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THE EUROPEAN UNION IN INTERNATIONAL AFFAIRS

STRATEGY-MAKING
IN THE EU
FROM FOREIGN AND SECURITY POLICY
TO EXTERNAL ACTION

Pol Morillas
The European Union in International Affairs

Series Editors
Sebastian Oberthür
Vrije Universiteit Brussel
Brussels, Belgium

Knud Erik Jørgensen

Aarhus University
Aarhus, Denmark

Philomena B. Murray
University of Melbourne
Parkville, Australia

Sandra Lavenex
University of Geneva
Geneva, Switzerland
This Book Series aims to be a central resource for the growing commu-
nity of scholars and policy-makers who engage with the evolving inter-
face between the EU and international affairs. It provides in-depth,
cutting edge and original contributions of world-class research on the
EU in international affairs by highlighting new developments, insights,
challenges and opportunities. It encompasses analyses of the EU’s inter-
national role, as mediated by its own Member States, in international
institutions and in its strategic bilateral and regional partnerships. Books
in the Series examine evolving EU internal policies that have external
implications and the ways in which these are both driven by, and feed
back into, international developments. Grounded in Political Science,
International Relations, International Political Economy, Law, Sociology
and History, the Series reflects a commitment to interdisciplinary schol-
arship. We welcome book proposals relating to the changing role of the
EU in international affairs across policies and the Union’s relations with
different parts of the world, as well as relations with states and multi-
lateral institutions. We are interested in research on values and norms,
interests and global governance and welcome both theory-informed
studies and studies comparing the EU with other major global actors.
To submit a proposal, please contact Commissioning Editor Ambra
Finotello [email protected].

More information about this series at

http://www.palgrave.com/gp/series/14438
 Pol Morillas

Strategy-Making
in the EU
From Foreign and Security Policy to External
Action
Pol Morillas
Barcelona Centre for International
Affairs (CIDOB)
Barcelona, Spain

The European Union in International Affairs

ISBN 978-3-319-98626-5 ISBN 978-3-319-98627-2 (eBook)
https://doi.org/10.1007/978-3-319-98627-2

Library of Congress Control Number: 2018951036

© The Editor(s) (if applicable) and The Author(s) 2019

This work is subject to copyright. All rights are solely and exclusively licensed by the
Publisher, whether the whole or part of the material is concerned, specifically the rights
of translation, reprinting, reuse of illustrations, recitation, broadcasting, reproduction
on microfilms or in any other physical way, and transmission or information storage and
retrieval, electronic adaptation, computer software, or by similar or dissimilar methodology
now known or hereafter developed.
The use of general descriptive names, registered names, trademarks, service marks, etc. in this
publication does not imply, even in the absence of a specific statement, that such names are
exempt from the relevant protective laws and regulations and therefore free for general use.
The publisher, the authors and the editors are safe to assume that the advice and
information in this book are believed to be true and accurate at the date of publication.
Neither the publisher nor the authors or the editors give a warranty, express or implied,
with respect to the material contained herein or for any errors or omissions that may have
been made. The publisher remains neutral with regard to jurisdictional claims in published
maps and institutional affiliations.

Cover credit: Nakhorn Yuangkratoke/EyeEm

This Palgrave Macmillan imprint is published by the registered company Springer Nature
Switzerland AG
The registered company address is: Gewerbestrasse 11, 6330 Cham, Switzerland
“The process […] is as important as the end product of the exercise itself”
Federica Mogherini
High Representative of the Union for Foreign Affairs
and Security Policy and Vice-President of the
European Commission
Towards an EU Global Strategy - Background,
Process, References
2015

“In strategic terms the journey is almost as important as the destination”

Simon Duke
Europe as a Stronger Global Actor. Challenges
and Strategic Responses
2017
 Acknowledgements

This work stands at the crossroads between academia and the politi-
cal dynamics of EU external action. It is the result of my experience in
EU policy-making structures and the effort to bring my learning to the
research arena. There are thus many people to thank from the action and
reflection domains.
In academia, my first thanks go to Professor Esther Barbé, supervi-
sor of my Ph.D. at the Autonomous University of Barcelona (UAB) and
mentor in all the stages of my research career. She introduced me to the
European Foreign Policy Observatory, based first at the UAB and now at
IBEI, and has remained a source of inspiration ever since. Also from the
research arena, a big thank you for their valuable inputs and comments
goes to Richard Youngs, Oriol Costa, Elisabeth Johansson-Nogués,
Anna Herranz-Surrallés, Natividad Fernández Sola, Uwe Puetter,
Eduard Soler, Gemma Pinyol, Laia Mestres and an anonymous reviewer
of this work.
I would also like to thank Luis Simón, Christian Kaunert and
Sebastian Oberthür from the Institute for European Studies of the Vrije
Universiteit Brussel, where I spent three precious months researching
and doing fieldwork. Their comments to my project have also enriched
the research outputs presented here. Also, the insights of all interviewed
officials in Brussels and other European capitals, who gave me access to
the hermetic domains of EU foreign policy, have become the backbone
of this project.

