights reiterated, on behalf of the UNHCHR,
the concern about HR violations in the country (repression of public meetings and
demonstrations; harassment and intimidation; arrest and arbitrary detentions; torture;
enforced disappearances; extrajudicial killings; forced displacements; violations of the
freedoms of information, expression and the freedom of movement) which hindered the
provision of humanitarian services and assistance.
Following the initiative to convene the meeting Nigeria, on behalf of the AG, introduced
the draft resolution A/HRC/S-14/L.1. This proposal was adopted consensually in
Resolution S-14/1 (A/HRC/S-14/1: 6-7). On the Ivory Coast HR situation, HR and IHL
violations committed by all parties to the conflict were considered as reported by the
Special Representative, including against fundamental rights and freedoms such as the
freedom of information and expression. The impact of the conflict on the provision of
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 29-43
The relevance of Human Rights Council special sessions: the protection of the civilian population in current
internal armed conflicts
Sónia Roque
36
humanitarian assistance, including the socio-economic impact on the population was
another important issue. The protection level granted by the Resolution goes beyond the
protection that would be conferred under IHL according to common Article 3 to the GC
(the only one accepted by all States in NIAC), specifying also the rights of IDPs and
refugees, including civil, political, economic and social rights that guarantee the well-
being and subsistence of the population. These rights are increasingly consensual as
evidenced in previous sessions.
Libya
The HR situation in Libya that had come under consideration at the UN was also taken
into account on the initiative of Hungary on behalf of the EU at the HRC 15th special
session (A/HRC/S-15/1: 6).
On the protection of civilians, UNHCHR and the CCSP have warned about the violent
repression against peaceful protestors with mass killings; arbitrary arrests and
detentions; torture of protestors; blockages to residential areas; impediment to medical
and humanitarian assistance; use of foreign combatants (mercenaries) and violations of
the fundamental rights and freedoms of the population.
On the initiative of the promoter of the session was presented draft resolution A/HRC/S-
15/L.1, project that was adopted without a vote in Resolution S-15/l (A/HRC/S-l5/l: 10-
11). The draft resolution contained an explicit reference to offenses against civilians
according to the information submitted by the Experts, including on fundamental rights
and freedoms violations (A/HRC/S-15/L.1: 1-2). Although there was no reference to
socio-economic rights unlike we have seen on Ivory Coast´s Resolution, or to the use of
mercenaries. Given the seriousness of the situation it was decided to establish a
Commission of Inquiry to investigate IHRL violations in Libya in order to ensure
accountability (A/HRC/S-15/L.1: 2). On Libya we find a consensual that could not be
reached on Syria.
Syria
In the same vein of other UN bodies that analyzed the HR situation in Syria as soon as
the conflict triggered, the HRC on the initiative of the USA analyzed this situation at its
16th special session (A/HRC/S-16/2: 5). This was the first of several extraordinary
sessions on Syria in order to contribute to the resolution or management of the internal
situation in the country, particularly important due to the blockade on the UN Security
Council (Gowan and Pinheiro, 2014). This lack of consensus did not occur in the analysis
of the Libyan conflict as we have seen.
The special session, as it will be evident in all the meetings convened, was not supported
by Syria. Syria considered that its internal situation was an emergency
situation/maintenance of public order, so it did not require the HRC's attention. This
position was supported by Russia, China, Cuba, Venezuela, Ecuador, Pakistan and
Nicaragua.
At the session, the Independent Experts did not take a stand on the classification of the
conflict, which could undermine decision-making. They focused on the protection of
civilians in terms of the HR and fundamental freedoms considered applicable to all
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 29-43
The relevance of Human Rights Council special sessions: the protection of the civilian population in current
internal armed conflicts
Sónia Roque
37
situations, including in emergency situations. Therefore, the UNHCHR among the offenses
considered the use of live fire against peaceful protestors; the practices of detention and
enforced disappearances; torture and ill-treatment; restrictions to freedoms of
expression, assembly and association; persecution and intimidation; attacks against
medical personnel, facilities and patients; attacks on densely populated areas;
impediment of food delivery and assistance to the wounded and blockade of public
services such as electricity and the transportation system, which could amount to crimes
against humanity. The Special Rapporteur on the Right to Food on behalf of the HRC
mandate holders also considered that reparations and compensations should be provided
to victims and their families.
Taking the initiative in decision-making, the USA presented draft resolution A/HRC/S-
16/L.1 approved in a non-consensual way in Resolution S-16/1. In the draft resolution it
was reaffirmed the obligation of States to protect the fundamental rights and freedoms
of civilians (A/HRC/S-16/L.1: 1) in line with the contribution of the Experts, indicating
once again the importance of these Experts in considering the protection of civilians
through the reporting of violations. However, socio-economic rights such as food and
health care were not mentioned explicitly, alluding only to the right to social justice.
A second session on Syria which corresponded to HRC 17th special session was requested
by Poland on behalf of the EU (A/HRC/S-17/1). This session had already interregional
support, including from Arab countries, but maintained the same opposition block.
Similarly to the previous session, UNHCHR and the Special Rapporteur on Torture on
behalf of the HRC mandate-holders did not take a position on the classification of the
conflict. The protection of civilians was considered under HR and fundamental freedoms
as provided by IHRL as reported at the 16th special session. These infractions were now
also confirmed by the mission sent to Syria.
In order to boost decision-making, Poland the promoter of the session on behalf of the
EU presented the draft resolution A/HRC/S-17/L.1 also approved in a non-consensual
way in Resolution S-17/1. The project referred to the reports of the Experts, and to the
report of the fact-finding mission on Syria which revealed the violations committed by
the Syrian authorities that could amount to crimes against humanity. In this resolution
States urged also the Syrian authorities to guarantee humanitarian and medical
assistance (A/HRC/S-17/L.1: 1-3). It was also decided to send a commission of inquiry
appointed by the HRC President to investigate alleged IHRL violations, including crimes
against humanity, in order to identify those responsible (A/HRC/S-17/L.1: 3). This
appointment denotes the strengthening of HRC competence in dealing with the
infractions against civilians whose offenders should be held responsible. It was also
decided to transmit the reports of this commission to the UNGA that should transmit
them to relevant bodies. These decisions reinforced the warning about the seriousness
of the violations committed against civilians and sleeked also a positioning by the main
UN bodies.
Once again Poland on behalf of the EU requested a meeting on Syria in the light of the
report submitted by the Commission of Inquiry. This report was discussed at the HRC
18th special session (A/HRC/S-18/2: 6). This session had greater interregional support
than the previous ones but maintained the same opposition bock.
The Commission of Inquiry reported, as did the UNHCHR in the previous sessions, the
HR and fundamental freedoms infractions against civilians in the country. Between these
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 29-43
The relevance of Human Rights Council special sessions: the protection of the civilian population in current
internal armed conflicts
Sónia Roque
38
violations were the killings, including of children; torture and ill-treatment; rape and
other forms of sexual violence; imprisonment or other forms of deprivation of liberty;
enforced disappearances; blockages of residential areas with obstruction of access to
water, food and other basic services; destruction of property and civil infrastructures;
violations of children's rights (including the right to education); restrictions to the
freedom of movement; use of hospitals as torture centers for injured demonstrators;
impediments to the provision of medical care and restrictions on civil and political rights
such as the freedom of expression and the rights to peaceful assembly or demonstration,
infractions that required a strong decision-making from the HRC.
In this regard Poland the promoter of the session on behalf of the EU presented in the
meeting the draft resolution A/HRC/S-18/L.1 approved in Resolution S-18/1, but as the
previous ones in a non-consensual way (A/HRC/S-18/2: 8-9). This proposal referred to
HR and fundamental freedoms violations according to the reports of the Experts,
emphasizing once again the importance of delivering humanitarian assistance; to the
voluntary return of refugees and IDPs and concern was also expressed about the lack of
accountability (A/HRC/S-18/L.1: 1-3). In the amendment to the draft resolution it was
added the reference to the importance of fulfilling the civil, political, economic, social and
cultural rights of the population, which demonstrates a greater consensus on this issue.
The UN bodies were also requested to take action based on the Resolution (A/HRC/S-
18/L.1/Rev.1: 2-4). This reference denotes the increasing pressure on the UN main
bodies on the need to protect civilians.
A new session was requested by the representatives of Denmark, Kuwait, Qatar, Saudi
Arabia, Turkey, the EU and the USA regarding the deterioration of the HR situation in
Syria and the recent killings in El-Houleh, this would be the HRC 19th special session
(A/HRC/S-19/1). This session had even more extensive support, highlighting the
pressure on the need to solve the situation.
The Experts participating in the session, the UNHCHR and the Special Rapporteur on
Extrajudicial, Summary or Arbitrary Executions on behalf of the HRC mandate holders
referred, as in the previous sessions, to the protection of civilians in accordance with
IHRL, which included the protection of HR and fundamental freedoms on the basis of the
report of the Commission of Inquiry A/HRC/19/69.
Following these reports for the first time on the initiative of an Arab country, Qatar, was
presented the draft resolution A/HRC/S-19/L.1 also approved in a non-consensual way
in Resolution S-19/1 (A/HRC/S-19/2: 8). The proposal referred within the violations
against civilians to the use of heavy artillery against residential areas and to physical
abuses, specifying attacks on women and children, and violations of HR and fundamental
freedoms (A/HRC/S-19/L.1:1-2), with no reference to economic and social rights unlike
the previous ones. In the amendment to the draft resolution A/HRC/S-19/L.1/Rev.1 the
UNHCHR statement was also recalled. In this statement the UNHCHR drew attention to
the fact that the atrocities committed in Syria could amount to crimes against humanity,
including its appeal to the UN Security Council to refer the situation to the International
Criminal Court. This reference highlights the importance of the Independent Experts
reports in decision-making given the prolonged severity of the situation which required
the accountability of offenders. In the draft resolution it was also asked to the
Commission of Inquiry to conduct an investigation on El-Houleh in order to identify those
responsible (A/HRC/S-19/L.1:2), which reinforces the importance attached to
accountability as a means of combating impunity.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 29-43
The relevance of Human Rights Council special sessions: the protection of the civilian population in current
internal armed conflicts
Sónia Roque
39
The HR situation in Syria was subsequently examined at the HRC 25th special session
requested by the United Kingdom due to the attacks in Aleppo (A/HRC/S-25/l).
As participants in the session the UNHCHR, the CCSP and the Commission of Inquiry
reported offenses against civilians in line with the previous session’s reports. The
protection of civilians was made under IHRL, which includes all HR and fundamental
freedoms, but by 2016 there was already an explicit reference to IHL, which means that
a consensus was reached on the qualification of the situation as an “armed conflict”.
Following the initiative of the session, the United Kingdom presented the draft resolution
A/HRC/S-25/L.1 approved once again in a non-consensual way in Resolution S-25/1
(A/HRC/S-25/2: 7-10). In this Resolution reference was made to IHRL and IHL violations
committed by all parties to the conflict, including sexual and gender-based violence, also
practiced against children. Reference was also made to the destruction of civilian
infrastructures (schools and medical facilities) in Aleppo; attacks on civilians; removal of
items from humanitarian convoys; deliberate interruptions of water supply;
indiscriminate use of arms; use of starvation of civilians as a method of combat and the
siege of populated areas (A/HRC/S-25/L.1: 1-3), without reference to economic and
social rights, revealing some reluctance towards this category of rights. The Commission
of Inquiry was also requested to conduct an inquiry into the events in Aleppo in order to
make the offenders accountable (A/HRC/S-25/L.1: 3-4), being again the fight against
impunity one of the main ways considered to dissuade the infractions.
Central African Republic (CAR)
On the initiative of Ethiopia on behalf of the AG it was requested a session on the HR
situation in CAR, this was the HRC 20th special session (A/HRC/S-20/1). This session had
a broad interregional support, including from the CAR. The country concerned was also
aware of the risk of genocide due to the ethnic and religious dimension of the crisis in
the CAR, which demonstrates the importance that States attach to cooperation through
the work of international institutions.
The UNHCHR and the CCSP referred as offenses in the country to summary or
extrajudicial executions based on religion; acts of sexual and gender-based violence;
enforced disappearances; torture; mutilations; ill-treatment; imprisonment and arbitrary
detention; looting and the destruction of property, in particular of religious buildings and
the use of child-soldiers, infractions which led to a large number of refugees and IDPs.
Following these reports Ethiopia on behalf of the AG presented the draft resolution
A/HRC/S-20/L.1 consensually approved in Resolution S-20/1 (A/HRC/S-20/2). In this
project Member States considered the HR and fundamental freedoms violations and
abuses as mentioned by the Experts (A/HRC/S-20/L.1: 1-2), but once again without
reference to economic and social rights, a topic that still reveals some reticence’s.
Iraq
Iraq has requested a session (22nd special session) on the HR situation in the country in
the light of the abuses committed by the so-called Islamic State, the Levant and
associated groups (A/HRC/S-22/4). This session had broad interregional support,
including from Russia and China contrary to what happened in the session about the HR
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 29-43
The relevance of Human Rights Council special sessions: the protection of the civilian population in current
internal armed conflicts
Sónia Roque
40
situation in Sri Lanka, an important fact if we take into account that both situations deal
with HR infractions in the fight against terrorism.
The UNHCHR has mentioned IHRL and IHL violations practiced by these groups against
civilians (sexual violence; kidnappings; torture; persecution based on ethnicity, religion
or sectarian affiliation; infractions to cultural and religious rights understood as identity
rights; use of child-soldiers; destruction of infrastructures and livelihoods; impediment
to humanitarian assistance; acts of harassment and intimidation and impediments to
leave the places of combat safely). They also mentioned IHRL and IHL violations practiced
by Iraqi forces and armed groups against these terrorist groups.
Assuming the initiative of the decision-making process, France supported by Iraq
presented the draft resolution A/HRC/S-22/L.1, consensually approved in Resolution S-
22/l (A/HRC/S-22/4: 9). In this project were highlighted the HR and IHL violations
committed by terrorist groups that could amount to war crimes and crimes against
humanity as reported by the UNHCHR. It was also consensual the need to protect and
provide assistance to civilians; protect civilian infrastructures; promote and protect all
HR and fundamental freedoms; investigate the alleged abuses and promote the return
of IDPs (A/HRC/S-22/L.1: 1-3). In this Resolution the protection of civilians agreed
interconnected IHRL and IHL, including the obligation to guarantee the livelihoods of the
population, but without reference to the violations committed by the government, a
situation that had been criticized in the session on Sri Lanka.
Boko Haram
The activities of the terrorist group Boko Haram, which had consequences in Cameroon,
Chad, Niger and Nigeria, were brought before the HRC by Algeria on behalf of the AG at
its 23rd special session (A/HRC/S-23/1).
At the session the UNHCHR referred to the ethnic and sectarian offenses committed by
Boko Haram (killings, abductions, sexual slavery, forced recruitment, looting and
destruction of villages and towns) which led to a high number of IDPs and refugees who
needed humanitarian and psychological assistance. There have also been reports of
serious IHRL and IHL violations committed by Nigerian and other forces in reaction to
this group's activities. In the same way the CCSP also recalled the need to respect HR
and fundamental freedoms (judicial guarantees, freedom of thought, conscience and
religion and the decision of each person to return to its own country).
Dealing once again with a situation in the African Continent Algeria on behalf of the AG
presented the draft resolution A/HRC/S-23/L.1 consensually approved in Resolution S-
23/1 (A/HRC/S-23/2: 9). It was consensual the reference to IHRL and IHL atrocities and
abuses committed by the terrorist organization against civilians in line with the reports
of the Experts. HR and fundamental freedoms infractions were also mentioned, and
concern was also expressed on the situation of IDPs and refugees (A/HRC/S-23/L.1: 3).
But once again no mention was made to the violations committed by States in the fight
against terrorism like in Iraq and Sri Lanka, and to the economic and social rights as
guarantees of the population.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 29-43
The relevance of Human Rights Council special sessions: the protection of the civilian population in current
internal armed conflicts
Sónia Roque
41
Burundi
The seriousness of the HR situation prompted the USA to request a session on Burundi
which would be the HRC 24th special session (A/HRC/S-24/l). This session had the
support of Burundi also due to the awareness of the ethnic dimension of the conflict as
happened with CAR.
At the session the UNHCHR, the Special Representative on the Prevention of Genocide
and the CCSP, listed HR violations based on political and ethnic affiliation (extrajudicial
executions; arbitrary arrests and detentions; enforced disappearances; beatings; looting,
blockades of neighborhoods; torture; intimidation and the lack of livelihoods).
Following these reports the USA presented the draft resolution A/HRC/S-24/L.1
consensually approved in Resolution S-24/l (A/HRC/S-24/2: 9-10). In this session the
promotion and protection of HR and fundamental freedoms was reaffirmed (A/HRC/S-
24/L.1: 1) as mentioned by the Experts, with States requesting also the UNHCHR to
organize and dispatch to the country a mission composed of independent experts
(A/HRC/S-24/L.1: 5). This decision emphasizes once again the significance of the fight
against impunity in the HRC work.
Conclusions
From the cases analyzed, we highlight the initiative of the Western European and Other
States Group in convening most of the sessions. This pro-activity is in line with the
defense of a greater capacity of the HRC to deal with gross HR violations. There was also
an assumption by the AG of the issues in Africa that generate greater international
consensus, unlike the situations in other regions as evidenced by the lack of consensus
on Sri Lanka and Syria closer to the borders of great powers.
Notwithstanding the difficulties in framing current conflicts into the so-called classical
categories (NIAC, international conflict, disturbances or internal tensions), there is an
acceptance of the interrelation between IHL and IHRL in the protection of civilians as
proposed by the Independent Experts. This complementarity, in addition to the minimum
protection in NIAC conferred by common Article 3 to the GC, the only one agreed upon
by all States, covers HR and fundamental freedoms with an emphasis on civil and political
rights (freedom of opinion, expression, peaceful assembly, movement, religion or belief
and the exercise of peaceful activities including political ones). The protection of civilian
infrastructures and goods; the prohibition of all cruel, inhuman or degrading treatments
or punishments, in which is included the sexual violence, abuse and assault; the
prohibition of the use of child-soldiers; the obligation to provide the necessary livelihoods
to the population even if through humanitarian assistance (food, water, health care,
shelter), with emphasis on the part of the population considered most vulnerable
refugees, IDPs, women and children are also guarantees agreed in the resolutions, in
which all include the accountability of offenders.
References
A/HRC/S-4/1 (2006). Letter from Finland to the Human Rights Council (HRC).
A/HRC/S-4/5 (2006). Report of the HRC fourth special session (SS).
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 29-43
The relevance of Human Rights Council special sessions: the protection of the civilian population in current
internal armed conflicts
Sónia Roque
42
A/HRC/S-5/1 (2007). Letter from Slovenia to the HRC
A/HRC/S-5/2 (2007). Report of the HRC fifth SS.
A/HRC/S-8/1 (2008). Letter from France to the HRC.
A/HRC/S-8/2 (2008). Report of the HRC eighth SS.
A/HRC/S-11/1 (2009). Letter from Germany to the HRC.
A/HRC/S-11/2 (2009). Report of the HRC eleventh SS.
A/HRC/S-14/1 (2010). Report of the HRC fourteenth SS.
A/HRC/S-15/1 (2010). Report of the HRC fifteenth SS.
A/HRC/S-16/2 (2011). Report of the HRC sixteenth SS.
A/HRC/S-17/2 (2011). Report of the HRC seventeenth SS.
A/HRC/S-18/2 (2011). Report of the HRC eighteenth SS.
A/HRC/S-19/1 (2012). Letter from Denmark, Kuwait, Qatar, Saudi Arabia, Turkey, the
European Union and the United States of America to the HRC.
A/HRC/S-19/2 (2012). Report of the HRC nineteenth SS.
A/HRC/S-20/1 (2014). Letter from Ethiopia to the HRC.
A/HRC/S-20/2 (2014). Report of the HRC twentieth SS.
A/HRC/S-22/4 (2014). Report of the HRC twenty-second SS.
A/HRC/S-23/1 (2015). Letter from Algeria to the HRC.
A/HRC/S-23/2 (2015). Report of the HRC twenty-third SS.
A/HRC/S-24/1 (2015). Letter from the United States to the HRC.
A/HRC/S-24/2 (2015). Report of the HRC twenty-fourth SS.
A/HRC/S-25/1 (2016). Letter from the United Kingdom to the HRC.
A/HRC/S-25/2 (2016). Report of the HRC twenty-fifth SS.
A/HRC/S-26/1 (2016). Letter from Albania, Paraguay, United Kingdom and the United
States to the HRC.
A/HRC/S-26/2 (2016). Report of the HRC twenty-sixth SS.
A/RES/60/251 (2006). HRC.
Cox, Eric (2010). “State Interests and the Creation and Functioning of the United Nations
Human Rights Council” Journal of International Law and International Relations. 6(1),
87-120.
Gowan, Richard; Pinheiro, Paulo Sérgio (2014). “Syria” in Genser, Jared; Ugarte, Bruno
Stagno (eds) The United Nations Security Council in the Age of Human Rights.
Cambridge: Cambridge University Press, 434-453.
ICRC (2005). Customary IHL Database, disponível em https://ihl-
databases.icrc.org/customary-ihl/eng/docs/home (consultado a 20 de julho de 2018).
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 29-43
The relevance of Human Rights Council special sessions: the protection of the civilian population in current
internal armed conflicts
Sónia Roque
43
ICRC (2008). “Interview with Luis Alfonso De Alba” International Review of the Red Cross.
90(871), 489-499.
Lauren, Paul Gordon (2007). “Commission on Human Rights to the Human Rights
Council” Human Rights Quarterly. 29, 307-345.
Ruggie, John (1998). Constructing the World Polity: Essays on international
institutionalization. London/New York: Routledge.
Sheeran, Scott; Rodley, Nigel (eds.) (2013). Routledge Handbook of International Human
Rights Law. New York: Routledge.
TIJ (2004). Legal Consequences of the Construction of a Wall in the Occupied Palestinian
Territory Summary 2004/2.
Wendt, Alexander (1995). “Constructing International Politics” International Security.
20(1), 71-81.
OBSERVARE
Universidade Autónoma de Lisboa
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 44-65
AGENDA-SETTING AND FRAMING IN FOREIGN POLICY: THE CASE OF RUSSIAN
AND UKRAINIAN TELEVISED COVERAGE OF THE CRIMEA CASE
Yuliia Krutikova
Yuliia.krutikova@gmail.com
Holder of a Bachelor and Master Degrees in International Relations, specializing in European
Studies (University of Coimbra, Portugal). She carried out professional internships at the
Embassy of Portugal in Bulgaria, at the Navigator Company, and at the National System Limited
Inter TV in Kiev.
Maria Raquel Freire
rfreire@fe.uc.pt
Researcher at the Centre for Social Studies and Associate Professor of International Relations at
the School of Economics (University of Coimbra, Portugal). She holds a Jean Monnet Chair,
received her PhD in International Relations from the University of Kent. She is currently director
of the PhD Programme in International Politics and Conflict Resolution, CES|FEUC. She is also a
member of the Governing Board of the European International Studies Association. Her research
interests focus on peace studies, peacekeeping and peacebuilding, foreign policy, international
security, Russia and the post-Soviet space. Her work has been published in peer-reviewed
journals such as European Politics and Society, European Review of International Studies, Journal
of Balkan and Near Eastern Studies, East European Politics, European Security, International
Peacekeeping, International Politics, Asian Perspective, Global Society, La Revue Internationale et
Stratégique, Journal of Conflict, Security and Development, Relações Internacionais.
Sofia José Santos
sjs@fe.uc.pt
Centre for Social Studies (University of Coimbra, Portugal). She is an associate researcher at
OBSERVARE (Universidade Autónoma de Lisboa). She holds a postgraduate diploma in
Communication Sciences from ISCTE-IUL, a PhD. and Master Degree in International Politics and
Conflict Resolution from the Faculty of Economics of the University of Coimbra and a Bachelor
degree in International Relations. Previously, she was a postdoctoral researcher at OBSERVARE/
UAL and at CES and researcher and coordinator of media and communication at Promundo-
Europa. She was part of the research team of the Flemish Peace Institute while a visiting scholar
and she was visiting fellow at the Universiteit Utrecht. She was co-coordinator and co-editor of
the Bulletin P@x, a periodical publication of the Group of Studies for Peace of the NHUMEP. Her
current research interests are centred on issues related to the media and masculinities; digital
rights and contentious politics; media literacy; international politics and media representations.
Abstract
This article seeks to explore the role Russian and Ukrainian conventional media played as
agenda-setters and producers of subjective framings within the context of the Crimean crisis,
exploring at the same time the relationship between state and media and the impact of media
representations on national public opinions. The analysis shows that agenda-setting and
framing at the level of states’ policies have a fundamental role in decision-shaping and
perception-building, highlighting that the manipulation of information through narrative-
construction is a powerful tool at the service of politics. This study contributes to validate the
idea that media can be perceived as key influencers of the public agenda as they emerge as
the most relevant agents in mediatising politics, becoming hence a functional gatekeeper that
might either facilitate the official discourse or instead obstruct it.
Keywords
Agenda-setting; framing; foreign policy; Russia; Crimea
How to cite this article
Kutikova, Y; Freire, MR; Santos, SJ (2019). "Agenda-setting and framing in foreign policy:
The case of Russian and Ukrainian televised coverage of the Crimea Case". JANUS.NET e-
journal of International Relations, Vol. 10, N.º 1, May-October 2019. Consulted [online] on
the date of the last visit, https://doi.org/10.26619/1647-7251.10.1.4
Article received on October 24, 2018 and accepted for publication on February 8, 2019
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 44-65
Agenda-setting and framing in foreign policy:
the case of Russian and Ukrainian televised coverage of the Crimea case
Yuliia Krutikova, Maria Raquel Freire, Sofia José Santos
45
AGENDA-SETTING AND FRAMING IN FOREIGN POLICY: THE CASE OF RUSSIAN
AND UKRAINIAN TELEVISED COVERAGE OF THE CRIMEA CASE
Yuliia Krutikova
Maria Raquel Freire
1
Sofia José Santos
Introduction
In the context of both decision-making processes and foreign policy management,
particularly at times of crisis, the media have a crucial role in the treatment and
interpretation of information (Gilboa, 2002) as among the discursive actors society
entails, the media are the most efficient in the dissemination of a specific narrative
(Kuusik, 2010). Agenda-setting (Shaw, 1979; McCombs and Shaw, 1993; Traquina,
1995) and framing theories (Gofman, 1974) assist in explaining the power of media to
determine the current agenda in every moment, i.e. the power to shape what should be
discussed and what should be dismissed, as well as the power to validate a particular
vision about an issue or an actor. Media are, hence, not just an information channel, but
rather an active “communication network” (Naveh, 2002: 3) where specific
understandings and representations of actors, intentions and events are (re)produced,
either intentionally or unintentionally, affecting media’s coverage, decision-makers’
political decisions, and public opinion’s preferences.
While most studies point to the recurrent politicization of the media (Craig, 1976;
Herman, 2003; Herman and Chomsky, 1988; Eilders, 2002; Kishan and Freedman,
2003), particularly in times of political crisis, fewer analyses look at how – from a
processual illustrative perspective
2
– the process of mediatisation of politics takes place.
In this way, this article looks at how framing is conducted, i.e. how media-related choices
are made and framed, and how they evolve. Using agenda-setting and framing applied
to foreign policy as theoretical and analytical approaches, this article analyses the role of
media in contexts of crisis through the study of the stiffening of relations between Russia
and Ukraine from 2013 to 2015, with the Russian annexation/re-integration
3
of the
peninsula in March 2014 marking the height of tension. This study maps and critically
analyses media discourse comparing the different readings and interpretations of the
Crimean crisis as portrayed by Russian and Ukrainian televised media (TV). According to
1
Maria Raquel Freire holds a Jean Monnet Chair (574780-EPP-1-2016-1-PT-EPPJMO-CHAIR - EU External
Relations Towards the East), co-funded by the Erasmus+ programme of the European Union.
2
“Processual illustrative perspective” means highlighting specific processes by means of concrete examples.
3
The choice between “annexation” or “re-integration” of Crimea depends on specific interpretations of
political or mediatic actors. The wording sheds light on distinct narratives, intentions and course of events.
The Russians use the word “re-integration”, framing the issue as Crimea’s right to “self-determination”;
Ukrainians frame the issue as a violation of Ukrainian territorial integrity and sovereignty.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 44-65
Agenda-setting and framing in foreign policy:
the case of Russian and Ukrainian televised coverage of the Crimea case
Yuliia Krutikova, Maria Raquel Freire, Sofia José Santos
46
opinion polls from 2014, most of the Russian and Ukrainian population receive
information mainly from traditional media (KIIS, 2014a; Levada Centre, 2014a).
Aiming to understand what image of the crisis was transmitted in these countries, this
study analysed the news of the national television channels in Russia and Ukraine. This
allows a better understanding about local coverage of the events, bringing additional
information to the Western-based accounts that were privileged at the time. Moreover,
most of the studies published on media coverage of the events in Ukraine focused on the
use of social networks, leaving more traditional means, such as television, understudied
(eg. Onuch, 2015a, 2015b; Surzhko-Harned and Zahuranec, 2017). For the analysis, a
one-month time span – from February 24 to March 23, 2014 – was selected.
Nevertheless, intending to demonstrate that the Crimea question has appeared in
Russian media agenda in the period of EuroMaidan, the article also analysed several
Russian broadcasts from December 2013 and January 2014. For the analysis of media
discourse and its evolution during the Crimea’s events, a sample of ten news reports
from the four channels registering broader audience (two Ukrainian – 1+1 and Inter, and
two Russians – 1TV and Rossiya) was selected. For methodological purposes, this study
analysed the news from the night broadcasts once they have a deeper focus on the
conflict issues and cover a broader audience.
In the process of selecting the channels, two main criteria guided the choice: the most
significant share of visualisations in the year 2014; and the close relationship of the
channels with state authorities or financial elites. Within the Russian TV channels, we
chose Perviy Nacionalniy (1TV) and Rossiya, both state-owned. In the case of Ukraine,
two public channels were chosen, governed by two Ukrainian oligarchs, 1+1 of Ihor
Kolomoyskyi and Inter of Dmytro Firtash, with 1+1 having an audience that primarily
speaks Ukrainian, whereas Inter broadcasted in Russian language, directing information
towards the Russian speaking population. We also looked for the opinion polls in both
countries with the aim to understand public opinion during Crimean events which was –
as agenda-setting and framing theories allow us to understand – greatly informed by
broadcasted media representations. This selection of news-feeds, in combination with
opinion polls, allows us to understand how the process of mediatisation of politics became
evident in the Crimean case.
Structure-wise, this article is divided into four main parts. The first one maps and
explores the theoretical and analytical framework which informs the study. The second
part presents media landscapes in both countries – Russia and Ukraine – in order to
better understand the media contexts in which specific narratives on the Crimean Crisis
are produced and disseminated. The third one explores the different representations and
interpretations that are promoted and disseminated across both countries and respective
public opinion. Finally, the fourth part discusses collected data taking into account the
theoretical and analytical frameworks, exploring as well how audiences engaged with
representations conveyed in the media.
Betwixt and between: from agenda-setting and framing to policy-
making
Amidst the different elements that influence the lenses upon which we perceive the world
and (re)act towards it, discourse is a fundamental one. By providing a specific logic of
representation based on a system of thought (Foucault, 1994 [1970]), discourse allows
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 44-65
Agenda-setting and framing in foreign policy:
the case of Russian and Ukrainian televised coverage of the Crimea case
Yuliia Krutikova, Maria Raquel Freire, Sofia José Santos
47
to (re)construct approaches to reality, create narratives and labels which set the
boundaries within which a specific topic, event or actor will be considered ([Ibidem]; Hall,
1997).
Among discursive actors, the media are central and efficient in diffusing certain narratives
framed in certain discourses (Kuusik, 2010), affecting the representation of reality with
implications in public opinion, particularly regarding the attribution of meaning. In this
way, it is possible to understand the news as participants in the process of construction
of the world and the creation of meaning (Weber, 2010; Robinson, 2002). This dynamic
gains expression in two particularly relevant moments: the definition of the agenda
(McCombs and Shaw, 1972) and the way media frame events and actors in this agenda.
Crosscutting and on the basis of both these processes lie gatekeeping dynamics
(Shoemaker et al., 2013).
According to the agenda-setting theory (McCombs and Shaw, 1972), it is the topics and
events selected by the media that set the agenda in societies. The more attention news
stories give to specific issues, the more likely it is that public opinion will perceive those
issues as important (Shaw, 1979). However, the media end up not necessarily just
merely setting the agenda, but also telling audiences how they should think about it since
media stories are filtered through frames that are established by particular (subjective)
news media command chains (McCombs and Shaw, 1993). How something is presented
to media’s audience (“the frame”) influences the choices people make about how to
interpret and react upon that information and towards the reality it describes (Gofman,
1974). At the basis of agenda-setting, framing theory and practice is the theory of
gatekeeping coined by Lewin (1943). By deciding which stories are told and which ones
are kept out, the gatekeeper decides and hence controls which information and narratives
may enter both public knowledge and public opinion realms. This has consequences
regarding the validation of specific policies addressing the events, issues or actors of
those stories (Hovland et al., 1953; Shoemaker and Reese, 2014). In scenarios of tension
the weight of information and narratives that the media produce is such that many
authors assume the media as an actor in the conflict or as an agent for peace (Rahman,
2014). By selecting information, repeating specific words and using certain cultural
symbols the media influence the perception of the audience regarding a specific situation
and the actors involved (Entman, 1993, 2004).
All three theories (agenda-setting, framing and gatekeeping) are useful for
understanding the communication dynamics and subsequent political effects within
matured democratic contexts, as well as within less democratic, hybrid or even
authoritarian regimes. In fact, although these processes might be increasingly more
complex within democratic contexts as more actors, agendas and unexpectedness is at
play, they are key to explain communication processes as well as hegemonic and counter-
hegemonic forces in all political regimes. The following sections apply these theoretical
models to the case of Ukraine shedding light on the interconnections between media,
audiences and politics.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 44-65
Agenda-setting and framing in foreign policy:
the case of Russian and Ukrainian televised coverage of the Crimea case
Yuliia Krutikova, Maria Raquel Freire, Sofia José Santos
48
The media landscape in Russia and Ukraine
According to data from the World Press Freedom Index 2017, Russia sits in the 148
th
place out of 178 states in the world (RSF, 2017).
4
Despite similarities to Soviet times,
today’s media “neo-Soviet model” (Oates, 2007) is less monolithic concerning structure,
more selective regarding censorship, prefers propaganda to direct control, and places
emphasis on legal and economic methods to eliminate independent voices (Snegovaya,
2014). Currently, the state does not control the entire media market but controls the one
that allows to reinforce its positive image in the society and legitimise its actions in the
conversations between citizens (Arutunyan, 2009). Regarding printed press and internet,
although the Kremlin has less influence in these sectors (Dunn, 2014), “the most popular
titles support Kremlin policy, and several influential dailies have been bought by
companies with close links to the Kremlin” (BBC, 2017). As for TV, which “is the most
powerful sector of the Russian media industry (…) [,] the main national networks are
either run directly by the state or owned by companies with close links to the Kremlin”
(BBC, 2017). The channels 1TV and Rossiya have the biggest reach regarding audience
rates, with 14,5% and 13,2%, respectively (Oshkalo, 2015) and are both controlled by
the state. Since the Ukrainian crisis, Russian state media are said to have intensified the
pro-Kremlin and nationalistic tone of their broadcasts, “pumping out a regular diet of
adulation for Mr Putin, nationalistic pathos, fierce rejection of Western influence and
attacks on the Kremlin’s enemies” (BBC, 2017). An ex-officer of the All-Russia State
Television and Radio Broadcasting Company (VGTRK) in an interview to the Russian
newspaper “Colta” (s.d.) described how the media agenda was constructed and
influenced by the Kremlin during the Ukrainian crisis:
Each week the board of directors met in the Kremlin to get the plan
informing what should be diffused and how the information should
be presented. (...) On Ukraine instructions clearly pointed to wide
coverage, including complete reporting on Crimea, and news from
Kiev and Donetsk. After the referendum, the channel got as an
‘additional task’ from the Kremlin to broadcast on a daily basis
coverage of Crimea’s development, from science to handcrafts, and
how the population life is joyful with the return home. No one
discussed the framing for the news, nor the need to present other
perspectives not so satisfied with the status quo. (Interview with ex-
officer VGTRK, Colta, s.d. a)
Ukraine sits in the 102
nd
place out of 178 states in the World Press Freedom Index (RSF,
2017). Conversely to Russia, most Ukrainian media outlets have private owners
(Rozvadovskyy, 2010), mainly from the most prominent financial groups. For these
groups, media are a way of influencing politics and a tool to protect their financial and
commercial interests (Dutsyk, 2015: 10). Even though in 2014 the media were forced to
make public information on their owners, the property structures are still opaque (RSF,
2016). However, it is acknowledged that most of the media sector is controlled by a small
4
See also Khvostunova (2013).
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 44-65
Agenda-setting and framing in foreign policy:
the case of Russian and Ukrainian televised coverage of the Crimea case
Yuliia Krutikova, Maria Raquel Freire, Sofia José Santos
49
group of businessmen with interests in politics, economics and other areas, namely
Dmytro Firtash and Serhiy Lyovochkin (Inter), Ihor Kolomoyskyi (1+1), Victor Pinchuk
(StarLightMedia) and Rinat Akhmetov (Ukraine).