vii
viii    Acknowledgements

In the Brussels machinery, the first acknowledgement goes to Cristina

Gallach for opening the doors of EU policy-making to me and to the
Spanish Permanent Representation to the EU, where I worked as coor-
dinator of the Political and Security Committee and as Deputy Nicolaidis
during the Spanish Presidency of the Council of the EU in 2010.
Ambassador Carlos Fernández-Arias was kind enough to offer me the
possibility to learn how diplomacy works without being a true insider.
In Barcelona, CIDOB has been my home for intellectual and profes-
sional growth since Narcís Serra asked me to join his team. His trust and
advice have been a constant source of inspiration. My gratitude also goes
to Antoni Segura, Jordi Bacaria and Anna Estrada for enabling me to
work on this personal project in parallel to my professional obligations.
CIDOB’s team of researchers and dedicated professionals has also
provided me with a stimulating environment from where to look at
European developments and to seek new projects and ideas.
Last but not least, my deepest gratitude goes to my family, Andreu,
Mercè i Anna, who are a constant source of support, love and advice. It
is to them that this book is dedicated.
 Contents

1 Introduction: Strategy-Making in the Era of

Intergovernmentalism 1

2 An Ever More Intergovernmental EU? From Foreign

and Security Policy to External Action 25

3 EU Strategies and Their Purposes 75

4 The Policy-Making of the European Security Strategy

(2003) 109

5 The Policy-Making of the European Union Global

Strategy (2016) 133

6 Conclusions 181

Interviews List 195

Index 197

ix
 Abbreviations

CARD Coordinated Annual Review on Defence

CFSP Common Foreign and Security Policy
COREPER Committee of Permanent Representatives of the Governments of
the Member States to the European Union
CSDP Common Security and Defence Policy
DG Directorate General
DGE Directorate General for External and Politico-Military Affairs of
the General Secretariat of the Council of the European Union
DG RELEX Directorate General for External Relations of the European
Commission
ECHO European Civil Protection and Humanitarian Aid Operations of
the European Commission
EDAP European Defence Action Plan
EEAS European External Action Service
EPC European Political Cooperation
ESDP European Security and Defence Policy
ESS European Security Strategy
EU European Union
EUGS European Union Global Strategy
EUISS European Union Institute for Security Studies
FAC Foreign Affairs Council
GAC General Affairs Council
GAERC General Affairs and External Relations Council
GRI Inter-Institutional Relations Group of the European Commission
HR High Representative of the Union for Foreign Policy and Security
Policy

xi
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xii    Abbreviations

HR/VP High Representative of the Union for Foreign Policy and Security
Policy/Vice-President of the European Commission
IPSD Implementation Plan on Security and Defence
MPCC Military Planning and Conduct Capability
NATO North Atlantic Treaty Organisation
PESCO Permanent Structured Cooperation
POCs Points of Contact
PSC Political and Security Committee
QMV Qualified Majority Voting
RIESS Report on the Implementation of the European Security Strategy
TEU Treaty on European Union
TFEU Treaty on the Functioning of the European Union
WMD Weapons of Mass Destruction
 List of Tables

Table 2.1 The main characteristics of supranationalism 27

Table 2.2 The main characteristics of intergovernmentalism 28
Table 2.3 The main characteristics of the new intergovernmentalism 32
Table 2.4 Policy-making in EU foreign policy 48
Table 3.1 EU strategies and sub-strategies before and after the Lisbon
Treaty 79
Table 4.1 Summary of the findings of the policy-making process
of the ESS 127
Table 5.1 Summary of the findings of the policy-making process
of the EUGS 167

xiii
 CHAPTER 1

Introduction: Strategy-Making in the Era

of Intergovernmentalism

1.1  Introduction
It has become a truism that the European Union (EU) is a body increas-
ingly ruled by intergovernmentalism. Member states are often portrayed
as the winners of a power contest with supranational institutions, which
have been marginalised in critical decisions of European politics. Some
trace the predominance of intergovernmentalism to the Maastricht
Treaty, well before the re-nationalisation dynamics and sense of disunion
currently inhabiting the EU. Fabbrini (2015: 125) has written:

post-Maastricht intergovernmentalism has recognized that integration

should proceed without (…) going in the supranational direction. On
the contrary, integration should consist in pooling national sovereignties
within intergovernmental institutions. The decision-making power should
not be in the hands of each member state, but in those of the institu-
tions that coordinate the action of the member state governments (the
European Council and the Council).

The trend towards an intergovernmental Union has been reinforced

with the dynamics of a crisis-ridden EU. Member states have taken the
reigns of crisis management, in particular since the Euro crisis. Decision-
making centred on the Council has turned the European Commission
into “little more than a secretariat” and side-lined the European
Parliament (Schmidt 2013: 2; see also Dinan 2011). Member states have

© The Author(s) 2019 1

P. Morillas, Strategy-Making in the EU,
The European Union in International Affairs,
https://doi.org/10.1007/978-3-319-98627-2_1
2 P. MORILLAS

established dynamics based on “hard intergovernmental bargaining and

brinkmanship”, where positive-sum outcomes have often disappeared
(Schimmelfennig 2015; see also Fabbrini 2015).
This has come to the advantage of the most powerful member states,
particularly Germany, who is now at the centre of European power
dynamics. Together with Berlin, the rest of EU capitals have adapted
to the renationalisation dynamics and reasserted the “supremacy” of
the nation-state in European politics (Schimmelfennig 2015; Grygiel
2016). This has created a power asymmetry, not only between creditor
and debtor countries but also between states and institutions, which are
not the main agent of European politics anymore (Torreblanca 2014:
96–105).
External action has supposedly been no stranger to these dynamics.
The crisis in the Eurozone has had implications for both the foreign pol-
icy of the EU and its member states (Youngs 2014; Kundnani 2016).
The current EU governance has reinforced the intergovernmental
dynamics of an intergovernmental policy par excellence—the Common
Foreign and Security Policy (CFSP). The prioritisation of national inter-
ests has also reduced the states’ willingness to coordinate their foreign
policies (Youngs 2014: 40) and enhanced the lead of the “big three”—
thus making some member states “more equal than others” in a system
ruled by unanimity (Lehne 2012). Following this logic, the power of
the intergovernmental institutions of the EU, in particular the European
Council and the Council, where foreign policy is designed, debated and
decided, is assumed to have expanded (Lehne 2015).
Yet against this background, a closer look at recent external action
developments seems to suggest different dynamics. This book aims
to demonstrate that the shift towards intergovernmentalism is not so
straightforward when analysing the policy-making process of the most
decisive external action document since the Lisbon Treaty and the imple-
mentation policies that unfold from it. The European Union Global
Strategy (EUGS), presented in June 2016 European External Action
Service (EEAS 2016), reveals a strengthened centrality of Brussels-based
bodies, particularly the office of the EU High Representative/Vice-
president of the European Commission (HR/VP) and the EEAS dur-
ing the inception, drafting, output and implementation phases of this
document.
In order to assess the changes brought about by the Lisbon Treaty
in the field of external action, the policy-making process of the EUGS is
 1 INTRODUCTION: STRATEGY-MAKING IN THE ERA … 3

compared to the one of the European Security Strategy (ESS), adopted

in 2003, before the Lisbon era. This comparative analysis enables the
assessment of the empowered role of Brussels-based institutions when
devising a new strategy for the whole of the Union. It will be argued that
the increased leadership and initiative capacities of the HR/VP and the
EEAS are key to understand the turning point that the Lisbon Treaty
represents in the field of external action policy-making.
In addition to the empirical study at the policy level, this book also
has a strong interest in understanding the evolution of current dynamics
of European integration. The academic literature is currently experienc-
ing a revival of studies on the path of European integration, after decades
of scrutiny of particular EU policies. The “pragmatic turn” of the late
1970s led to a progressive shifting from “ontological questions about
the nature of the EU to studying individual institutions and policy areas”
(Bickerton 2012). Studies on the “nature of the beast” were substituted
by specific accounts on particular EU policies, leaving aside rich discus-
sions on the theories of European integration, to the point that “a poli-
cy-making focus [became] a coward’s way out of a theoretical dilemma”
(Webb 1977, in Bickerton 2012).
However, a series of developments have renewed the interest in the-
orising European integration. On the one hand, institutional reform
from Maastricht to Lisbon has witnessed a progressive refinement of the
working methods of EU institutions and member states that requires a
new appraisal on how decisions are made. As this book argues, this is
particular relevant for the international relations of the EU and the shift
from the Maastricht pillar structure (which put foreign policy and exter-
nal relations in different pillars) to the Lisbon’s external action. On the
other hand, the recent crises suffered by the EU have also increased the
interest of EU scholars to “return theories of European integration to
the debate about EU’s future” (Moravcsik 2016).1
As Tortola (2015) argues, “the euro crisis has brought integration
theory back to the top of the scholarly agenda” (see also Fabbrini 2015).
A series of academic works aim today to analyse particular policy devel-
opments, shedding light into recent developments in EU integration and
the crises of the European project. These works range from the study
of the “incomplete nature of European integration” as revealed by the
euro crisis (Jones et al. 2015) to the theoretical debates behind the EU’s
immigration and asylum policies (Andersson 2015), to name just two
areas particularly affected by recent crises.
4 P. MORILLAS