Table 1 - Independent media in transit ratings and averaged scores. 1 corresponds to “Most
Independent” and 7 corresponds to “Least independent”
1999-
2000
2001
2002
2003
2004
2005
2006
2007
2008
2009
2010
2011
2012
2013
2014
2015
2016
2017
2018
RUSSIA
4.75
5.25
5.50
5.50
5.75
6.00
6.00
6.25
6.25
6.25
6.25
6.25
6.25
6.25
6.25
6.50
6.50
6.50
6.5
UKRAINE
5.00
5.25
5.50
5.50
5.50
4.75
3.75
3.75
3.50
3.50
3.50
3.75
4.00
4.00
4.25
4.00
4.00
4.00
4.25
Source: Freedom House, 2018
5
All significant shareholders have personal and political interests that continuously adjust
to political conditions and which are reflected in the editorial policy of the media (Dutsyk,
2015). The permanent wars between oligarchs as Ihor Kolomoyskyi and Dmytro Firtash
are visible on the news coverage in their channels. This justified the choice of channels
such as Inter and 1+1 for the analysis of the news transmitted in the crisis period in
Ukraine. Besides, during the protests in central Kiev, the channels interpreted the events
differently. Like Russia, Ukrainian TV is the primary source of daily news for most of the
Ukrainian population (KIIS, 2014a).
The group 1+1 was one of the few Ukrainian channels that defended a pro-Maidan
position and supported demonstrators. During EuroMaidan events this channel actively
gave voice to the Maidan leaders and representatives of the manifestations. In 2012
when the country started to prepare for greater integration with the European Union
(EU), the channel considered changes in Ukrainian foreign policy and positioned itself as
“the company with European values which creates content that changes the way of
people thinking about the world and themselves” (1 +1). According to the director-
general of 1+1, “[o]ur owner shares the same values that we defend” (Mediasat, 2014),
showing clear linkages between the content of the media agendas and its owner’s
orientation. The owner of 1+1 looked at Maidan as an opportunity for the redistribution
of powers in the spheres of influence of Ukrainian politics that allowed him to escape
from the “shadow” and dependency of the established powers in the country (Vasil
Interview, 2016).
The final point that demonstrates the interest of Kolomoyskyi in the fall of the
Yanukovych regime during EuroMaidan events was his appointment as President of the
Regional Administration of the Dnipropetrovsk city by the new Ukrainian government in
March 2014 with the aim of ending separatism in Eastern Ukraine and providing support
to the Ukrainian military. The principal assets of the oligarch were in this region and were
5
“Independent media: Addresses the current state of press freedom, including libel laws, harassment of
journalists, and editorial independence; the emergence of a financially viable private press; and internet
access for private citizens” (Freedom House, 2018).
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 44-65
Agenda-setting and framing in foreign policy:
the case of Russian and Ukrainian televised coverage of the Crimea case
Yuliia Krutikova, Maria Raquel Freire, Sofia José Santos
50
under high risk of destabilisation. He was thus able to influence the situation and protect
his business (Kononczuk, 2015).
Regarding the Inter channel, the orientation of the Ukrainian crisis’ coverage changed
entirely in several moments – at times even contradicting itself. In July 2013 the channel
actively promoted European integration, whereas from October onwards, and in line with
the country’s politics, it promoted the idea that no one in the EU wanted the integration
of Ukraine and that the country should maintain friendly relations with Russia. One of the
owners of the channel, Sergiy Leovochkin, was head of President Yanukovych’s
administration until January 2014 and supported the government position. However,
after the former Ukrainian president fled from the country, Inter channel, which from the
beginning of the EuroMaidan protests called the demonstrators “radicals ruled by
extremists”, changed the discourse and started to call them “Ukrainian people and
citizens”. Besides, the channel started to strongly criticise the former Ukrainian
authorities who were previously considered as defenders of the regime and order in the
country. Under the Yanukovych regime, Firtash (Inter channel’s owner) was among the
oligarchs whose assets increased during this period of governance. Firtash is also seen
as a businessman who had connections with Russia, engaged in selling Russian gas in
cooperation with Gazprom, Ukraine and the EU for many years (Kononczuk, 2015).
In the media: (re)presentations and (re)interpretations of Crimea
The referendum that took place in Ukraine on March 16, 2014 (Putin, 2014),
6
was the
culmination of a series of tensions, both in Ukrainian politics and regarding the
involvement of external actors, namely Russia and western powers. The context of
increasing tension and political differences soon escalated to violence, which has
persisted till today, echoing also the profound division Ukraine had been facing and
highlighting the lack of a cohesive national identity.
The demonstrations in the centre of Kiev were very much present in the agendas of
Russian and Ukrainian TV news, but the events were broadcasted in distinct ways. The
subjective appropriation of reality in the media became critical with the rise in tension.
From the very beginning of the protests at Independence Square, Russian coverage of
Crimea was taking place. The special correspondents from 1TV and Rossiya in the period
between January and February highlighted that the support of Yanukovych to the
population in that area reflected the desire for Crimea to keep and deepen its ties with
Russia, which was clearly under threat with the anti-government protests taking place.
From December 2013 the main Russian TV channels started talking about the possibility
of a division of Ukraine and the consequent separation of Crimea. Moreover, the
representation of Crimea in the media agenda as a special issue in the face of the crisis
in Ukraine was tailored to broadcast an image of the protesters of Maidan as “the other”
(Mezhygirsky, 2014). The news programme Vremya clearly showed this trend:
6
For more details on the referendum and the events leading to it and following it, see for example Sakwa
(2015), Katchanovski (2015), Averre (2016), Freire (2017).
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 44-65
Agenda-setting and framing in foreign policy:
the case of Russian and Ukrainian televised coverage of the Crimea case
Yuliia Krutikova, Maria Raquel Freire, Sofia José Santos
51
Ukraine is currently divided into two parts. One seeks to overthrow
the government and wishes for integration with the European Union,
whereas the other prefers to preserve stability. (1TV, 04.12.2013)
In this same line, Vesty stated that “the crisis is getting deeper and it is becoming clearer
that Ukraine is divided by regional borders” (Rossiya, 12.12.2013).
With the aggravation of the EuroMaidan protests, the Russian channels started to talk
openly about the fact that the Maidan events would lead to the division of Ukraine. In
Ukraine, Inter followed the same broadcasting line. In this tense period, the Russian
channels made it clear that Ukraine was facing chaos and the country was splitting up,
and highlighting that only the intervention of Russia could at least keep a part of the
country united. When the former Ukrainian president fled from Ukraine, Crimea became
one of the main topics in Russian TV (Mezhygirsky, 2014). From the end of February, the
Russian channels reported with all certainty about the separation of Crimea shortly,
though not yet talking about “self-determination”. The turning point was the decision by
the new government in Kiev regarding the abolition of the law on the regional status of
the Russian language. Briefly after, Russian deputies started to discuss how to protect
the rights of the Russian population in Crimea. The Russian media started to broadcast
the message that the inhabitants of Crimea were under threat, stating that
the approved law leads to the destruction of the rights of the Russian
language population, to the abandonment of the rights regarding
the native language, to the destruction of the right to an
independent history. (Rossiya, 26.02.2014)
The news became focused on the need to safeguard Russian minorities or those speaking
the Russian language from “Ukrainian fascists”. The same narrative was used by the
Kremlin to justify its actions in Crimea and was broadcasted by all state-owned media
outlets (Dougherty, 2014: 4). However, the Ukrainian channel 1+1 reported the situation
from a different perspective, defining the protesters against the new regime in Kiev as
“pro-Russian activists” and “separatists”. In this way, 1+1 in its broadcasts was pointing
to the fact that the new government in Crimea was under Russian influence, which was
illegal according to Ukrainian law, referring to “the entering of the region in separatist
hysteria” (1+1, 25.02.2014). The other Ukrainian channel, Inter, which previously
supported Yanukovych’s regime, broadcasted only one news piece with the information
that “Russia will issue the passports of Crimea inhabitants”, including a statement by a
Duma deputy about Crimea’s ‘re-integration’ in Russia (Inter, 25.02.2014). Considering
the uncertainty in the Ukrainian political situation and the close relationship of the
previous government with Russia, at the beginning of Crimean events Inter was
broadcasting a more neutral discourse.
On February 26, in Simferopol, two demonstrations took place, one mainly composed by
Tatars, insisting that Crimea should be kept within Ukraine, and other mainly led by
ethnic Russians, with leader Sergiy Aksenov demanding the independence of Crimea and
asking for Russian support (Expert, 2014). The Russian channels opted for broadcasting
the demands of the second group.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 44-65
Agenda-setting and framing in foreign policy:
the case of Russian and Ukrainian televised coverage of the Crimea case
Yuliia Krutikova, Maria Raquel Freire, Sofia José Santos
52
Demonstrations in Crimea gather millions of people. At the Supreme
Council building, the Russian flag was raised. People state they want
protection against the imposed will of Kiev and demand the
organisation of a referendum about the region’s status. (1TV,
26.02.2014)
On these protests, 1+1 broadcasted opinions from both sides, however, it introduced
information regarding the “unknown instigators of violence”.
Close to Parliament Tatars and local Maidanivci
7
got together. Also,
those supporting Russian forces joined. Between them is the police.
Suddenly, among the crowd, unknown people show up provoking
both sides, demanding that both Ukrainian and Russian flags are
removed. (1+1, 26.02.2014)
Inter also mentioned the defenders of Ukraine territoriality and those that want Crimea’s
separation from Ukraine but called the organisers of the protests “Russian activists”
(Inter, 26.02.2014). In the Russian news, there was information about the massive
support of Ukrainian Military Forces to Crimea, with military forces joining the Crimeans
against the central government in Kiev. The Ukrainian channels did not doubt that in
Crimea a big scale Russian military operation was in course and that there was
increasingly lack of trust in the region about the new central government in Kiev.
The airport in Simferopol is under the control of camouflaged men.
The soldiers admitted they are Russian. However, in the Crimean
parliament, it is stated that these are voluntary self-defence units.
(1+1, 28.02.2014)
However, on the Russian side, the channels broadcasted official statements about the
Russian position of non-interference in Ukrainian matters and that there was no evidence
regarding the involvement of Russian military in Crimea. There was nevertheless clear
support to Sergiy Aksenov, who became the new prime minister of Crimea. According to
Russian sources, he had the required power to “stop the waves of disorder and
provocation arising from the Maidan” in the region. The swift organisation of the
referendum on Crimea’s autonomy initially foreseen for May 25, 2014, that because of
the “complex situation of the conflict which is beyond reasonable” was anticipated, was
actively supported by the Russian channels (Rossiya, 1.03.2014). When on March 1, the
Russian Federation Council adopted a decision on the mobilization of Russian armed
forces in Ukrainian territory, the Russian channels interpreted the decision as necessary
to protect the inhabitants of the autonomous region from violence (1TV, 1.03.2014;
7
Maidanivci – participants and supporters of opposition protests in Ukraine by the end of 2013-2014.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 44-65
Agenda-setting and framing in foreign policy:
the case of Russian and Ukrainian televised coverage of the Crimea case
Yuliia Krutikova, Maria Raquel Freire, Sofia José Santos
53
Rossiya, 1.03.2014). However, such decision was considered by both Ukrainian channels
as a “military invasion of Ukraine” (1+1, 1.03.2014; Inter, 1.03.2014).
On March 6, one more extraordinary session of the Supreme Council of Crimea took
place, which decided the referendum should take place ten days earlier. The anticipation
of the ballot was broadcasted as a natural consequence of the nationalist movement at
Maidan that “Ukraine is only for the Ukrainians” (Rossiya, 6.03.2014). The Ukrainian
channels contested the decision stating it was illegal and under the pressure of Russian
guns, representing an attack on the country’s sovereignty. Moreover, the channels
affirmed that the new governing authorities in Crimea were preparing falsified results of
the referendum, referring to the Tatar community vote which would be disregarded
(Inter, 6.03.2014; 1+1, 6.03.2014). Nevertheless, Inter also showed the opinions of
Crimean inhabitants in favour of the referendum and their re-integration in Russia. At
the same time, TV journalists stopped referring to the population of Crimea as part of
the Ukrainian people, and started calling them “compatriots in Ukraine”, “inhabitants of
Crimea” or “Russian speakers”. Those that arrived in power in Kiev continued to be called
“banderas”, “nazis” and “fascists”.
In this way, the main idea broadcasted was that Russia should safeguard all Ukrainians
that spoke the Russian language from the powers ruling the country. Regarding Ukrainian
channels, mainly the news broadcasted by 1+1 journalists spoke openly about the
presence of Russian soldiers and even started to call them “invaders” and “occupiers” of
the region, with Russian being considered the “aggressor”, while the voluntary self-
defence forces in Crimea were directly linked to the Kremlin. At this time, Inter opted for
a different narrative, and it was the only channel to do so since journalists describing
events in Crimea refrained from mentioning the presence of Russian military, though in
February this was openly mentioned. This turn in course was mainly linked to the new
political situation in the country after Yanukovych was gone, particularly in the face of
the close connections between the channel’s owner and the former president.
The most turbulent day became March 16 – the referendum day. In Ukrainian media
there was a negative feeling about the referendum, insisting on its illegality, highlighting
its ten days’ preparation, and stating results would be falsified since the list of voters
included people with Russian citizenship and individuals that had passed away, and did
not list all Ukrainian inhabitants (Inter, 16.03.2016). That same day, 1+1 opened its
news broadcast in the following way:
The referendum is artificial and under Russian guns. The voting is
not internationally recognised, not recognised by the authorities in
Kiev, and also not recognised by part of the peninsula’s inhabitants
[…] The illegitimate prime-minister Aksenov decided the destiny of
Crimea before the opening of the votes, tweeting that Crimea is
going to be part of Russia. (1+1, 16.03.2014)
The Russian media reported the referendum as taking place according to democratic
principles and international standards. Both Russian channels mentioned that
international observers from 23 different countries monitored the process, and Rossiya
broadcasted a comment by a Serbian representative, supporting the ballot. Voting
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 44-65
Agenda-setting and framing in foreign policy:
the case of Russian and Ukrainian televised coverage of the Crimea case
Yuliia Krutikova, Maria Raquel Freire, Sofia José Santos
54
reports referred to people queuing to vote before the opening of the poll stations, showing
how the referendum constituted a dream of the population. It was also stated that there
was a high participation of the population in the vote, including from Tatars (1TV,
16.03.2014; Rossiya, 16.03.2014).
When results were published, the Russian media became euphoric, showing how the
Crimean inhabitants and the Russian population gathered to celebrate “the return home”,
which, accordingly, “was expected for twenty-three years” (Rossiya, 23.03.2014). The
‘re-integration’ of Crimea in Russia was considered as the only possible scenario where
the referendum became the pacific option, saving lives and assuring the right to “self-
determination”. Also, it was stated that “if the west is not happy with the results that
does not mean they are illegitimate” (1TV, 17.03.2014). The bottom-line of Russian
media agenda after the referendum is well-summarised in the expression “Crimea is
ours!”. Also, media actively promoted the idea that the “victory in Crimea became
possible only because Russia is governed by Vladimir Putin” (Rossiya, 23.03.2014).
Table 2 - Main media comments on the referendum
RUSSIAN CHANNELS
UKRAINIAN CHANNELS
Recognition of the referendum and its results
as legitimate. The process complied with
international rules.
Referendum was illegitimate and violated
international and Ukrainian legislation.
Russian authorities confirm results.
Ukrainian government does not recognise
results.
Tatars included in the voting lists.
Tatar population against the referendum and
not included in the voting lists.
High voting participation, including among the
Tatar population.
Low participation in the vote. Russian citizens
voted, and the lists included names of
individuals that had already passed away.
The Russian military from the stationed Black
Sea Fleet did not interfere in the process.
The Russian ‘military invasion’ influenced the
decisions made by the Crimean Parliament.
Western politicians tried to impede the historic
referendum.
Western politicians understand the referendum
threatens borders stability in Europe.
The airport and other infrastructures blockades
were necessary to prevent the mobilisation of
forces from Kiev to the peninsula, especially
those that sought to impede the referendum
about the status of the region.
Separatists took over power in Crimea,
occupied the airport and military facilities.
Massive amount of Ukrainian military that
joined the Crimean governing position.
No significant support from Ukrainian military
to the separatists, Russian media fabricated
those facts.
Reintegration/Reincorporation of Crimea/
Return home.
Annexation of Crimea.
The Ukrainian channels, after the referendum, supported the official view of the
government in Kiev: the referendum did not comply with democratic principles nor with
international law. Three main ideas/narratives were made clear: first, a part of Ukraine
“was stolen”; second, Crimea was now under Russian government responsibility; and
third, annexation was temporary, and that at some point Crimea would be again part of
Ukraine. The referendum was described by both Ukrainian channels as an illegal act of
occupation of part of the territory of a sovereign state. 1+1 went further to compare
the annexation of Crimea to the annexation of territories by the fascist regimes that led
to the Second World War. The EU was described as an ally of Ukraine in seeking to
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 44-65
Agenda-setting and framing in foreign policy:
the case of Russian and Ukrainian televised coverage of the Crimea case
Yuliia Krutikova, Maria Raquel Freire, Sofia José Santos
55
revert Russian aggression. This coincidence in narrative is interesting in face of the
different reporting styles of the Ukrainian channels.
What do these contradictory reports tell us about framing and agenda-
setting?
With the fall of Yanukovych’s regime and the formation of the new government in Kiev,
media attention refocused on Crimea. Most broadcasts in Ukrainian media about the
peninsula had a negative tone, whereas in Russia the coverage highlighted the positive
consequences of “Crimea’s reintegration” into Russia. In Russian media, the tone only
changed when referring to the new government in Kiev, with coverage being critical about
it. The only framing that was neutral in all news was related to the referendum date,
including its anticipation to March 16. The abolition of the law on regional languages was
covered by the Ukrainian news briefly, just mentioning the decision (neutral). In the
Russian news, this was broadcasted as a threat to the Russophone population and a
violation of human rights, requiring an intervention to safeguard the “rights of
compatriots”. Demonstrations taking place were described as pacifist and for the
autonomy of the region. However, in Ukraine, these same demonstrations were described
as being promoted by ‘pro-Russians’ and ‘separatists’ with the support of the Kremlin,
with the goal to destabilise the situation in that area and advance with the division of the
country.
The framing ‘referendum’ was another issue treated differently in Ukrainian and Russian
media. In Russia, the referendum was described as representing the willingness of the
people to return to Russia and correct a mistake from history. It was stressed the
democratic nature of the act and its legitimacy, including international monitoring of the
voting. The results were always framed in the people’s willingness to be part of Russia.
Quite on a different tone, the Ukrainian media underlined the illegitimate character of
the vote and how the referendum violated international law. There were no words of
support for the act, underlining how results were falsified and thus not recognising or
validating the results announced.
Broadly put, the negative tone coming from Russian media is directed at the Ukrainian
authorities described as ‘fascist’ and having taken over power through an illegitimate
coup d’état. The negative tone coming from Ukrainian media was directly connected to
issues of sovereignty and the violation of the territorial integrity of the country with
Russian military manoeuvres and the change in power in Crimea being described as an
invasion by separatists and takeover of power under the Russian flag and command.
However, what is most noticeable is the change within Ukrainian coverage of the events,
as the two channels with time became closer in their reporting tone. Whereas Inter at
the time of the EuroMaidan protests broadcasted in a more Russian-friendly way, after
the change in power in Ukraine and the political shifts this implied, changed the approach
and became more critical of Russia. This is also reinforced by the opinion polls as analysed
in the next section, and that also followed this same trend of great diversion at the
beginning of the events, but increasingly united in the narrative with time.
In a nutshell, the analysis of the coverage of Crimea shows that despite addressing the
same topic, the focus of the broadcasting diverged, not only between Ukraine and Russia
(which was expected), but also within Ukraine itself, which was unexpected given the
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 44-65
Agenda-setting and framing in foreign policy:
the case of Russian and Ukrainian televised coverage of the Crimea case
Yuliia Krutikova, Maria Raquel Freire, Sofia José Santos
56
channel’s alignment with the Russian position). There was also an increase in the amount
of time dedicated to Crimea, to the exception of the period when the Winter Olympic
Games in Sochi (Russia) took place when the topic ‘Ukraine’ almost disappeared from
the media agenda in Russia. Nevertheless, most of the broadcasted time during this
period was dedicated to Crimea, with use of symbols and strong language, leaving clear
the relevance of the issue for both countries and how it is so differently presented in
Ukraine and Russia, and mostly serving political purposes.
Opinion polls and media influence over opinion-shaping
All analysed channels had a powerful impact on the entry of specific issues and
perceptions about the Ukrainian crisis on the public agenda. The public agenda can be
characterised as the hierarchy of issues during a determined period and is usually
mediated by the public opinion polls about a particular event (Dearing & Rogers, 1996:
40-41).
According to data from the Levada Centre in Russia, the polls that were conducted among
the Russian population show the number of Russians who followed the developments in
Ukraine since December 2013 had tripled in 2014 (Levada, 2014). In early January 2014
the opinion polls conducted about “Overall, what is your current perception about
Ukraine?” pointed to a favourable opinion with 66% perceiving Ukraine as
“good/generally good” and 26% expressing their perception of the country as
“bad/generally bad” (Levada, 2014a). After four months a new poll was conducted but
the results changed: the “good/generally good” answer was chosen only by 35% of the
respondents, whereas the perception of Ukraine as “bad/generally bad” increased to 49%
(Levada, 2014b).
Chart 1 - Russian overall perception about Ukraine (%)
When the Yanukovich regime failed, and the new government came to power, 37% of
Russians agreed that power in Ukraine was captured by the radical nationalists, 36% of
respondents believed that in Ukraine there was no a single government at that time.
62% stated that Ukraine was in anarchy and had no legitimate government, 15%
supported Yanukovych as the legitimate president of the country (Levada, 2014c).
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 44-65
Agenda-setting and framing in foreign policy:
the case of Russian and Ukrainian televised coverage of the Crimea case
Yuliia Krutikova, Maria Raquel Freire, Sofia José Santos
57
The poll after the referendum in Crimea shows that 88% of the respondents were in
favour of the Crimean referendum result, which led to positive emotions related to
feelings of justice, country pride and joy. 62% of the Russian population recognised the
need to protect Russian minorities from Ukrainian radical nationalists and 38% favoured
restoring historical justice. Responsibility for deteriorating relations between Russia and
Ukraine was attributed by 37% of Russians to Western countries and by 35% to the non-
constructive policy of the Ukrainian authorities. Only 8% of respondents agreed that the
Crimean accession was in effect an annexation (Levada, 2014c). During the post-Soviet
time in Russia, the public agenda always presented the conviction that Crimea should be
returned, 84% believed that the region was unfairly given to Ukraine (ibidem). Therefore,
all the events in Ukraine were perceived by the Russian population as the restoration of
the high and robust Russian power, protector of its population (Gudkov, 2015).
The Ukrainian opinion polls provided by the International Sociological Centre of Kiev
between January and February 2014 showed that the Ukrainians’ opinions about the
EuroMaidan protests had split almost equally. The number of respondents who supported
the protests was 47%, while those who did not support 46% (KIIS, 2014a). These results
could be bound with a different representation of EuroMaidan events by Ukrainian
channels, where 1+1 was pro-Maidan, and Inter was pro-Yanukovich regime. However,
during the Crimean events, the channels aligned their positions and the Ukrainian
perception about Russia considerably changed.
With the increase in tension, and in particular after Russia’s annexation, relations and
perceptions deteriorated. In February 2014 a positive attitude towards Russia was
gathered among 78% of the respondents; and negative attitudes totalled only 13% of
the respondents (KIIS, 2014b). In comparison to the February poll, by May 2014 there
was a decrease of 52% regarding the positive attitude towards Russia, and inversely the
negative tone increased, in fact, it almost tripled, reaching 38%. This inversion in
perceptions is justified by the course of events and the overall deterioration of relations
between Russia and Ukraine (KIIS, 2014c).
Chart 2. Ukrainian overall perception about Russia (%)
Regarding Crimea, 78% of the Ukrainian respondents agreed it was an act of
‘annexation’, 11% disagreed and 12% did not answer (KIIS, 2015). Differently, 86% of
the Russian respondents perceived accession of Crimea as the realisation of the right of
people to self-determination, and just 8% agreed it was an act of ‘annexation’.
When looking at these opinion polls and the broadcasting in Russian and Ukrainian media,
we can clearly see a parallel evolution in tendencies. Somehow the results of the opinion
polls coincide with the information broadcasted and how it was conveying a political
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 44-65
Agenda-setting and framing in foreign policy:
the case of Russian and Ukrainian televised coverage of the Crimea case
Yuliia Krutikova, Maria Raquel Freire, Sofia José Santos
58
message – the media from both countries replicated the official discourse of the
respective governments, not really bringing to debate different perspectives over the
events.
Chart 3. Accession of Crimea to Russia (%)
Interestingly, the pro-Russian channel in Ukraine at first replicated Russian-support, but
with time shifted the narrative to align with the Ukrainian main political discourse. With
the beginning of pro-Russian demonstrations and the active measures approved by the
Russian authorities, such as authorising the entry of Russian military in Crimea, the
Ukrainian media agenda (1+1 e Inter) aligned their positions, with Russia becoming
broadcasted as the external aggressor that threatens the territorial integrity of Ukraine,
leading to an increase of Ukrainian willingness to get closer to the EU.
Conclusion
This article sought to compare the Russian and Ukrainian television media agendas in the
period of the Crimean crisis, with the objective of understanding the local point of view
about the events; the role of media as agenda-setters and producers of subjective
framings in context of inter-state conflict; the relationship between state authorities and
media; and the impact that media have on public opinion shaping in this particular
matter.
In both countries – Russia and Ukraine –, media face an unfavourable situation in terms
of their capacity to act independently, facing constant pressure from state authorities or
from the financial groups sustaining them. In the case of Russia this results from the fact
that the television media system continues to follow the “neo-Soviet model”, while in the
case of Ukraine, the channels follow the interests of their owners because they cannot
survive without the financial support of the oligarchs. This has clearly affected the
broadcasting agenda and framing options, revealing an increasingly politicised media
discourse.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 44-65
Agenda-setting and framing in foreign policy:
the case of Russian and Ukrainian televised coverage of the Crimea case
Yuliia Krutikova, Maria Raquel Freire, Sofia José Santos
59
Despite analysing the same events, the media broadcasts were quite different, in terms
of the narratives and their interpretation, influencing and shaping contradictory
understandings and perceptions in the two countries. In the case of Ukraine, the
information that was transmitted by channel 1+1 was distinct from the facts provided by
the Inter channel: when the 1+1 presented clear anti-Russian discourse, the Inter
channel chose more careful narratives to characterise the events in Crimea. By selecting
certain aspects to be broadcasted, rendering some events more visible than others, and
by defining and interpreting events, the media ended up as political actors, conveying
the political message of the respective governments and economic elites, even if at times
changing the narrative. Moreover, as the privileged means of informing the population,
and thus with great potential for influencing and shaping policy opinion, the media
undoubtedly contributed to moulding national identity in both countries and to feed
opinions legitimising and de-legitimising state authorities and decisions. This article
concludes that the media discourse contributed to shape and form public opinion
concerning the Crimean reintegration/annexation by presenting specific facts, omitting
events, reinterpreting discourses, and reflecting the very own interests of both sides
political and economic elites. The analysis made shows the shift in relations between the
two countries with the course of events, highlighting the change in narrative also within
Ukrainian media, and how this was reflected also in public opinion polls. The
crystallisation of perspectives in political interests became clear, as well as the role of
the media in constructing a ‘certain’ reality.
References
Arutunyan. A. (2009). The Media in Russia. Open University Press: Berkshire.
Averre, Derek (2016). ‘The EU and Russia: managing the new security environment in
the wider Europe’. European Policy Analysis, Swedish Institute for European Policy
Studies, http://www.sieps.se/sites/default/files/2016_5_epa_eng_0.pdf [24.09.2018].
BBC (2015). Ukraine Profile – media, http://www.bbc.com/news/world-europe-
18006248 [24.09.2018].
BBC (2017). Russia Profile – media, http://www.bbc.com/news/world-europe-17840134
[24.09.2018].
Colta (s.d.). ‘Как делают ТВ пропаганду: четыре свидетельства’ [How they make
propaganda on TV: four evidence], http://www.colta.ru/articles/society/8163
[24.09.2018].
Craig, Alexander (1976). ‘Media and Foreign Policy’. International Journal, 31(2), 319-
336.
Dougherty, Jill (2014). ‘Everyone lies: the Ukrainian conflict and Russian’s media
transformations’, http://shorensteincenter.org/everyone-lies-ukraine-conflict-russias-
media-transformation/ [24.09.2018].
Dunn, John (2014). ‘Lottizzazione Russian Style: Russia’s Two-tier Media System’.
Europe-Asia Studies, 6(9), 1425-1451.
Dutsyk, Diana (2015). ‘Ukrainian media during war: 2014 – 2015’. KAS Policy Paper,
http://www.kas.de/wf/doc/kas_43639-1522-1-30.pdf?151209163730, [24.09.2018].
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 44-65
Agenda-setting and framing in foreign policy:
the case of Russian and Ukrainian televised coverage of the Crimea case
Yuliia Krutikova, Maria Raquel Freire, Sofia José Santos
60
Eilders, Christiane (2002). ‘Conflict and Consonance in Media Opinion: Political Positions
of Five German Quality Newspapers’. European Journal of Communication, 17(1), 25-63.
Entman, Robert (1993). ‘Framing: toward clarification of a fractured paradigm’. Journal
of Communication, 43(4), 51-58.
Entman, Robert (2004). Projections of Power: Framing News, Public Opinion, and US
Foreign Policy. Chicago: University of Chicago Press.
Expert (2014). ‘Правительство Крыма отправили в отставку’ [Crimea’s government is
fired], 27 February, http://expert.ru/2014/02/27/majdan-peremestilsya-v-kryim/
[24.09.2018].
Foucault, Michael (1994 [1970]). The Order of Things: An Archaeology of the Human
Sciences. New York: Vintage Books.
Freedom House (2018). “Nations in Transit Methodology: Independent Media”. Available
at: https://freedomhouse.org/report/nations-transit-methodology.
Freire, Maria Raquel (2017). ‘Ukraine and the Restructuring of East-West Relations’, in:
Kanet, Roger E. (ed.) The Russian Challenge to the European Security Environment.
London: Palgrave Macmillan.
Gilboa, Eytan (2002). ‘Global Communication and foreign policy’. Journal of
Communication, 54(4), 731-748.
Hall, Stuart (1997). ‘The West and the Rest: Discourse and Power’, in: Hall, Stuart et al.
(eds.) Modernity: An Introduction to Modern Societies. Maiden, Oxford: Blackwell
Publishing.
Herman, Edward (2003). ‘The Propaganda Model: A Retrospective. Propaganda, Politics’.
Power, 1, 1-14.
Herman, Edward; Chomsky, Noam (1988). Manufacturing consent. The Political Economy
of the Mass Media. New York: Pantheon Books.
Hovland, Carl I., Irving L. Janis, and Harold H. Kelley (1953). Communication and
Persuasion. New Haven, CT: Yale University Press.
Katchanovski, Ivan (2015). ‘Crimea: people and territory before and after annexation’,
in: Pikulicka-Wilczewska, Agnieszka; Sakwa, Richard (eds.) Ukraine and Russia: People,
Politics, Propaganda and Perspectives. Bristol: E-international Relations.
Khvostunova, Olga (2013). ‘A brief history of Russian media’. The Interpreter,
http://www.interpretermag.com/a-brief-history-of-the-russian-media/ [24.09.2018].
KIIS (2015). ‘Думки і погляди населення україни стосовно методів опору інтервентам
/ окупантам: вересень 2015 року’ [The views and opinions of the population of Ukraine
concerning the methods of resistance to the invaders/occupiers: September 2015],
http://www.kiis.com.ua/?lang=rus&cat=reports&id=546&page=8 [24.09.2018].
KIIS (2014a). ‘Cми и доверие к украинским и российским СМИ’ [The media and trust
in Ukrainian and Russian media],
http://www.kiis.com.ua/?lang=rus&cat=reports&id=425 [24.09.2018].
KIIS (2014b). ‘Динамика отношения населения украины к россии и населения россии
к украине’ [How relations between Ukraine and Russia should look like? Public opinion
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 44-65
Agenda-setting and framing in foreign policy:
the case of Russian and Ukrainian televised coverage of the Crimea case
Yuliia Krutikova, Maria Raquel Freire, Sofia José Santos
61
polls’ results], http://www.kiis.com.ua/?lang=rus&cat=reports&id=236&page=21
[24.09.2018]
KIIS (2014c). ‘Как изменилось отношение населения украины к россии и населения
россии к украине’ [Сhanges in the attitude of Ukrainians towards Russia and the attitude
of Russians towards Ukraine],
http://www.kiis.com.ua/?lang=rus&cat=reports&id=347&page=16 [24.09.2018].
Kishan, D. and Freedman, D. (2003). ‘Introduction’, in: D. Kishan, D. Freedman (Eds.),
War and the Media. London: Sage.
Kononczuk, Wojciech (2015). ‘Oligarchs after the Maidan: the old system in a “new”
Ukraine’, Centre for Eastern Studies, 162, 1-8,
http://www.osw.waw.pl/en/publikacje/osw-commentary/2015-02-16/oligarchs-
aftermaidan-old-system-a-new-ukraine [24.09.2018].
Kuusik, Nora (2010). ‘The Role of the Media in Peace Building, Conflict Management, and
Prevention’, http://www.e-ir.info/2010/08/28/the-role-of-media-in-peace-building-
conflict-management-and-prevention/ [24.09.2018].
Levada Centre (2014a). ‘События в Украине.Майдан’ [Events in Ukraine. Maidan],
http://www.levada.ru/2014/01/29/sobytiya-v-ukraine-majdan/ [24.09.2018].
Levada Centre (2014b). ‘Отношения России к другим странам’ [The attitude of the
Russians toward other countries], http://www.levada.ru/2014/06/05/otnoshenie-
rossiyan-k-drugim-stranam-6/ [24.09.2018].
Levada Centre (2014c). ‘Происходящее в Украине, Крыму и реакция России’ [Events
in Ukraine, Crimea and the reaction of Russia],
http://www.levada.ru/2014/03/26/proishodyashhee-v-ukraine-krymu-i-reaktsiya-rossii
[24.09.2018].
Lewin, Kurt (1943). ‘Forces behind food habits and methods of change’. Bulletin of the
National Research Council, 108, 35-65.
McCombs, Maxwell; Shaw, Donald (1972). ‘The agenda-setting function of mass media’.
The public Opinion Quarterly, 36(2), 176-187.
McCombs, Maxwell; Shaw, Donald (1993). ‘The Evolution of Agenda-Setting Research:
Twenty-Five Years in the Marketplace of Ideas’. Journal of Communication, 43(2), 58-
67.
Mediasat (2014). ‘Российские СМИ создают не новости, а другую реальность —
Ткаченко’ [Russian media doesn’t create news, but they create another reality –
interview with Tkachenko], 28 April, http://mediasat.info/2014/04/28/rossijskie-smi-
sozdajut-ne-novosti-a-druguju-realnosttkachenko/ [24.09.2018].
Mezhygirsky, Andriy (2014). ‘Как российские СМИ поошряли сепаратизм в Крыму’
[How the Russian media encouraged separatism in the Crimea],
http://osvita.mediasapiens.ua/monitoring/ru_zmi/kak_rossiyskie_smi_pooschryali_sep
aratizm_v_krymu/ [24.09.2018].
Naveh, Chanan (2002). ‘The Role of the Media in Foreign Policy Decision-Making: A
Theoretical Framework’. Conflict & Communication Online, 1(2),
http://www.cco.regener-online.de/2002_2/pdf_2002_2/naveh.pdf [24.09.2018].
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 44-65
Agenda-setting and framing in foreign policy:
the case of Russian and Ukrainian televised coverage of the Crimea case
Yuliia Krutikova, Maria Raquel Freire, Sofia José Santos
62
Onuch, Olga (2015a). ‘EuroMaidan Protests in Ukraine Social Media versus Social
Networks’. Problems of Post-Communism, 62, 217-235.
Onuch, Olga (2015b). ‘“Facebook Helped Me Do It”: Understanding the EuroMaidan
Protester “Tool-Kit”’. Studies in Ethnicity and Nationalism, 15(1), 170-184.
Oshkalo, Anna (2015). ‘Posted top 10 Russia’s largest media in 2014’,
http://www.russiansearchtips.com/2015/01/top-10-russias-largest-media-2014/
[24.09.2018].
Oates, Sarah (2007). ‘The neo-Soviet model of the media’. Europe-Asia Studies, 59(8),
1279-1297.
Putin (2014). Address by President of the Russian Federation, President of Russia
website, The Kremlin, 18 March, http://en.kremlin.ru/events/president/news/20603
[24.09.2018].
Rahman, Bushra Hameedur (2014). ‘Pakistani Media as an Agent of Conflict or Conflict
Resolution: A Case of Lal Masjid in Urdu and English Dailies’. Pakistan Vision, 15(2).
Robinson, Piers (2002). THE CNN EFFECT The myth of news, foreign policy and
intervention. London and New York: Routledge.
RFS (2017). World Press Freedom Index map, https://rsf.org/en/ranking [24.09.2018].
Rozvadovskyy, Oleh (2010). ‘Media Landscapes: Ukraine’, European Journalism Centre,
http://ejc.net/media_landscapes/ukraine [24.09.2018].
RSF (2016). ‘Facing reality after the EuroMaidan’
https://rsf.org/sites/default/files/journalists_and_media_in_ukraine_-_rsf_2016.pdf
[24.09.2018].
Sakwa, Richard (2015). Frontline Ukraine: Crisis in the Borderlands. London: I. B. Tauris.
Shaw, Eugene (1979). ‘Agenda-Setting and Mass Communication Theory’. Gazette
(International Journal of Mass Communication Studies), XXV(2).
Shoemaker, Pamela; Riccio, Jaime; Johnson, Philip (2013). ‘Gatekeeping’, Oxford
Bibliographies, DOI: 10.1093/OBO/9780199756841-0011.
Shoemaker, Pamela J. and Reese, Stephen D. (2014). Mediating the Message in the 21st
Century: A Media Sociology Perspective. New York and London: Routledge.
Snegovaya, Maria (2014). ‘Stifling the public sphere: media and civil society in Russia’,
http://www.ned.org/wp-content/uploads/2015/10/Stifling-the-Public-Sphere-Media-
Civil-Society-Russia-Forum-NED.pdf [24.09.2018].