These debates join long-standing discussions regarding the equilib-

rium between member states and supranational institutions in -but not
limited to- the policy-making dynamics of foreign policy and external
action. Over time, the debate has produced concepts such as “Brussels-
based intergovernmentalism” (Allen 1998), “brusselization” (Koops
2011), “rationalised intergovernmentalism” (Wessels and Bopp 2008),
“institutionalised intergovernmentalism” (Christiansen 2001), “supra-
national intergovernmentalism” (Howorth 2010) or “intensive trans-
governmentalism” (Wallace 2010), to name a few. This rich terminology
derives from the fact that the Treaties have always preserved the inter-
governmental nature of the CFSP but that policy practices have gained,
over time, some supranational flavour, particularly since the Lisbon
Treaty. These discussions have anything but reached an agreement, nei-
ther in academic nor policy circles, so there is still ample room for discus-
sion, as this book argues.
More recently, the interest to go back to the foundational debates
has been particularly prominent in the intergovernmentalist school of
thought. New intergovernmentalism (departing from Bickerton et al.
2015a) is currently building a theoretical architecture on which several
EU policies can be tested. It assumes that, since the Maastricht Treaty,
the EU is dominated by an “integration paradox”, whereby there is a
“tendency towards European integration without supranationalism”
(Bickerton et al. 2015b). Traditional supranational institutions are not
given additional powers and any effort to advance in European integra-
tion follows the lead of member states.
As a consequence, the European Council has become the “catalyst
of integration” (Fabbrini and Puetter 2016: 634), with the Council act-
ing as the main body for coordinating policies (Puetter 2014: Ch. 4).
New intergovernmentalism also understands that de novo bodies such
as the EEAS are the vehicle for coordinating the activities and resources
of member states, but not policy initiators (Puetter 2014: Ch. 1). The
dynamics of new intergovernmentalism, which can be seen as the fol-
low-up to the traditional debate between intergovernmentalism and
supranationalism as the two main modes of EU policy-making, are pres-
ent in all phases of the policy cycle (Puetter 2014: Ch. 2).
So far, new intergovernmentalism has mostly been used to study the
dynamics of the Economic and Monetary Union since the Euro cri-
sis and foreign, security and defence policies (Howarth and Quaglia
2015; Glencross 2016; Smith 2015b; Amadio Viceré 2016). But fewer
 1 INTRODUCTION: STRATEGY-MAKING IN THE ERA … 5

efforts have been made to apply new intergovernmentalism in what can

be named “hybrid policy areas” such as external action, which brings
together the intergovernmental policies of the CFSP and the CSDP and
the Commission-led external relations for the purpose of policy coherence.
This book builds on the theoretical debate between intergovernmen-
talism and supranationalism and new intergovernmentalism, contextu-
alising it within recent institutional developments in foreign policy and
external action. In addition to returning to ontological debates about the
nature of European integration, this study pays close attention to inter-
nal dynamics in these policy areas as a way to depict the relationships
between EU institutions and member states, understanding that “pro-
cess is as important as outcome” (Smith 2015a: 300). This is in line with
the studies on the system and practices of external action, which pay
close attention to internal dynamics as a way to calibrate the relationship
between EU institutions and member states (Bickerton 2015). In the
domain of external action, Lequesne (2015: 363) reminds us that “prac-
tice theory” is indeed essential for “capturing the relationship between
the actions (decisions, policies, etc.) and the agents”.
So combining an interest in the dynamics of European integration
and the specific practices therein, this book uses new intergovernmen-
talism in policy areas where it has not been applied thoroughly. Indeed,
if new intergovernmentalism aims to explain the dynamics of European
integration since the Maastricht Treaty, it should be able to provide a
careful diagnosis of the policy-making dynamics in foreign policy and
external action, both prior and after the Lisbon Treaty. At the same time,
it should also serve the purpose of better understanding the traditional
debate between intergovernmental and supranational dynamics in these
policy areas.
A departing premise of this book is that the institutional innova-
tions of the Lisbon Treaty have fundamentally altered the policy-making
dynamics in external action. This has raised fears of the supranational-
isation of a traditionally intergovernmental policy—the EU’s CFSP
(Morillas 2011) and brought back to the centre of institutional debates
on external action the traditional debate between supranationalism and
intergovernmentalism (Keukeleire and MacNaughtan 2008), in line with
the abovementioned return of scholarly discussions on the nature of
European integration.
The empirical analysis of this book builds on these discussions to
assess the policy-making dynamics in foreign policy and external action
6 P. MORILLAS

through the making of EU strategies. EU strategies are understood as “a

policy-making tool which, on the basis of the values and interests of the
EU, outlines the long-term overall policy objectives to be achieved and
the basic categories of instruments to be applied to that end” (Biscop
and Andersson 2008: 3). As a source of policy inspiration, the study of
EU strategies serves the double purpose of shedding light into the pol-
icy-making dynamics of particular policies (foreign policy in the case of
the ESS and external action in the case of the EUGS) and to read these
dynamics against broader debates of European integration such as the
new intergovernmentalism. As it is the case for the lack of use of this
theory in external action, the policy-making of EU strategies is also an
under-developed field of study.2
The study of the policy-making process of EU strategies is divided
into 4 different phases, all of them paying close attention to the inter-in-
stitutional dynamics and the relationship between member states and
Brussels-based institutions therein. These phases are agenda-setting,
where the inception of a policy takes place, policy formulation, policy
output and implementation. Particular attention is paid, mostly in the
case of the EUGS, to this last phase, where several advances have been
made in the field of security and defence policies and resilience build-
ing. Specific follow-up in the form of a roadmap for implementing the
EUGS has tamed a traditional criticism on foreign policy strategies,
which accuses them of lacking practical impact. The implementation of
the EUGS has also provided further evidence on the capacity of strate-
gies to act as policy inspiration tools.
To sum up, this book addresses two specific gaps in the literature on
EU integration dynamics and current policy-making practices. On the
one hand, it contributes to the discussions on the intergovernmental-su-
pranational debate in EU foreign policy and external action and fills a
gap in the existing literature on the use of new intergovernmentalism in
the field of external action. On the other, the empirical interest of this
book is based on the analysis of the policy-making processes of the ESS
and the EUGS, considering both documents as milestones for the strate-
gic thinking of the EU.
With the aim to assess the policy-making process of the two exist-
ing strategic documents of the EU (the ESS and the EUGS) in light of
the emergence of new intergovernmentalism and its contextualisation
into the institutional debates in foreign policy and external action, this
book departs from a set of assumptions. First, it understands that, as a
 1 INTRODUCTION: STRATEGY-MAKING IN THE ERA … 7

theory of EU integration and a continuation of the intergovernmen-

tal-supranational debate, new intergovernmentalism should be a relevant
analytical tool for both the CFSP and external action. Since new inter-
governmentalism aims to understand the European integration dynamics
since Maastricht, it should not only apply to policy areas that are prone
to intergovernmental practices but to the policy-making dynamics of all
areas of EU activity.
Second, the emergence of external action has significantly transformed
the policy-making dynamics when compared to the CFSP. This is due
to the fact that external action brings together the previous intergov-
ernmental and supranational processes of the CFSP and external rela-
tions under a single Title V of the Treaty on European Union (TEU),
although respecting the intergovernmental provisions of the CFSP.
The set-up of the EU’s external action should be considered as the
major effort in the Treaties to bring about horizontal and institutional
coherence.
Finally, the policy-making processes of the CFSP and external action
can be assessed through the making of the ESS and the EUGS, which
were drafted under two different Treaty configurations: the Nice Treaty
(which maintained the pillar structure of Maastricht) and the Lisbon
Treaty (which set up the EU’s external action). As such, the poli-
cy-making processes of EU strategies provide relevant empirical evi-
dence of the inter-institutional dynamics in CFSP and external action.
This, in turn, facilitates the discussion of the premises of new inter-
governmentalism, taking into account the policy-making dynamics of
strategy-making.
When read together, these assumptions put forward the idea that the
drafting processes of the ESS and the EUGS reveal an increased role of
Brussels-based institutions, even more so after the Lisbon Treaty and
the creation of the position of the HR/VP and the EEAS. This trend
disputes some of the central premises of new intergovernmentalism,
particularly the increasing influence of member states, the European
Council and the Council and the secondary role of de novo bodies such
as the EEAS in EU policy-making (Puetter 2014). By doing so, this
book complements the literature on the autonomy of the HR/VP and
the EEAS, both regarding their capacity to lead and shape the agenda
(Vanhoonacker and Pomorska 2013) and to distance themselves from
the Commission (Furness 2013) and the member states (Henökl and
Trondal 2015; Balfour and Raik 2013).
8 P. MORILLAS

The shift from traditional Council-based policies (such as foreign

policy) to hybrid policy areas where EU institutions play a decisive role
(i.e. external action) is considered a significant development in European
integration, not sufficiently assessed in the new intergovernmentalism
literature. The making of the ESS and the EUGS, in turn, will provide
relevant empirical evidence of these changing dynamics. Hence, new
intergovernmentalism will be assumed to necessitate additional empiri-
cal evidence (as presented in this book) if it wants to fully capture the
policy-making and institutional processes of hybrid areas of activity, in
line with the works of Carta (2012), Balfour et al. (2015) or Spence and
Bátora (2015), who all share the role of post-Lisbon diplomatic struc-
tures in fostering innovation and policy entrepreneurship.

1.2  Research Objectives and Methodology

This book goes beyond the state of the art in three distinctive ways.
First, it contributes to analytically improve new intergovernmentalism by
applying it to an underdeveloped field of study. In EU foreign policy,
new intergovernmentalism has been applied to CFSP and CSDP, but has
not been extensively used in the broader external action after the Lisbon
Treaty. By bringing new intergovernmentalism to the study of external
action, this study embodies a “theory improvement” exercise (King et al.
1994: 19), thus filling an analytical gap in the literature.3
In addition, this exercise sheds light into the traditional debate
between intergovernmentalism and supranationalism in EU external
action, thanks to relevant evidence provided on the interactions between
member states and EU institutions, both before and after the Lisbon
Treaty. The study of the ESS and the EUGS unveils the institutional
dynamics in CFSP and external action policy-making and, in so doing,
contributes to further elaborate on the intergovernmental-supranational
debate in the framework of the current European integration literature.
Second, this book also fills an empirical gap in the literature by ana-
lysing the policy-making processes of EU strategies. As presented in
Chapter 3, EU strategies have often been studied as a portrait of the stra-
tegic culture of the EU or as impact assessment documents, analysing
the objectives of the Union at the global stage and the means at its dis-
posal. The study of strategies as a tool to inspire policies is a third and
less developed approach, as also are the policy-making processes of these
documents.
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 1 INTRODUCTION: STRATEGY-MAKING IN THE ERA … 9