Surzhko-Harned, Lena and Zahuranec, Andrew J. (2017). ‘Framing the revolution: the
role of social media in Ukraine’s Euromaidan movement’. Nationalities Papers: The
Journal of Nationalism and Ethnicity, 45(5), 758-779.
Traquina, Nelson (1995). ‘O paradigma do agenda-setting: Redescoberta do poder do
jornalismo’. Revista Comunicação e Linguagens, 21/22.
Vasil, Vladislav (2016). Journalist, Member of the Central Executive Body of the Party
“Right sector” from 2014 to 2015. Kiev: 15 March.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 44-65
Agenda-setting and framing in foreign policy:
the case of Russian and Ukrainian televised coverage of the Crimea case
Yuliia Krutikova, Maria Raquel Freire, Sofia José Santos
63
Televised news selected for this study
1+1 (2014) - TSN
24.02 https://www.youtube.com/watch?v=XcCwju8KrDk
25.02 https://www.youtube.com/watch?v=d1MFTxSsl1s
26.02 https://www.youtube.com/watch?v=DRb9Nv1aAS0
27.02 https://www.youtube.com/watch?v=bLkcvumqv_4
28.02 https://www.youtube.com/watch?v=zk1Ca748xAg
1.03 https://www.youtube.com/watch?v=b6UDesMzQ9s
6.03 https://www.youtube.com/watch?v=6fRvoQJ2_hk
16.03 https://www.youtube.com/watch?v=p9rLpbpRHWs
18.03 https://www.youtube.com/watch?v=F0CR0_9xFRY
23.03 https://www.youtube.com/watch?v=zugsrDHEe2s
Inter (2014) - Podrobnosti
24.02 http://podrobnosti.ua/news-release-list/2014/2/24/20/0/
25.02 http://podrobnosti.ua/news-release-list/2014/2/25/20/0/
26.02 http://podrobnosti.ua/news-release-list/2014/2/26/20/0/
27.02 http://podrobnosti.ua/news-release-list/2014/2/27/20/0/
01.03 http://podrobnosti.ua/news-release-list/2014/3/1/20/0/
06.03 http://podrobnosti.ua/news-release-list/2014/3/6/20/0/
10.03 http://podrobnosti.ua/news-release-list/2014/3/10/20/0/
16.03 http://podrobnosti.ua/news-release-list/2014/3/16/20/0/
18.03 http://podrobnosti.ua/news-release-list/2014/3/18/20/0/
23.03 http://podrobnosti.ua/news-release-list/2014/3/23/20/0/
1TV (2013) - Vremya
04.12 http://www.1tv.ru/news/2013/12/04/
Rossiya (2013) - Vesty
12.12 https://russia.tv/video/show/brand_id/5402/episode_id/939149/
1TV (2014) - Vremya
26. 01 http://www.1tv.ru/news/2014/01/26/
25.02 http://www.1tv.ru/news/2014/02/25/
26.02 http://www.1tv.ru/news/2014/02/26/
28.02 http://www.1tv.ru/news/2014/02/28/
01.03 http://www.1tv.ru/news/2014/03/01/
07.03 http://www.1tv.ru/news/2014/03/07/
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 44-65
Agenda-setting and framing in foreign policy:
the case of Russian and Ukrainian televised coverage of the Crimea case
Yuliia Krutikova, Maria Raquel Freire, Sofia José Santos
64
16.03 http://www.1tv.ru/news/2014/03/16/
17.03 http://www.1tv.ru/news/2014/03/17/
23.03 http://www.1tv.ru/news/2014/03/23/
Rossiya (2014) - Vesty
24.02 http://tv-novosti.ru/date/2014-02-24/rossiya/17-00
26.02 https://russia.tv/video/show/brand_id/5402/episode_id/970186/
28.02
https://russia.tv/video/show/brand_id/5402/episode_id/970741/video_id/976060/
02.03 https://www.youtube.com/watch?v=sIqnkd-EkeY
06.03 https://russia.tv/video/show/brand_id/5402/episode_id/972264/
10.03 https://www.youtube.com/watch?v=pOn0t4QQvAc
16.03 https://www.youtube.com/watch?v=a5Ym9VmHUiA
18.03http://tv-news-online.com/vechernie-novosti-bolshie-vesti-na-telekanale-rossiya-
18-03-2015/
23.03 https://russia.tv/video/show/brand_id/5206/episode_id/976156/
Televised news selected for this study
1+1 (2014) - TSN
24.02 https://www.youtube.com/watch?v=XcCwju8KrDk
25.02 https://www.youtube.com/watch?v=d1MFTxSsl1s
26.02 https://www.youtube.com/watch?v=DRb9Nv1aAS0
27.02 https://www.youtube.com/watch?v=bLkcvumqv_4
28.02 https://www.youtube.com/watch?v=zk1Ca748xAg
1.03 https://www.youtube.com/watch?v=b6UDesMzQ9s
6.03 https://www.youtube.com/watch?v=6fRvoQJ2_hk
16.03 https://www.youtube.com/watch?v=p9rLpbpRHWs
18.03 https://www.youtube.com/watch?v=F0CR0_9xFRY
23.03 https://www.youtube.com/watch?v=zugsrDHEe2s
Inter (2014) - Podro bnosti
24.02 http://podrobnosti.ua/news-release-list/2014/2/24/20/0/
25.02 http://podrobnosti.ua/news-release-list/2014/2/25/20/0/
26.02 http://podrobnosti.ua/news-release-list/2014/2/26/20/0/
27.02 http://podrobnosti.ua/news-release-list/2014/2/27/20/0/
01.03 http://podrobnosti.ua/news-release-list/2014/3/1/20/0/
06.03 http://podrobnosti.ua/news-release-list/2014/3/6/20/0/
10.03 http://podrobnosti.ua/news-release-list/2014/3/10/20/0/
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 44-65
Agenda-setting and framing in foreign policy:
the case of Russian and Ukrainian televised coverage of the Crimea case
Yuliia Krutikova, Maria Raquel Freire, Sofia José Santos
65
16.03 http://podrobnosti.ua/news-release-list/2014/3/16/20/0/
18.03 http://podrobnosti.ua/news-release-list/2014/3/18/20/0/
23.03 http://podrobnosti.ua/news-release-list/2014/3/23/20/0/
1TV (2013) - Vremya
04.12 http://www.1tv.ru/news/2013/12/04/
Rossiya (2013) - Vesty
12.12 https://russia.tv/video/show/brand_id/5402/episode_id/939149/
1TV (2014) - Vremya
26. 01 http://www.1tv.ru/news/2014/01/26/
25.02 http://www.1tv.ru/news/2014/02/25/
26.02 http://www.1tv.ru/news/2014/02/26/
28.02 http://www.1tv.ru/news/2014/02/28/
01.03 http://www.1tv.ru/news/2014/03/01/
07.03 http://www.1tv.ru/news/2014/03/07/
16.03 http://www.1tv.ru/news/2014/03/16/
17.03 http://www.1tv.ru/news/2014/03/17/
23.03 http://www.1tv.ru/news/2014/03/23/
Rossiya (2014) - Vesty
24.02 http://tv-novosti.ru/date/2014-02-24/rossiya/17-00
26.02 https://russia.tv/video/show/brand_id/5402/episode_id/970186/
28.02
https://russia.tv/video/show/brand_id/5402/episode_id/970741/video_id/976060/
02.03 https://www.youtube.com/watch?v=sIqnkd-EkeY
06.03 https://russia.tv/video/show/brand_id/5402/episode_id/972264/
10.03 https://www.youtube.com/watch?v=pOn0t4QQvAc
16.03 https://www.youtube.com/watch?v=a5Ym9VmHUiA
18.03http://tv-news-online.com/vechernie-novosti-bolshie-vesti-na-telekanale-rossiya-
18-03-2015/
23.03 https://russia.tv/video/show/brand_id/5206/episode_id/976156/
OBSERVARE
Universidade Autónoma de Lisboa
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 66-83
THE ADEQUACY OF THE INTERNATIONAL COOPERATION MEANS FOR
COMBATING CYBERCRIME AND WAYS TO MODERNIZE IT
Farouq Ahmad Faleh Al Azzam
farouq.azzam@hotmail.com
Assistant Professor of Law at Jadara University (Jordan)
Abstract
The era of scientific and technological development has witnessed an extensive use of Internet
and electronic devices in various aspects of life. This widespread use has increased security
risks, privacy and cyberattacks that threaten both individuals and States. This kind of crime
is difficult to prevent as a result of the constant digital technological advances and
globalization.
There is a growing concern among States and government agencies that such intrusions could
critically affect the security and the economics of any State. Combating this kind of crime
requires international cooperation. Therefore, many States have called for the need to define
cybercrime and to hold conventions to adopt effective legal framework to combat and restrict
the progress of cybercrime worldwide.
This study concluded that cooperative mechanisms are needed to coordinate and unify joint
efforts and to modernize means of combating cybercrime using the latest techniques. In
addition, it is necessary to upgrade existing mechanisms and develop other methods to
achieve various aspects of cooperation.
Keywords
Cybercrime, international security cooperation, countering organized transnational crime,
criminal organized crime, modernizing means to counter cybercrime.
How to cite this article
Al Azzam, Farouq Amhad Faleh (2019). "The adequacy of the international cooperation means
for combating cybercrime and ways to modernize it". JANUS.NET e-journal of International
Relations, Vol. 10, N.º 1, May-October 2019. Consulted [online] on the date of the last visit,
https://doi.org/10.26619/1647-7251.10.1.5
Article received on October 25, 2018 and accepted for publication on February 20, 2019
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 66-83
The adequacy of the international cooperation means for combating cybercrime and ways to modernize it
Farouq Ahmad Faleh Al Azzam
67
THE ADEQUACY OF THE INTERNATIONAL COOPERATION MEANS FOR
COMBATING CYBERCRIME AND WAYS TO MODERNIZE IT
Farouq Ahmad Faleh Al Azzam
Introduction
In an increasingly globalized and electronic world, the extent of computer-related crime
within and across countries is affecting a huge sector of national and international society.
Nowadays, many private and local sectors are using the networks to attain their
objectives, whether they are social, economic, financial, or political activities. These
practices have encouraged the appearance of cybercrime.
Cybercrime is a crime that involves the use of digital technologies to commit an offence,
using computing and communication technologies to pursue illegal activity. These
activities involve attacking information centers and data systems, theft, online
transaction fraud, Internet sale fraud and conducting Internet malicious activities, such
as viruses, worms and third-party abuse like phishing and email scams. Additionally, it
may pose a serious threat to governments and their confidential information by accessing
their security systems and data.
Therefore, to combat cybercrime, governments should use modern scientific means and
joint international strategic planning through formal cooperation at all levels, considering
the general security interest above all others and the need to overcome the differences
they face, such as the principle of sovereignty, since this principle is a fundamental issue
that stands in the way of this needed international cooperation.
International judicial cooperation is the fundamental base to combat a crime in its various
dimensions, such as international information terrorism, cybercrime and other offenses
committed by criminal organizations or legal persons. Thus, countries should seek to
create a legal base that enhances joint international cooperation against cybercrime and
sets enforceable laws.
To address this issue, we need to clarify the current mechanisms used to fight
cybercrime, consider ways of improvement and suggest solutions. The researcher has
divided this paper into two topics. The first deals with the aspects of international
cooperation to combat transnational organized crime. The second topic examines ways
to modernize mechanisms for international cooperation in combating crime.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 66-83
The adequacy of the international cooperation means for combating cybercrime and ways to modernize it
Farouq Ahmad Faleh Al Azzam
68
I. The First Topic: the aspects of international cooperation in
combating transnational organized crime
Cybercrime is still a modern concept as it is associated with contemporary technology
innovations (the World Wide Web and the Internet). It is defined as any criminal activity
that takes place on or over the medium of computers or Internet or other technology
recognized by the Information Technology Acts. It is committed by technically skilled
criminals to achieve their illegal intentions.
The United Nations defined cybercrime
1
at the Tenth Congress on Crime Prevention and
Treatment of Offenders in Vienna in 2000 as: any crime that can be committed by a
computer system, a computer network or over the medium of computers, and that
includes, in principle, all crimes that can be committed in an electronic environment
2
.
Electronic crimes are also divided into several types, for example, crimes that are
committed against individuals, properties and governments. It can also be defined as a
crime that knows no boundaries.
Cybercrime aims to access confidential information illegally in order to steal, delete or
change the data stored in institutions and government agencies. It also accesses personal
data to blackmail individuals, as well as for moral and political objectives
3
. Therefore,
States have been interested in the concept of cybercrime and in achieving the capacity
to address transnational crime, making efforts to fill the legal gap that criminal
organizations have penetrated
4
.
Generally, mutual legal assistance in criminal matters is an effective mechanism to deal
with crimes because of its profound impact on criminal proceedings and its role in
reconciling the right of the State to exercise its criminal jurisdiction within its territorial
boundaries and its right to penalty
5
.
This research illustrates, in section I, the role of the United Nations in combating
cybercrime and, in section II, the role of the Budapest Convention in addressing
cybercrime.
Section I. The role of the United Nations in combating cybercrime.
The United Nation International and regional conventions, as well as the Arab treaties,
have played a significant role in confronting international crime in general
6
, such as the
Tokyo Convention on Offenses and Certain Other Acts Committed on Board Aircraft of 14
September 1963 and the Hague Convention for the Suppression of Unlawful Seizure of
Aircraft of 16 December 1970
7
.
1
Zuhair, Haj Tahir, Mechanisms of Crime Prevention and Control, Master of Criminal Law, Faculty of Law,
University of Algiers, Algiers, 2013, p. 95.
2
Halabi, Khalid Ayad, Investigation of Computer and Internet Crimes, Dar Al-Thaqafa, Jordan, 2011, p.11.
3
Journal of Information Technology, Department of Information Systems, Jordan, 2015.
4
Al-Qahtani, Faleh Muflih, 2008, Role of International Cooperation in Combating Overseas Drug Trafficking,
Master Thesis, Naif Security University, p. 12.
5
Surour, Ahmed Fathi, 1993, mediator in the Code of Criminal Procedure, Modern Printing House, Egypt, p.
82.
6
Al-Shawabkeh, Mohammed Amin, Computer and Internet Crimes, Jordan, Dar Al-Thaqafa for Publishing and
Distribution, 2004, pp. 140-144.
7
See Articles 22, 23, 24, 30, 31.33 of the Arab Convention against Cybercrime of 2010, amended in 2014.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 66-83
The adequacy of the international cooperation means for combating cybercrime and ways to modernize it
Farouq Ahmad Faleh Al Azzam
69
The United Nations Organization has a direct role on improving the image of international
cooperation in its various manifestations by signing international treaties and conventions
that foster the cooperation of States among themselves to combat crime. Article 17
8
,
entitled “Mutual legal assistance”, is the most important source of international criminal
cooperation in this area. Article 1 specifies the scope of cooperation to provide the
requested State the greatest amount of mutual assistance in investigations and trial
proceedings.
Article 2 covers rules of witness testimony, the hearing of persons, assisting in the
investigation, the communication of authentic documents and records and the provision
of certified copies, including bank records, financial records or corporate or business
records
9
. A model treaty on mutual assistance in criminal matters was prepared based
on United Nations standards and norms in crime prevention and criminal justice. It was
adopted by General Assembly resolution 45/1117 of 14 December 1990 and implemented
by the Eighth United Nations Congress on the Prevention of Crime and the Treatment of
Offenders
10
. The preamble to the Model Treaty states the desire to uphold the objectives
of justice, to restore social stability to criminals and to promote the interests of victims
of crime (article 1, paragraph 1).
In order to achieve the required results of legal cooperation, the Group of Experts on the
strategy for combating organized crime requested that the principle of dual criminality
should be abandoned as a condition for mutual assistance. They called for flexibility and
speed in the exchange of all available assistance. States should coordinate their efforts
to counter transnational criminal organizations and strip them of the proceeds of crime
in the event of a conviction, since they have an effective impact on organized crime. This
was confirmed by the European Union in 1994 in its call for combating crime to be
eliminated from its sources through activating judicial cooperation.
The United Nations Declaration on Crime and Public Security as a fundamental document
for cooperation against organized crime stated in article 1 that: “Member States shall
protect the security and well-being of their citizens and other persons within their
jurisdiction by effective national measures against transnational crime, including
organized crime, illicit trafficking, organized trafficking in persons, crimes of terrorism
and laundering of the proceeds of serious crimes, and undertake to cooperate together
in those efforts.” Article 2 of the United Nations Declaration on Crime and Public Security
states: “Member States shall promote bilateral, multilateral, regional and global
cooperation and assistance in the implementation of laws, including, as appropriate,
mutual legal assistance arrangements, or otherwise responsible, and to ensure that they
are prosecuted, to ensure effective cooperation between law enforcement authorities and
other competent authorities”
11
.
Generally, cooperation and coordination are the main pillars in crime prevention, which
does not stand in the State of origin but extends to other countries. Thus, the
international community has confirmed the importance of legal assistance by stating
8
Suleiman, Mohammed Ibrahim Mustafa, 2006, Terrorism and Organized Crime, Dar Al Talai, Egypt, p. 103.
9
Bassiouni, Mohamed Sherif, 2004, Transnational Organized Crime, F I, Dar al-Shorouk, Egypt, p. 45.
10
Waly, Ali, 1981, echoes of the Sixth United Nations Congress on the Prevention of Crime and the Treatment
of Offenders, Journal of Justice, No. 27, issued by the Ministry of Justice, Abu Dhabi, p. 146.
11
United Nations Documents of the General Assembly, 1995, 51st Session, United Nations Declaration on
Crime and Security, p. 2.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 66-83
The adequacy of the international cooperation means for combating cybercrime and ways to modernize it
Farouq Ahmad Faleh Al Azzam
70
different legal means to impose joint laws enhancing crime prevention, for example,
judicial delegation and foreign judgments.
A. Judicial Delegation
Judicial delegation results from the duties or commitments imposed by public
international law on the United Nations
12
, under which judicial authorities are required to
take a specific action, to conduct investigations in the interest of the competent judicial
authority of the requesting States taking into account respect for universally recognized
human rights and freedoms. In return, the requesting State undertakes to recognize
reciprocity and respect for the legal consequences of the requested State
13
.
In accordance with article 6 of the Convention on Declarations and Jurisdictions, judicial
delegation means that: Each State bound by this convention shall request any State to
initiate in its territory any judicial proceedings relating to a case under consideration in
accordance with articles 7 and 8. The aim of the judicial delegation is to transfer
procedures in criminal matters to counter developments in criminal phenomena and to
overcome difficulties and obstacles to the conduct of criminal proceedings on
extraterritorial issues, where judicial delegation exists in national laws, international
conventions and in the principle of reciprocity.
B. Foreign Judgments
One of the concepts that must be overcome in order to support international cooperation
is the non-applicability of foreign judgment, on the grounds that criminal justice is in fact
a manifestation of the sovereignty of the state and its right to punish
14
. However, it
should not be limited to the negative consequences of a foreign criminal judgment on the
inadmissibility of a person being tried twice. Criminal jurisprudence calls for the need for
precedence to prevent the impunity of perpetrators and ensure the requirements of
justice. In accordance with the spent efforts, several international conventions decided
to implement judicial decisions
15
, including criminal provisions, such as the one in 1952
among members of the European Community, and to oblige States Parties to implement
criminal and other provisions unless one of the specific cases fails to implement it. The
same statement is made in article 3 of the Convention against Illicit Traffic in Narcotic
Drugs and Psychotropic Substances of 1988. The Convention on the Suppression of
Transnational Organized Crime has focused on mutual assistance as a major means of
cooperation to confront criminal organizations that conduct various forms of criminality
of an international character. Article 6 states that States Parties must help and coordinate
themselves to carry out actions regarding any of the offenses covered by the provisions
of the convention, including the collection of evidence, guarantees for the protection of
witnesses and the transfer of proceedings. The draft Convention submitted by Poland in
its tenth article emphasized that States should cooperate with each other and be flexible
12
Sugheer, Jamil Abdel Baki, Procedural Aspects of Internet Related Crimes, Dar al-Nahda, Egypt, 2001, p.
83.
13
Al-Harouni, Hazem, 1988, “International Judicial Appeal”, National Journal,3rd issue, p. 21.
14
Al-Laqli, Mahmoud Mustafa, 1991, Judicial Links, University Library House, Egypt, p. 132.
15
Al-Ghareeb, Muhammed Eid, 1988, Penal Code, General Section, General Theory of Crime, II, Dar Al-Alam,
Lebanon, p. 199.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 66-83
The adequacy of the international cooperation means for combating cybercrime and ways to modernize it
Farouq Ahmad Faleh Al Azzam
71
and expeditious in the exchange of legal assistance
16
, in accordance with their national
procedural laws concerning investigation, evidence collection, prosecution and the
conduct of judicial proceedings. In the second paragraph of the same article, reference
was made to the provision of legal assistance in the area of information covered by bank
secrecy.
Article 14 of the International Convention against Transnational Organized Crime also
ensures the need to document legal assistance in various areas, “investigations, follow-
up, judicial proceedings” when any of the offenses covered by its provisions are
concerned. The same article identifies the cases and how to apply for legal assistance,
including the assets of relevant documents and records, and bank or financial records,
corporate records, disclosure of proceeds of crime, property, tools or other objects
derived from criminal activities, or to trace their impact to obtain the evidence necessary
to charge the perpetrators
17
.
To overcome and simplify the legal hindrances to the absence of a bilateral or multilateral
treaty governing mutual legal assistance between requesting and requested States, the
Convention against Organized Crime was considered as a legal basis for the exchange of
assistance so that it would not be possible to fall under the double criminality requirement
(Paragraph 6) or banking secrecy (Paragraph 5). For the purposes of this Convention,
the offenses covered by the provisions of financial crimes, political offenses or
humanitarian motives are not considered (Paragraph 17 of the same Article), which
reflects the desire of the international criminal policy-makers to deal with this crime that
threatens the whole international community.
The strategy formulated by the Naples Declaration against Organized Crime ensured the
recognition of national judgments in view of the significance of the criminal record when
deciding criminal cases
18
, as it indicates the seriousness of the perpetrator and the
appropriate punishment commensurate with the seriousness of the crime. This
Declaration pledged that the foreign judgment of the original crime would have the
authority to prosecute the partner, especially since the majority of criminal legislation
did not define a special law on organized crime that placed the activity of a partner in
crime at the same level of the activity carried out by members of the criminal
organization. This is the reason why the Italian judiciary has decided to hold the external
partner accountable for the crimes committed by the members of the criminal group.
The international dimension of cybercrime has made it compulsory for the international
community to find more appropriate means to fight it according to its nature, narrowing
the legal gaps that the perpetrators have exploited to evade punishment and to spread
their activities to different regions of the world. The ideal criminal policy will not achieve
the desired purpose unless all have homogeneous criminal, preventive and executive
measures. To that effect, a number of mechanisms of a technical and administrative
nature have been adopted to take advantage of the technological advances and
knowledge of the source of information. This will be explained by the presentation of two
forms of technical cooperation, as follows:
16
Basha Faizah, Younus, 2001, organized crime under international conventions and national laws, Dar al-
Nahda al-Arabiya, Egypt, p. 221.
17
See Proceedings of the Seventh United Nations Congress on the Prevention of Crime and the Treatment of
Offenders 1985, p. 42.
18
Bassiouni, Mohamed Sherif, Op. Cit, P. 97.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 66-83
The adequacy of the international cooperation means for combating cybercrime and ways to modernize it
Farouq Ahmad Faleh Al Azzam
72
Firstly: Information Exchange
It is well-known that the modern era is witnessing technological evolution, especially in
the field of information, which has forced the international community to give the
exchange of information the greatest importance as a means to fight crime in general
and cybercrime in particular. It provides reliable and confidential information to support
law enforcement agencies in all fields, including the activity of criminal organizations and
sources of funds.
Therefore, the Sixth United Nations Congress on the Prevention of Crime and the
Treatment of Offenders suggested the development of a systematic exchange of
information as a key element of the International Plan of Action for the Prevention and
Control of Crime and recommended that the United Nations should establish an
information base to inform States Parties of global trends in crime
19
. Thus, cooperation
in matters of information crime should support the use of information exchange systems
among Member States and the provision of bilateral and multilateral technical assistance
to Member States, using training on law enforcement and the international criminal
justice treaty.
The centralization of information should not hinder the dissemination and exchange of
information among States after it has been collected, studied and dealt with in a way
that enables them to be used at the investigative and trial stage, to facilitate pursuing
suspects, whether individuals or bodies. That was confirmed by the European Union's
Schengen Agreement through the creation of an integrated system for the exchange of
information.
Hence, information prevention is an essential element, a basic base to combat
information crime, and a way to ensure the creation of an effective counterfeiting system.
On this basis, drafts of the Convention against Organized Crime regarding information
exchange has proved to be a preventive mechanism for combating this crime. Article 1,
paragraph 2 of the draft framework convention declares that State Parties shall facilitate
the exchange of information on all aspects of the criminal activity of persons involved in
organized crime.
Secondly: Exchange of expertise and technical assistance
To achieve integration with the general trend of computerization of criminal justice
operations, and to develop and analyze information in a manner that serves the
objectives of modern criminal policy to combat crime in general, some procedures should
be taken into consideration. These include exchanging administrative elements,
enhancing the capacity of justice agencies, analyzing and disseminating available data
on crime and the innovative, traditional and non-traditional mechanisms used to combat
crime. Moreover, emphasis should be placed on new methods, such as technical
cooperation support and the provision of extensive advisory services to cover all areas,
like the concealment of funds, to counter money laundering and to deprive criminal
organizations of the proceeds of crime. This is because preventive policy will remain
19
Qarzan Mustafa, International Politicians for Combating Cyber Crime, published research on the legal
organization of the Internet and cybercrime, University of Xi'an Ashour, University of Djelfa, 2009, p. 7.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 66-83
The adequacy of the international cooperation means for combating cybercrime and ways to modernize it
Farouq Ahmad Faleh Al Azzam
73
inadequate unless it controls all elements of the alleged criminal behavior. Bilateral and
multilateral technical assistance can be provided to Member States by implementing
international exchange programs on law enforcement training and international criminal
justice treaties. In this case, the legislative authorities of any State must amend the
Criminal Procedure Code to legitimize them to be consistent with the nature of the crime
in its various new dimensions. In order to achieve this, a special law must be created to
cover all legal, substantive or procedural aspects, without being bound by the general
rules that may sometimes prevent criminal justice from achieving its purposes
20
.
Section II: The role of the Budapest Convention in the fight against information
crime.
The Budapest Convention was signed in late 2001. It aimed at combating cybercrimes
by harmonizing laws and providing a framework for international cooperation among
States Parties to the treaty. It also illustrated the international collaboration mechanisms
in terms of controlling cybercrime. More than 30 states ratified the convention in 2001
21
to restrict illegal electronic accounts and the abuse of information networks. Although
the Budapest Convention is a European-originated treaty, it has an international
character. It was ratified by non-members of the Council of Europe, such as Canada,
Japan, South Africa, and the USA because it is open and allows the accession of other
countries other than those from the European Community (according to article 48 of the
Budapest Convention)
22
.
After examining the 48 articles of the convention, the researcher found that it confirms
the need to take legislative measures to combat computer crimes through several
procedures and recommendations. The Convention was therefore considered a major
reference to subsequent conventions and domestic laws of some States
23
.
The Budapest Convention focuses on three basic elements: The first is the importance of
substantive legislative measures. The second element is the importance of procedural
legislation appropriate to the nature of the crime. The third is the importance of
international and regional co-operation in the field of cybercrime. All these elements are
referred to in four sections.
The authors of this treaty have identified the general framework of these crimes to be
illegal access to data systems, misuse of accounts and information fraud. The treaty,
thus, specified conditions to identify these actions legally.
Finally, it can be said that the Budapest Convention respects human rights and prevents
their exposure to crimes committed through the Internet, and it does not conflict with
the Universal Declaration of Human Rights.
The Budapest Convention established new measures to combat cybercrime. These are
based on the following important principles: The obligation of States Parties to the
Convention to adopt legislation and other measures if necessary in accordance with their
20
Al-Laqli, Mahmoud Mustafa, Op cit, p. 123.
21
Arian, Mohamed Ali, Computer Crimes, New University House, Alexandria University, Egypt, 2011, p. 25.
22
Zuhair, Haj Tahir, Mechanisms of Crime Prevention and Control, Master of Criminal Law, Faculty of Law,
University of Algiers, Algiers, 2013, p. 102.
23
Attia, Tareq Ibrahim, Information Security - The Legal System of Information Protection, New University
House, Egypt, 2009, p. 343.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 66-83
The adequacy of the international cooperation means for combating cybercrime and ways to modernize it
Farouq Ahmad Faleh Al Azzam
74
domestic law and legal framework by establishing special criminal powers and
procedures.
The Budapest Convention stipulated some new criminal procedures to combat
cybercrime, as follows:
To ensure the expeditious preservation of stored data - this procedure is contained
in Articles 16 and 17 of the Convention, and is intended to preserve, store and
protect the foregoing information from anything that may corrupt it or damage its
quality
24
.
To preserve and collect participants’ information: this action is aimed at criminal
investigation to determine the identity of the computing crime perpetrator.
To search and seize stored computer data: It is provided for in Article 19 of the
Convention and is intended to search and access the data after obtaining official
permission for inspection by its competent authorities
25
. Article 31 regarding the
search for data stipulates that additional procedural provisions must be in place to
ensure access to the data to be used as evidence.
Eavesdropping: a new procedure in the framework of the procedural control of
information crime.
International cooperation: to activate the previous procedures, article 23 stipulated
that parties shall co-operate internationally to the widest possible extent
26
.
To decrease the challenges facing information exchange and evidence at
international levels.
The Budapest convention has a binding structure, as Article 2 specified that each Party
shall adopt such legislative and other measures as may be necessary to establish criminal
offences under its domestic law, when committed intentionally.
Accordingly, the Budapest Convention is considered the basis of an international
agreement that represents a unified vision on technical or cybercrime, as it creates
legislative procedures to handle criminal acts. Thus, in this century, it is not acceptable
to deal with cybercrimes using traditional mechanisms that cannot be adapted.
II. The Second Topic: ways to modernize the mechanisms and methods
of international cooperation in combating cybercrime
There is no doubt that improving the employee level of performance is a requirement of
any professional development in general, and in the field of law enforcement particularly.
This is because any employee may be exposed to financial temptations from criminal
organizations to facilitate their illegal work. This was stipulated in the Caracas Declaration
of the Sixth Conference, which confirmed the need to improve the conditions of
employees and raise their educational and technical level in the administration of the
24
Omar Abul-Fotouh Abdel-Azim Hamami, Criminal Protection of Electronic Information, Dar Al-Nahda Al-
Arabiya, Egypt, p. 314.
25
Hilali Abdullah Ahmed, Budapest Convention on Combating Cyber Crime, Dar al-Nahda al-Arabiya, Egypt,
2011, p. 192.
26
Hilali Abdullah, Op. Cit, p. 298.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 66-83
The adequacy of the international cooperation means for combating cybercrime and ways to modernize it
Farouq Ahmad Faleh Al Azzam
75
criminal justice system so that they can carry out their duties away from personal
interests. Article 10 of the Caracas Declaration entitled “Training on law enforcement” of
the draft Convention on the Suppression of Transnational Organized Crime stipulates
that: “Each State Party shall, to the extent it may be necessary, initiate, develop or
improve specific training programs for its law enforcement personnel, including
prosecutors, investigating magistrates and customs personnel, and other personnel
charged with the prevention, detection and control of the offences covered by this
Convention”.
Accordingly, it can be said that the process of modernizing the international cooperation
mechanisms in criminal law begins with a first step that aims at developing national laws
in a more comprehensive and flexible way that correspond to international legislation of
combating systematic crime. On the other hand, it is necessary to formulate an
integrated theory that would benefit from technological development in evidence-
gathering and information-sharing procedures to address criminal organizations that
operate in a scientifically informed manner to disperse and discard evidence. Judicial
cooperation should also be developed at its various stages, including the implementation
of sentences. Therefore, it is necessary to identify the position of the executive policy
established by the parties and review the role of the bodies based on the implementation
of specialized laws and quality thereof
27
.
It is obvious that cybercrime is a challenge for national, regional and international
criminal justice agencies alike, because they lack mechanisms and methods that can
address the nature of this crime, which can easily change because of the flexibility of its
structures, the precision of the organizations involved and the close cooperation among
their members. As a result of these challenges, the Luxembourg Summit approved to
establish Europol as a central office for criminal police in the EU under the Maastricht
Convention. The Europol Agreement was signed in Brussels on June 26,1995 by
ambassadors of 15 EU Member States and aims at ensuring maximum cooperation,
sharing and exchanging information in all fields as well as facilitating communication
among Member States by establishing focal points and assigning one port for all related
services
28
. The European Union has also authorized the Europol Commission to include
national authorities in their planned policy to combat organized crime, prepare
procedures in the field of police, customs and judicial investigations and to work with
their authorities as an integrated unit. One of its most crucial powers is to permit Member
States to intervene in the investigations they have initiated and to attend the
investigation sessions on organized crime. The Europol is authorized to analyze
information related to organized crime and its criminal practices in its various forms,
including those related to criminal organizations of the Mafia type, such as the Sicilian,
Japanese, Korean, and Russian ones, and investigate their economic and commercial
penetration
29
.
The European Union still recommends the expansion of Europol's jurisdiction and is
establishing a communication point between it and third-world countries, including
Jordan, to ensure the adoption of a unified counter-terrorism policy against various forms
of organized crime, including cybercrime. This is in addition to coordinating police
27
Basha Faizah, Younus, Op cit, p. 285.
28
Ghattas, Iskandar, Without a Year Publication, Arab Symposium on International Judicial Cooperation in the
Criminal Field in the Arab World, Dar Al-Qalam, Lebanon, p. 22.
29
Al-Basha, Faizah, Younus, Op. Cit, p. 354.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 66-83
The adequacy of the international cooperation means for combating cybercrime and ways to modernize it
Farouq Ahmad Faleh Al Azzam
76
operations, documenting the exchange of information and directing the ongoing
communication to develop judicial cooperation.
Therefore, all countries should adopt a unified policy to reduce the security deficiencies
in dealing with organized crime in its various forms, especially cybercrimes. This should
be done through the establishment of a coordinated program, developing more efficient
mechanisms and purging criminal justice agencies during all stages of the proceedings,
which begins with the collection of evidence and ends with prosecution
.
Today, security and judicial cooperation has become one of the most significant elements
of national and regional strategies that unify the practical procedures of the executive
bodies and work towards close co-operation among members.
Third-world countries are missing this kind of cooperation and we will show real examples
of this type of assistance (the Schengen Agreement, the Maastricht Agreement and the
Amsterdam Agreement), as follows:
A. The Schengen Agreement:
The Schengen Agreement was signed in 1985 with the aim of deepening cooperation
among the countries of the European Union in various fields, including harmonization of
legislation, judicial cooperation, elimination of border controls, and achieving more
freedom and security. In 1990, the Supplementary Protocol included 142 articles. In the
third chapter, it referred to police and security cooperation. The regulation ratified an
information system, known as SIS
30
.
The system provides information about individuals and objects through border control.
The SIS system allows the justice agencies of the States Parties to freely move from one
State to another in the territory of the European Community to monitor and investigate
serious crimes
31
.The agreement established a special media system for the publication
of all orders issued for the inspection of persons or vehicles on the basis of computers or
other means of communication, so that the border police can work together and
strengthen official cooperation in joint border crossing points.
B. Maastricht Agreement:
This agreement was concluded in 1992 in order to fill the judicial vacuum and address
organized crime. It grants the States Parties to the agreement a mechanism for security
cooperation. Article 1 of the Agreement stated that: it was concluded for the purpose of
achieving the objectives of the European Union and matters of common concern,
especially the freedom of the movement of persons and laws governing the crossing of
borders, monitoring border crossing, immigration system, conditions of illegal residence,
international fraud, and strengthen judicial cooperation in civil and criminal matters.
Furthermore, it concerns the cooperation of customs department and police to ensure
30
Nabhan, Mohamed Farouk, 1992, Towards a unified Arab strategy to combat organized crime, University
House, Jordan, p. 194.
31
Darwish, Abdel Kareem, without a Year of publish, Transnational Organized Crime, Al-Ma'aref
Establishment, Egypt, p. 123.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 66-83
The adequacy of the international cooperation means for combating cybercrime and ways to modernize it
Farouq Ahmad Faleh Al Azzam
77
prevention of terrorism and other forms of serious crimes with an international
dimension
32
.
C. The Amsterdam Convention
In 1997, the European Union implemented Maastricht's mechanisms for the protection of
security and the establishment of justice and freedom. This agreement was signed on
October 2, 1997. Article 1 confirmed the informal cooperation between the police and
judicial bodies to confront terrorist and transnational crimes. On April 12, 1996, a
meeting of the Ministers of the Interior, Justice and Finance of the Member States was
held to formulate operational mechanisms recommending the increase in the
effectiveness of the counter-crime measures. The agreed points reflected the authorities’
concern about the effects of cybercrime. In order to improve the cooperation between
police agencies, INTERPOL was entrusted with the achievement of the objectives set by
this meeting. These objectives are as follows:
1. To ensure the joint assistance and development of the criminal police authorities in
a broader context and within the framework of the laws of the various States in
favor of the protection of human rights.
2. To establish centers that can effectively contribute to preventing and deterring
violations of common laws, and develop these centers without interfering in any
political, military or religious-racist activity to impose laws, regardless of it being
an exchange of information, investigation, prosecution or use of technology and
organization
33
.
3. Interpol to play a key role in the exchange of information and in warning banks and
financial institutions against suspicious transactions. Therefore, mechanisms to
address crime and criminal organizations and their activities have been organized.
4. Interpol was established in January 1990 as the General Secretary of Organized
Crime and has been entrusted with overseeing international policy on combating
this crime by providing Member States with various information on criminal
organizations, money laundering and suspects, whether individuals or bodies, and
examining all problems and difficulties facing the control mechanisms.
Furthermore, Interpol prepares studies on economic projects, on groups of persons
who contribute to illegal activities, so as to establish criminal justice and enable
employees to benefit from scientific development and the adoption of a unified plan.
It assists developing national laws on a more inclusive and flexible approach in
order to understand the specificity of this crime, removing obstacles to international
cooperation and facilitating communication regarding the coordination of work. This
is the first step
34
.
The second step is to encourage States to establish and operate a joint data bank on
organized crime and its members and to collect information on convicted persons,
32
Al-Janabihi, Muneer and Mamdouh, 2006, Internet Crimes, University Dar Al Feker, Egypt, p. 29.
33
Kheilaf, Mohamed Said, Op. Cit, p. 71.
34
Basha, winner of Yunus, Op. Cit, p. 213.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 66-83
The adequacy of the international cooperation means for combating cybercrime and ways to modernize it
Farouq Ahmad Faleh Al Azzam
78
ensuring that legal files are as protected as they are in domestic and international law
35
.
Each State Party shall take important and effective measures. We propose some
examples in this regard, as follows:
i. Appointment of a central authority that communicates directly with the central
authorities of the other States Parties to provide the support and assistance provided
for in this Convention, including directing and receiving requests for support and
assistance.
ii. To establish communication channels between its specialist authorities, departments
and services to facilitate safe and rapid exchange of information on all aspects
mentioned in these conventions. In addition, the draft Convention focused on
cooperation during the gathering of inferences and investigation about:
a. Identifying persons suspected of having committed, and contributing to, the
offenses covered by the Convention and their places of concentration and activity.
b. Identifying the movement of funds and property derived from the perpetration of
any organized crime to ensure the effectiveness and rapidity of the proceedings.
Creating joint teams is recommended to monitor the tracking of funds in each State
Party to ensure the protection of the security of persons and operations.
The parties must recognize and understand that the cooperation process does not affect
the sovereignty of the State whose territory was crossed to follow-up suspects or
targeted funds and that they should take practical measures to ensure that their security
services cooperate to monitor and detect material transfers. As previously explained, this
is intended to be updated
36
.
The available audited database facilitates the cooperation of law enforcement authorities
in exchanging data and detecting persons fleeing justice, as well as in exposing the
methods that criminal organizations resort to recruit persons for trafficking purposes. In
order to achieve the intended objectives, the following should be ensured:
A. Monitoring compliance of States Parties in the implementation of institutional
arrangements and procedures established under the Convention. Developing
mechanisms consistent with the development of scientific and technological
knowledge.
B. Facilitating the exchange of information to counter transnational organized crime.
C. Assessing the scope of progress in achieving the objectives of the Convention and
making recommendations on issues necessary for the implementation of the
Convention and for the mobilization of financial resources
37
.
Accordingly, we conclude that the executive policy of the draft international conventions
against crime and complementary protocols aims to strengthen cooperation among the
criminal justice agencies and urges States to establish a common information center
35
Athena, Imad, Op. Cit, p. 106.
36
Commission on Crime Prevention and Criminal Justice, sixth session, draft United Nations Framework
Convention against Organized Crime, p. 21.
37
Commission on Crime Prevention and Criminal Justice, sixth session, draft resolution IV against corruption
and bribery in commercial and financial transactions, p.78
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 66-83
The adequacy of the international cooperation means for combating cybercrime and ways to modernize it
Farouq Ahmad Faleh Al Azzam
79
benefiting from the latest information and communication technologies, run by highly
competent persons. In addition, it proposes following-up criminal activities and
investigating perpetrators to ensure a serious contribution according to model standards.
Furthermore, those involved should report on the challenges and factors that inhibit the
implementation of the plans and programs they are working on. They also can request
more information about criminal activities occurring within their territory and
communicate their experiences through prevention and control measures.
In all cases, the Commission on Crime Prevention and Criminal Justice of the United
Nations should make suggestions and general recommendations based on the
information it receives from any party and transmit them to the States concerned. Article
20, entitled “Collecting and sharing information on organized crime” of the United Nations
Convention against Crime states:
“The Secretary undertakes, with the assistance of the United
Nations Crime and Justice Research Institute and other
organizations of the United Nations Crime Prevention and Criminal
Justice Program, to collect and analyze public information and
special research results on organized crime, and to prepare studies
of global trends in organized crime and policies and measures to
prevent and combat organized crime”
38
.
Accordingly, it can be said that the role played by the United Nations in the past in the
implementation of the International Convention against Crime has turned it into a mere
positive spectator who observes and make suggestions. Therefore, the international
organization should enhance coordination between the involved agencies, to select the
best mechanisms to combat organized crimes, and to establish a network of liaison
officers to facilitate cooperation between States Parties. It should assist developing
countries in the exchange of information and in bringing the views of local legislators
closer to this point.
In this regard, the Commission on Crime Prevention and Criminal Justice stipulates that:
Each State Party shall establish a domestic regulatory system to control the activity of
financial institutions within the jurisdiction of that State with a view to deterring money-
laundering, as follows:
1. Issuing licenses for these institutions and conducting periodic inspections of their
activities.
2. Eliminating bank secrecy laws that may impede the operation of money laundering
monitoring programs in States Parties.
3. The institutions shall prepare clear and complete records of accounts and keep
transactions in them or through them for at least five years and ensure that such
records are available to the specialized authorities for use in criminal investigations
and prosecutions in investigations.
38
Athena, Imad, Op. Cit, 88. & Commission on Crime Prevention and Criminal Justice, eighth session,
proposed program of work in the area of crime prevention and criminal justice.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 66-83
The adequacy of the international cooperation means for combating cybercrime and ways to modernize it
Farouq Ahmad Faleh Al Azzam
80
4. Ensuring that the information held by such institutions on the identity of customers
and account holders is available to law enforcement authorities and the parties
concerned. The States Parties shall notify all financial institutions of the opening of
anonymous accounts or accounts under false names.
5. Obligating those institutions to report suspicious or unusual transactions.
The Jordan experience constitutes an example of combating cybercrime. Jordan issued
the Electronic Crimes Act of 2015, which was amended in 2018 to add new forms of
cybercrime and to tighten penalties for perpetrators. It also issued the Prevention and
Combating Terrorism Act of 2006, but this law did not explicitly criminalize
cyberterrorism. Additionally, the State security crimes are flexible enough to
accommodate cyberterrorism. But after amendments made by the Jordanian legislator
to the law in 2014
39
,it was considered prohibited terrorist acts.
The Jordanian law listed, in the text of Article 3, paragraph e, the use of the information
system, the information network or any means of publication or media, or the
establishment of a website to facilitate the commission of terrorist acts or to support a
group or organization or an association that carries out terrorist acts, promotes its ideas
or finances, or carries out any act that would expose the Jordanians or their property to
the risk of acts of hostility or retaliation against them.
It is obvious that the Electronic Crimes Act of 2018 and the Jordanian Anti-Terrorism Act
of 2014 referred to cybercrime in a general manner. Still, the national will works towards
the development of specialized bodies and cadres that cooperate with the international
criminal justice agencies to combat cybercrime, because national justice alone is not
enough to combat these crimes. No regional bodies have been established to document
the relationship with counterparts. This is done through an understanding between state
governments and within the framework of criminal legality.
Conclusion
This study dealt with the adequacy of the international cooperation means for combating
cybercrime and ways to modernize it. It is one of the most serious crimes of the modern
era, and this is due to the continuous development of information technology and the
electronic devices and networks that facilitate its progress. Thus, the study aimed to shed
light on this problem and try to find solutions to confront it. It tried to clarify what the
international and national community is doing to keep abreast of the rapid developments
of information crimes and the modernization of mechanisms and methods of international
security cooperation in order to combat cybercrime through participation in international
agreements and conferences. However, the activation of this cooperation remains
controversial because of the spread of the crime and its development at all international
levels, which raises questions about the success of the current international mechanisms
to combat transnational organized crime, the ways in which they are used and the
obstacles that limit their effectiveness. This requires the development of specialized
bodies to monitor the organized crime phenomenon and authority coordination.
39
Jordan Prevention of Terrorism Act No. 18 of 2014.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 66-83
The adequacy of the international cooperation means for combating cybercrime and ways to modernize it
Farouq Ahmad Faleh Al Azzam
81
Results
• Efforts to combat cybercrimes are not commensurate with the size of the means and
techniques possessed by criminal organizations.
• The divergence of political and legal systems would lead to a failure in the mechanisms
of international cooperation to combat cybercrime.
• The current international and regional conventions to combat cybercrime are
inadequate and completely ineffective.
• The response to cybercrime follows a non-uniform policy among countries.
Recommendations
1) Establishing specialized agencies to confront cybercrime with the support of the
United Nations to formulate an integrated theory that responds to technological
development and ensures modernized cooperation mechanisms.
2) Filling the legislative gap in the digital environment magazines with the issuance of
explanatory legislation notes, especially in the field of electronic crime,
encompassing the substantive and procedural rules.
3) Reviewing the curriculum and the need to include IT and networks information, to
recognize their advantages and risks.
4) Compelling Internet service providers to allocate part of their budget to awareness
and guidance, how to use the Internet safely and support civil society initiatives in
this direction.
5) Scientific planning to combat information crime and the need for countries to adopt
a unified policy to address this crime. International convergence is the only way to
confront cybercrime and address organized crime.
6) Expanding Arab cooperation in the field of combating cybercrime, like the Budapest
Convention.
7) Updating the security organization by all scientific and technical means in order to
detect and follow-up crimes, through the formation of a specialized unit to follow-
up developments and put forward ways to combat them.
References
Arian, Mohamed Ali (2011). Computer Crimes, New University House, Alexandria
University, Egypt, p. 25.
Athena, Imad (1991). “INTERPOL” in Conflict with Crime, I, Prepared House for
Publishing, Syria.
Attia, Tarek Ibrahim (2009). Information Security - The Legal System of Information
Protection, New University House, Egypt, p. 343.
Basha Faizah, Younus (2001). Organized crime under international conventions and
national laws, Dar al-Nahda al-Arabiya, Egypt.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 66-83
The adequacy of the international cooperation means for combating cybercrime and ways to modernize it
Farouq Ahmad Faleh Al Azzam
82
Bassiouni, Mohamed Sherif (2004). Transnational Organized Crime, F1, Dar Al Shorouk,
Egypt.
Darwish, Abdel Kareem (1997). Transnational Organized Crime, Knowledge facility,
Egypt.
Ghareeb, Muhammed Eid (1988). “Explanation of the Penal Code «General Section»”,
General Theory of Crime, II, Dar Al-Ilm for millions, Lebanon.
Ghattas, Iskandar (s.d.). Arab Symposium on International Judicial Cooperation in the
Criminal Field in the Arab World, Dar Al-Qalam, Lebanon.
Halabi, Khalid Ayad (2011). Investigation of Computer and Internet Crimes, Dar Thaqafa,
Jordan, p.11.
Harouni, Hazem (1988). “International Judicial Appeal”, National Journal, 3rd issue.
Hilali Abdullah Ahmed (2011). Budapest Convention on Combating Cyber Crime, Dar al-
Nahda al-Arabiya, Egypt, p. 192.
Janabihi, Muneer and Mamdouh (2006). Internet Crimes, University Dar Al Feker, Egypt.
Journal of Information Technology (2015). Department of Information Systems, Jordan.
Kheilaf, Mohammed Said (1997). The Mythical Realistic Mafia, Dar Al-Afaq Publishing and
Distribution, Morocco.
Laqli, Mahmoud Mustafa (1991). Judicial Links, University Library House, Egypt, p. 132.
Nabhan, Mohamed Farouk (1992). Towards a unified Arab strategy to fight organized
crime, 1, University House, Jordan.
Omar Abul-Fotouh Abdel-Azim Hamami (s.d.). Criminal Protection of Electronic
Information, Dar Al-Nahda Al-Arabiya, Egypt, p. 314.
Qahtani, Faleh Muflih (2008). Role of International Cooperation in Combating Overseas
Drug Trafficking, Master Thesis, Naif Security University, p.12.
Qarzan Mustafa (2009). International politicians for combating Cyber Crime, published
research on the legal organization of the Internet and cybercrime, University of Xi'an
Ashour, University of Djelfa, p. 7.
Shawabkeh, Mohammed Amin (2004). Computer and Internet Crimes, Jordan, Dar
Thaqafa for Publishing and Distribution, pp. 140-144
Sugheer, Jamil Abdel Baki (2001). Procedural Aspects of Internet Related Crimes, Dar
al-Nahda, Egypt, 2001, p. 83.
Suleiman, Mohammed Ibrahim Mustafa (2006). Terrorism and Organized Crime, Dar Al
Talai, Egypt, p.103.
Surour, Ahmed Fathi (1993). Mediator in Criminal Procedure Law, Cairo, Modern Printing
House, I 7, Egypt, p.82.
Waly, Ali (1981). “Echoes of the Sixth United Nations Congress on the Prevention of
Crime and the Treatment of Offenders”, Journal of Justice, No. 27, issued by the Ministry
of Justice, Abu Dhabi, p.146
Zuhair, Haj Tahir (2013). Mechanisms of Crime Prevention and Control, Master of
Criminal Law, Faculty of Law, University of Algiers, Algiers, p. 95.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 66-83
The adequacy of the international cooperation means for combating cybercrime and ways to modernize it
Farouq Ahmad Faleh Al Azzam
83
Conferences and documents
1. Commission on Crime Prevention and Criminal Justice, sixth session, draft United
Nations Framework Convention against Organized Crime.
2. Commission on Crime Prevention and Criminal Justice, sixth session, draft
resolution IV against corruption and bribery in commercial and financial
transactions.
3. Commission on Crime Prevention and Criminal Justice, eighth session, proposed
program of work in the area of crime prevention and criminal justice,2001.
4. European Police Office website www.earopol.eu.in
5. International Criminal Police Organization website www.INTERPOL.int
6. 6 -Jordan Prevention of Terrorism Act No. 18 of 2014.
7. Proceedings of the Ministerial Conference on Organized Transnational Crime,
Naples: Forms of more effective international cooperation in the prevention of
transnational organized crime at the investigative level.
8. Proceedings of the Seventh United Nations Conference on the Prevention of Crime
and the Treatment of Offenders, 1985.
9. Transparency International's website transparency.org
10. UN website www.un.org
11. United Nations Documents of the General Assembly, 51st Session, United Nations
Declaration on Crime and Public Security, 1995.
12. Work of the Ad Hoc Committee on the Elaboration of a Convention against
Transnational Organized Crime, fifth session, revised draft Protocol Supplementing
the United Nations Convention against Transnational Organized Crime.
OBSERVARE
Universidade Autónoma de Lisboa
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 84-97
A FAIR GLOBAL CARBON BUDGET FOR LEAST DEVELOPED COUNTRIES (LDCS)
Gustavo Furini
gustavofurini@gmail.com
PhD student in International Relations: Geopolitics and Geoeconomics at the Universidade
Autónoma de Lisboa (Portugal). Geographer (Universidade Federal do Rio Grande do Sul);
Master’s in Natural Resource Management and Local Development in the Amazon (UFPA). He is
integrated Researcher at OBSERVARE – Observatory of Foreign Relations of the Universidade
Autónoma de Lisboa
Abstract
Climate change is a phenomenon recognised, monitored and researched by broad sectors of
the scientific community, being one of the great challenges of the 21st century. Within this
vast and transdisciplinary theme, this work discusses how the least developed countries
(LDCs) can position themselves in front of the hegemonic discourse spread by the countries
of the core in climate negotiations, especially in relation to the mitigation of greenhouse gases.
The inductive method was adopted from a case study and information was collected from
primary and secondary sources. Based on the understanding of historical emissions, climate
justice and global carbon budget, it is debated here whether LDCs should actually consent to
everyone’s responsibilities even if they differ, since they have urgent needs to improve their
development indexes, especially in terms of GDP and IDH. It is argued that the LDCs – whose
historical contribution of emissions is around 0.4% of the total – should claim an increase in
the share of the global carbon budget for economic and social development purposes.
Keywords
Climate Change; Historical Emissions; Global Carbon Budget; Climate Justice; Least
Developed Countries (LDCs)
How to cite this article
Furini, Gustavo (2019). "A fair global carbon budget for least developed countries (LDCs)".
JANUS.NET e-journal of International Relations, Vol. 10, N.º 1, May-October 2019. Consulted
[online] on the date of the last visit, https://doi.org/10.26619/1647-7251.10.1.6
Article received on September 24, 2018 and accepted for publication on February 2, 2019
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 84-97
A fair global carbon budget for least developed countries (LCD)
Gustavo Furini
85
A FAIR GLOBAL CARBON BUDGET FOR LEAST DEVELOPED COUNTRIES (LDCS)
1
Gustavo Furini
Introduction
Environmental issues have been the subject of debate internationally for more than four
decades by the members of the United Nations (UN), with particular emphasis on the
architecture for climate change negotiations initiated at the United Nations Conference
on Environment and Development (UNCED) in 1992, also known as Rio de Janeiro Earth
Summit (Bueno & Pascual, 2016). This emphasis is mainly due to the scientific evidence
of the Intergovernmental Panel on Climate Change (IPCC), which points to a gradual
increase in the concentration of greenhouse gases in the atmosphere since the second
half of the 19th century (2013). The observation confirms that phenomena arising from
climate change are already occurring, to a greater or lesser extent, across the globe with
potential impact on the economies and societies of all regions (ibidem). Based on the
predictions and facts already observed, there is a possibility of tragedies with global
dimensions occurring in the future, which postulate climate change as one of the great
challenges of the 21st century (Soromenho-Marques, 2012). This is because, as one of
the main consequences, the alteration of the climate system has the power to increase
social disparities due to the intensification of poverty, hunger, forced human mobility,
diseases, gender inequalities and greater difficulty to access natural resources. These
factors ultimately limit development especially in the poorest countries, which are the
most vulnerable to climate change (IPPC, 2013).
Most of the scientific community and countries part of the United Nations Framework
Convention on Climate Change (UNFCCC) consider that the intensive use of fossil fuels,
especially by the pioneers of the industrial revolution in Europe and the United States, is
the main factor for global warming (Jönsson et al., 2012). Because of this asymmetry
between rich and poor nations in terms of contributions to greenhouse gas accumulation
over time, discussions within the UNFCCC have used the historical factor as a criterion
for defining the principle of common but differentiated responsibilities (Shue, 2015).
From this point of view, developing countries have never had formal emission reduction
targets, but the failure of the developed countries to meet the targets for the first (2005-
2012) and the second (2013-2020) periods of the Kyoto Protocol
2
indicated the need for
1
The translation of this article was funded by national funds through FCT - Fundação para a Ciência e
a Tecnologia - as part of OBSERVARE project with the reference UID/CPO/04155/2019, with the aim of
publishing Janus.net. Text translated by Thomas Rickard.
2
During the first commitment period, industrialised countries listed in Annex B of the Kyoto Protocol
committed themselves to reducing emissions by an average of 5% in relation to 1990 levels. At the
Conference of the Parties (COP), held in Doha, in December 2012, the Protocol was extended to a second
commitment period, from 2013 to 2020, in which developed countries committed to reducing emissions by
at least 18% below 1990 levels (UNFCCC, 2018).
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 84-97
A fair global carbon budget for least developed countries (LCD)
Gustavo Furini
86
broader collaboration amongst nations (Bueno & Pascual, 2016). For the Paris Agreement
to be signed by the end of 2015, among many other formalities, all UNFCCC member
states had to submit their reduction aspirations for the 2020-2030 period – the Intended
Nationally Determined Contributions (INDCs) – in order to limit global warming to a
maximum of 2 degrees Celsius by the end of the century (Dion & Laurent, 2015).
Although the INDCs are based on voluntary emission reduction commitments, the Paris
Agreement is innovative in proposing a new arrangement in climate negotiations at the
international level, as it is supported by most of UNFCCC member states to meet
mitigation targets (Salinas, 2018; Bueno, 2017).
The Conferences of the Parties (COP) – international rounds in which all the UNFCCC
member states participated – are not restricted to technical discussion based on scientific
data, whose contribution is essential to move the negotiations forwards (Dion & Laurent,
2015). These meetings reach their peak when the dialogues reach the political level,
despite the lack of space to discuss social parameters such as those defended by climate
justice (ibidem), which goes beyond the distribution of goods or environmental permits
amongst nations. For the countries of the South, climate justice is imperative to avoid
the permanent process of uneven development (Fischer, 2015) and it seeks to counter
the hegemonic policies and measures imposed on the countries of the periphery by the
countries of the core (Bond & Dorsey, 2010).
Negotiations in multilateral organisations promise to reduce uncertainty and increase the
predictability of future events. However, as a matter of course, conditions and decisions
are imposed by hegemonic nations (Shadlen, 2003). As already mentioned, at the
UNFCCC, multilateral talks to address and define possible gas mitigation frameworks take
historical responsibility into account, but there is intense discussion to try to reformulate
such a view, either from cuts based on the per capita factor – proposed by the developing
countries – or on the current profile of total emissions as rich countries want (Parks &
Roberts, 2008).
Historical responsibility represents the “polluter pays” principle. Although it protects
those who least polluted – at least in theory – on the other hand, it did not penalise those
who historically most emitted greenhouse gases. The per capita approach advocates the
equalitarian principle that everyone should have equal rights to global public goods,
including atmospheric stability (Randalls, 2011). But as part of the industries have been
shifted from the centre to the periphery in recent decades (Wallerstein, 2004), this
approach must be used carefully as the per capita contribution of the Southern countries
(Shue, 2015) have been increasing. This caution regarding the migration of industries,
especially with the advancement of globalisation in the 21st century, is reinforced by the
discourse of rich countries defending current total emissions as a single parameter for
reduction.
The different perceptions about climate justice are constructed and perceived to a large
extent by the highly unequal positions that the countries occupy in the global hierarchy,
materialised by their economic and political power (Randalls, 2011). The fundamental
political issue of the current negotiations is around who should make cuts and who can
continue to emit, considering that the stock of greenhouse gases accumulated in the
atmosphere is largely the responsibility of rich and industrialised countries (Parks &
Roberts, 2008). The notion of a global carbon budget, in which part of the quota has
already been used over time and another is committed to meeting the objectives of
international climate agreements, is fundamental to the debate on climate change.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 84-97
A fair global carbon budget for least developed countries (LCD)
Gustavo Furini
87
Data on greenhouse gas emissions clearly demonstrate the dissonance between
emissions over time between rich and poor countries, as well as increasing participation
in emissions from developing countries, especially those that have undergone the last
industrialisation process, such as the BASIC
3
countries. It is a challenge for developing
nations to address the issue of climate change domestically, as the attention of these
governments is still focused on ensuring better economic and social conditions for their
people. The discourse that all countries must take action to curb emissions, including
those that have serious difficulties in guaranteeing basic conditions and rights to their
population – such as the Least Developed Countries (LDCs)
4
– does not seem feasible,
at least in the short term.
Thus, the guiding question of this essay is: What stance should the LDCs countries adopt
in relation to the global carbon budget and under what justification? It was based on a
(i) bibliographic review of books, publications, journals and scientific magazines and the
(ii) collection, sampling, systematisation and analysis of qualitative and quantitative
official
5
data available on the world computer network for the elaboration of graphs and
figures. In addition to this introduction, this essay has three sections to approach
theoretical frameworks involving: global carbon budget, historical responsibilities and
climate justice. The end contains discussion on climate justice for LDCs and final
considerations.
Climate change and the global carbon budget
The consensus in the scientific community is that human activities interfere in the energy
balance of the planet as a result of the continuous and increasing greenhouse gas
emissions, and the global warming process is evidenced by the analysis of data collected
in the atmosphere, earth, ocean and ecosphere (IPCC, 2013). From the analysis of data
collected in several stations scattered around the planet, it is possible to verify the
variation in the temperature of the terrestrial and oceanic surfaces and, as a consequence
of the increase in global average temperature, there are higher rates of: melting glaciers
and polar caps, rising sea levels and acidification, rising heat waves and areas prone to
desertification, greater intensity and constancy of extreme weather events (ibidem).
Since the 1990s, UNFCCC efforts have been focused on mitigating greenhouse gas
emissions in order to meet the UNFCCC’s ultimate goal of stabilising atmospheric
concentrations of these gases to prevent human actions from interfering in a dangerous
way in the climate system (Matthews et al., 2012). As a result of climate modelling
research, developed with the intention of estimating emission reduction efforts to meet
emission targets, the idea that future scenarios should be evaluated based on a global
carbon budget was developed (Collins et al. 2013 apud Gignac & Matthews, 2015; IPCC,
2013). Such budget was structured from the understanding that changes in climate are
directly related to cumulative carbon emissions over time, i.e. by the sum of historical
emissions with current and future emissions (Matthews et al., 2012). In this way, it is
3
Brasil, South Africa, India and China.
4
Designation given by the United Nations to the group of low-income countries that face severe structural
impediments to sustainable development and are highly vulnerable to economic and environmental shocks
due to low human capital. Accessed on September 10
th
, 2018. Available at
https://www.un.org/development/desa/dpad/least-developed-country-category.html.
5
Source of primary data: The World Bank, UNFCCC e United Nations Development Programme (UNDP).
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 84-97
A fair global carbon budget for least developed countries (LCD)
Gustavo Furini
88
possible to determine the global temperature by relating it to the quantity of cumulative
emissions produced in a given period (Gignac & Matthews, 2015). In order to limit global
warming to a maximum of 2°C by 2100, a global carbon budget of around 1,000 PgC
6
or
1,000 Gt should be considered, but by 2011 about half of this budget was already
committed (IPCC, 2013).
The global carbon budget given by greenhouse gas accumulation presents itself as an
alternative to plan and negotiate the climate agenda (Matthews et al., 2012). After the
agreement amongst the scientific community regarding the quantities and who are the
responsible for cumulative emissions, the next step is to agree on mitigation efforts based
on the division of the global carbon budget (Gignac & Matthews, 2015). The criteria for
future emissions sharing are not yet defined, but there are some proposals founded on
three pillars: current emissions data, historical emissions and per capita division
(ibidem). Criteria based on historical and per capita emissions safeguard developing
countries, which include the LDCs, whilst decisions based on current emissions will further
protect the interests of rich countries, bearing in mind that much of the global industry
has been – and still continues to be – displaced from the core to the periphery.
Historical responsabilities
Due to their physicochemical characteristics, greenhouse gases have a long residence
time in the atmosphere and, therefore, they take hundreds of years until they are
naturally dissipated (IPCC, 2013). Taking this into account, a central issue in the
discussions on climate change is whether nations that have polluted in the past should
be held accountable for emissions that are still in the atmosphere and then bear the costs
of future mitigation actions (Hayner & Weisbach, 2016). What is at stake is equity when
sharing the responsibility for emissions, or historical responsibility, which is the moral
and legal responsibility for past emissions. This is a fundamental discussion, although
some governments try to advocate the contrary (Shue, 2015).
There is heated debate amongst those who understand that historical emissions should
be framed as misappropriation of a common good – in this case, the atmosphere and
thus precepts of climate justice should be applied. On the other hand, others refute the
theory of appropriation, arguing that in the past there was no awareness of the potential
damage caused. Consequently, there was no bad intention (Schüssler, 2011) on the
grounds of “excusable ignorance” of the acts (Bell, 2011). This last trend argues that the
principles of distributive or corrective justice should not be used in climate negotiations
to try to solve problems of unfair distribution of wealth, and the market should be in
charge of this task (Bernstein, 2016). On the other hand, climate justice seeks to
counteract the policies formulated by the Northern countries for not believing the market
promises to solve the problem, as its only concerned is to maintain the status quo of
hegemony and centre-periphery relations (Fischer, 2015; Bond & Dorsey, 2010).
Even though polluter countries did not intend to harm the environment, both present and
future generations benefit from previous actions taken by their nation, since this is a
continuous entity of which individuals are a part (Shue, 2015). A nation has “continuing
structures and institutions; past, present, and future members are primary beneficiaries
6
According to IPCC’s table, 1P (Peta) = 10
15
. Accessed on September 20
th
, 2018. Available at
http://www.ipcc.ch/ipccreports/tar/wg3/ index.php?idp=477.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 84-97
A fair global carbon budget for least developed countries (LCD)
Gustavo Furini
89
of these on-going national formations and practices” (Shue, 2015: 14). The fact that a
citizen is born in a rich and industrialised nation makes their life potentially healthier and
full of opportunities and choices, unlike those born in a poor and non-industrialised nation
whose individuals experience various privations that directly affect their freedoms of
choice (Sen, 2001).
Due to the bonus obtained by pioneering industrialisation, justice related to the burden
of current and future greenhouse gas mitigation costs should be based on three
principles: (i) unequal burdens, (ii) greater ability to pay and (iii) guaranteed minimum
(Shue, 2014: 13-14). The first principle considers that whilst some parties have gained
an unfair advantage over others in the past – by imposing environmental costs without
prior consent – those who have been unilaterally placed at a disadvantage have the right
to demand responsibilities to be measured, in the future, according to the previous unjust
advantage, so that fairness can be restored. The second one, greater ability to pay,
relates to richer countries, given their greater financial conditions they must give more.
Finally, the guaranteed minimum refers to the human factor as when some people do not
have access to the basic conditions for a decent life and, on the other hand, some have
much more than enough, it is unfair not to guarantee everyone at least an adequate
minimum – although some will still have more than others (ibidem).
Focus on climate justice
It is important to emphasise that the discourse of the hegemonic trend that defends the
rich countries usually prevails (Shadlen, 2003). Thus, with regard to climate change,
usually the countries of the centre try to evade any responsibility for past emissions
based on the argument of “excusable ignorance” of the acts. To do so, they argue that
only a little more than three decades ago the first discoveries were made about the
harmful effects of man-made greenhouse gases on the atmosphere (Bell, 2011).
However, the apology for ignorance of the risks claimed by the Northern countries is
questionable.
It is questionable because the knowledge and studies on the effects of anthropic
interference on the climate were being already investigated by Svante Arrhenius in the
late 19th century (Rodhe et al., 1997). The Swedish scientist was the first to establish a
quantitative link between changes in CO
2
concentration caused by industrialisation and
the possible impacts on the climate. And in April 1896 he published a paper in a British
philosophical magazine with the results obtained at the time (Uppenbrink, 1996). In
addition, since the 1950s, just after the Second World War, a sophisticated CO
2
measuring
station on the island of Mauna Loa, in Hawaii, was used to continually collect, register
and monitor data related to changes in concentration of gases in the atmosphere
(NOAA).
7
There is also a study on the ice cores collected on the Antarctic from the 1960s,
which demonstrates the tendency of a sharp increase in CO
2
levels from the propagation
of industrial activity in the Northern countries in the 19th century (Lüthi et al., 2008).
Climate justice emerges as a movement of political and social claim from the unfolding
of environmental justice and the understanding that the impacts of climate change
7
The National Oceanic and Atmospheric Administration (NOAA) is the scientific agency of the USA in charge
of monitoring the oceans and atmosphere conditions. Accessed on September 15th, 2018. Available at
https://www.esrl.noaa.gov/gmd/obop/mlo/.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 84-97
A fair global carbon budget for least developed countries (LCD)
Gustavo Furini
90
unequally affect different social groups, with the economically least privileged being the
most vulnerable (Newell & Mulvaney, 2013). The climate issue was able to bring together
actors with or without a history of action related to environmental issues given their
global scope, and climate justice has its main stage of protest precisely in the
international sphere (Milanez & Fonseca, 2011). In addition, the lack of the global elite’s
ability to solve the major environmental, social and economic biases – the tripod of
sustainable development, according to the Brundtland Report of 1987 – generated a
demand for the incorporation of other elements and dimensions to climate justice, such
as: ethics, moral, philosophy, ideology, strategies and tactics (Bond, 2011).
The term climate justice, or even distributive justice, entered the UNFCCC discussions
through the effort made by the Southern countries based on the different historical
responsibilities (Fischer, 2015), since they have a high degree of social, economic and
environmental vulnerability as well as a limited capacity to adapt to climate impacts
(IPCC, 2013). Amongst the political and ideological positions of climate justice, the one
that advocates greater participation in the global carbon budget for peripheral countries
stand out, taking into account their urgent need for development (Fischer, 2015; Bond,
2011).
Climate justice to LDCs
The LDCs
8
is a specific group of low-income developing countries which have a number
of structural impediments to economic growth and social development, requiring special
measures to address challenges faced (UN-DESA, 2018). Currently, the LDCs account for
about one billion people, but contributed with only 0.4% of the total volume of gases
accumulated in the atmosphere over the last five decades
9
(Figure 1), whilst high-
income
10
countries contributed with more than half of the emissions in the same period.
Thus, based on historical emissions (Randalls, 2011; Bond & Dorsey, 2010) and
assumptions about climate justice (Fischer, 2015; Bond, 2011), the LCDs seem to have
the legitimate right to claim a substantive increase in their participation in the global
carbon budget (BASIC Experts, 2011). If we analyse the period between 1850 and 2000,
the discrepancy between emissions from Northern and Southern countries is even more
abysmal, since it is estimated that during this period 79% of global emissions were
released into the atmosphere by rich countries (ibidem).
8
The 47 countries of the LDC group are: Afghanistan, Angola, Bangladesh, Benin, Burkina Faso, Burundi,
Bhutan, Cambodia, Chad, Comoros, Djibouti, Eritrea, Ethiopia, Gambia, Guinea, Guinea Bissau, Haiti,
Yemen, Solomon Islands, Kiribati Laos, Lesotho, Liberia, Mozambique, Madagascar, Malawi, Mali,
Mauritania, Myanmar, Nepal, Niger, Central African Republic, Democratic Republic of the Congo, Rwanda,
Sao Tome and Principe, Senegal, Sierra Leone, Somalia, Sudan South Sudan, Timor-Leste, Togo, Tuvalu,
Uganda, Tanzania, Vanuatu and Zambia. Accessed on December 9
th
, 2018. Available at
https://www.un.org/development/desa/dpad/least-developed-country-category/LDCSs-at-a-glance.html.
9
Data available at https://data.worldbank.org/indicator/EN.ATM.GHGT.KT.CE. Accessed on August 15th,
2018.
10
The group of 78 countries classified by the World Bank as “high income” have an annual per capita income
of more than 12,236 USD and are mostly represented by rich countries of North America and Europe.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 84-97
A fair global carbon budget for least developed countries (LCD)
Gustavo Furini
91
Figure 1. Cumulative CO
2
emissions – totals and percentage values (1960-2014)
Source: Elaborated by the author from World Bank data.
On the grounds that everyone deserves a decent life (Shue, 2014) – even though by
increasing emissions at first – the LCDs should reinforce the call for greater participation
in the global carbon budget involving current and future emissions. From the perspective
of global sustainability, it is true that emissions should be reduced by humanity as a
whole (BASIC Experts, 2011), and the countries of the core should bear the greatest
costs due to historical ecological debt (Parks & Roberts, 2008).
Considering that LDCs have a historical tendency to emit only 0.4% of total greenhouse
gases, if they increase their emissions by 10 times, for example, the rest of the world
would have to reduce its emissions to 46% of the current total. Therefore, global
emissions would reduce by half. It seems legitimate, under the precepts of climate
justice, that the countries of the core reduce their emissions to such an extent that LDCs
could emit more and thus be able to improve their Gross Domestic Product (GDP) and
Human Development Index (HDI). It is not about giving the LDCs the right to pollute,
but fairly sharing the global carbon budget (Pan & Chen, 2010).
Regarding future reductions, some developing countries – especially those part of the
BASIC – indicate that they will negotiate some share due to the upward trend from the
1990s (BASIC Experts, 2011). However, it should be noted that most of the emissions
are related to the migration of industries from the core to the periphery (Parks & Roberts,
2008). It is also worth mentioning that the BASIC has presented a propositional stance
in the UNFCCC rounds, demonstrating that its members aim to play a leading role in
climate negotiations (Hallding et al., 2013). Nevertheless, within the group of developing
countries, the BASIC has more abilities than LDCs in several aspects, including economic
capacity.
For climate justice and with a focus on greater participation in the global carbon budget
for the LDCs, its member states should continue to pursue economic and social
development as a priority goal rather than investing meagre resources in mitigation
actions, at least for now. The participation of all, even if in a differentiated and voluntary
way, does not seem to be justifiable considering the urgent need to improve the basic
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 84-97
A fair global carbon budget for least developed countries (LCD)
Gustavo Furini
92
living conditions of these countries’ populations. Low HDI values in the LDCs – historically
always below 0.5 on an optimal scale with 1 – reinforce this need (Figure 2).
11
Figure 2. Evolution of the average HDI of the LDCs (1990-2015).
Source: Elaborated by the author from the UNDP data.
In addition to the HDI, LDCs need to increase their GDP levels in order to foster public
investments and reduce social gaps. To give an idea of the discrepancy between GDP
values in the international scenario, the average per capita GDP of LDCs represented only
3% of the average values obtained in high-income countries over the last three decades
(Figure 3).
12
Figure 3. A) Average per capita GDP of high-income countries, the BASIC (1960-2016) and LDCs
(1985-2016). B) Per capita GDP of LDCs (1985-2016).
Source: Elaborated by the author from World Bank data.
11
Data available at: http://hdr.undp.org/en/content/human-development-index-hdi. Accessed on August
25th, 2018.
12
Data available at: https://data.worldbank.org/indicator/NY.GDP.MKTP.CD. Access in August 20th, 2018.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 84-97
A fair global carbon budget for least developed countries (LCD)
Gustavo Furini
93
A transition to a low-carbon economy requires investments that peripheral countries
cannot make at the moment, so any action that need to use new technologies should be
funded by core countries. In 2015, during the preparations for the Paris Agreement, all
countries had to submit their reduction intentions for the 2020-2030 period to the
UNFCCC, including the LDCs (Figure 4). Although all member states part of the LDCs
need external support for mitigation measures, it does not seem reasonable for 23
countries – about half of them – to fit into the hegemonic discourse of the North and to
accept sharing responsibilities by investing part of the narrow and committed public
budget in mitigation actions to combat the climate crisis originated by countries of the
centre
13
.
Figure 4. Intended nationally determined contributions (INDCs) in the scope of the UNFCCC.