This book considers that the policy-making processes of EU strate-

gies deserve particular attention, as they unveil the institutional dynamics
in EU foreign policy and external action. This premise is also present in
the minds of policy-makers and scholars alike. While HR/VP Federica
Mogherini (2015: 6) has noted that “the process of reflection by a wide
range of actors [on the EUGS] is as important as the end product of the
exercise itself”, Simon Duke affirms that “in strategic terms the journey
is almost as important as the destination” (Duke 2017: 73).
Hence, the institutional context in which strategies are drafted tells a
lot about the rapport de forces between member states and institutions,
and provides a valid empirical evidence for the purposes of this research.
The study of the policy-making processes of the ESS and the EUGS thus
helps to contextualise current institutional dynamics into broader debates
of European integration, since both strategies belong to two different
Treaty configurations (the ESS being adopted before the Lisbon Treaty
and the EUGS, after).
Third, this book methodologically contributes to the study of the pol-
icy-making processes in foreign policy and external action. As it will be
developed in the following section, the study undertaken here uses exist-
ing methods in foreign policy analysis and European policy processes to
provide an innovative framework for the analysis of strategy-making. This
framework covers all phases of the process, from agenda-setting to imple-
mentation. The role of the different actors involved in the policy-making
process and their interactions sheds light into the analytical and empirical
debates of this book.

1.2.1   Unpacking Strategy-Making

The research objectives of this book require using a relevant framework
for the analysis of the policy-making processes of EU strategies that is
simultaneously able to accommodate the theoretical premises of new
intergovernmentalism and the intergovernmental-supranational debate.
The following framework for analysis has been adapted from relevant
literature on foreign policy analysis and European policy processes.
Departing from White (2004) and Young (2010), the framework pre-
sented here will be applied to the study of the policy-making process of
the ESS (Chapter 4) and the EUGS (Chapter 5).
Brian White has provided a framework for the study of the EU as
a global actor departing from classical Foreign Policy Analysis tools
10 P. MORILLAS

(White 2004: 45). His framework is relevant not only for the study of
CFSP but also for wider developments in EU external action, in line
with the objectives of this book. White places particular emphasis on
“actor behaviour as a function of the international institutions or other
structures within which actors are located”—instead of focusing on the
impact of the EU in world politics (White 2004: 45–46). His emphasis
on policy-making actors and processes is particularly suited to the pur-
poses of this research, since its aim is to assess the policy-making pro-
cesses and the inter-institutional relations in the making of the EU’s
strategic documents, rather than their specific contents.
White’s starting point are the six standard Foreign Policy Analysis
questions (White 2004: 54):

1. Who makes EU foreign policy (i.e. who are the actors making for-
eign policy)?
2. What is the nature of the European foreign policy process (i.e.
what is the process for making policy)?
3. What issues constitute the European foreign policy agenda?
4. What instruments are deployed by European foreign policy?
5. What is the context within which policy is made?
6. What are the outputs generated by the policy process?

Since the aim of this book is to assess the policy-making processes of EU

strategies, particular attention is put on the first two questions, related
to the actors and policy-making. Less attention is devoted to questions 3
and 4 on the issues and policy instruments, while the context (question
5) is only considered insomuch the ESS and the EUGS belong to dif-
ferent legal frameworks, the Nice and the Lisbon Treaties, respectively.
Finally, the outputs generated (question 6) are not understood as the
contents of the ESS and EUGS but rather as the form of their adoption
and their implementation.
The particular emphasis of this book on the policy-making processes
of the ESS and the EUGS also requires slightly refining the framework
provided by White (2004). In this sense, White’s analysis of the pro-
cesses (question 2 above) requires some unpacking, and this is to be done
through the toolbox provided by Young (2010), who applies the analy-
sis of policy-making to European integration at large. Young’s aim is to
assess the role of the different EU institutions and member states in the
EU policy cycle, taking into account their different weight and role in
 1 INTRODUCTION: STRATEGY-MAKING IN THE ERA … 11

various EU policies. His departing premise is that “policy makes politics”

(Young 2010: 50), i.e. that the policy-making processes tell a lot about
the political dynamics that characterise the EU system. This book uses
Young’s analysis of the European policy process in different phases, which
include agenda-setting, policy formulation, policy output and implemen-
tation, leaving aside the final evaluation phase (Young 2010: 46)4:

1. Agenda-setting is the phase dedicated to “deciding what to decide

(…), a crucial part of the policy-making process and one that often
takes place in a context where there is a great deal of uncertainty”
(Young 2010: 52). It is related to policy initiative and reveals the
“policy framing”—i.e. the way that actors push and present a pol-
icy in a way that resonates politically (Young 2010: 52).
2. The policy formulation phase is where the drafting of the pol-
icy takes place. This phase involves a series of actors who interact
at an early stage of the policy-making and can include epistemic
communities as “policy networks”. These are defined as “sets of
formal institutional and informal linkages between governmental
and other actors structured around shared if endlessly negotiated
beliefs and interests in public policy-making and implementation”
(Rhodes 2006: 426).
3. The policy output phase is characterised by discussions on “choos-
ing what (not) to do” (Young 2010: 55), as well as on the kind of
document resulting from the policy-making process. In the analysis
of EU strategies, particular attention is placed on the discussions in
the different institutions with responsibilities in external action.
4. The implementation phase usually emphasises the way EU regu-
lations are put into practice (transposed to national legislation);
how do EU policies transform internal policies in EU member
states; and the level of compliance of EU regulations (Young 2010:
61–63). However, for the purpose of this research, the implemen-
tation phase is understood as the impact that the EU strategic doc-
uments have in foreign policy and external action implementation
initiatives, and not necessarily the legislative acts that follow.

The use of White and Young’s frameworks will be applied to depict the
policy-making processes of the ESS and the EUGS in order to produce
empirical evidence on the current policy-making processes in foreign pol-
icy (in the case of the ESS) and external action (in the EUGS).
12 P. MORILLAS

1.2.2  Methodology
This research uses diverse and well-established methodological tools,
including process tracing, case studies and qualitative semi-structured
interviews. These methodological choices have been made in order to
capture the policy-making practices of foreign policy and external action,
which are often characterised by the opaque procedures of the diplo-
matic negotiations in the Council, behind closed doors. The interviews
with the actors involved in the policy-making processes of the ESS and
the EUGS are thus the best way to provide clarity onto the practices of
EU strategy-making, as well as to contextualise theoretical debates on
new intergovernmentalism into the institutional debates brought about
by external action and when compared to the CFSP.

1.2.2.1 Process Tracing
Collier defines process tracing as “the systematic examination of diag-
nostic evidence selected and analysed in light of research questions and
hypotheses posed by the investigator. [It] can contribute decisively both
to describing political and social phenomena” (Collier 2011: 823).
Since the focus of this book is the study of the policy-making processes
of EU strategies, process tracing appears as the most relevant method
to assess the policy formulation process. As noted by Van Evera, “in
process tracing, the investigator explores the chain of events or the
decision-making process” (Van Evera 1997: 64), while George and
McKeown (1985: 35) observe that this method consists in the tracing
of “the decision process by which various initial conditions are trans-
lated into outcomes”.
The focus on policy-making requires the use of process tracing tools
in all stages of the policy formulation process. For each step of strate-
gy-making, the research will uncover the factors determining the deci-
sion-making process and the policy outputs, as well as the role of the
different actors and the relations between them. Process tracing will be
applied to all the phases of policy-making, as presented above.
The developments during the decision-making process are considered
as explanatory factors of the policy output, in this case the ESS and the
EUGS. Process tracing for this research is mostly based on qualitative
semi-structured interviews (more on this method below), although the
empirical material gathered in interviews has also been triangulated with
documentary analysis of primary sources and secondary literature.
 1 INTRODUCTION: STRATEGY-MAKING IN THE ERA … 13

1.2.2.2 The ESS and the EUGS as Case Studies

Research for this book is also based on case studies. Case studies allow
researchers to get a “reasonably good knowledge of nearly all factors
influencing a political decision” (Dür 2008: 563). In this research, case
studies serve the purpose of understanding the policy-making processes
that lie behind EU strategies, with the aim to understand CFSP and
external action policy-making dynamics and to shed light on the main
tenets of new intergovernmentalism. Since new intergovernmentalism
has not been applied yet to this field, the selection of these cases also
fulfils Van Evera’s criteria to select “cases that are poorly explained by
existing theories” (Van Evera 1997: 86).
The case studies of this research have been selected according to the
following criteria. First, their topicality. Both the ESS and the EUGS
can be considered the most relevant efforts of the EU so far to think
strategically (Biscop 2005, 2015). In addition, they provide the policy
framework and strategic guidelines for further foreign policy and external
action developments, so their policy-making reveals the policy-making
processes of these areas. EU strategies can thus be considered as useful
documents to assess theoretical developments on European integration
such as new intergovernmentalism.
While the ESS is considered a relevant document embodying the EU’s
foreign policy strategy, the EUGS is understood as the first document
specifying the objectives of external action in the post-Lisbon era. The
EUGS is also considered as a representative case study to test the insti-
tutional dynamics and policy-making processes in areas where the EEAS
and the office of the HR/VP have exercised a decisive leadership. In
addition, the ESS and the EUGS belong to different institutional frame-
works, which increases their comparability. While the ESS belongs to the
Maastricht’s “pillar era” and was adopted in the framework of the CFSP,
the EUGS has been produced in the Lisbon era, and thus reflects the
policy innovations put forward by external action.
The policy-making processes of both the ESS and the EUGS provide
relevant empirical evidence for the purposes of this research and, as the
interviews with officials demonstrated, can be considered as relevant
frameworks to assess the institutional dynamics of the CFSP and exter-
nal action. Indeed, the study of the policy-making process of the ESS
and the EUGS reveals different policy-making dynamics and institutional
equilibriums, given the different Treaty configurations in which they
were produced.
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I AM THE QUEEN
 KITTENS AND CATS
A First Reader