Source: Elaborated and systematised by the author based on the analysis of the LDCs by the
INDCs.
The data presented in Figure 4 show that developing countries are concerned and
committed to sustainability due to their vulnerability to climate nuances. Multilateralism
almost always has a high price for the periphery (Shadlen, 2003) and the eternal
dependence makes these countries accept any promise of aid. Periphery countries should
not position themselves in such a way as to sacrifice their sovereignty by committing
themselves to the decisions of multilateral institutions, whilst the countries of the centre
do not even do their part (ibidem). This reality also seems opportunely applicable to the
13
Data available at: https://www4.unfccc.int/sites/submissions/INDC/Submission%20Pages/
submissions.aspx. Access in August 1st, 2018.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 84-97
A fair global carbon budget for least developed countries (LCD)
Gustavo Furini
94
UNFCCC, as peripheral countries, by accepting the hegemonic discourse, seem to fulfil
their role as extras when expressing good intentions to help solve a problem that they
did not cause. Not to mention that it is precisely the poor countries that are most
vulnerable to the impacts of climate change (IPCC, 2013).
In response to the challenges posed by climate change, even though rich countries have
committed themselves to establishing a climate fund within the UNFCCC, it does not
seem to be working as expected. During the 2009 and 2010 Conference of Parties (COP),
held in Copenhagen and Cancun, Northern countries formally agreed to jointly mobilise
around 100 billion USD per year by 2020. To this end, the Green Climate Fund (GCF) has
been created, which is an initiative to help developing countries mitigate and adapt to
climate change.
14
However, the donations made are far from the promised amount.
According to GCF official data
15
from 2010 to 2017 just over 10% of what had been
promised for a single year was collected.
Final considerations
As the atmosphere is a public natural resource of all humanity (Salinas, 2018; Randalls,
2011), unequal allocation of the global carbon budget cannot be a means to restrict the
development of peripheral countries (Teng et al., 2011). The gases accumulated in the
atmosphere, mostly released by developed countries, led to global warming and nothing
fairer than the centre taking responsibility for it (Mesík, 2016). Instead of consenting to
the hegemonic discourse of everyone’s commitment to mitigation right now, peripheral
countries need to ensure, in the first instance, better living conditions for their population.
From the perspective of climate justice, the imposition of unfair logics on the periphery
should be ignored by the LDCs, who should require developed countries to adopt less-
polluting models urgently to resolve the climate crisis generated by the core countries.
This essay considers that, during the global carbon budget negotiations, LDCs should
demand a multi-fold increase in their quota, since their contribution over almost six
decades – from 1960 to the present – is only 0.4% of the total generated and
accumulated in the atmosphere. LDCs should abandon the consent stance of the
hegemonic discourse of the UNFCCC negotiations and not take mitigation actions in the
short and medium term. It is true that global emissions need to be reduced as a whole,
but it seems to us that it is not the time yet for LDCs to help pay that bill. This is because
the increase in the share of the global carbon budget will help the LDCs to start the much
needed economic and social development, since traditional technologies are still
economically more viable, even though they are carbon-intensive. To demand these
countries to use clean technologies for social and economic development seem to be out
of common sense and impossible in practice.
It is also argued here that LDCs, when having a broad participation in the global carbon
budget, share their quota among their members. That is, due to the group’s
heterogeneity, if any country needs to emit more gas than expected, bilateral or
multilateral partnerships between its members are recommended. In addition, South-
South partnerships with other peripheral or semi-peripheral countries are welcome to
14
Accessed on September 15th, 2018. Available at https://www.greenclimate.fund
15
Accessed on September 15th, 2018. Available at
https://www.greenclimate.fund/documents/20182/24868/Status_of_ Pledges.pdf
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 84-97
A fair global carbon budget for least developed countries (LCD)
Gustavo Furini
95
avoid perpetuating the process of dependency. Nonetheless, it is obviously interesting for
sustainable development purposes if rich countries are willing to install cleaner
technologies in the LDCs member states from fully funded, subsidised and paid
investments from the North. Agreements in which the host country is contractually
obligated to bear part of the investments and also to pay high interest by the centre
should be avoided.
In addition, the LDCs should not be seduced by the hegemonic discourse of the centre
and allow their part of the global carbon budget to be compromised through the export
of emissions from the centre to the periphery by establishing polluting factories. This
centre-periphery migration movement of greenhouse gases, under the pretext of
generating jobs, income and local development, has been very common in the
relationship with the semi-periphery, which eventually became the world-system factory
locomotive. Clean industries can be exported, provided they are installed in compliance
with environmental standards, paying decent wages and generating revenue to the
receiving country from the full payment of taxes. The pioneers of these technologies must
be the rich ones who, whilst developing and lowering their cost, can then foster their use
in the poorest countries of the planet.
References
BASIC Experts (2011). Equitable access to sustainable development: Contribution to the
body of scientific knowledge. BASIC expert group: Beijing, Brasilia, Cape Town and
Mumbai.
Bell, D. (2011). Global climate justice, historic emissions and excusable ignorance. In
The Monist, Vol. 94, No. 3, pp. 391-411.
Bernstein, A. R. (2016). No justice in climate policy? Broome versus Posner, Weisbach,
and Gardiner. In Midwest Studies in Philosophy, Vol. 40: 1, pp. 172-188.
Bond, P. & Dorsey, M. K. (2010). Anatomies of environmental knowledge and resistance:
diverse climate justice movements and waning eco-neoliberalism. In Journal of Australian
Political Economy.
Bond, P. (2011). Politics of climate justice: paralysis above, movement below.
Apresentado ao Gyeongsang University Institute of Social Science, May 27
th
2011, Jinju,
South Korea.
Bueno, M. P & Pascual, G. (2016). International climate framework in the manking: the
role of the Basic Countries in the negotiations towards the Paris Agreement. In
JANUS.NET e-journal of International Relations, Vol. 7, No. 2.
Bueno, M. P. (2017). El Acuerdo de París: ¿una nueva idea sobre la arquitectura climática
internacional? In Relaciones Internacionales, No. 33, pp. 75-95.
Dion, S. & Laurent, E. (2015). Climate action beyond Paris Accord. Working Paper 2015-
22. OFCE. Paris.
Fischer, S. (2015). The emerging geographies of climate change. In The Geographical
Journal, Royal Geographical Society, Vol. 181, No. 1, pp. 73-82.
Gignac, R. & Matthews, H.D. (2015). Allocating a 2ºC cumulative carbon budget to
countries. In Environmental Research Letters. Vol. 10. IOP Publishing.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 84-97
A fair global carbon budget for least developed countries (LCD)
Gustavo Furini
96
Hallding, K., Jürisoo, M., Carson M. & Atteridge, A. (2013). Rising powers: the evolving
role of BASIC countries. In Climate Policy, Vol.13, No. 5, 608-631.
Hayner, M. & Weisbach, D. (2016). Two theories of responsibility for past emissions of
carbon dioxide. In Midwest studies in Philosophy. Vol. 40. pp 96-113.
IPCC (2013). The Physical Science Basis. Fifth Assessment Report.
Jönsson, K., Jerneck, A. & Arvidsson, M. (2012). Politics and development in a globalised
world: an introduction. Lund: Studentlitteratur.
Lüthi, D., et al. (2008), High-resolution carbon dioxide concentration record 650,000–
800,000 years before present, In Nature, Vol. 453, pp. 379–382.
Matthews, H. D., Solomon, S. & Pierrehumbert, D. (2012). Cumulative carbon as a policy
framework for achieving 1 climate stabilization. In Philosophical Transactions, Vol. 370,
pp. 4365-79.
Mesík, J. (2016). Climate Change: threats and Challenges. Cenker, M., Hadjivasiliou, L.,
Marren, P., Rooney, N. (Orgs). In Development Education: in theory and practice.
UNIDEV.
Milanez, B. & Fonseca, I.F. (2011). O discurso da justiça climática no contexto brasileiro:
possibilidades e perspectivas. Motta, R.S., Hargrave, J., Luedemann, G., Gutierrez, M.B.S.
(Orgs), In Mudança do clima no Brasil: aspectos econômicos, sociais e regulatórios.
Brasília: Ipea.
Newel, P. & Mulvaney, D. (2013). The political economy of the ‘just transition’. In The
Geographical Journal. Royal Geographical Society.
Pan, J, & Chen, Y. (2010). Carbon budget proposal. In Pachauri, R. K. (Org). Dealing with
Climate Change: setting a global agenda for mitigation and adaptation. Nova Déli: Tery
Press.
Parks, B. & Roberts, T. (2008). Inequality and the global climate regime: breaking the
north-south impasse. In Cambridge Review of International Affairs, Vol. 21, No. 4. pp.
621-48.
Randalls, S. (2011). Broadening debates on climate change ethics: beyond carbon
calculation. In The Geographical Journal, Royal Geographical Society, Vol. 177, No. 2, pp.
127-37.
Rodhe, H., Charlson, R. & Crawford, E. (1997). Svante Arrheniys and Greenhouse Effect.
In Ambio, Vol.26, No. 1, pg. 2-5.
Salinas, S. (2018). El acuerdo de Paris de diciembre de 2015: la substitución del
multilateralismo por la multipolaridad en la cooperación climática internacional. In
Revista Española de Derecho Internacional – REDI, Vol. 70/1, pp. 53-76.
Schüssler, R. (2011). Climate justice: a question of historic responsibility? In Journal of
Global Ethics, Vol. 7, No. 3, pp. 261-78.
Sen, A. (2001). Development as Freedom. Oxford: Oxford University.
Shadlen, K. (2003). Patents and Pills, Power and Procedure: The North-South Politics of
Public Health in the WTO. In Developing Studies Institute – DESTIN, London School of
Economics and Political Science, No. 03-42.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 84-97
A fair global carbon budget for least developed countries (LCD)
Gustavo Furini
97
Shue, H. (2014). Climate Justice: Vulnerability and Protection. Oxford: Oxford University
Press.
Shue, H. (2015). Climate Historical Responsibility, Harm Prohibition, and Preservation
Requirement: Core Practical Convergence on Climate Change. In Moral Philosophy and
Politics, De Gruyter, Vol. 2, pp. 7-31.
Soromenho-Marques, V. (2012). Alterações climáticas - a verdadeira crise do século XXI.
In JANUS.NET e-journal of International Relations, Vol. 3, No. 2, pp. 175-78.
Teng, F., Jiankun, H., Xunzhang, P. & Zang, C. (2011). Metric of carbon equity: carbon
Gini Index based on historical cumulative emission per capita. In Advances in Climate
Change Research, Vol. 2, pp. 134-40.
UN/DESA, Department of Economic and Social Affairs of the United Nations Secretariat.
(2018). Handbook on the Least Developed Country Category: Inclusion, Graduation and
Special Support Measures. Third Edition, United Nations.
UNFCCC (2018). Doha Amendment to the Kyoto Protocol. XXVII 7 C. ENVIRONMENT.
Uppenbrink, J. (1996). Arrhenius and Global Warming. In Science, Vol. 272, pp. 1122.
Wallerstein, I. (2004). World System Analysis: an introduction. London: Duke University
Press.
OBSERVARE
Universidade Autónoma de Lisboa
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 98-111
THE ROLE OF POLITICS AND INSTITUTIONAL ENVIRONMENT ON
ENTREPRENEURSHIP: EMPIRICAL EVIDENCE FROM MOZAMBIQUE
Renato Pereira
rpereira@autonoma.pt
Integrated Researcher, OBSERVARE, Universidade Autónoma de Lisboa (UAL, Portugal).
Associate Professor at UAL. Guest Professor at ISCTE-IUL.
PhD in Management Sciences by Université Paris Dauphine.
Redento Maia
Post-Doctorate researcher, OBSERVARE, Universidade Autónoma de Lisboa. Full Professor at the
Faculty of Economics of Agostinho Neto University (Angola).
Doctor of Economics from Sofia University of Economics.
Abstract
This work investigates the relationship between the political and institutional environment and
the development of entrepreneurship in Mozambique. Taking a literature review approach and
using collected empirical data from interviewing 10 individuals playing different roles with
impact on county’s entrepreneurial landscape, results support existing theory and suggest
that this African country still has a long way to go in what relates governmental action to
entrepreneurial development.
Keywords
State, Policy, Entrepreneurship, Mozambique, Africa
How to cite this article
Pereira, R; Maia, R (2019). "The role of politics and institutional environment on
entrepreneurship: empirical evidence from Mozambique". JANUS.NET e-journal of
International Relations, Vol. 10, N.º 1, May-October 2019. Consulted [online] on the date of
the last visit, https://doi.org/10.26619/1647-7251.10.1.7
Article received on October 17, 2018 and accepted for publication on February 4, 2019
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 98-111
The role of politics and institutional environment on entrepreneurship: empirical evidence from Mozambique
Renato Pereira e Redento Maia
99
THE ROLE OF POLITICS AND INSTITUTIONAL ENVIRONMENT ON
ENTREPRENEURSHIP: EMPIRICAL EVIDENCE FROM MOZAMBIQUE
Renato Pereira
Redento Maia
Introduction
The role played by the State, local authorities, governments, institutions, and public
policies on entrepreneurship development has long been investigated by scholars of
different fields within social sciences.
In the case of Africa, the importance of understanding this topic is of key importance
because of the tested relationship between entrepreneurship and economic growth in the
continent (e.g. Adusei, 2016) and the low level of economic development in many African
countries.
Some of the key elements that relate the ‘State’ action with entrepreneurship are the
institutional environment provided by governments, where bureaucracy plays a dramatic
role, but also the start-up cost, the (lack of) transparency of public fee schedules, the
(lack of) investment on human capital, the (lack of) coordination between governmental
policy-makers and policy-implementing public servants, and the suspicion /fear
politicians feel about entrepreneurs, among other factors.
The purpose of this work is to empirically explore the key relationships identified in
existing literature in one of the least developed countries in Africa, thus contributing to
increase the knowledge on both entrepreneurship and State role in Mozambique.
1. Entrepreneurship and politics in Africa
1.1. Entrepreneurship, economic development, and public policy
Governments all over the world have been using entrepreneurship development as an
answer to one of the most challenging economic issues of any democratic regime:
unemployment (e.g. Mehari & Belay, 2017). Because of that, economists have been
extensively testing the relationship between entrepreneurship and economic growth
which has created a strong base to inform governments and policy makers about what
they could and should do about it. In a very provocative paper, Shane (2009), points out
two very important elements for reasoning on this subject:
(i) countries with most entrepreneurs as a percentage of the population are poor
countries, not rich countries; and
(ii) (ii) only a tiny percentage of all start-ups, the so called ‘gazelles’, do actually have
a significant impact on job and wealth creation. Let us address these two tested
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 98-111
The role of politics and institutional environment on entrepreneurship: empirical evidence from Mozambique
Renato Pereira e Redento Maia
100
hypotheses. A striking economic evidence is that when people get more educated
and their salaries increase, the opportunity cost of leaving the labor market increase
and the motivation to run the risk of starting a new venture decrease. When
unemployment goes up, many people are pushed to start a business either because
they have no other way of making a living or because governments offer them
incentives and benefits to do so. This leads to a significant increase in
entrepreneurial activity in the market based on unfit entrepreneurs with small
potential of generating profitable job-creating businesses and a tremendous
diversion of financial resources that could be used to develop effective
entrepreneurship through appropriate instruments, such as venture capital funds.
Further interesting economic research on entrepreneurship can be found in Mthanti &
Ojah (2017). Entrepreneurial orientation is important for economic growth, not simply
entrepreneurial activity. Governments must choose, in priority, to pull both
entrepreneurial-oriented ventures and entrepreneurial-oriented incumbents. It is
reminded the existence of significant research supporting policy and institutional causes
for Africa’s poverty but few studies address the real impact of entrepreneurship on this
issue.
Naudé (2013) had already made the point that policy must focus on pulling
entrepreneurial ability instead of entrepreneurial activity. ‘Improving the quality of
entrepreneurial ability means not only improving the skills and education of
entrepreneurs, their human capital, but focusing on the innovative abilities of
entrepreneurs. It is innovative entrepreneurship that is most desirable for growth.
Innovation policy ought therefore to be a central focus of entrepreneurship promotion in
developing countries as it is in advanced economies. Entrepreneurs in developing
countries have a much greater propensity for innovation than is often recognized in the
literature or by policy-makers’.
Although it takes some time before innovation policies and capital investment produce
relevant impact on economic growth in Africa, training, skill acquisition, knowledge
sharing, ease of access to capital, infrastructure development particularly in
telecommunication, and others leading to patent increase, all these factors favor
overcoming this challenge (Ojeaga, 2015).
The link between innovative entrepreneurship and access to education, and expenditure
on training was also confirmed by Robson et al (2009). Surprisingly, this research reveals
that older ventures are more innovative than younger ventures and better-established
markets are also more likely to foster innovation than new markets, stressing the
importance of institutional variables for opportunity-driven entrepreneurship.
Schillo et al (2016) also confirms the importance of institutional variables to
entrepreneurship. Among the four dimensions considered, regulation weights less than
normative, cognitive, and conducive dimensions.
Other interesting economic research (Islam, 2015) found out that entrepreneurial activity
and government size are negatively correlated, which seems to be an interesting proxy
about the way many African governments perceive entrepreneurship.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 98-111
The role of politics and institutional environment on entrepreneurship: empirical evidence from Mozambique
Renato Pereira e Redento Maia
101
Juma et al (2017) summarized the role of government (and public agencies) on
entrepreneurship: to facilitate (or block) entrepreneurial development by means of legal
infrastructure, human capital development, and providing funding facilities.
Difficult access to capital, inconsistent governmental regulation, and unavailability of
business locations are referred by Kiss et al (2012) as issues where government could
contribute positively in countries such as Kenya or Ghana. In low developed countries
with significant institutional deficiencies, entrepreneurs don’t count on government to
overcome venture obstacles.
When studying public governance and economic-related effects, Asongu & Nwachukwu
(2016) highlight three broad concepts:
(i) political (voice and accountability, and political stability /no violence),
(ii) economic (government effectiveness and regulation quality), and
(iii) institutional (corruption-control and rule of law).
The conceptual model of fostering serial entrepreneurial development of Amankwah-
Amoah (2018) place government as an exogenous factor, impacting at two levels:
(i) government policy (regulatory constraints); and
(ii) governmental barriers.
Taking the case-study of Ghana, the author mentions that the 30-year period following
the independence attained in 1957 was characterized by active policies to suppress
entrepreneurship because entrepreneurs were often seen as ‘potential political threats’.
Therefore, a foreign investment policy of Western multinationals was fostered. After that,
there was a shift towards a friendly regulatory environment for small businesses and
indigenous entrepreneurs but this was not exactly backed by appropriate governmental
support, financial resources, and real favorable regulatory conditions. This investigation
reports little public support to develop managerial capabilities and entrepreneurial skills
until early this century. As a result, confidence was not built by local firms and capabilities
to attract investor attention were not developed. Institutions treat entrepreneurial
ventures with the suspicion of having ‘foreign owners’, and entrepreneurs of being
‘corrupt’, ‘fraudsters’ and ‘cheaters’. Public sector bureaucracy is an additional issue.
Combined, these factors decrease the odds of reaching a positive entrepreneurial activity.
It is suggested that government designs policies to destigmatize entrepreneurial failure
among indigenous business owners and promote rebounds. Corroboration of public
investments in ‘human capital development’, ‘good governance’, and ‘infrastructural
development for technology and innovation’ is also provided.
It is important to accentuate that foreign investment will not produce the desired
outcome in Africa if it does not increase indigenous entrepreneurship (Mota & Moreira,
2017). Hence the importance to combine policies to both attract external and internal
entrepreneurs and business people.
McDade & Spring (2005) provide additional evidence on the distress of African
governments about the development of African ventures, limiting their possibilities of
growth. ‘Government leaders were suspicious that a strong private sector comprised of
their own citizens might threaten their own powers and privileges’. Consequently, after
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 98-111
The role of politics and institutional environment on entrepreneurship: empirical evidence from Mozambique
Renato Pereira e Redento Maia
102
all these years, Africans still own less than one third of large industrial companies in the
continent. The new generation of African entrepreneurs demand ‘business-friendly laws
and regulations, government policies, and programs’, look for dialoguing with
policymakers but reject ‘government patronage’.
Still working upon Ghana’s data, Hilson et al (2017), in the framework of artisanal and
small-scale mining entrepreneurship, identified three key areas of public policy concern:
(i) licensing;
(ii) policy apparatus; and
(iii) funding.
On the same stream of thought, Amankwah-Amoah et al (2018a) posit the critical
importance of government for purposes of technology adoption in Africa through
‘promoting national identification’, ‘societal involvement’, and ‘improving educational
infrastructures’. Policy lacuna has been identified as the region’s critical gap in supporting
technology development. Choices must be made about the trajectories of innovation to
be pursued supported by state-driven initiatives. On the other hand, Amankwah-Amoah
et al (2018b) highlight some institutional constraints to technology-driven
entrepreneurship. Although democracy became more widespread in Africa recently,
severe government intervention is banal with excessive public employment and socialism
legacy in many countries. This led to go backwards in terms of entrepreneurial orientation
when compared to late colonial days and even before that. Classic over-bureaucracy and
‘red tape’ problems are remembered. Lack or even absence of intellectual property is
another weakness of most African entrepreneurs. The example of renewable energy
development is provided as an opportunity to entrepreneurial development in Africa given
massive infrastructural deficiencies and current monopoly inefficiencies.
Institutions have a significant impact on firm behavior and consequent competitiveness.
Barasa et al (2017) mention the role on environmental uncertainty and transaction costs
but also on the way businesses coordinate with each other. Another significant hint of
this research is the description of institutional quality, which includes:
(i) the process of governmental appointment, controlling, and change;
(ii) the ability to generate and carry-on strong policies; and
(iii) the way they relate with citizens and firms. When compared to other regions
of the world, Sub-Saharan Africa performs worse in the enforcement of the
rule of law, regulatory quality, level of corruption, and government
effectiveness. Good institutional functioning is mandatory for
entrepreneurship and innovation.
Another stream of thought, developed by Brixiova (2010) and Brixiová et al (2015) and
reflecting the work of the African Development Bank, stress the importance of clearing
the way for firm creation, decreasing taxes and cutting incorporation costs. Based on the
evidence that these countries have significant budgetary limitations, policy selectivity
and sequencing is of utmost importance. Subsidies to start up entrepreneurial ventures,
and support to entrepreneurship training programs are identified as important policies to
stimulate entrepreneurship.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 98-111
The role of politics and institutional environment on entrepreneurship: empirical evidence from Mozambique
Renato Pereira e Redento Maia
103
In what matters innovation, for example, Cunningham (2015) identified that one of the
major shortcomings of African countries is the information transmission between those
who adopt policies, typically top government officers, and those who must implement
those, mainly public servants. Public sector support is reported to be weak based on
individual judgement that those entrepreneurs potentially benefiting from governmental
support are privileged when compared to the general population because they were
eligible for support based on a superior skill-set, including previous access to education.
When it comes to assess the way businesses can be informed about their regulatory
environment, Geginate & Saltane (2016) report that in Africa this is very opaque. In the
Sub-Saharan region, only 4 out of 46 countries provide decent and stable information
about fee schedules in the following four categories:
(i) business incorporation;
(ii) building permits;
(iii) electricity connection; and
(iv) property registration.
One of the reasons for this institutional weakness in Africa relates to one specific
particularity of the historical legacy: before colonialism, there was up to 10,000 different
states and autonomous groups in Africa generating cultural distance, community
dispersion, and lack of common purpose. On the other hand, recent international
integration of many of these states led them to develop budgetary and fiscal controlling
systems in line with every international compliance requirements (George et al, 2016).
Some good examples of positive governmental impact on African entrepreneurial
development are also reported in the literature. M-Pesa, a case of ‘ex ante investment
with ex post justification’, available in several countries, is a paradigmatic example of
good institutional entrepreneurship (Kshetri, 2016).
1.2. Politics and policymaking in Mozambique
Mozambique is one of the least developed countries in the world (LDCs) and ranks very
poorly in the main international indicators of development, like the Human Development
Index, and in every investment climate /doing business reports.
‘This is related to poor access to finance, perceived prevalence of corruption, inefficient
government bureaucracy, inadequate infrastructures, and the education level of the
workforce’ according to Libombo & Dinis (2015). Like in many African countries,
governmental action on entrepreneurship has been oriented to reduce economic
exclusion rather than to capability building. Probably because of that, entrepreneurs
remain a negatively-perceived professional group in terms of social status.
In such environments, entrepreneurial ventures ‘tend to respond to increased
bureaucracy by fortifying their political engagement with bureaucrats and by
accentuating their political influence over bureaucracy-related policy making’ (Luo &
Junkunc, 2008).
In terms of political regime, Mozambique is, in formal terms, a democracy. It has been
classified as an ‘electoral autocracy’ by Lührmann et al (2018) ever since the end of the
civil war in late 1992. The ruling party since 1975, FRELIMO, is then ‘the party’.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 98-111
The role of politics and institutional environment on entrepreneurship: empirical evidence from Mozambique
Renato Pereira e Redento Maia
104
In what matters entrepreneurship, government has been increasing references to the
importance of that variable to policymaking and to the broad economic agenda. Some of
the current government measures that aimed at impacting entrepreneurial potential are:
The 2
nd
government’s top priority, according to the 2015-2019 five-year plan, is ‘to
develop human and social capital’. Within that priority, the strategic goal #1 is ‘to
promote an inclusive educational system, effective and efficient, which guarantees the
acquisition of required capabilities in terms of abilities, management and attitudes that
answer the needs of human development’. Within that strategic goal, the priority action
l) is ‘to establish programs and synergies with higher, technical, professional, research,
and technological education institutions that contribute to stimulate innovation and
entrepreneurship’.
The 3
rd
government’s top priority, according to the same 2015-2019 five-year plan is ‘to
promote job creation and increase productivity and competitiveness’. Within that priority,
the strategic goal #1 is ‘to increase production and productivity in all sectors of economic
activity, especially in agriculture’. Within that strategic goal, the priority action i) is ‘to
consolidate and expand poles of research and dissemination of technologies and
innovation for communities, and the priority action n) is ‘to promote funding for
innovation and research projects addressing socio-economic development challenges’.
2. Empirical study
2.1. Data samples and research methods
The goal of this study is to investigate the impact of government on entrepreneurship in
Mozambique. Using the perspective of five different actors, selected according to their
theoretical relevance to the subject:
(i) governmental policy-maker – 1 individual;
(ii) public servant policy-implementer – 1 individual;
(iii) funding provider – 1 individual;
(iv) expert – 1 individual;
(v) entrepreneur – 6 individuals; a field study in the country was designed for this
purpose alone.
The research is of qualitative nature. This sample has no statistical relevance on the
population and no inferential conclusions are to be taken.
Actors from categories (i), (ii), (iii) and (iv) are from Maputo-City province, three men,
one woman. Actors from category (v) are from the following provinces: Maputo-City,
Maputo-Province, Sofala, Tete, Niassa, and Nampula, one per location, four men, two
women.
Interviewees were identified through double-checked personal referral and were duly
briefed about the aims, scope, and process of the investigation. They were initially
contacted by e-mail and after confirming availability for the research they were re-
contacted, this time through mobile phone call. Further contacts were established
through WhatsApp or Skype messaging facilities. Anonymity was demanded by all
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 98-111
The role of politics and institutional environment on entrepreneurship: empirical evidence from Mozambique
Renato Pereira e Redento Maia
105
participants and was guaranteed through the form of a print-out signed non-disclosure
agreement entitled ‘Statement of Ethical Conduct Under Commitment of Honor’.
All interviews were face-to-face conducted in Portuguese language and were audio-
recorded in the interviewer’s smart phone device. They took place in the capital town of
Maputo, between the 17
th
and the 23
rd
of May, 2018, at the preferred location of each
interviewee, either the interviewee professional or business office or the interviewer hotel
room.
An open-question approach was employed although a basic script of 12 topics was used
to conduct the discussion. Accuracy and memory-related notes were taken from each
interview. The longest interview took 03h17m and the shortest 00h48m. The average
interviewing time was 02h04m. it was agreed that, if in doubt, interviewees would be
later re-contacted for punctual clarifications.
Data was then treated using interview content analysis. Each interview was subject to
repeated hearings during the 24
th
of May, 2018, the first day after concluding the data
collection, to make sure the right meaning of each discussion was captured and key
sections were subject to written transcription. Two interviewees were re-contacted on
the 25
th
of May, 2018 through FaceTime live call, for miscellaneous clarification.
2.2. Data exploration and findings
All interviews observed the following chaining: first topic discussed was the policymaking
process itself, and how it takes place in the country; second, the discussion about
institutional constraints in the process of designing policies, such as bureaucracy, and
ease to capital access; third topic, the type of judgment about and perceived threats
arising from the entrepreneurs.
(i) Interview with the governmental policy-maker – 1 individual
The person in question had held a top position in the government of Mozambique in the
past.
Policymaking was described as a sense-making exercise subject to somebody’s initiative.
There are different agendas guiding this process, not necessarily contradictory between
them. In most subjects, different bodies have a convergent opinion and the discussion is
more about who is the process owner rather than who is the idea owner.
The only exception are initiatives channeled through international institutions or the
‘international community’. In this case, an official position or orientation needs first to be
issued by the President with formal support from the party.
Entrepreneurship or entrepreneurial development is one of the topics that has been
subject to constant recommendations from international institutions such as the World
Bank and the African Development Bank.
The phenomenon seems not to be seen as a critical tool to foster development. The
problem is that most politicians clearly separate ‘entrepreneur’ from ‘businessman’, the
former being the undifferentiated ‘poor citizen’ and the second being ‘the middle to upper
class educated person’ with real possibilities to thrive his way up to success. Many if not
most of these individuals have low to middle (local) political influence.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 98-111
The role of politics and institutional environment on entrepreneurship: empirical evidence from Mozambique
Renato Pereira e Redento Maia
106
About bureaucracy and the general doing business concerns, there is a strong influence
of the party to not dismantle the administrative structure of corporate-related issues.
When asked about the reasons behind that, our interviewee replied that ‘given the public
wages range, one may speculate that many low-level public-servants make a living out
of bureaucracy’. The same does not apply to official fee schedules. ‘In Mozambique, you
may lose your job if you cheat on that. Everybody knows the fees and tariffs for every
public service’.
Access to capital is a major problem to entrepreneurship in the country. Interest rates
have been too high for too long but the Central Bank is doing a good job about it. Financial
system is efficient and credible.
Are entrepreneurs perceived as a threat to political power? ‘No, but nobody is interested
in making your life easier in this country. If you succeed, you will be controlled and you
will share your gains…’
(ii) Interview with the public servant policy-implementer – 1 individual
This interviewee is a board member or equivalent in a public institution with direct
responsibilities on small businesses / entrepreneurship.
The process of policy-implementation was reviewed. It was mentioned that in most cases
there is no formal transmission of information or goals. Information is received through
published legislation. If significant inquires arise from below hierarchical people, formal
explanations are sent to the relevant minister’s cabinet. If misinterpretations occur,
usually it is because of ignorance or inability. There is no tradition or room for
disobedience or boycott. Even less for sabotage. ‘In some public departments of this
country one can sometimes observe passivity or indifference. Have you heard the saying?
The State pretends to pay us wages and we pretend to work hard…’
Entrepreneurship is a fashion concept, a buzzword. Nobody really believes in it but
everybody keeps on mentioning its virtues. Government is willing to display some
measures to animate the poor. Many are just looking for opening their ‘barraquinha’ (a
very small shop) and get rid of a very bad payed job. But with no significant expectations
or ambition. Why is that? Because people are conscious of their ‘despreparo’ (lack of
skills), nothing else.
About bureaucracy, the idea is that there is nothing anybody can do about it. At the same
time, for most people, it is not a real barrier. It is just a time-consuming challenge, some
kind of natural selection test. The exception? Foreigners. In that case, bureaucracy could
be used to discourage some unwanted strangers to make money in Mozambique or to
keep them in an illegal / informal situation. In extreme cases, filed applications simply
disappear, as many times as they are done, and there is never closure for certain
demands.
As for the fee schedules, if they are not clear is because they were not defined and/or
approved. The ordinary public servant would not play games with this type of thing. It is
just too dangerous and people have already lost their jobs because of that.
In terms of funding facilities, they are very expensive and difficult to access given the
requirements and the low credibility of most companies’ accounts. Government could do
more about it by reducing interest rates to entrepreneurial programs.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 98-111
The role of politics and institutional environment on entrepreneurship: empirical evidence from Mozambique
Renato Pereira e Redento Maia
107
Entrepreneurship is not something politicians want to avoid. It is simply something that
is deemed to be neutral to their agendas. Therefore, they do not really commit to that,
unless some type of real interest is perceived.
(iii) Interview with the funding provider – 1 individual
The person interviewed in this group was a senior executive of a leading financial
institution responsible for funding decisions to entrepreneurial ventures.
The discussion begun with the way policymaking occurs in the country, especially in what
relates to entrepreneurship. From this person’s perspective, policymaking in Mozambique
‘is no better or worse than in any other African country I have worked before’. From a
pure formal perspective, the bill-passing process seems to be comparable to European
countries’. It is difficult to understand though how some issues reach the top of the
political agenda and others do not. International institutions play a significant role in this
country, especially in subjects like poverty alleviation, HIV combat, etc. Entrepreneurship
is identified as part of fighting poverty targets.
Public servants are very low educated and skilled. They do not seem to be capable of
simply understanding the laws and regulations. Consequently, they are basically unable
to put things in motion. In most cases, programs will only go live after the Minister
himself/herself mediatizes it or engages into in loco visitation.
Bureaucracy is about defending the ‘pequenos poderes’ (power of the small). Eventually,
there is always a way of resolving these constraints. For example, for financial institutions
bureaucracy is ‘a necessary evil’ because information integrity and paper records are
simply not reliable in this country.
Governments in Africa do not like entrepreneurship no more than any other thing that
they do not fully control. Opportunity-driven entrepreneurship is nearly inexistent in
Mozambique because there is no innovation /knowledge base in the country. Even
incubation has no real meaning. It is a shame the absence of real science and technology
programs from either international or national initiative. The last domestic call in this
field was actually to finance public universities, not to foster innovation…
About the financing conditions to entrepreneurship, they are very challenging and most
entrepreneurs can not grab any relevant chunk of capital. Most companies have no
controlling systems in place and their accounts are ‘a complete fiction’. The inexistence
of venture capital funds reveal a void of investment opportunities.
Finally, fee schedules is a non-issue.
(iv) Interview with the expert – 1 individual
The expert identified is a very experienced and highly educated individual who works
both as a business and government consultant and as a private university lecturer.
Policymaking is a complicated process. It deals with far too many people: the party, the
council of ministers, different governmental cabinets, the president, tons of consultants
and advisors, parliamentary reps, just to mention the most relevant. Bottom-line? It is
not an effective process and important decisions are taken last minute usually under
significant international pressure.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 98-111
The role of politics and institutional environment on entrepreneurship: empirical evidence from Mozambique
Renato Pereira e Redento Maia
108
The chain of command works also very poorly. First, because ministers themselves do
not always know exactly the details about ‘their’ bills and, second, because many of the
public servants reporting to them, highly ranked, are insufficiently skilled and educated
to implement tough programs. Additionally, many of them are not fully empowered vis-
à-vis their subordinates who were appointed by a higher officer.
Bureaucracy is impossible to detonate in this country. For many people, their salary is a
tiny percentage of what they make with bureaucracy-related bribery. Some of them do
not actually do any of the tasks outlined in their job description. They use it as a way of
making illegal money.
Government has no real strategy for entrepreneurship. It is not such a relevant matter.
Not even incubation, one of the easiest things to do, has expression. Maybe the moment
some real entrepreneurial ventures start to succeed, not just the ‘barraquinhas’,
government will start considering entrepreneurship as a real thing. Another important
thought on this topic is the role played by the party’s youth. They disregard
entrepreneurship and look only for political opportunities. If only they would change their
mindset towards business venturing…
Access to capital is a tremendous concern. Ventures are too small and have no bargaining
power over banks. Business angels are not significant because of trust issues. Microcredit
works well for micro-entrepreneurs.
On the fee schedules, apart from very limited exceptions, there are no reasons for
concern. Nevertheless, in local /regional public departments one can expect to be played
on that issue. On the other hand, public services with significant money transaction have
been subject to innovative measures: fee bank-deposit prior to the conclusion of the
transaction, and, more recently, the use of automatic paying machines.
(v) Interviews with the entrepreneurs – six individuals
As mentioned earlier, actors from this category are from the following provinces: Maputo-
City, Maputo-Province, Sofala, Tete, Niassa, and Nampula, one per location, four men,
two women, medium qualified, operating in the following economic activities: agriculture,
food trading, hospitality, restauration, business services, and bakery. The goal was
obviously to have a national representation of entrepreneurial experiences to assess also
context sensitivity.
About policymaking, none of the entrepreneurs expressed strong feelings on that. The
two from Maputo-City and Maputo-Province seemed to follow politics closer than the
others. The four entrepreneurs from central and northern regions mentioned that
policymaking had no significant relevance for their business activities although they all
acknowledge that government is a key actor for the economic development of the
country.
About the public agencies in charge of supporting entrepreneurship, all six entrepreneurs
had no hesitation in classifying them as ‘nearly useless’ or simply ‘bureaucratic desks’.
Because they do not identify a clear entrepreneurial policy, they struggle to evaluate its
direction. None of them had done any research about any existing program. The word-
of-mouth seems to be the most effective tool to make awareness of public support. Public
servants working in those agencies are also seen as ‘functionaries’ not adding any specific
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 98-111
The role of politics and institutional environment on entrepreneurship: empirical evidence from Mozambique
Renato Pereira e Redento Maia
109
value. One quoted example was the application to a public incubator in the region of
Maputo. The application could not be completed due to missing documents. But no follow-
up or any kind of help were made available. For the four entrepreneurs in the Center and
North, no public incubation facilities were available at the start up stage.
Bureaucracy is the key issue for all six entrepreneurs, especially for the four in central
and norther side of the country. It starts with the incorporation and goes on and on with
every single administrative interaction. ‘It is slow and expensive and adds no value.
Servants are always fishing for bribery and even though things do not get done in due
time’.
Capital limitations are a concern to all six entrepreneurs. Interest rates make money
inaccessible for borrowing. Microcredit is the only viable option but amounts are too small
to develop the business in a reasonable time-frame. Private equity, venture capital, and
business angels seem to be strange concepts to these interviewees.
Government does not fear entrepreneurship. It simply does not care about it.
Entrepreneurship in Mozambique means informal economy, ‘barraquinhas’, and poverty
alleviation. Anything other than that is pure business, not entrepreneurship.
Conclusion
This research supports the basic theoretical assumptions outlined in the literature review.
For example, Juma et al (2017) hypothesis that the positive role of government on
entrepreneurship takes place by facilitating legal infrastructure and providing funding
facilities was mentioned by all interviewees.
The ideas behind Shane (2009) and Mthanti & Ojah (2017) about the importance of
entrepreneurial meaningfulness and entrepreneurial orientation are also confirmed by
these interviews, both explicitly and implicitly.
Naudé (2013) conclusions about policy focusing on pulling entrepreneurial ability instead
of entrepreneurial activity receive also confirmation from this investigation.
Schillo et al (2016) importance of institutional variables to entrepreneurship is referred
by all respondents but, curiously, by absence of clear policy, entrepreneurs cannot see
it.
Kiss et al (2012) references on difficult access to capital, inconsistent governmental
regulation, and unavailability of business locations are also explicitly referred by all
interviewees.
Amankwah-Amoah (2018) evidence that entrepreneurs are ‘potential political threats’ in
Ghana is not confirmed in Mozambique. One may speculate that the low level of
entrepreneurial sophistication may account for that perception.
Mota & Moreira (2017) proposition about the importance of governments attracting both
external and internal entrepreneurs receives negative support from this study. In
Mozambique, according to one of the interviews, foreigners are not especially welcomed.
Of course, this may be an issue for entrepreneurial development but more evidence is
required to support thorough conclusions.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 98-111
The role of politics and institutional environment on entrepreneurship: empirical evidence from Mozambique
Renato Pereira e Redento Maia
110
McDade & Spring (2005) conclusions about the new generation of African entrepreneurs
demanding ‘business-friendly laws and regulations, government policies, and programs’,
and dialoguing governments is not supported either in this study. Again, the lack of a
real opportunity-driven entrepreneurial base may explain this type of response.
Finally, we must stress the limited character of this research based on ten interviews.
Future directions for this research include enlarging the scope of the literature review
and increasing the number of interviewees and their territorial representation, including
rural versus urban and male versus female entrepreneurship.
References
Adusei, M. (2016). «Does Entrepreneurship Promote Economic Growth in Africa?».
African Development Review. 28 (2): 201-214.
Amankwah-Amoah, J. (2018). «Revitalising Serial Entrepreneurship in Sub-Saharan
Africa: Insights From a Newly Emerging Economy». Technology Analysis & Strategic
Management. 30 (5), 499-511.
Amankwah-Amoah, J. & Osabutery, E.L.C. & Egbetokun, A. (2018a). «Contemporary
Challenges and Opportunities of Doing Business in Africa». Technological Forecasting &
Social Change. 131 (3), 171-174.
Amankwah-Amoah, J. & Egbetokun, A. & Osabutery, E.L.C. (2018b). «Meeting the 21
st
Century Challenges of Doing Business in Africa». Technological Forecasting & Social
Change. 131 (3), 336-338.
Asongu, S. & Nwachukwu, J. & Orim, S-M.I. (2018). «Mobile Phones, Institutional Quality,
and Entrepreneurship in Sub-Saharan Africa». Technological Forecasting & Social
Change. 131 (3), 183-203.
Barasa, L. & Knoben, J. & Vermeulen, P. & Kimuyu, P. & Kinyanjui, B. (2017).
«Institutions, Resources, and Innovation in East Africa: A Firm Level Approach».
Research Policy. 46 (3), 280-291.
Braxiova, Z. (2010). «Unlocking Productive Entrepreneurship in Africa’s Least Developed
Countries». African Development Review. 22 (3): 440-451.
Braxiová, Z. & Ncube, M. & Bicaba, Z. (2015). «Skills and Youth Entrepreneurship in
Africa: Analysis with Evidence form Swaziland». World Development. 67 (1): 11-26.
Cunningham, P. (2015). Insights into Open Innovation and ICT Entrepreneurship in
Africa. Proceedings of the 2015 IEEE International Symposium on Technology in Society
(ISTAS).
Hilson, G. & Hilson, A. & Maconachie, R. (2018). «Opportunity or Necessity?
Conceptualizing Entrepreneurship at African Small-Scale Mines». Technological
Forecasting & Social Change. 131 (6): 286-302.
Islam, A. (2015). «Entrepreneurship and the Allocation of Government Spending Under
Imperfect Markets». World Development. 70 (1): 108-121.
Juma, N.A., & James, C.D. & Kwesiga, E. (2017). Sustainable Entrepreneurship in Sub-
Saharan Africa: the Collaborative Multi-System Model, Journal of Small Business and
Entrepreneurship, 29 (3): 211-235.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 98-111
The role of politics and institutional environment on entrepreneurship: empirical evidence from Mozambique
Renato Pereira e Redento Maia
111
Kiss, A.N. & Danis, W.M. & Cavusgil, S.T. (2012). «International Entrepreneurship
Research in Emerging Economies: A Critical Review and Research Agenda». Journal of
Business Venturing, 27 (2): 266-290.
Kshetri, N. (2016). «Creation, deployment, diffusion, and export of Sub-Saharan Africa-
originated information technology-related innovations». International Journal of
Information Management, 36 (12): 1274-1287.
Libombo, D.B. & Dinis, A. (2015). «Entrepreneurship Education in the Context of
Developing Countries: Study of the Status and the Main Barriers in Mozambican Higher
Education Institutions». Journal of Developmental Entrepreneurship, 20 (3); 1-26.
Lührmann, A. & Tannenberg, M. & Lindberg, S.I. (2018). «Regimes of the World (RoW):
Opening New Avenues for the Comparative Study of Political Regimes». Politics and
Governance, 6 (1): 60-77.
Luo, Y. & Junkunc, M. (2008). «How Private Enterprises Respond to Government
Bureaucracy in Emerging Economies: The Effects of Entrepreneurial Type and
Governance». Strategic Entrepreneurship Journal, 2 (2): 133-153.
McDade, B.E. & Spring, A. (2005). «The ‘New Generation of African Entrepreneurs’:
Networking to Change the Climate for Business and Private Sector-Led Development».
Entrepreneurship & Regional Development, 17 (1): 17-42.
Mehari, A.T. & Belay, C.F. (2017). Challenges and Prospects of Entrepreneurship
Development and Job Creation for Youth Unemployed: Evidence from Addis Ababa and
Dire Dawa City Administrations, Ethiopia. Journal of Innovation and Entrepreneurship,
6(11): 1-22.
Mota, J.H.F. & Moreira, A.C. (2017). «Determinants of the Capital Structure of Portuguese
Firms with Investments in Angola». South African Journal of Economic and Management
Sciences, 20 (1): 1-11.
Mthanti, T. & Ojah, K. (2017). «Entrepreneurial Orientation (EO), Measurement and
Policy Implications of Entrepreneurship at the Macroeconomic Level». Research Policy,
46 (4): 724-739.
Naudé, W. (2013). Entrepreneurship and Economic Development: Theory, Evidence, and
Policy. Discussion Paper No. 7507, Institute for the Study of Labor, Bonn, Gemany.
Ojeaga, P. I. (2015). «Can Africa’s Young Drive Innovation? Investigating the Effect of
Entrepreneurial Innovation on Economic Growth in Africa». Journal of Applied
Quantitative Methods, 10 (4): 15-26.
Robson, P.J.A. & Haugh, H.M. & Obeng, B.A. (2009). «Entrepreneurship and Innovation
in Ghana: Enterprising Africa». Small Business Economics, 32 (3): 331-350.
Schillo, R.S. & Persaud, A. & Jin, M. (2016). «Entrepreneurial Readiness in the Context
of National Systems of Entrepreneurship». Small Business Economics. 46 (5): 619-637.
Shane, S. (2009). «Why Encouraging More People to Become Entrepreneurs is Bad Public
Policy». Small Business Economics. 33 (2): 141-149.
OBSERVARE
Universidade Autónoma de Lisboa
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 112-124
THE INVESTMENT OF SPANISH COMPANIES IN LATIN AMERICA, PATTERNS
AND DETERMINING FEATURES
Gonzalo Solana González
gsolana@nebrija.es
Holder of a Bachelor Degree in Economics and Business Sciences, Universidad Autónoma de
Madrid. Holder of a Bachelor in Law, Universidad Nebrija. Holder of a Ph.D. in Economic Sciences,
Universidad Castilla-La Mancha. Director of the Nebrija Santander Global Chair in
internationalization of companies, Universidad Nebrija (Spain)
Rafael Myro Sánchez
rmyrosan@ucm.es
Holder of a Bachelor Degree in Economics and Business Administration, Universidad
Complutense, Madrid. Holder of a Ph.D. in Economic Sciences, Universidad Complutense. Full
Professor of Applied Economics, Universidad Complutense (Spain).
Abstract
The objective of this paper is to analyse the recent evolution of Spain’s Foreign Direct
Investment in Latin America and the internationalization patterns of Spanish companies in
these countries. To this end, statistics on investment flows have been studied and the main
work of the authors in the business field have been reviewed. As a result, investment interest
in Latin America has not decreased despite the crisis that began in 2008, due to its dynamism,
the growth of its middle classes and the need to improve basic infrastructure. The interest in
Latin America for the opportunities these countries offer to address third markets and improve
competitive capacity is also noteworthy..
Keywords
Foreign investment; Companies; Spain; Latin America
How to cite this article
González, GS; Sánchez, RM (2019). "The investment of Spanish companies in Latin America,
patterns and determining features". JANUS.NET e-journal of International Relations, Vol. 10,
N.º 1, May-October 2019. Consulted [online] on the date of the last visit,
https://doi.org/10.26619/1647-7251.10.1.8
Article received on August 16, 2018 and accepted for publication on February 4, 2019
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 112-124
The investment of Spanish companies in Latin America, patterns and determining features
Gonzalo Solana González, Rafael Myro Sánchez
113
THE INVESTMENT OF SPANISH COMPANIES IN LATIN AMERICA, PATTERNS
AND DETERMINING FEATURES
1
2
Gonzalo Solana González
Rafael Myro Sánchez
Introduction
The globalization phenomenon has been driven by the progressive liberalization of capital
movements on a world scale, leading to a remarkable dynamism in the flows and stock
of foreign direct investment (FDI) in the last three decades, Fouquin and Hugot (2016).
In 2016, according to data from the United Nations Conference on Trade and
Development (UNCTAD), (2017), the world stock of FDI amounted to 26,7 billion dollars,
representing 35,5% of the world GDP, compared to the 2,2 billion dollars of 1990 (10,1%
of the world GDP).
Spanish companies have participated in this growth in a very active way. Between 1993
and 2016
3
, the flows of Spain’s gross FDI abroad totalled 691.000 million euros, an
annual average of 28.790 million euros. As a result, in 2015 the Spanish economy
maintained a stock of investment abroad exceeding 433.000 million euros.
Spain’s investment profile in global markets has varied substantially according to the
national and international situation, with the period 2003-2007 being the most dynamic,
with annual average flows close to 50.000 million euros. Since then, investments abroad
have been characterized by a more moderate evolutionary profile.
In order to analyse the patterns of business internationalization towards Latin American
countries, the evolution of Spanish FDI in Latin America is examined first, and then the
main patterns of the internationalization processes in these destinations are presented.
1
The translation of this article was funded by national funds through FCT - Fundação para a Ciência e
a Tecnologia - as part of OBSERVARE project with the reference UID/CPO/04155/2019, with the aim of
publishing Janus.net. Text translated by Carolina Peralta.
2
This work originated in the interest to know what the investment trajectory of Spanish companies in Latin
America in the 21st century has been, in order to know its dynamics and the potential impact of the crisis
that started in Spain in 2008 on the aggregate investment behaviour of the country. The article combines
research with reflection on this subject. This research is part of the activities conducted in collaboration
between the Nebrija Santander Global Chair in the internationalization of companies and the Complutense
University of Madrid.
3
Data obtained from Spain’s Registry of Foreign Investments Registro de Inversiones Exteriores (Ministry
of Industry, Trade and Tourism).
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 112-124
The investment of Spanish companies in Latin America, patterns and determining features
Gonzalo Solana González, Rafael Myro Sánchez
114
1. Spanish investment in Latin America: characteristics and evolution
Latin America has gradually become the second priority destination of the investing
efforts of Spanish companies abroad, after the group of developed countries
4
(in
particular, the European Union). Specifically, in 2015, 28,8% of Spain's FDI stock was
concentrated in the Latin American region, as shown in Table 1.
Table 1. Stock of Spanish gross FDI abroad: investment position (millions of euros)
2007
2008
2009
2010
2011
2012
2013
2014
2015
Developed
countries
230 661,91
229 139,39
229 932,86
251 448,58
250 357,26
270 043,22
254 364,90
291 254,62
317 090,70
Emerging
countries
80 929,77
98 713,28
106 889,53
132 112,67
144 185,10
145 641,32
144 924,74
145 532,58
138 419,85
Africa
3 788,06
9 782,11
3 583,56
4 142,76
4 161,80
4 214,88
3 859,96
4 273,64
4 019,70
Asia and
Oceania
5 178,65
7 369,55
9 061,78
12 995,26
15 681,25
16 258,28
12 989,28
11 418,26
8 834,87
Latin
America
71 408,42
80 839,15
93 445,48
113 914,12
123 159,58
123 800,90
126 596,17
129 138,66
124 796,46
Russia
554,64
722,47
798,71
1 060,53
1 182,47
1 367,26
1 479,33
702,02
768,82
Rest of the
world
-19 652,10
-17 480,27
-18 833,79
-21 090,21
-20 371,63
-24 529,31
-22 149,08
-20 040,82
-22 485,01
TOTAL
291 939,58
310 372,40
317 988,60
362 471,04
374 170,73
391 155,23
377 140,56
416 746,38
433 025,54
Note: the negative sign in terms of stock means losses associated with the investments.
Source: Ministry of Industry, Trade and Tourism.
The Spanish investment trajectory, however, has been unequal over time, as can be
seen in Chart
Chart 1. The nineties were characterized by the leading role of Latin America among
destinations, with some FDI flows directed to this area higher than those sent to
developed countries (9.590 million euros compared to 7.001 million euros in the annual
average between 1993 and 2000). Behind this dynamic were the liberalization and
privatization processes in certain sectors in Latin America, the attractiveness of the size
of its markets, the incipient international vocation of the large Spanish companies and,
of course, the existence of strong cultural links.
4
According to the United Nations’ criterion of country classification in economic terms:
http://unctadstat.unctad.org/EN/Classifications.html
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 112-124
The investment of Spanish companies in Latin America, patterns and determining features
Gonzalo Solana González, Rafael Myro Sánchez
115
Chart 1. Spanish gross FDI flows abroad (millions of euros)
Source: Ministry of Industry, Trade and Tourism.
In the early stages of the 21st century, there was a turning point, with a gradual loss of
the relative strength of Spanish FDI in Latin America, although this area remained in the
second position as an investment destination, as shown in Table 2. The progress in the
process of economic and monetary integration within the European Union, together with
certain instabilities and uncertainties in the world scenario, to a large extent may explain
this behaviour.
Table 2. Spanish gross FDI flows abroad (millions of euros)
1993-1997
1998-2002
2003-2007
2008-2012
2013-2016
Total 1993-2016
Developed countries
12 089,9
83 542,9
221 034,3
106 210,9
81 068,7
503 946,7
Emerging countries
6 737,4
80 936,8
33 103,7
45 514,3
41 781,4
208 073,5
Africa
190,7
1 272,7
3 726,5
2 224,1
629,3
8 043,3
Asia and Oceania
150,8
2 140,6
2 513,6
5 477,8
2 659,3
12 942,0
Latin America
12 504,1
79 707,6
29 004,6
32 975,8
35 945,3
190 137,4
Russia
28,8
73,5
854,9
639,3
339,3
1 935,7
Rest of the world
7 653,7
-5 195,8
-5 548,5
-14 521,3
-3 440,4
-21 052,3
TOTAL
26 481,0
159 283,9
248 589,5
137 204,0
119 409,7
690 968,0
Note: the negative sign in ends of flow reveals divestment dynamics.
Source: Ministry of Industry, Trade and Tourism.
0
50,000
100,000
150,000
200,000
250,000
300,000
1993-1997 1998-2002 2003-2007 2008-2012 2013-2016
Developed countries Latin America TOTAL
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 112-124
The investment of Spanish companies in Latin America, patterns and determining features
Gonzalo Solana González, Rafael Myro Sánchez
116
However, in the 2013-2016 period, Spanish FDI in Latin America increased again, in
contrast to its downward trend in other areas
5
, reaching an annual average flow of around
8.986 million euros (higher than 5.801 million euros and the 6.595 million euros recorded
in the annual average in the 2003-2007 and 2008-2012 periods, respectively). This
recovery also took place in a context of sustained reduction of the flows of foreign
investment from the rest of the world to Latin America (of 16% in 2016), as indicated by
UNCTAD (2017). Thus, even in this scenario, the Spanish companies trusted the economy
of the area, by consolidating and increasing their presence in a sustained manner.
This is an adequate response of the companies to the important economic results
obtained from their investment operations in the area. In fact, as Table 3 shows, the
results obtained by Spanish companies linked to their investments in the area were about
15.000 million euros in 2015. On the other hand, investments in developed countries
were also prominent in terms of results, totalling 28,872.3 million euros in that year.
Table 3. Results of Spanish gross FDI abroad (millions of euros)
2007
2008
2009
2010
2011
2012
2013
2014
2015
Developed countries
38 333,62
6 847,92
12 694,34
25 238,85
25 964,88
22 945,12
23 422,64
24 164,59
28 872,31
Emerging countries
18 927,84
32 793,33
27 385,17
32 650,87
39 617,89
38 857,56
34 834,51
35 147,36
34 642,34
Africa
1 077,65
3 334,30
597,45
715,99
481,43
842,54
710,92
617,86
487,76
Asia and Oceania
8 263,94
1 085,67
1 175,41
1 417,37
1 438,08
1 807,28
1 213,28
1 041,98
313,65
Latin America
9 632,95
9 657,85
11 791,23
16 821,80
18 459,39
15 488,03
14 391,44
17 089,11
15 086,51
Russia
-46,70
-212,33
-44,41
176,03
107,80
233,01
148,01
-65,24
70,71
Rest of the world
-9 675,93
-20 788,01
-16 025,89
-15 393,70
-20 876,71
-22 987,97
-22 116,21
-20 496,25
-22 820,63
Total
47 585,53
18 853,24
24 053,62
42 496,02
44 706,06
38 814,71
36 140,94
38 815,70
40 694,02
Note: the negative sign in terms of stock means losses associated with the investments.
Source: Ministry of Industry, Trade and Tourism.
The higher nominal value of Spanish investments in Latin America was accompanied by
a growing number of companies established there, as the information in Table 4 and
Chart 2 shows. In 2013, 2.619 Spanish companies had investments in Latin America,
which represents an increase of 27,3% compared to 2007, higher than that experienced
by the number of Spanish companies located in developed countries and around the
world (increases of 14,6% and 23,9%, respectively).
The geographical concentration is the dominant trend in Spain’s investing relations in
Latin America, with the group formed by Brazil, Mexico, Venezuela, Chile and Argentina
being the undisputed protagonist. These five countries concentrated 87,3% of the stock
5
It should be noted that Spain’s decrease in aggregate investment figures abroad does not mean that the
investment does not remain positive. On the contrary, during the years of economic crisis, the gross
investment of Spanish companies abroad continued to grow, albeit at a more moderate pace than in the
previous period, of intense boom. So did the net investment, although in a more limited way. The effect of
the economic crisis was felt in the increase in divestment, especially from medium and large companies,
which needed to obtain funds to rebalance their sheets and sold shares in their foreign subsidiaries.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 112-124
The investment of Spanish companies in Latin America, patterns and determining features
Gonzalo Solana González, Rafael Myro Sánchez
117
of Spanish FDI in Latin America in 2015. The interpretation is similar if the analysis is
made in terms of the average flows sent to the area since 1993: these five countries
totalled more than 85% of Spain’s FDI flow to Latin America in the 1993-2014 period.
During the crisis period, specifically from 2007 to 2014, the stock of Spain’s FDI in Brazil
and Venezuela grew very considerably, almost doubling; the same applied in the case of
Chile, although to a lesser extent. The stock of Spanish FDI in Mexico remained
unchanged and, on the other hand, in Argentina it decreased, as underlined by Álvarez,
Myro and Vega (2016)
6
.
From the point of view of the number of companies present in the different Latin American
countries in 2013 (last available year), again Mexico (523 Spanish investment
companies), Brazil (432), Argentina (359) and Chile (313) stood out as the most relevant
focal points for Spanish business.
In terms of comparison with the other areas, Latin America has also experienced a
notable increase in the number of Spanish investment companies. The advance since
2007 of the Spanish investment fabric there has been the highest in absolute terms,
despite the fact that Spanish investments in developed countries continue to maintain
their relative importance. This dynamic is probably the result of greater investment
propensity in recent years towards less mature destinations for the Spanish companies
(both from the rest of the world and from emerging countries, especially Latin America),
in line with the intense process of internationalization of the business fabric since 2008.
Table 4. Spanish investment companies abroad (number)
2007
2008
2009
2010
2011
2012
2013
Developed countries
3 245
3 619
3 724
3 827
3 954
4 006
3 718
Emerging countries
2 493
2 776
2 898
3 025
3 260
3 419
3 273
Africa
229
258
254
274
293
308
294
Asia & Oceania
180
224
234
273
306
352
316
Latin America
2 057
2 271
2 378
2 441
2 615
2 716
2 619
Russia
27
23
32
37
46
43
44
Rest of the World
467
546
612
649
672
699
698
Total
6 205
6 941
7 234
7 501
7 886
8 124
7 689
Source: Ministry of Industry, Trade and Tourism.
6
One should keep in mind that the evolution of the stock is not only a consequence of the net investment,
but also of changes in the value of the shares and changes in the exchange rate.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 112-124
The investment of Spanish companies in Latin America, patterns and determining features
Gonzalo Solana González, Rafael Myro Sánchez
118
Chart 2. Spanish investment companies abroad (number)
Source: Ministry of Industry, Trade and Tourism.
In addition to this quantitative approach, it is interesting to analyse the relative
importance of Spanish investment in each Latin American country, as per information
provided in Table 5. In this sense, the stock of Spanish FDI accounted for 83,3% of the
total world FDI received by Venezuela in 2015, 13,1% of that received by Bolivia, 9,8%
by Ecuador, 8,3% by Brazil, 7,6% by Argentina, and 7,5% by Chile. Spanish FDI has,
therefore, played a very important role in the productive structure of certain Latin
American economies during the second decade of the 21st century.
Table 5. Spain’s investment position in Latin America - main investment countries - Year 2015
Spanish FDI stock (mill. eur)
% total Spanish FID in Latin
America
% of FDI stock received
from the country
ARGENTINA
5 824,6
4,7%
7,6%
BOLIVIA
1 375,7
1,1%
13,1%
BRAZIL
35 138,0
28,2%
8,3%
CHILE
15 031,9
12,0%
7,5%
COLOMBIA
3 969,5
3,2%
3,0%
COSTA RICA
468,7
0,4%
1,7%
ECUADOR
1 387,2
1,1%
9,8%
EL SALVADOR
104,0
0,1%
1,3%
GUATEMALA
317,2
0,3%
2,7%
GUIANA
22,9
0,0%
0,9%
HONDURAS
35,6
0,0%
0,3%
MEXICO
31 662,5
25,4%
6,9%
NICARAGUA
17,6
0,0%
0,2%
PANAMA
1 783,3
1,4%
5,0%
PARAGUAY
237,5
0,2%
6,0%
PERU
3 543,6
2,8%
4,6%
DOMINICAN REPUBLIC
926,2
0,7%
3,4%
URUGUAY
1 279,8
1,0%
6,5%
VENEZUELA
21 313,9
17,1%
83,3%
TOTAL LATIN AMERICA
124 796,5
100,0%
8,0%
Source: Ministry of Industry, Trade and Tourism and UNCTAD (2017).
0
1000
2000
3000
4000
5000
6000
7000
8000
9000
2007 2008 2009 2010 2011 2012 2013
Developed countries Latin America Total
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 112-124
The investment of Spanish companies in Latin America, patterns and determining features
Gonzalo Solana González, Rafael Myro Sánchez
119
From the sectors’ point of view, as shown in Chart 3, the Spanish FDI in Latin America
has been directed mainly to financial and insurance activities (40,3% of the total stock
invested in the area in 2015), with an increase of the interest of Spanish investors in this
sector since 2007 (when it represented 26,4% of the Spanish FDI stock in Latin America).
It also highlights Spain’s investing presence in the supply of electricity, gas and others,
(9,5%) and telecommunications (7,6%), although in both cases the share of all Spanish
investments in the area declined. (14,3% and 19,6% in 2007, respectively).
Chart 3. Stock of Spanish FDI in Latin America by main branches of activity at the destination -
Year 2015
Source: Ministry of Industry, Trade and Tourism
In terms of profitability, contained in Table 6, investments directed towards financial and
insurance activities have been the most lucrative, concentrating 55,2% of the total
results of Spanish FDI in Latin America in 2015. Conversely, other activities did not obtain
positive results, although in general their relevance to Spain’s accumulated investment
stock in the area was limited in relative terms.
By geographical areas, Spanish investments in financial and insurance activities have
been located mostly in Mexico and Brazil; regarding information and communications, in
Brazil; in the manufacturing industries, Brazil and Mexico; and in the energy supplies of
Chile and Brazil, as indicated by Cerón et al. (2014).
FINANCIAL SERVICES, EXCEPT
INSURANCE AND PENSION FUNDS ;
0.276550553
INSURANCE,
REINSURANCE AND …
SUPPLY OF ELECTRIC POWER,
GAS, STEAM AND AIR;
0.095428508
TELECOMMUNICATIONS
; 0.075584997
WHOLESALER AND
INTERMEDIARIES;
0.072515038
METALLURGY: IRON
AND STEEL PRODUCTS:
0.059608021
CIVIL ENGINEERING;
0.036
EXTRACTION OF OIL
CRUDE AND NATURAL
GAS; 0.027
REAL ESTATE
ACTIVITIES;
0.027
MANUFACTURE OF
OTHER NON METALLIC
MINERAL PRODUCTS;
0.022
REMAINING SECTORS:
0.182526011
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 112-124
The investment of Spanish companies in Latin America, patterns and determining features
Gonzalo Solana González, Rafael Myro Sánchez
120
Table 6. Stock and results of Spanish FDI in Latin America. Main sectors of destination
Sector of investment destination
Total % of Spanish FDI in
Latin America
Total % of Spanish FID results
in Latin America
2007
2015
2007
2015
64 FINANCIAL SERVICES, EXCEP. INSUR AND PENSION
FUNDS
24,29%
27,66%
40,02%
46,14%
65 INSURANCE, REINSURANCE. PENSION FUNDS,
EXCEPT S. SECURITY
2,12%
12,60%
2,20%
9,08%
35 SUPPLY OF ELECTRICAL ENERGY, GAS, STEAM AND
AIR
14,25%
9,54%
11,35%
8,11%
TELECOMMUNICATIONS
19,58%
7,56%
12,13%
3,11%
46 MAJOR AND INTERMEDIATE TRADE, TRADE, EXC. M.
VEHICLES
2,16%
7,25%
1,45%
0,09%
24 METALLURGY; IRON, STEEL PRODUCTS PRODUCTION
2,34%
5,96%
3,66%
-2,64%
42 CIVIL ENGINEERING
1,72%
3,62%
1,72%
0,66%
06 EXTRACTION OF OIL CRUDE AND NATURAL GAS
8,63%
2,70%
9,91%
0,00%
68 REAL ESTATE ACTIVITIES
0,37%
2,67%
-0,04%
17,53%
23 MANUFACTURE OF OTHER N-METALLIC MINERAL
PRODUCTS
3,90%
2,18%
4,86%
3,21%
52 STORAGE AND ACTIVITIES ASSOCIATED WITH
TRANSPORT
2,38%
1,96%
1,72%
2,65%
55 ACCOMMODATION SERVICES
3,00%
1,69%
-0,15%
-1,96%
20 CHEMICAL INDUSTRY
1,31%
1,68%
2,08%
4,99%
41 BUILDING CONSTRUCTION
1,40%
1,35%
1,32%
-0,52%
66 AUXILIARY ACTIVITIES TO THE FINANCIAL SERVICES
0,59%
1,22%
0,90%
1,85%
47 RETAIL TRADE, EXCEPT MOTOR VEHICLES
1,05%
0,96%
0,87%
0,37%
43 SPECIALIZED CONSTRUCTION ACTIVITIES
0,92%
0,63%
1,01%
0,32%
10 FOOD INDUSTRY
0,33%
0,60%
0,23%
0,44%
REMAINING SECTORS
9,68%
8,16%
4,77%
6,55%
Source: Ministry of Industry, Trade and Tourism.
2. Business patterns: main features, determinants and strategies
Several analyses have been carried out on the determinants of Spanish investments
abroad, especially by Ramírez, Delgado and Espitia (2004), Ramírez, Delgado and Espitia
(2006), Gordo and Tello (2008), Martínez Martín (2011), Martí, Alguacil and Orts (2013),
Fariñas and Martín Marcos (2013). These studies highlight the role of the attractiveness
of market location, with a distinction between developed and developing countries and,
within them, Latin America. A comprehensive synthesis of these studies can be found in
Myro (2014a) and Myro (2014b).
Their conclusions indicate that Spanish companies with greater advantages regarding
size, profitability and productivity have led the rapid process accessing foreign markets
through export and FDI. Larger companies, with their own technological assets, brand
and more extensive export experience, have channeled their preferences to less
developed markets that are larger, have growth possibilities and better surrounding
markets, where they can expect higher benefits from their competitive advantages. Large
companies have directed their investments to a greater number of countries and have
reached the most distant and unknown markets.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 112-124
The investment of Spanish companies in Latin America, patterns and determining features
Gonzalo Solana González, Rafael Myro Sánchez
121
It should be noted that in this process, Latin America has played a very prominent role.
At present, almost one third of the FDI stock of Spanish companies abroad is located in
Latin American countries and has been the most important destination in the recent
investment boom by Spanish companies abroad. Thus, in the first biennium of heavy
investments by Spanish companies abroad (1999-2000) in Latin America, over 56.000
million euros were invested there, which accounted for 61% of total Spanish FDI abroad
and for 98,8% of the amount targeted to emerging market destinations. The protagonists
of these investments were the large companies. Chile and Argentina, and to a lesser
extent Mexico, were the first countries where the Spanish presence stood out.
Regarding the main determinants and strategies followed by Spanish companies in Latin
America, this paper summarizes the results of the studies conducted by the Nebrija
Santander Global Chair in the internationalization of companies
7
.
On this basis, the main reasons for Spanish companies to establish themselves in Latin
American countries were related to the potential of the latter’s domestic markets (both
in terms of size and economic dynamism). In particular, the growth of the middle classes,
with the basic services they demand, and the need to improve their infrastructure opened
up numerous business opportunities.
The factors associated with legal security and macroeconomic stability, aspects in which
many Latin American countries have improved since the beginning of the 21st century,
were also relevant, as in the rest of destinations, for Spanish companies to settle in Latin
America.
In this sense, according to the study carried out by Solana (2017) on the location of
Spanish companies abroad, the factors that determine their choice of location the most
are related to the quest for company greater efficiency through internationalization, as
well as having a secure institutional political framework and an appropriate business
environment. In Latin America, these factors are very important, but in differential terms
we can see that Latin America was the destination where, for Spanish companies, the
factors associated with size and market potential stood out as the most relevant in these
decisions.
On the other hand, cultural proximity has been a crucial aspect in the relevance of Latin
America for the investments made by Spanish companies abroad. Having a common
language has facilitated this process, especially for smaller companies. However, the
studies show that, on numerous occasions, proximity is confused with cultural identity,
which is a potential source of conflicts and problems.
Within Latin America, there are very diverse economic and political situations, which
explain why the entry processes in these markets are very different. However, in most
of them it has been usual, especially among the smaller companies, to resort to the figure
of the local partner, at least in the first years of the development of their activity, and to
the establishment of subsidiaries or acquisition of companies, instead of using more
complex formulas, such as joint ventures, which have traditionally been less common.
On numerous occasions, Spanish businessmen have reached an agreement with a local
partner, which has allowed them to get to know local singularities better and more quickly
and facilitated relations with different agents and institutions, although sometimes these
7
Available on the website of the Cátedra Global Nebrija Santander en Internacionalización de empresas.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 112-124
The investment of Spanish companies in Latin America, patterns and determining features
Gonzalo Solana González, Rafael Myro Sánchez
122
agreements have caused problems over time. For this reason, companies highlight the
importance of evaluating with great care and time the profile of the local partner and
their long-term business commitment.
Most of these investment operations have been financed by the companies' own
resources. The implantation operations in other countries require a lot of maturation time
and it is necessary to take up the existing sunk costs. That is why it is necessary to
reduce, as far as possible, the financial costs.
Another significant aspect of the Spanish companies’ internationalization strategies in
Latin America is the fairly widespread use of mixed and local structures in the
organization of the different areas or departments of companies, in which, as the years
go by, local personnel prevail over Spanish expatriates.
Regarding the main obstacles encountered by Spanish companies in their establishment
process in Latin America, those related to the bureaucratic procedures or to the
functioning of the corresponding Public Administration, the strong competition or the high
economic power of certain local business groups, or the difficulty in finding qualified
personnel for certain activities stand out. Undoubtedly, these are issues that can be very
different in each country, and require a process of prior information and knowledge that
can lead to tensions, delays or even suspend the FDI operation. Therefore, it is very
important that all companies understand these obstacles and internalize them in their
study strategy to settle in a Latin American country.
On the other hand, the results obtained by the majority of Spanish companies in Latin
America have been satisfactory. The vast majority point out that thanks to their
investments in Latin America, they have increased their sales, profits and market share.
However, the most highlighted aspects by Spanish businessmen are the long-term
component of these investments, with clear benefits in terms of improving business
reputation and better future business prospects. For these companies, their presence in
Latin America has increased their growth potential and the possibilities arising from using
certain countries there as a platform for expansion to third markets. In particular, the
interest in reaching strategic agreements between Spanish and Latin American
companies for joint access to other markets is beginning to emerge, an aspect of special
relevance to enter dynamic markets such as the Asian.
In short, Spanish companies in Latin America highlight their interest to stay in the area,
their desire to be rooted in Latin American society and their firm commitment to its
culture and customs.
Finally, it is worth noting the existence of efficient support institutions and appropriate
commercial policies as relevant aspects of the Spanish companies’ internationalization
process in Latin America, especially for smaller companies.
Conclusion
Latin America has been a priority destination for Spanish companies since the end of the
20th century. In fact, in spite of the moderation during the years of economic crisis
experienced in Spain between the end of the last decade and the middle of the current
one, and of the gloomy perspectives of the UNCTAD for the area, since 2010 the Spanish
presence has experienced remarkable growth, both regarding investment volume and
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 112-124
The investment of Spanish companies in Latin America, patterns and determining features
Gonzalo Solana González, Rafael Myro Sánchez
123
the number of companies located there. Latin America continues to be a priority
destination for the investments of Spanish companies, attesting their commitment to the
development of this continent.
Recent Spanish FDI is significant in Latin America (with a particular presence in Brazil,
Mexico, Venezuela, Chile, and Argentina) and in certain economic sectors. Some
weaknesses of the Spanish FDI were related to their excessive concentration at sector,
business and geographical levels.
From the point of view of the patterns and motivations for the establishment of Spanish
companies in Latin America, one can see the attractiveness that these markets offer due
to their dynamism, driven by the growth of the middle classes and the needs to improve
their basic infrastructure. In addition, all this is driven by the relevance of cultural
proximity to undertake investments there. It is also important to highlight the firm
commitment to permanence and integration of Spanish companies in the context of the
country in Latin America where they are located.
Spanish FDI in Latin America is characterized by its higher relative performance
compared with that obtained in other parts of the world, something recognized and
valued by companies. At the same time, Spanish companies have acquired an intangible
knowledge and international experience that allow them to expand to other markets and
improve their competitive capacity.
Faced with certain obstacles, Spanish companies interested in productive investment in
Latin America must gather prior information and knowledge, contact partners at
destination, and get closer to the support institutions and entities present in these
countries, which can provide assistance and help with the bureaucracy.
Regarding future research, it would be interesting to analyze the divestment dynamics
that could be occurring in some destinations, as the negative results of the investment
stock show. For this purpose, the FDI sector dimension could be further studied, as well
as the influence seen in other countries regarding the reversion of industrial relocation
processes, with the possible return of foreign investment to the country of origin (linked
to the influence of Industry 4.0).
Ultimately, the intense cultural and economic links between Latin America and Spain
open up numerous opportunities for collaboration between companies from both areas
to face the challenges of globalization and access to other markets, figuring as a priority
in the political agendas of the governments on both sides of the Atlantic.
References
Álvarez, Elisa; Myro, Rafael and Vega, Josefa (2016). La inversión de las empresas
españolas en el exterior ¿Se reinicia la gran ola expansiva? In: Papeles de Economía
Española, No. 150, pp. 2-19.
Cerón, Juan Antonio; García, Sofía; Salas, Álvaro and Vicéns, José (2014). La aportación
de las empresas españolas a las economías de Latinoamérica: un balance. In:
Documentos Instituto Estudios Fiscales, No. 13/2014, pp. 1-162.
Fariñas, José Carlos and Martín Marcos, Ana (2012). Multinacionales españolas y
extranjeras: algunos rasgos comparativos. In: Economistas, No. 130, pp.127-137.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 112-124
The investment of Spanish companies in Latin America, patterns and determining features
Gonzalo Solana González, Rafael Myro Sánchez
124
Fouquin, Michel and Hugot, Jules (2016). Two centuries of bilateral trade and gravity
data: 1827-2014. In: Working Papers CEPII research center, No. 2016-14, pp. 1-39.
Gordo, Esther and Tello, Patrocinio (2008). Determinantes microeconómicos de la
decisión de localización de la inversión directa en el exterior de las empresas españolas.
In: Boletín Económico del Banco de España, No. 9, pp. 61-74.
Martí, Josep; Alguacil, Maite and Orts, Vicente (2013). Where do foreign affiliates of
Spanish multinational firms locate in developing and transition economies? In:
Department of Economics Working Paper, Universitat Jaume I, No. 2013/19, pp. 1-30.
Martínez Martín, Jaime (2011). General equilibrium long-run determinants for Spanish
FDI: a spatial panel data approach. In: Series, Vol. 2, pp. 305-333.
Ministry of Industry, Trade and Tourism of Spain - Ministerio de Industria, Comercio e
Industria (2017). Registro de Inversiones Exteriores.
Myro, Rafael (2014a). Determinantes y efectos de la inversión directa española: una
revisión de la literatura. In: Myro, Rafael (2914). España en la Inversión Directa
Internacional. Capítulo 10. Madrid. Ed. Instituto Estudios Económicos, pp. 378-439.
Myro, Rafael (2014b). España en la Inversión Directa Internacional. Madrid. Ed. Instituto
de Estudios Económicos, 604p.
Ramírez, Marisa, Delgado, José Manuel and Espitia, Manuel (2004). Destino de las
inversiones españolas: países industriales versus países en desarrollo. In: Revista de
Economía Aplicada, Vol. XII, No. 34, pp. 127-140.
Ramírez, Marisa, Delgado, José Manuel and Espitia, Manuel (2006). La
internacionalización de las empresas españolas, 1993-1999; un estudio de los factores
de localización. In: Moneda y Crédito, segunda época, No. 222, pp. 167-214.
Solana, Gonzalo (2017). La inversión de las empresas españolas en el exterior. Una
decidida apuesta por la internacionalización. Madrid. Mc Graw Hill, 148p.
UNCTAD - United Nations Conference on Trade and Development (2017). World
Investment Report 2017. New York and Geneva. Ed. United Nations Publication, 232p.
OBSERVARE
Universidade Autónoma de Lisboa
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 125-142
!
INTERNATIONAL MOBILITY OF A COMMUNITY OF STUDENTS FROM THE
UNIVERDADE DO ALGARVE
Margarida Viegas
mmviegas@ualg.pt
Adjunct Professor of Applied Quantitative Methods at the Universidade do Algarve’s School
of Management, Hospitality and Tourism (ESGHT-UAlg, Portugal). She holds a degree
in Engineering of Decision Systems from ISMA-COCITE and a post-graduate in Financial
Management from UAlg and in Strategic Direction and e-Business from the Universidad
de Huelva. She also has a master’s in Statistics and Information Management from
ISEGI-Universidade Nova de Lisboa and a PhD in Management and Economics of Small and
Medium Enterprises from the Universidad de Huelva, which distinguished her thesis with
the Extraordinary PhD Award.
Rita Baleiro
rbaleiro@ualg.pt
PhD and master’s in Anglo-Portuguese Studies by the Faculty of Social Sciences and Humanities
of the Universidade Nova de Lisboa (UNL, Portugal). She is an Adjunct Professor at the
Universidade do Algarve’s School of Management, Hospitality and Tourism. She is an integrated
member of the Centre for Comparative Studies of the Faculty of Arts at the Universidade
de Lisboa, collaborator of the Centre for English, Translation and Anglo-Portuguese Studies
at UNL and member of the Research Group of Tourism, Space and Urbanities of the Universidade
Federal do Rio de Janeiro. She has been co-editor of Dos Algarves: A Multidisciplinar e-Journal
since 2007.
Abstract
This study compiles data on the mobility of a group of Portuguese public higher education
students. It aims to understand how these young people are seeing their professional future
and the hypothesis of international labour and academic mobility in a period of economic
and social crisis. Based on data from a survey applied to 425 students of the Universidade
do Algarve in 2016, their predisposition for mobility is analysed according to their
professional perspectives, demographic characteristics and language skills. The results show
that most of the respondents (69.6%) consider the possibility of working abroad and that
this intention is motivated by the disbelief of reaching, in Portugal, work that provides
stability and security, good remuneration conditions and social prestige. The possibility of an
international academic experience, considered by 60.7% of the students, is not associated
with the benevolent self-assessment of language skills. However, in the case of labour
mobility, it was seen that this predisposition is greater amongst those who express greater
confidence in their English skills.
Keywords
International mobility; students; Universidade do Algarve; economic crisis; Portugal
How to cite this article
Viegas, Margarida; Baleiro, Rita (2019). "International mobility of a community of students
from the Universidade do Algarve". JANUS.NET e-journal of International Relations, Vol. 10,
N.º 1, May-October 2019. Consulted [online] on the date of the last visit,
https://doi.org/10.26619/1647-7251.10.1.9
Article received on January 16, 2018 and accepted for publication on February 22, 2019
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 125-142
International mobility of a community of students from the Universidade do Algarve
Margarida Viegas, Rita Baleiro
!
126
!
INTERNATIONAL MOBILITY OF A COMMUNITY OF STUDENTS FROM THE
UNIVERDADE DO ALGARVE
1
Margarida Viegas
Rita Baleiro
1. The economic and financial crisis of 2008 and the international
mobility of Portuguese university students
At the beginning of the first decade of the 21
st
century, when the Portuguese pondered
the issue of emigration in Portugal, the most probable conclusion was that this type of
migratory movement had reached its peak in the 1950s and 1960s, and that in the
beginning of the 21
st
century the focus of attention would be precisely the opposite
movement: immigration. In fact, as Jorge Malheiros points out, between the beginning
of the 1990s and the middle of the 2000s, for both the political class and the academia,
Portuguese emigration had become almost invisible regarding migratory phenomena
(2011: 133). It was because Portugal benefited from the status of an economically
prosperous and stable country, where immigration
2
was more aspired than emigration.
However, the crisis of 2008 changed this situation. In 2016, when this study was
carried out, Portugal was still experiencing the effects. In fact, the bankruptcy of the
investment bank Lehman Brothers on September 15, 2008, triggered the domino effect
that led to the collapse of the speculative bubble in the real estate
market, boosted by
the huge increase in bank credit and the creation and application of new financial
instruments. As a consequence, the credit suspension caused a sharp crash in industrial
production and international trade. In Portugal, these effects along with austerity
policies – rising taxes, prices, freezing of wages, etc. from 2010 have led to the erosion
of employment opportunities for all, with particularly harmful impacts on the youth,
which corresponds to the ones who were starting professional paths (see Carneiro,
Portugal & Varejão, 2014).
Between 2008 and 2013, the general unemployment rate in Portugal almost doubled,
from 7.6% to 16.2% (see Table 1), whilst in the age group “under the age of 25 years”
it changed from 16.7% to 38.1% In 2016, the year when this study was conducted, the
same database estimated that the youth unemployment rate (under 25 years’ old) was
!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
1
The translation of this article was funded by national funds through FCT - Fundação para a Ciência e
a Tecnologia - as part of OBSERVARE project with the reference UID/CPO/04155/2019, with the aim of
publishing Janus.net. Text translated by Thomas Rickard.
2
About the immigration movement to Portugal, see J.M. Malheiros & A. Esteves (2013). Diagnóstico da
população imigrante em Portugal: Desafios e potencialidades. Lisboa: Alto Comissariado para a Imigração
e Diálogo Intercultural.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 125-142
International mobility of a community of students from the Universidade do Algarve
Margarida Viegas, Rita Baleiro
!
127
!
28.0%. Therefore, there was a decrease compared to previous years, as it happened in
the euro area, where the unemployment rate changed from 22.2%, in 2015, to 20.7%,
in 2016.
Table 1. Unemployment rate in Portugal: Total and by age group (%)
Years
Age Groups
Total
<25
25-54
55-64
2004
6.6
15.4
6.0
5.5
2005
7.6
16.2
7.2
6.1
2006
7.6
16.5
7.3
6.3
2007
8.0
16.7
7.8
6.5
2008
7.6
16.7
7.2
6.6
2009
9.4
20.3
9.2
7.6
2010
10.8
22.8
10.7
8.9
2011
12.7
30.2
11.9
10.8
2012
15.5
37.9
14.7
12.7
2013
16.2
38.1
15.5
13.7
2014
13.9
34.8
12.7
13.5
2015
12.4
32.0
11.2
12.4
2016
11.1
28.0
10.0
11.6
Source: Pordata (last update in March 22, 2017).
Even when the general unemployment rate decreases, the youth unemployment
remains high, in addition to the fact that most employment opportunities for young
people correspond mainly to temporary jobs (Silva & Abrantes, 2017: 1336). The
investigations that analysed the Portuguese employability and the youth pointed out
that, in addition to the high unemployment rates, there are increasing wage inequalities
(Carmo, Cantante & Alves, 2014) and much precariousness (Alves, Singer, Baptista &
Carmo, 2011). This latest study by the Observatório das Desigualdades (Observatory of
Inequalities) also noted that precariousness is not confined to the labour issue and
affects the multiple dimensions and sectors of the social life of the youth.
Within this national context, between 2010 and 2016, around 96,000 Portuguese
emigrated each year – the peak was registered in 2014, with the departure of 134,624
Portuguese citizens.
3
According to data collected on the website of the Observatório da
Emigração (Observatory of Emigration), which cited data from the United Nations, in
2015 the percentage of Portuguese emigrants living in Europe was 62%, whilst in 1990
it was 53%. Besides this sudden and high number of emigrants, it should be noted, as
Jorge
Malheiros points out, that this migrant movement is distinct from that of the
1960s and 1970s: (i) Europe is a diverse emigration space, since it is an area of free
!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
3
See “Estimates of the total Portuguese emigrants, 2000-2015” at the Observatory of Emigration.
Accessed on July 18, 2017.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 125-142
International mobility of a community of students from the Universidade do Algarve
Margarida Viegas, Rita Baleiro
!
128
!
movement and (ii) “a substantial part of this emigration takes on a temporary and not
a definitive logic, which is also favoured by the possibilities of free movement” (2011:
135).
As already mentioned, this investigation took place in 2016, the eighth year of the
greatest financial crisis since the Great Depression of 1929. The country was
experiencing economic crisis and the consequences of austerity measures imposed by
the triad of the International Monetary Fund, European Central Bank and European
Commission. All these factors have had serious implications on the lives and life
prospects of many young Portuguese graduates: discouragement, job insecurity and
unemployment (Cairns, 2015: 10; Cairns, 2017: 340).
There are several studies that registered the impact of the economic crisis on the lives
of young Europeans at the beginning of the 21
st
century (see Cairns, 2017;
Papadopoulos, 2014; Dietrich, 2013; Aassve, Cottini & Vitali, 2013; Bell &
Blanchflower, 2011; Scarpetta, Sonnet & Manfredi, 2010). During the economic crisis,
the overall unemployment rate in Europe increased by 3.3% between 2007 and 2013,
whilst the youth unemployment increased further, reaching 7.3% in the 20-24 age
group and 5.1 % for those between 25-29 years of age (see
OECD, 2013). That is, on
the Old Continent the percentage of young people (20-24 years) unemployed reached
levels higher than double the overall percentage of unemployment. This trend has been
observed in several European countries, such as the Republic of Ireland, Greece,
Cyprus, Spain. Germany was the only exception as its youth unemployment rate (20-
24 years) decreased by 3.3% between 2007 and 2012 (i.e. from 9.8% to 6.5%) (see
OECD, 2013). Despite the differential impact of the crisis, previous studies show that
international labour mobility after graduation is one of the most frequent options in the
vast majority of countries, even though it is transitory.
Mobility is understood here as the geographical movement between borders, for
countries other than the one of origin, with a minimum stay of two weeks (Kmiotek-
Meier, Carignani & Vysotskaya, 2019: 32). At this point, it is also crucial to distinct
between “mobility” and “emigration” as there has been a change in terminology in
recent years and the first term is preferable to the second, according to King, Lulle,
Morosanu and Williams (2016: 8). This change is due to the fact that mobility is a
politically more neutral term whereas emigration
has a long past and is seen in many
countries as a threat (King & Lulle, 2016: 30-31). Thus, emigration implies a
displacement to a country where one stays for longer periods of time – sometimes even
permanently – whilst mobility is characterised by a more transient movement.
Engbersen and Snel (2013) suggest the term “liquid migration” to refer to this type of
intra-frontier displacement in European Union, which currently has various forms: work
trips, academic/professional internships, study programs, exchanges of various type,
among others. King, Lulle, Morosanu and Williams (2016: 9) observed a tendency in
Europe for the use of the term “mobility” when describing movements between
European countries – since it is more suitable for the motto of “freedom of movement”
– and the use of “emigration” to indicate displacements outside the European area.
At this point, it is also worth clarifying the term “youth”. Like the other age categories –
childhood, middle age or old age – youth is a socially and culturally constructed
category and not a concept defined chronologically, and there is no unanimity about it.
In other words, youth/young is a plastic, contextual, situational and, above all, a
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 125-142
International mobility of a community of students from the Universidade do Algarve
Margarida Viegas, Rita Baleiro
!
129
!
relational concept as it is defined in relation to – or to the transition between – another
age category (King, Lulle, Morosanu & Williams, 2016: 9).
According to Pordata
4
data, the highest rate of youth mobility was registered in 2012,
including people in the 15-19, 20-24 and 25-29 age groups. Amongst them, the highest
number corresponds to the 25-29 age group, and there is a decreasing trend from
2012 onwards (see Table 2).
Table 2. Portuguese mobility numbers by age group (2008-2015)
Total
15-19
20-24
25-29
30-34
35-39
40-44
45-49
50-54
55-59
60-64
65+
2008
20.357
1.251
4.393
5.377
3.124
1.512
868
237
7
0
0
0
2009
16.899
1.039
3.649
4.465
2.593
1.256
720
196
6
0
0
0
2010
23.760
1.460
5.127
6.276
3.644
1.765
1.013
277
8
0
0
0
2011
43.998
3.277
6.237
6.097
5.075
3.952
3.044
3.032
1.520
611
118
553
2012
51.958
4.378
10.563
11.022
7.184
5.383
3.753
3.505
1.579
990
248
510
2013
53.786
2,775
9.722
8.917
6.303
5.821
5.499
4.898
3.047
1.774
942
1.827
2014
49.572
2.661
8.776
8.122
5.596
5.250
5.159
4.588
3.040
1.723
964
1.776
2015
40.377
2.705
7.266
8.146
5.601
4.189
3.652
3.147
1.878
1.048
290
356
Source: Pordata (last update in October 28, 2016).
In the book Return to the future: The new emigration and the Portuguese society,
researchers identify two trends: one of those moving to other European countries (the
youngest and the less educated) and those moving outside Europe (the less young and
more skilled). The same study shows that, generally, Angola, Mozambique, Brazil and
the United Kingdom are the destination for the most qualified individuals, and that in
2015 the United Kingdom was the country where most Portuguese emigrated: 32,300
(see Observatory of Emigration). On the other hand, the flow to Angola and
Mozambique is more appealing to less-young professionals and is closely associated
with transfers of employees from Portuguese companies. The book also denies that
Portugal has lost half a million people to emigration since the beginning of the crisis, as
the media sometimes affirms (see Santos, 2016). In fact, although the INE counts
485,128 displacements between 2011 and 2014, many of them last less than one year
– between 2011 and 2016, this type of movement rose from 56% to 63%. Despite this
aspect as well as the return of some of those who had left, the truth is that during the
financial and economic crisis an unprecedented number of recent graduates leaving
Portugal was observed. It was in this context and before this evidence that this study
was carried out.
The article is structured into four sections. In this first one, which also corresponds to
the introduction, the European and Portuguese context during the economic and
financial crisis in relation to the unemployment and emigration number was generally
presented, since it was during this period that the survey was applied. In addition, the
main studies that analysed the effects of the economic crisis on European youth were
!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
4
Data verified according to the numbers made available by the Instituto Nacional de Estatística (INE) – the
National Statistical Institute of Portugal.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 125-142
International mobility of a community of students from the Universidade do Algarve
Margarida Viegas, Rita Baleiro
!
130
!
introduced and the concepts of mobility and youth were defined. In the second section,
the objectives of the study, research design, data collection instrument, process and
context of the survey application are described. Subsequently, the results are
presented. In the last section, the main conclusions and limitations of this study are
highlighted as well as the possibilities of future investigations.
2. Methodology
2.1. Study objectives
This study intends to analyse the perceptions of the students of the School of
Management, Hospitality and Tourism of the Universidade do Algarve (ESGHT-UAlg)
regarding their professional future and perspectives on international mobility. This
school was chosen because it is the one with the highest number of students at this
public university (approximately 2,000 students). Thus, the study objectives are:
⇒ to analyse the professional perspectives, both in general terms and in relation to the
national labour market, and to identify in what aspects they differ;
⇒ to examine the relationship between the various professional aspects considered and
the predisposition for international labour mobility;
⇒ to characterise the predisposition for international mobility, both labour and
academic, according to demographic characteristics and language skills.
2.2. Research design
This research was based on an ex post facto and descriptive design, using a probing
survey as a method of collecting primary data. The fourteen questions included in the
questionnaire, resulting from bibliographic research and consultation of similar studies,
are grouped into four sections: professional perspectives; international mobility (labour
and academic); language skills and demographic characteristics (age, gender, course,
year).
Regarding
professional perspectives, two Likert-type scales are used to assess both the
importance that respondents generally attribute to certain aspects of working life (1 -
not important to 5 - extremely important) and to the perspective of having a future
work in Portugal (1 - very bad to 5 - very good). The aspects considered are:
employment opportunities; stability and security; remuneration conditions; possibility
of career ladder; good relationship with colleagues and superiors; flexible hours; work
that safeguards health and well-being; work with social prestige.
In the section on international mobility, respondents indicated if they have studied or
considered studying abroad (international academic mobility) as well as if they have
considered the possibility of working abroad (international labour mobility). If so, they
had to rank their three preferred countries; and, if not, they had to indicate the
influence that the recent terrorist attacks in European cities could have on this decision
(none, a little, much). They were also asked to: identify family members with
emigration experience (current or past); associate a word with “emigration”; and
express their level of agreement with the statement “Two years from now the crisis will
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 125-142
International mobility of a community of students from the Universidade do Algarve
Margarida Viegas, Rita Baleiro
!
131
!
have ended and the employment situation in Portugal will be better than today”, (1 -
strongly disagree to 5 - completely agree).
In relation to language skills, respondents were asked to indicate the number of failures
to curricular units of languages and the classification obtained in those they concluded.
They should also self-assess their knowledge of English, German and Spanish
(insufficient, sufficient, good or excellent) and indicate an English language certification
exam.
2.3. Data collection and sample characterisation
As already mentioned, the target population was the students of the ESGHT-UAlg. This
institution is located in Faro, the capital of the province of Algarve: the southernmost
province of Portugal and the most touristic region of the country. The university, one of
the fourteen Portuguese public universities, was created in 1979 and brings together
two pre-existing institutions: the Universidade do Algarve (University of Algarve) and
the Instituto Politécnico de Faro (Faro Polytechnic Institute).
The questionnaire was applied to a non-probabilistic sample of convenience to 425
students from the three years of the ESGHT-UAlg (Management, Tourism, Marketing
and Hotel Management) degrees (see Table 3). The application was carried out in a
classroom situation in two different moments: in January and June, 2016. The collected
data were individually verified and analysed through the SPSS vs. 23 program.
Table 3. Distribution of students by degree and year of undergraduate degree
Course
Total
Students / Year
Number of
students
% Students
1st
2nd
3rd
Management
143
33.6
33.3%
26.92%
44.71%
Tourism
121
28.5
31.43%
33.08%
14.12%
Marketing
72
16.9
13.81%
21.54%
17.65%
Hotel Management
89
20.9
21.43%
18.46%
23.53%
3. Results presentation
5
3.1. Characterisation of the respondents
The average age of the students surveyed was 22 years, with no significant differences
between the various courses (Table 4). For the first years, the average age for all
courses is 21 years old; and for the second, it is 22 years old in Management and
Tourism and 21 in Marketing and Hotel Management. There is no significant differences
in both cases (Kruskall-Wallis tests with p = 0.51 and 0.50, respectively).
!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
5
All tests presented are performed with a significance level of 5%.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 125-142
International mobility of a community of students from the Universidade do Algarve
Margarida Viegas, Rita Baleiro
!
132
!
Table 4. Average age per course
Course
Average age
Kruskall-Wallis
X
2
p
Management
22
6.13
0.11
Tourism
22
Marketing
21
Hotel Management
21
Regarding the third years, the students of Management have an average age above the
global average and significantly higher than the ones of Tourism and Hotel
Management (Table 5).
Table 5. Average age for 3rd year
Course (3rd year)
(𝑿
=24)
Average age
Kruskall-Wallis
Fisher's LSD
X2
p
Management
25
9.96
0.02
Gestão ≠ Tur; GH
Tourism
22
Marketing
24
Hotel Management
23
Although weak (V of Cramer = 0.2), there is an association between the gender of the
students and the course attended (Chi-square = 17.68; p = 0.001), especially for
Management as it is the only one to present a majority of male students. All the
courses are mostly attended by female students, with the highest percentage in
Tourism (see Table 6).
Table 6. Distribution of students by degree and gender
Course
Gender
%
Management
Female
45.5%
Male
54.5%
Tourism
Female
69.2%
Male
30.8%
Marketing
Female
65.3%
Male
34.7%
Hotel Management
Female
52.8%
Male
47.2%
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 125-142
International mobility of a community of students from the Universidade do Algarve
Margarida Viegas, Rita Baleiro
!
133
!
3.2. Professional perspective and predisposition for international labour
mobility
In relation to their future professional life, the factors most valued by students – both
in general terms and in each course – are employment opportunities and the possibility
of career ladder, followed by stability and security, and fourthly the remuneration
conditions. The same aspects, when evaluated from the perspective of professional life
in Portugal, present significantly lower values. Amongst them, the best-classified ones
are related to the good relationship with colleagues/superiors and the safeguard of
health and well-being (Table 7).
Table 7. Valorisation of professional aspects
Perspective of future professional life
Average Values
Test t paired samples
General
(4.41)
Portugal
(3.24)
t
p
Employment opportunities
4.54
3.19
25.30
0.00
Stability and security
4.29
3.30
17.44
0.00
Remuneration conditions
4.21
2.97
20.49
0.00
Possibility of career ladder
4.43
3.13
23.12
0.00
Good relationship with colleagues and superiors
4.19
3.70
10.93
0.00
Flexible hours
3.69
3.17
10.61
0.00
Safeguard of health and well-being
4.17
3.49
13.68
0.00
Social prestige
3.30
2.96
6.99
0.00
When evaluated from the perspective of the professional future, none of these aspects
are associated with the predisposition for international labour mobility as well as in
relation to a professional future in Portugal. In this perspective, there is a dependence
between this predisposition and the evaluation of the aspects “Stability and security”,
“Remuneration conditions” and “Social prestige” (respectively: X
2
= 10.81, p = 0.03; X
2
= 14.64, p = 0.06; X
2
= 12.95, p = 0.01). The lower the rating the respondents
attribute to them, the greater the percentage of those who say they consider working
abroad.
Although there is no association between the possibility of mobility and the gender of
the students, it was found that – contrary to the results found by Cairns (2017), in
which only 35% of Portuguese students say they want to leave the country – the
majority (69.6%) of our respondents consider this possibility, which is observed for
both girls (66.8%) and boys (73.2%). In Cairns’s study (2017: 342), female students
are the ones who most consider international mobility (57% versus 43%).
The predisposition for international labour mobility, according to the students’ ages, is
higher in the younger students (Table
8).
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 125-142
International mobility of a community of students from the Universidade do Algarve
Margarida Viegas, Rita Baleiro
!
134
!
Table 8. Labour mobility by age
Age range
(X
2
=8.73; p=0.00)
Possibility of working abroad
Yes
No
< 25 years old
71.7%
28.3%
≥ 25 years old
51%
49%
(% by line)
More specifically, those between the ages of 20 and 24 have a more expressive
predisposition. According to the Organisation for Economic Co-operation and
Development – OECD (2013), this age group suffered the greatest worsening in the
unemployment rate between 2007 and 2013 (Table 9).
Table 9. Labour mobility by age group
Age range
(X
2
=9.80; p=0.02)
Possibility of working abroad
Yes
No
< 20 years old
69.7%
30.3%
20-24 years old
74.8%
25.2%
25-29 years old
51.9%
48.1%
> 29 years old
50%
50%
(% by line)
Although in all courses most students indicate that they consider working abroad, the
application of the Chi-square test indicates that these variables are not independent.
Even though the association between them is weak (Cramer’s V = 0.23), it can be
concluded that Management students have a lower predisposition for an international
work experience, since they are the ones who register a less expressive majority (Table
10). This situation may not be unrelated to the fact that this is the course of the
ESGHT, that has the lowest level of unemployment (5.5%), according to data from the
Directorate-General of Education and Science (2016).
Table 10. Job mobility per course
Course
(X
2
=22.30; p=0.00)
Possibility of working abroad
Yes
No
Management
56.7%
43.3%
Tourism
80.2%
19.8%
Marketing
64.8%
35.2%
Hotel Management
79.5%
20.5%
(% by line)
Both for these courses and all the students surveyed, the preferential countries are the
United Kingdom (32.8%), the United States (12.3%) and Germany (10.6%), countries
not so strongly affected by the economic crisis of 2008 – similar to what Cairns (2017:
344) observed. Compared to these countries and according to the typology presented
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 125-142
International mobility of a community of students from the Universidade do Algarve
Margarida Viegas, Rita Baleiro
!
135
!
by Hemming, Schlimbach, Tilmann, Nienaber, Roman and Skrobanek (2019: 49),
Portugal is classified as a “beneficiary of mobility”, presenting a reduced capacity to
produce human capital
6
but largely benefiting from the development of this capital in
young people who experience mobility.
Confronting the results with those reported by Cairns (2017: 343), it was found that
our respondents, when asked about the country of preferential destination, seem to
give less importance to the fact that English is spoken there (54.0%), a much inferior
value than what the author indicated (87%).
One of the questions in the questionnaire required students to freely associate a word
with the word “emigration”. All the words indicated by the students are positive:
“opportunity” (22.6%), “work” (8.4%) and “better life” (8.1%), which can be
understood as a sign of an optimistic attitude towards the perspective of leaving
Portugal.
From the 128 (30.1%) students who do not consider working abroad, the majority are
female (62.5%), under 25 years old (81.3%), and most of them attend (47.7%) the
Management course. Concern over recent terrorist attacks is not a relevant factor for
this option because the overwhelming majority (82%) say that this factor has little or
no influence.
When
asked about their agreement with the statement “Two years from now the crisis
will have ended and the employment situation in Portugal will be better than today”, it
was found that only 17% of students believe that the crisis and unemployment
situation will be resolved in the near future – a result lower than the 21.6% obtained by
Lobo, Ferreira and Rowland (2015) – for residents in Portugal above 15 years old.
3.3. Predisposition for international academic mobility
The area of Migration Studies deals with the analysis of the cross-border circulation of
young people who attended or have recently attended higher education. Within this
area, there is the field of research on International Student Mobility (ISM), which
analyses the displacement of young people, either to study at a foreign university or to
undertake an internship outside their country. In general, this mobility is due to
European mobility programs such as Erasmus of the European Commission (see
Gonzalez, Mesanza & Mariel, 2011; and Oborune, 2013, for example). Another focus of
ISM research is those students who choose to study abroad for longer periods of time
than European agency programs allow. In these cases, students rely on the help of
their parents and/or the nearest family, or travel on their own, as they often choose to
work before studying abroad (see, for example, Altbach & Knight, 2007; and Smith,
Rérat & Sage, 2014).
According to the International Organisation for Migration (2018) report, students’
international academic mobility increased globally from around 3.9 million in 2011 to
4.8 million in 2017.
In this study, the majority (60.67%) of the students interviewed consider the possibility
of studying abroad, and the same was verified in each of the courses. In spite of the
!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
6
Hemming, Schlimbach, Tilmann, Nienaber, Roman and Skrobanek (2019: 46) define human capital as a
set of skills that contribute to labour productivity and in which individuals can invest.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 125-142
International mobility of a community of students from the Universidade do Algarve
Margarida Viegas, Rita Baleiro
!
136
!
weak association (Cramér’s V = 0.16), the Chi-square test indicates, however, that the
predisposition to study abroad is not independent from the course. It was verified that
Management students, along with the ones from the highest age group (Table 12), are
those who are less likely to have an international student experience (Table 11).
Table 11. Student mobility per course
Courses
(X
2
=11.00; p=0.01)
Possibility of studying abroad
Yes
No
Management
50.7%
49.3%
Tourism
61.0%
39.0%
Marketing
68.6%
31.4%
Hotel Management
70.1%
29.9%
(% by line)
Table 12. Student mobility by age
Age range
(X
2
=6.10; p=0.01)
Possibility of studying abroad
Yes
No
< 25 years old
63.1%
36.9%
≥ 25 years old
45,1%
54.9%
(% by line)
Despite the weak association (Phi = 0.25), the majority (68.5%) of students who
consider the possibility of working abroad also consider the possibility of studying
abroad (Table 13).
Table 13. Student/Professional mobility
Working abroad
(X
2
=24.91; p=0.00)
Studying abroad
Yes
No
Yes
68.5%
31.5%
No
42.5%
57.5%
(% by line)
3.4. International mobility and languages
With regard to students’ self-assessment of their language skills, the majority (70.5%)
of them have a “good” and “excellent” level only in English; whilst 44.3% and 3.6% in
Spanish and German respectively (Table 14).
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 125-142
International mobility of a community of students from the Universidade do Algarve
Margarida Viegas, Rita Baleiro
!
137
!
Table 14. Self-assessment of English, German and Spanish skills
Self-assessment of language skills
English
German
Spanish
Insufficient
5%
78.2%
13.8%
Sufficient
24.5%
18.2%
41.9%
Good
48.0%
3.6%
34.8%
Excellent
22.5%
0.0%
9.5%
(% by column)
Analysing the self-assessments of each language by course, it can be observed, for
English and German, an association, although weak, between these two variables
(contingency coefficient, respectively, of 0.23 and 0.37). In the case of English
language, most of the evaluations are “good”, with a greater percentage of “good” and
“excellent” in the courses of Hotel Management and Tourism (Table 15).
Table 15. Self-assessment of English skills by course
Course
(X
2
=23.62; p=0.00)
Self-assessment of English skills
Insufficient
Sufficient
Good
Excellent
Management
6.3%
33.8%
47.2%
12.7%
Tourism
6.7%
17.6%
46.2%
29.4%
Marketing
2.8%
25.0%
43.1%
29.2%
Hotel Management
2.3%
18.2%
55.7%
23.9%
(% by line)
There was no “excellent” evaluation for German language, and the majority was
classified as insufficient. Once again, it is in the courses mentioned above that the best
results were found (Table 16).
Table 16. Self-assessment of German skills by course
Course
(X
2
=66.39;
p=0.00)
Self-assessment of German skills
Insufficient
Sufficient
Good
Management
92.1%
5.7%
2.1%
Tourism
59.7%
31.9%
8.4%
Marketing
95.8%
2.8%
1.4%
Hotel Management
67.0%
31.8%
1.1%
(% by line)
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 125-142
International mobility of a community of students from the Universidade do Algarve
Margarida Viegas, Rita Baleiro
!
138
!
Regarding failures in language disciplines, the majority (79.4%) of the students
surveyed, both in global terms (Table 17) and in each of the courses (Table 18), never
failed.
Table 17. Failures in Curricular Language Modules
Curricular Units of Languages
Never failed
79.4%
Failed one
10.6%
Failed twice
5%
Failed more than twice
5%
(% by column)
Although the association between the course and the number of failures (Coef
Contingency = 0.29) is weak, the application of the Chi-square test indicates that the
variables are not independent, which leads us to conclude, based on the contingency
table below (Table 18), which is in the courses of Tourism and Hotel Management that
there is a greater frequency of two or more disapprovals.
Table 18. Failures in Languages by Course
Course
(X
2
=17.73; p=0.04)
Situation regarding language disciplines
Never failed
Failed one
Failed twice
Failed more than
twice
Management
89.9%
7.2%
1.4%
1.4%
Tourism
74.5%
12.7%
7.3%
5.5%
Marketing
87.5%
9.4%
0.0%
3.1%
Hotel Management
62.8%
14.0%
11.6%
11.6%
(% by line)
The overwhelming majority (91%) of students declared that they have never taken an
English language certification exam. Although this certificate is independent of the
course attended (X
2
= 4.29, p = 0.23), the percentage of certificate amongst Hotel
Management students is higher (Table 19).
Table 19. English Language Certifications
Courses
English language certificate
No
Yes
Management
92.1%
7.9%
Tourism
92.4%
7.6%
Marketing
93.1%
6.9%
Hotel Management
85.4%
14.6%
(% by line)
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 125-142
International mobility of a community of students from the Universidade do Algarve
Margarida Viegas, Rita Baleiro
!
139
!
When analysing the relationship between the predisposition for international labour
mobility and languages, an association, although weak (Phi = 0.18), was identified only
for the self-assessment of English language. There is a greater predisposition for this
experience amongst students who best assessed their knowledge in this language
(Table 20).
Table 20. Job mobility / Self-assessment of English
Self-assessment of
English (X
2
=24.44;
p=0.00)
Possibility of working abroad
Yes
No
Insufficient-Sufficient
52.4
47.6
Good-Excellent
76.8
23.2
(% by line)
With respect to international student mobility, there was no association between the
predisposition to study abroad and the students’ confidence in their language skills for
any of the languages considered (English: X
2
= 4.13, p = 0.25; German: X
2
= 0.09, p
= 0.96; Spanish: X
2
= 1.34, p = 0.72).
Conclusions
The job aspects most valued by the students surveyed, both in global terms and in
each of the courses, are “job opportunities” and “possibility of career ladder”, followed
by “stability and security”, and, only in the fourth place, by “remuneration conditions”.
The same aspects, when evaluated from the perspective of a professional future in
Portugal, present significantly lower values. Amongst them, the most highly rated are
“good relationship with colleagues/superiors” and “health and well-being”. However,
these are not amongst the most important aspects for the respondents.
Although all aspects of the national labour market are worse classified, only the low
expectations regarding “stability and security”, “remuneration conditions” and “social
prestige” influence the predisposition for international labour mobility.
Contrary to the results found by Cairns (2017), the majority (69.6%) of the students
stated that they considered working abroad, which is observed for
both female (66.8%)
and male (73.2% %). This predisposition is higher in those between the ages of 20 and
24, precisely the age group that, according to the OECD (2013), experienced the
greatest worsening in the unemployment rate between 2007 and 2013. From the
preferential destinations, most of them (54%) are English-speaking, with the UK in first
place. It should be remembered this English is the only language with a majority
(70.5%) of “good” and “excellent” assessments.
The main words associated with the term “emigration” have a positive connotation
(“opportunity”, “work”, “better life”). Taking into account that the words we choose
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 125-142
International mobility of a community of students from the Universidade do Algarve
Margarida Viegas, Rita Baleiro
!
140
!
illuminate the view we have of a certain reality, it is possible to conclude that, for the
students interviewed, the mobility perspective is fundamentally positive and promising
of almost everything a youngster wants when they finish a degree: an opportunity to
find a job that gives them a better life.
When questioned about the evolution of employment in Portugal, the same optimism
was not manifested. Only 17% of respondents have a positive perspective for the next
two years – a result lower than the 21.6% obtained by Lobo, Ferreira and Rowland
(2015) – for residents in Portugal over 15 years old.
For those students who do not consider working abroad (30.1%), the concern about
the recent terrorist attacks is not a relevant factor, since the overwhelming majority
(82%) said that this is a factor with little or no influence in the decision.
As well as in relation to labour mobility, most of the students (60.67%) consider the
possibility of studying abroad. Older students (25 or over 25 years old) and the ones on
the Management course have a lower craving for this kind of student experience.
Although weak, there is an association between these two types of mobility.
The
majority (68.5%) of students considering international professional experience also
consider the possibility of studying abroad. On the other hand, the predisposition to an
international academic experience has no relation to the students’ language skills. In
relation to labour mobility, this predisposition is greater amongst students who express
greater confidence in their English skills.
Even though most of our respondents demonstrate a predisposition for international
labour and academic mobility, according to Kmiotek-Meier, Carignani and Vysotskaya
(2019: 32), many young Europeans are still reluctant to engage in this type of
experience whether for academic or professional purposes. In the European context,
mobility can be understood as a tool to overcome inequalities and to guarantee the
European Union’s social and territorial cohesion objectives (Hemming, Schlimbach,
Tilmann, Nienaber, Roman & Skrobanek, 2019: 45). However, some authors point out
that, on the contrary, mobility contributes potentially to the maintenance of
inequalities, since individuals who move out are often in a position of disadvantage due,
for example, to the devaluation of their academic competences (Bilecen & Van Mol,
2017: 1246).
In spite of the essentially exploratory and descriptive nature of this study, we believe
that it can contribute to a better knowledge
of the professional expectations of
university students and their perspectives of international mobility.
Given the non-probabilistic nature of the sample used, the study presents limitations
regarding the results, which should not be extrapolated outside the context under
analysis. The extension of the study to other units of education, and using random
sampling, would allow a general interpretation of all Portuguese university students.
The second limitation is the use of cross-sectional data, which makes it impossible to
analyse the evolution of the variables considered. Given its dynamic nature and the
changes that have taken place in the national socio-economic context, it would be
interesting to deepen the research from a longitudinal perspective.
This research does however allow us to offer data that can serve as a starting point for
studies in which the relationship between the international professional and/or
academic mobility and the knowledge/domain of foreign languages is evaluated.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 125-142
International mobility of a community of students from the Universidade do Algarve
Margarida Viegas, Rita Baleiro
!
141
!
References
Aassve, A., Cottini, E. & Vitali, A. (2013). Youth prospects in a time of economic
recession. Demographic Research, 29: 949–962.
Altbach, P. G., & Knight, J. (2007). The internationalization of higher education:
Motivations and realities. Journal of Studies in International Education, 11: 290–305.
Alves, N.A., Cantante, F., Baptista, I. & Carmo, R.M. (2011). Jovens em transições
precárias. Trabalho, quotidiano e futuro. Lisboa: Editora Mundos Sociais / CIES-IUL.
Bell, D.N.F. & Blanchflower, D.G. (2011). Young people and the Great Recession.
Oxford Review of Economic Policy, 27(2): 241–267.
Bilecen, B. & Van Mol, C. (2017). Introduction: International academic mobility and
inequalities. Journal of Ethnic and Migration Studies, 43(8): 1241-1255.
Cairns, D. (2015). International student mobility in crisis? Understanding post-diploma
mobility decisionmaking in an economic crisis context. Sociologia, Problemas e Práticas,
79: 9-25.
Cairns, D. (2017). Exploring student mobility and graduate migration: Undergraduate
mobility propensities in two economic crisis contexts. Social & Cultural
Geography,18(3): 336-353.
Carmo, R. M., Cantante, F. & Alves, N.A. (2014). Time projections: Youth and
precarious employment. Time & Society, 23(3): 337–357.
Carmo, R. M. & Cantante, F. (2014). Desigualdades, redistribuição e
o impacto do
desemprego: Tendências recentes e efeitos da crise económico-financeira. Sociologia,
Problemas e Práticas, 77: 33–51.
Carneiro, A., Portugal, P. & Varejão, J. (2014). Catastrophic job destruction during the
Portuguese conomic crisis. Journal of Macroeconomics, 39: 444–457.
Dietrich, H. (2013). Youth unemployment in the period 2001-2010 and the European
crisis: Looking at the empirical evidence. European Review of Labour and Research,
19(3): 305-324.
Engbersen, G. & Snel, E. (2013). Liquid migration: Dynamic and fluid patterns of post-
accession migration flows. In B. Glorius, I. Grabowska-Lusinska e A. Kuvik (Eds.).
Mobility in Transition: Migration Patterns after EU Enlargement. Amsterdão: Amsterdam
University Press, 21–40.
International Organisation for Migration (2018). Global Mobility Indicators. Berlim:
Global Migration Data Analysis Centre [Consultado em fevereiro 2019]. Disponível em
https://publications.iom.int/system/files/pdf/global_migration_indicators_2018.pdf
Gonzalez, C. R., Mesanza, R. B. & Mariel, P. (2011). The determinants of international
student mobility flows: An empirical study on the Erasmus programme. Higher
Education, 63: 412–430.
Hemming, K., Schlimbach, T., Tilmann, F., Nienaber, B., Roman, M. & Skrobanek, J.
(2019). Structural framework conditions and individual motivations for youth mobility:
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 125-142
International mobility of a community of students from the Universidade do Algarve
Margarida Viegas, Rita Baleiro
!
142
!
A macro-micro level approach for different European country-types. Migration Letters,
16(1): 45-59.
King, R. & Lulle, A. (2016). Research on Migration: Facing Realities and Maximising
Opportunities. Luxemburgo: Publications Office of the European Union.
King, R., Lulle, A., Morosanu, L. & Williams, A. (2016). International Youth Mobility and
Life Transitions in Europe: Questions, Definitions, Typologies and Theoretical
Approaches, Working paper 86, University of Sussex, Sussex Centre for Migration
Research [Consultado em fevereiro 2019]. Disponível em
http://sro.sussex.ac.uk/id/eprint/61441/1/mwp86.pdf
Kmiotek-Meier, E., Carignani, S. & Vysotskaya, V. (2019). Why is it so hard? And for
whom? Obstacles to intra-European mobility. Migration Letters, 16(1): 31-44.
Lobo, M. C., Ferreira, V. S. & Rowland, J. (2015, 7 de maio). Emprego, mobilidade,
política e lazer: Situações e atitudes dos jovens numa perspectiva comparada.
[Relatório Apresentado à Presidência da República]. Instituto de Ciências Sociais da
Universidade de Lisboa/ OPJ. Observatório Português da Juventude. [Consultado em
setembro 2017]. Disponível em
http://www.igfse.pt/upload/docs/2015/RoteirosdoFuturo_EstudoJovens2015.pdf
Malheiros, J. (2011). Portugal 2010: O regresso do país de emigração? JANUS.NET: e-
Journal of International Relations, 2: 133–142.
Oborune, K. (2013). Becoming more European after Erasmus? The impact of the
Erasmus programme on political and cultural identity. Epiphany, 6: 182–202.
OCDE (2013). OECD Employment outlook 2013. Paris: OECD Publishing.
Papadopoulos, O. (2014). Youth unemployment discourses in Greece and Ireland before
and during the economic crisis: Moving from divergence to ‘contingent convergence’.
Economic and Industrial Democracy, 37(3): 1-23.
Peixoto, J., Oliveira, I.T., Azevedo, J., Marques, J.C., Góis, P., Malheiros, J. & Madeira,
P.M. (Orgs.) (2016). Regresso ao futuro: A nova emigração e a sociedade portuguesa.
Lisboa: Gradiva.
Santos, N. (2016, 8 de fevereiro). Como a emigração está a tramar o PIB. Expresso
online. [Consultado em novembro 2017]. Disponível em
http://expresso.sapo.pt/blogues/blogue_keynesiano_gracas_a_deus/2016-02-08-
Como-a-emigracao-esta-a-tramar-o-PIB.
Scarpetta, S., Sonnet, A. & Manfredi, T. (2010). Rising youth unemployment during the
crisis: how to prevent negative long-term consequences on a generation? OECD Social,
Employment and Migration Working Papers, 106, Paris, OECD.
Silva, S. M. & Abrantes, P. (2017). Growing up in Europe’s backyard: Researching on
education and
youth in Portuguese poor suburban settings. In William T. Pink e George
W. Noblit (Eds.). Second International Handbook of Urban Education. Londres &
Berlim: Springer, 1335-1349.
Smith, D., Rérat, P., & Sage, J. (2014). Youth migration and spaces of education.
Children’s Geographies, 12: 1–8.
OBSERVARE
Universidade Autónoma de Lisboa
e-ISSN: 1647-7251
Vol. 10 Nº.1 (May-October 2019), pp. 143-151
Notes
CROSS-BORDER COOPERATION IN THE
GALICIA-NORTHERN PORTUGAL EUROREGION
1
2
Vera Ferreira
veralsf.vf@gmail.com
PhD Candidate in Climate Change and Sustainable Development Policies at the Institute of Social
Sciences of the University of Lisbon (Portugal) and junior researcher at the Centre for Social
Studies of the University of Coimbra, where she's part of the Research Group on Studies on
Science, Economy and Society. Masters Degree in International Relations (Peace and Security
Studies speciality) by the Faculty of Economics of the University of Coimbra (2017), with a
dissertation on 'Climate migrations and human security'. Graduate in International Relations by
the Faculty of Economics of the University of Coimbra (2015).
Foreword
After centuries of mistrust and rivalry, territorial cooperation relations – and, specifically,
cross-border cooperation – between Portugal and Spain are nowadays characterised by
an increasing dynamism. Indeed, since the second half of the 1970s, we have watched
a gradual evolution and consolidation of such relations. The creation of Eurocities,
Euroregions, Working Communities and European Groupings of Territorial Cooperation in
the Cross-border Area of Spain and Portugal
3
clearly illustrates such vitality.
According to Araújo and Varela (2014: 807), 'territorial cooperation emerges as a political
objective to promote development and cohesion at the local, regional, national or even
transnational levels'. In this context, the Galicia-Northern Portugal Euroregion stands out
due to its 'institutional longevity' (Araújo and Varela, 2014: 805), thus deserving a
deeper reflection. Some authors even go as far as mentioning that 'the joint territory
1
This text is a result of a study included in the research project 'Cities and Regions: paradiplomacy in
Portugal', coordinated by Professor Luís Moita, in the scope of the research unit OBSERVARE of the
Autonomous University of Lisbon, financed by FCT – Portuguese Foundation for Science and Technology,
under reference UID/CPO/04155/2013
2
The translation of this article was funded by national funds through FCT - Fundação para a Ciência e
a Tecnologia - as part of OBSERVARE project with the reference UID/CPO/04155/2019, with the aim of
publishing Janus.net. Text translated by João Nicolau.
3
The Cross-border Area of Spain and Portugal covers 37 NUT III (Nomenclature of Territorial Units for
Statistics) in both sides of the border.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº.1 (May-October 2019), pp. 143-151
Cross-border cooperation in the Galicia-Northern Portugal Ecoregion
Vera Ferreira
144
composed by Galicia and the Northern Region is [probably] the best defined cross-border
area in Europe' (Pardellas and Padín, 2017: 32).
Located in the northwest of the Iberian Peninsula, the Galicia-Northern Portugal
Euroregion includes Portugal's Northern Region (composed of the Alto Minho, Cávado,
Ave, Alto Tâmega, Tâmega e Sousa, Terras de Trás-os-Montes, Douro and Porto's
Metropolitan Area NUT IIIs) and the Autonomous Community of Galicia (composed of the
Pontevedra, Ourense, Corunha and Lugo provinces), stretching over an area of 51
thousand sq km.
According to Cancela (2013: 89-90), besides the tangible elements (such as bridge
building and the revamping of communication routes), the rapprochement of Northern
Portugal and Galicia bears a huge intangible heritage, namely the creation of a context
that promoted the cooperation between several political, administrative and socio-
economic players, in an attempt to found a socially and economically attractive and
cohesive territory and to reduce its peripheral character (in relation to the main political
and economic centres) – thus giving rise to a true Euroregion.
In Medeiros' conception (2010: 6), an 'Euroregion' can be defined as
a region or subregion, usually with an area under 200,000 sq km,
which spreads beyond the borders that separate one or more
European countries, and that: (i) is currently the target of a common
development strategy, with permanent and reinforced intervention
characteristics, and with a significant participation and collaboration
of several players at the local and regional levels, specially from civil
society. […] (ii) the barrier effect, in all its dimensions, is
considerably limited, allowing for intense cross-border flows that
help to structure the territory and promote positive socio-economic
effects in both sides of the border; (iii) the sharing of social and
cultural facilities is a reality; (iv) there's an intense and networked
cooperation between the main research hubs, urban centres and
cross-border business entities.
As stressed by Varela et al. (2015: 82-83), with the participation of subnational players
in international relations
there's a new space generated in parallel to the formal, centralised
diplomatic spaces, generating a network which is formal, but also
peripheral and paradiplomatic, in which interdependencies and
cooperation feed themselves, multiplying and, in some cases,
producing impact through successive cross-border, interregional
and territorial cooperation initiatives.
Thereby, the adoption of the 'paradiplomacy' concept points to the 'study of the external
relationship of social players distinct from the centralised powers of the national states'
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº.1 (May-October 2019), pp. 143-151
Cross-border cooperation in the Galicia-Northern Portugal Ecoregion
Vera Ferreira
145
(Curto et al. 2014: 115). Consequently, beyond the contextualisation and
characterisation of the cooperation between the Northern Region and Galicia, we also
want to understand if the Galicia-Northern Portugal Euroregion presents itself as a
relevant player in this non-governmental diplomacy.
Thus, first we will clarify the elements that motivated cooperation between Northern
Portugal and Galicia; secondly, we'll identify the stages in the institutionalization of the
cross-border cooperation between the two regions; next, we'll highlight the strategic
areas of cooperation, as well as the projects and initiatives implemented in the
Euroregion; later, we'll assess the cooperation between the Northern Region and Galicia,
foreseeing some of the future challenges; finally, we'll try to find if we can speak of a
paradiplomacy in the Galicia-Northern Portugal Euroregion.
Elements that motivated cooperation between Northern Portugal and
Galicia
Historically, the coexistence and exchanges between Northern Portugal and Galicia have
benefited from the geographical contiguity and the cultural and linguistic affinities
(Cancela, 2010: 152). Furthermore, as stated by Trillo and Lois (2011: 129), 'the demand
of benefits through wage differences, housing prices, soil, raw materials, manufactured
products or leisure activities explain the daily or frequent cross-border movements, which
can only occur on border areas'. Nevertheless, there are other political and institutional
elements that favour such cooperation.
The democratic transition in Portugal and Spain in the second half of the 1970s decisively
influenced the reshaping of their external policies, which boosted cross-border
cooperation between the two states. Indeed, in 1977 both countries signed the Treaty of
Friendship and Cooperation between Portugal and Spain, aiming to 'strengthen the
existing friendship and solidarity bonds between the two countries'. It stated that the
reinforcement of cooperation between the Iberian states and the prosecution of good
neighbourhood practices would contribute to international peace and security, as well as
to the 'harmonious development of the relationships which derive from the shared
historical and cultural heritage'. It thus attempted to encourage mutually beneficial
economic relations – specifically in industrial sectors, trade, mining, agriculture, fishery,
transportation and tourism –, to develop new areas of cooperation and to 'promote the
protection and rational exploitation of the shared natural resources' (Articles 3, 4 and 7).
It's equally important to mention the decentralization of the Spanish state (after the
passing of the 1978 Constitution), which led to the establishment of autonomous
communities. In fact, Galicia is, since 1981, an Autonomous Community whose political
powers derive from its Statute of Autonomy. It has its own political institutions – a
Parliament, a Regional Government and a President – and its territory is divided into
provinces and municipalities.
On the other hand, Pardellas and Padín defend that (2017: 12) 'the process of European
integration constituted an inflexion point in border history', starting with the lifting of the
borders and the integration in the European single market (which allows the free
movement of persons, goods, services and capital). Portugal and Spain joined the then
called European Economic Community in 1986 and in 1988 and 1990, respectively,
ratified the 1980 European Outline Convention on Transfrontier Co-operation between
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº.1 (May-October 2019), pp. 143-151
Cross-border cooperation in the Galicia-Northern Portugal Ecoregion
Vera Ferreira
146
Territorial Communities or Authorities, according to which the signatory states committed
to 'facilitate and foster transfrontier co-operation between territorial communities or
authorities within its jurisdiction' (Article 1). Consequently, cross-border cooperation is
defined as
any concerted action designed to reinforce and foster neighbourly
relations between territorial communities or authorities within the
jurisdiction of two or more Contracting Parties and the conclusion of
any agreement and arrangement necessary for this purpose (Article
2).
Furthermore, the European Union's cohesion policy – whose main objective is to reduce
the economic, social and territorial disparities between regions (Article 174 of the Treaty
on the Functioning of the European Union) – has strengthened regional cooperation,
namely as regards cross-border cooperation. In this context, INTERREG stands out. This
community initiative consists of an array of programmes financed by the European
Regional Development Fund, which aim to promote the cooperation between European
Union regions. Started in 1989, it's currently undergoing its fifth programming period
(2014-2020)
4
.
Stages in the institutionalization of cross-border cooperation between
Galicia and Northern Portugal
Using Cancela's systematisation (2010), we can distinguish two stages in the
institutionalization of cooperation between the Northern Region and Galicia: an informal
stage, between 1981 and 1991, and a formal one, which the author places between 1991
and 2008, but which can be extended until the present day. In this way, the informal
stage was characterized by preliminary contacts between the Government of Galicia and
the North Regional Coordination and Development Commission (CCDR-N) – the two main
players and stimulators of the cooperation processes –, culminating in the Technical
Seminars between Galicia and Northern Portugal (1988 and 1990). Starting with the 2nd
Technical Seminars, the need was determined to establish a framework that favoured
the continuity, coherence and increase of cross-border cooperation, framed in a
structured work programme at the functional and institutional levels (CTGNP, 2019).
Thus started the formal stage of cooperation. Indeed, in October 1991 the President of
the Government of Galicia, Manuel Fraga Iribarne, and the President of the CCDR-N, Luís
Braga da Cruz, signed the Agreement Establishing the Working Community Galicia-
Northern Region of Portugal. This Agreement recognised that 'cross-border cooperation
is one of the most effective ways of securing the proximity of the border populations, of
overcoming the challenges the whole border faces and of boosting development in the
4
In the context of INTERREG V-A Spain-Portugal (POCTEP) 2014-2020, the territorial cooperation strategy
between the two states is based on the following thematic objectives: to reinforce research and
technological development; to improve the competitiveness of small and medium-sized enterprises; to
promote the adaptation to climate change and risk prevention and management; to preserve and protect
the environment and to promote efficient use of the resources; and to strengthen the institutional capacity.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº.1 (May-October 2019), pp. 143-151
Cross-border cooperation in the Galicia-Northern Portugal Ecoregion
Vera Ferreira
147
border areas'. To this end, the creation of the Working Community Galicia-Northern
Portugal (CTGNP) aimed to reinforce the good neighbourly relations, 'with the triple aim
of contributing to the development of both regions, to the European integration and to
improve the situation of border populations'. Thus, through the action of Sectoral
Commissions, the Working Community would favour economic and rural development;
transportation, communications and tourism; culture, education and innovation;
agriculture and cattle breeding; the environment and regional planning.
In 2006 this Agreement was adapted to include the provisions of the Convention entered
between the Portuguese Republic and the Kingdom of Spain on Cross-border Cooperation
between Territorial Bodies and Entities (Valencia Convention), signed in 2002. This
Convention aims to 'legally promote and regulate cross-border cooperation between the
Portuguese territorial bodies and the Spanish territorial entities' (Chapter I, Article 1).
Thereby, in 2006 the Convention on Transfrontier Cooperation between the North
Regional Coordination and Development Commission of Portugal and the Government of
Galicia was signed. This Convention has since ruled the functioning of the CTGNP.
According to the terms of the Convention (Chapter I, Article 3), the actions of the CTGNP
should focus on the following areas of cooperation: economic development;
transportation and communications; agriculture, environment, natural resources and
regional planning; fishery; health and social affairs; local development; regional and local
government; education, training and employment; scientific research and universities;
culture, heritage and tourism.
Also in 2006, aiming to remove the obstacles to territorial cooperation, the European
Union introduced tools of territorial cooperation with legal status – the European
Groupings of Territorial Cooperation
5
. In this context, in 2008 the European Grouping of
Territorial Cooperation Galicia-Northern Portugal (GNP-AECT) was created through the
European Territorial Cooperation Agreement between the Xunta de Galicia and the North
Regional Coordination and Development Commission – opening a new historical stage in
cross-border cooperation between Northern Portugal and Galicia, referred to as 'second
generation' cooperation (Cancela, 2010: 155).
According to Cancela (2010: 151), such cooperation presumes 'the deepening and
institutionalization of cooperation and the renewal of the political compromise of the
Government of Galicia and CCDR-N with this joint undertaking'. The GNP-AECT was
established in 2010 and aims to facilitate and promote territorial cooperation between
Galicia and Northern Portugal in several fields of work, generating an ever more
integrated euro-regional area. Thereby, the GNP-AECT declares as its main objectives:
to foster and simplify cross-border relations; to expand the territorial and corporate
competitiveness; to promote the transfer of skills, know-how and innovation; to develop
access to basic transportation systems; to strengthen social and institutional cohesion in
the Euroregion; to ensure sustainable development; to rationalize the cross-border
resources, promoting its shared use. In the end, it's an agent entrusted with establishing
communication, investment and convergence bridges between institutions, companies
and citizens on both sides of the border (GNP-AECT, 2019).
5
Regulation (EC) No. 1082/2006.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº.1 (May-October 2019), pp. 143-151
Cross-border cooperation in the Galicia-Northern Portugal Ecoregion
Vera Ferreira
148
Consequently, there are currently two institutional tools in the space of euro-regional
cooperation: the CTGNP, acting as a political and strategical entity, and the GNP-AECT,
which works as a de facto performer of cooperation projects (Cancela, 2013: 97).
Strategic areas of cooperation, projects and initiatives
Regarding the measures consolidating the relations between Northern Portugal and
Galicia, we see that the GNP-AECT implements an annual plan of activities, and is
currently executing the Joint Investment Plan (PIC) for 2014-2020 (Table 1).
Table 1 - Joint Investment Plan of the Galicia-Northern Portugal Euroregion 2014-2020, with its
activity areas and strategic priorities
Areas
Strategic priorities
Research and transfer of
know-how
Consolidation and potentiation of research hubs;
Potentiation of the transfer of results to the productive
sector.
Competitiveness and
employment
Attraction of productive investment;
Promoting the Euroregion's economic internationalisation.
Environmental quality and
heritage
Enhancement and protection of the natural and cultural
heritage;
Enhancement of the polycentric urban system;
Promoting the efficiency of environmental resources.
Institutional capacity
building, fostering
citizenship
Promotion of cross-border cooperation between public
authorities as an effective tool to improve the quality of life
of citizens.
Source: own elaboration based in data from the PIC.
The PIC prescribed the design of an euro-regional Smart Strategy of Specialisation, which
was achieved in 2015 with the adoption of the Cross-border Smart Strategy of
Specialisation Galicia-Northern Portugal (RIS3T). The RIS3T is part of the new European
Union's Cohesion Policy 2014-2020, which promotes economic development through
support for research and innovation, aiming for the competitive economic specialisation
of each region. To this end, the RIS3T Galicia-Northern Portugal specifies six strategic
fields of cooperation: i) exploitation of biomass and sea energies; ii) improving the
competitiveness of the agri-food and biotech industries; iii) strengthening the
competitiveness of the industrial sector (industry 4.0); iv) fostering the competitiveness
of the mobility industries; v) modernization of the touristic and creative industries,
including the use of ICT; vi) development of advanced solutions for a healthy lifestyle
and active aging.
Assessment of the cooperation between Northern Portugal and Galicia
and future challenges
Based on a series of interviews with representatives of the CCDR-N and the GNP-AECT,
we can say that the global impact of the Galicia-Northern Portugal Euroregion is
extremely positive.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº.1 (May-October 2019), pp. 143-151
Cross-border cooperation in the Galicia-Northern Portugal Ecoregion
Vera Ferreira
149
However, regarding the perception of the Euroregion by the border population, the CCDR-
N and GNP-AECT representatives recognise that there are difficulties in conveying the
results of the actions undertaken. However, that does not hinder an active participation
of the Euroregion population in the initiatives and programmes launched by the GNP-
AECT. Summing things up, we can say that 'the citizens are strongly in favour of the
Euroregion', more so when we think about cities such as Valença and Tui – separated by
only 3 km –, where the populations live their daily lives on both sides of the border.
Regarding the assessment of the global impact of the actions undertaken, we verify that
this has been predominantly of a qualitative nature (mostly interviews). According to the
CCDR-N and GNP-AECT representatives, the assessment is hindered because there are
several policies converging on the same territory, making it difficult to isolate the results
of each (and, therefore, of the tools of cross-border cooperation). According to the
respondents, it's urgent to delineate assessment indicators for the territorial impact of a
cross-border nature, aiming to select the programmes that matter the most for the
territory, assess their effects and reformulate them (if needed).
Finally, regarding future challenges, we come to the conclusion that the main weakness
of the cooperation between the Northern Region and Galicia is institutional in nature,
stemming from the skills imbalance between the Autonomous Community of Galicia –
whose government has a political mandate and that has the autonomy and budget to
implement policies – and the Northern Region – where the CCDR-N represents the central
government (it's not a legal entity per se), and thus doesn't have the autonomy for a
broader political intervention. This means that many issues related to cross-border
cooperation must be discussed directly with the Portuguese Government, which may
constitute a disadvantage, in the sense that there is a greater distance in Lisbon
regarding the specifics of cooperation between the Northern Region and Galicia.
Conclusion: can we speak of a paradiplomacy in the Galicia-Northern
Portugal Euroregion?
Regarding the coordination of the external relations of the Northern Region with the
priorities of the portuguese foreign affairs (defined by the central government), and
based on the interviews, we came to the conclusion that two paradoxical dynamics
coexist:
i) There's a dependency towards the central government, resulting from the lack of
autonomy of the CCDR-N. However, 'certain experiences that are real in the areas
that endure the border impact are not immediately visible, in whatever ways, to the
people, entities and bodies that have a centralised view – there is a huge distance'.
The interviewee thus concludes that 'the regionalisation may be defensible at several
levels, but from the perspective of the resolution of issues of a cross-border nature it
is an obvious element'. In her opinion, it would facilitate a symmetric dialogue between
the Northern Region and Galicia, as well as the implementation of actions that have
already been designed and budgeted, but which execution has been facing obstacles.
ii) There's an explicit will for autonomy in the prosecution of the cooperation relations in
the Euroregion. In the words of the CCDR-N representative, 'many of the actions we
undertake end up describing demands, wishes and intentions felt in the territory, for
instance at the municipalities level, or at the NUT IIIs level, and not so much top
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº.1 (May-October 2019), pp. 143-151
Cross-border cooperation in the Galicia-Northern Portugal Ecoregion
Vera Ferreira
150
down'. At the internationalization level, the Euroregion is part of networks that 'don't
follow a centralised logic'. The interviewee further adds that such actions are dictated
by the recognition of the 'importance these actions have in the scope of our own
Euroregion, in an autonomous way, according to our interests and what we perceive
as an aim […] to project the region, even if subject to the institutional constraints we
may face'.
Summing up, we can conclude that the dynamics and vitality which characterise the
cross-border cooperation processes in the Galicia-Northern Portugal Euroregion do not
translate into a real non-governmental diplomacy, or paradiplomacy. In fact, even if at
some European forums for regions the Northern Region and Galicia present themselves
as the Euroregion, acting in a concerted manner, this does not mean that the Euroregion
constitutes a unitary player or an autonomous agent of internationalization. On the
contrary, the international position of the Euroregion is still dependent on the external
policies of the portuguese and spanish states.
References
Araújo, Joaquim Filipe Ferraz Esteves; Varela Álvarez, Enrique José (2014). 'Redes de
Cooperação Transfronteiriça, Parcerias e Desafios da Governação Local'. Race. 13(3):
803-828.
Cancela Outeda, Celso (2010). 'Panorama de la cooperación territorial en la eurorregión
Galicia-Norte de Portugal'. Documents d'Anàlisi Geogràfica. 56(1): 149-165.
Cancela Outeda, Celso (2013). 'Galicia and North Portugal: from cross-border suspicion
to euroregional cooperation'. The Journal of Cross Border Studies in Ireland. 8: 89-102.
Curto, Helena Santos; Moita, Luís; Brito, Brígida Rocha; Quintas, Célia; Galito, Maria
Sousa. 'Cidades e Regiões: a Paradiplomacia em Portugal'. Janus.net. 54(2): 114-122.
Galician Innovation Agency; North Regional Coordination and Development Commission
(2015). Estratégia de Especialização Inteligente Transfronteiriça Galiza-Norte de Portugal
(RIS3T).
Government Decree no. 29/87, August 13th. Diário da República n.º 185. Série I. Lisbon.
Government of Galicia; North Regional Coordination Commission. Acordo Constitutivo da
Comunidade de Trabalho Galiza – Região Norte de Portugal, signed in Oporto on October
31st, 1991.
Medeiros, Eduardo (2010). 'Euro-Meso-Macro: as novas regiões no espaço ibérico e
europeu'. Actas do XII Colóquio Ibérico de Geografia, October 6-9, 2010, Faculty of Arts
and Humanities of University of Porto.
Pardellas, Xulio X., Padín, Carmen (2017). 'La Eurorregión Galicia-Norte de Portugal y los
Modelos de Cooperación Transfronteiriza'. Polígonos. Revista de Geografia. 29: 11-35.
Parliamentary Resolution no. 13/2003, March 1st. Diário da República n.º 51. Série I-A.
Lisbon.
Resolution no. 59-A/78, Tratado de Amizade e Cooperação entre Portugal e Espanha,
signed in Madrid on November 22nd, 1977.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº.1 (May-October 2019), pp. 143-151
Cross-border cooperation in the Galicia-Northern Portugal Ecoregion
Vera Ferreira
151
State Secretary for Territorial Cooperation (2006). Resolução de 18 de abril de 2006
(Convénio de Cooperação Transfronteiriça entre a Comissão de Desenvolvimento
Regional do Norte de Portugal e a Junta da Galiza), signed in Santiago de Compostela on
February 24th, 2006.
Trillo Santamaría, Juan Manuel; Lois González, Rubén C. (2011). 'La frontera como
motivo de atracción: una breve mirada a las relaciones Galicia-Região Norte'.
Geopolítica(s). 2(1): 109-134.
Varela, Enrique J.; Cancela, Celso; Cordal, Constantino (2015). 'The Consolidation of the
Euro-regional Territory and Its Consequences: The Case of the Galicia-North Portugal
Euro-region'. The Journal of Territorial and Maritime Studies. 2(1): 77-95.
Working Community Galicia-Northern Portugal (CTGNP) (2014). Plano de Investimentos
Conjuntos da Euro Região Galicia-Norte de Portugal 2014-2020.
Working Community Galicia-Northern Portugal (CTGNP) (2019). 'Período anterior a
creación formal da Comunidade de Traballo'. [Accessed on February 23rd, 2019].
Available at http://galicia-nortept.xunta.es/gl/comunidade_traballo.
How to cite this Note
Ferreira, Vera (2019). "Cross-border Cooperation in the Galicia-Northern Portugal
Euroregion". Notes, JANUS.NET e-journal of International Relations, Vol. 10, N.º 1, May-
October 2019. Consulted [online] on the date of last consultation,
https://doi.org/10.26619/1647-7251.10.1.01
OBSERVARE
Universidade Autónoma de Lisboa
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-October 2019), pp. 152-155
Critical Review
Sá, Tiago Moreira de; Soller, Diana (2018). Donald Trump: O
Método no Caos. Alfragide: Publicações Dom Quixote, 227 pages
Patrícia Caetano
a53710@campus.fcsh.unl.pt
Licenciated in European Studies by Faculdade de Letras da Universidade de Lisboa em 2017 with
merit. Master student in Political Science and International Relations, Regional Dynamics brench
at Faculdade de Ciências Sociais e Humanas da Universidade Nova de Lisboa (Portugal), 2nd
year.
A tale as old as time: A jacksonian in the White House
The American election of 2016 was mined with various atypical events. The first and most
important was the victory of a candidate with outlandish promises and with a career
which has nothing to do with politics but with business. Rather different from his
opposition: the democrat candidate Hillary Clinton, whose politics was always the heart
of her career, Donald Trump from the Republicans, a business man and self-made man
had populist promises and difficult to make them happen – for instance building a wall in
the Mexican border and make them pay for it.
It was with amazement that the US itself and the world received Trump victory in
November of 2016. How had a demagog reached the White House? How the US, the land
of freedom, let something like this happen? These were examples of the questions that
insufflated the streets, the media and the voters. Instant testimonies of insiders – and in
just a few months – hit the shelves. As the provocative FIRE AND FURY by Michael Wolff
or even A HIGHER LOYALTY by James Comey ex FBI director fired by the president
himself, Donald Trump. What was missing in the State of Art was understanding the
figure Donald Trump and his actions – that many view as random and without foundation
– and his political view, furthermore important than describe his marvelous ventures in
DC. It is, in this context, and filling the gap, that Donald Trump: O Método no Caos by
Tiago Moreira de Sá – Phd in History of the International Relations and specialist in US
policy – and Diana Soller – Phd in International Studies and Fullbright scholarship – had
been written. This book joins the tendency of explaining Trump’s phenomena, while
trying to keep an impartial and without a prejudice vision about it based on America’s
own social movements. One of the first Portuguese’s books to be written about this theme
and one of the most important for the national and international State of Art.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-Octoberl 2019), pp. 152-155
Critical review
Patrícia Caetano
153
Trump’s arrival
In order to understand Trump’s rise, the book is divided in four chapters: The first one
tries to comprehend: Why Trump?, while being spatially and temporally contextualized.
The following chapters try to interpret it through an international relations vision while
confronting it with its own limitations and regional dynamics.
The authors start by asking three key questions that will lead the entire book. They are
the following:
How is Donald Trump – who questions the national foundation history – widely accepted
by the American electorate?
How was it possible to deviled Trump’s figure by the media and the electorate instead of
trying to understand why?
How is it possible to be astonished by calling his victory “unforeseeable”?
Following these questions, the authors will start by meeting the bias created by the media
and by the society, while discussing them. The main bookr’s thesis focuses on the
possibility of considering Trump as an expectable and methodical candidate. Only then it
is possible to determine that there were conjectural and structural conditions to his
election.
If some claim that the US does not have a president as reference for the free world and
an essential nation for themes like multilateralism and international organizations
anymore, Donald Trump: O Método no Caos starts by determining when did the US have
started to be seen like that and how it was not always this way. Furthermore, it tries to
comprehend the jacksonian populism, which is theoretically supported by Donald Trump,
by emphasizing questions like the crisis’s context, which is always defined – identitarian,
social and economic – combined with tales of a glorious past that never existed. Patent
exposure, as the authors refer to it, in the inaugural speech of presidency’s acceptation
as well as the dominance of Trump’s rhetoric, make America great again. Besides that,
in the first chapter, the authors highlight once again how the American society is founded
on a civic mythology – as it is as well referred by other authors like Adam Smith in
National Identity – however they focus this topic when it is combined with the jacksonian
principles (honor, equality, individualism, financial spirit, courage and perseverance,
nationalism and the inferiority complex). This fact allows us to foresee some of the
rhetoric of the actual president of the United States, by either the individualism or the
overlapping of the economical or financial side relatively to the humanitarian causes. This
way, the authors propose to comprehend Trump not only through the significant part of
the population whose follows the jacksonian principles but as well through the folk
community.
For Moreira de Sá and Soller the folk community is the core for Trump’s victory. This
community had the reasons to welcome the republican candidate with open arms – were
the reasons: geographic isolation, poor purchasing power and social repression. Donald
Trump was the uppermost self-made man, a true American. Someone who the ideals
were stole by the Obama Administration, that started to use the state as an
interventionist figure and prioritized social issues and the minorities.
Donald Trump: O Método no Caos argues also that the crisis in the republican party was
propitious to a candidate like Trump. The “inexistence of a coherent narrative” post
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-Octoberl 2019), pp. 152-155
Critical review
Patrícia Caetano
154
Ronald Reagan, the George W. Bush’s legacy and Obama’s victory left the Republican
Party shattered and without an aim, with the dilemma of condone with Trump and “bite
the bullet” or “report the president as a fake republican” these are the reasons that the
authors point out for Trump’s emerge inside his party and from the various candidates.
According to Moreira de Sá and Soller these were the motives, so Trump was able to
have electoral success in 2016, i.e, the re-trend of folk, political crisis, economic and
identarian.
Trump and the international dynamics
In the area of foreign policy and relations with the other countries, the authors choose
to split in two parts: On the one hand, the theory for Trump’s vision and on the other
hand, an analysis of Trump clashing with Europe, Asia and the Middle East.
They start emphasizing what media were preaching, the Trump Administration would be
unpredictable. With that, and as something essential to deconstruct Trump’s thinking,
the authors point out the motive of this perception. The instability of the staff of the
White House and the roll of dismissals of the Trump Administration plus the set of
President’s ideas, create the impression of a lack of ideologic aim. Which the authors
indorse to be not true.
Regarding the foreign policy Moreira de Sá and Soller defend that Trump has been
stepping aside from Obama’s international strategy and has been trying to create
something new, underlining that the classic strategies were outdated, a jacksonian
foreign policy. This jacksonian realism with a “pessimist, protectionist” tendency and with
the flag of economic efficiency leads to a pragmatic vision of the relations the US-World.
That vision, according to the authors, made the world saw a radical change in the US
which abandon some of the principles by which they were a symbol (internationalism,
liberalism, democratic obligations in the world).
Furthermore, carve 4 points in which Trump as its Foreign Policy shaped: 1) It must bring
economic-social advantages to the US; 2) Make the US a Commercial Republic again; 3)
Face China and Russia; 4) Isolation from the Axis of Evil, Iran and North Korea.
After the analysis of the objectives of Trump Administration, as well as its jacksonian
policy, Moreira de Sá and Soller defend that Trump is a revisionist president. For the
current president the US decay started as the US intervened in the in international order
in the 1940s. Make the “America First “a banner of his policy, essential to understanding
his persona and to style a policy for his Administration. To sum up, the US don’t resign
their position in the world, just transfer it from another political realm.
Conclusion
O Método no Caos is out-of-the-box, since it has a comprehensive reading and theory
base which provides to Trump and his Administration a framework. The historic
framework gives a possibility to draw a plan of what had leaded to the election of a
candidate which had populist and jacksonians traits but also offers a wide vision of how
the American society has received this phenomenon.
JANUS.NET, e-journal of International Relations
e-ISSN: 1647-7251
Vol. 10, Nº. 1 (May-Octoberl 2019), pp. 152-155
Critical review
Patrícia Caetano
155
Of what concerns its silences, one can highlight the lack of: Trump and NAFTA partners
relation, specifically the question of Mexico and Canada. And also, the regional dynamics
which he would change – or try to – in North America, particularly in the southern border
of the US with Mexico. Could also have been a mention to the relation US- Latin America
as a whole, since the Cuba’s issue is still on the table after the progress with Obama
Administration. And also, to the relation with South America as economic partner or even
the drug war on Colombia, in which the US have a vital role.
To sum up, an elemental book to understand one of the biggest events of the American
politics in the second decade of 21th Century, within bounds in theory and a pragmatic
vision of the world.
How to cite this critical review
Caetano, Patrícia (2019). Sá, Tiago Moreira de; Soller, Diana (2018). Donald Trump: O Método
no Caos. Alfragide: Publicações Dom Quixote, 227 pages. Critical review, JANUS.NET e-journal
of International Relations, Vol. 10, Nº. 1, May-October 2019. Consulted [online] on the date
of the last visit, https://doi.org/10.26619/1647-7251.10.01.1