BY
EULALIE OSGOOD GROVER
AUTHOR OF “THE SUNBONNET BABIES’ PRIMER,”
“THE OVERALL BOYS,” ETC.

HOUGHTON MIFFLIN COMPANY

BOSTON · NEW YORK · CHICAGO · DALLAS · SAN FRANCISCO
The Riverside Press Cambridge

COPYRIGHT, 1911
BY EULALIE OSGOOD GROVER
 PICTURES COPYRIGHTED BY THE ROTOGRAPH CO.
ALL RIGHTS RESERVED INCLUDING THE RIGHT TO REPRODUCE
THIS BOOK OR PARTS THEREOF IN ANY FORM

The Riverside Press

CAMBRIDGE, MASSACHUSETTS
PRINTED IN THE U.S.A.

TO FRITZ
WHO LOVES KITTENS AND CATS AS MUCH AS YOU AND I
DO
 CONTENTS
The Queen 2
Granny Gray 4
Getting Ready 6
I wonder 7
Ready for the Party 8
A Full Cart 9
Time to Start 10
Is my Hat on Straight 12
Hiding 14
An Invitation 15
No Party for Me 16
I’m Off 18
Being Weighed 20
The Party 22
The Commanding Officer 23
The Latest News 24
What is It? 25
I’ll sing you a Song 26
A Tale of a Mouse 28
We are the Cats 29
A Nurse’s Tale 30
A Famous Mouser 32
A Long Time Ago 34
A Dunce’s Tale 36
A Tale of Three Kittens 38
The Kittens Three 41
A Rainy-Day Tale 42
A Tale of London Town 44
 A Tale I know 46
A Tale of St. Ives 48
A Little Fairy’s Tale 50
A Secret 52
Who was He 54
A Stranger 55
A Sad Tale 56
My Own Tale 58
Three Tales 60
A Sight to See 61
A ’Fraid-Cat’s Tale 62
From the North Pole 64
The Twins 66
Do we look Alike 67
What shall we Sing 68
Waiting 69
Ding, Dong, Bell 70
The Dining-Room 72
I am so Hungry 74
The Queen’s Tea-Table 75
Seven Little Pussy-Cats 76
Many Thanks 78
Good Night 79
The Last Tale 80

KITTENS AND CATS

 THE QUEEN
I am the Queen of all the Kittens.
I am the Queen! the Queen!
Come, all you kittens and cats.
Hear what I have to say.
To-morrow I give a grand party.
The party will be in my palace.
You are all invited from the biggest to the littlest, from the oldest
to the youngest, from the blackest to the whitest.
So wash your paws and shine your fur.
Forget your naughty tricks and do not one of you dare be late to
your Queen’s party.
To-morrow at one o’clock.
IT IS MY PARTY
 GRANNY GRAY
I am Granny Gray.
I am very, very old, but I am going to the Queen’s party.
I am grandmother to a great many kittens.
When any of them are naughty their mothers always send for me.
When any of them are sick I always know what to do.
I teach them how to sing.
I teach them how to scratch.
I teach them how to catch mice.
I am very, very old.
They call me Granny Gray.
I AM GRANNY GRAY
 GETTING READY
Hark, hark! what is that noise?
No, I cannot play with you now.
I must take my bath.
I must get ready for the party.
I have a new jacket and a new hat to wear.
My pants were new last week, but they are not new now.
I tore two holes in them when I climbed the apple tree in the back
yard.
Mother patched them, but someway the patches show more than
the holes did.
Perhaps my new jacket will cover the patches. I hope I shall look
well dressed.
I AM TAKING MY BATH
 I WONDER

I wonder if those horrid patches

Upon my trousers white
Would show as much if they were not
As black as black as night?
 READY FOR THE PARTY
Mew! mew! mew! mew!
Come, mother, come quickly!
We are all ready and waiting to start.
Yes, we are all here.
There are one, two, three, four of us.
The carriage is pretty small, but we think we can all get in.
We will be good this time and not push each other out.
But please do come quickly, mother.
It is hard to sit so still.
Mew! mew! mew! mew!

WE ARE ALL HERE

 A FULL CART

We are three little cats in a cart

And one underneath on the floor,
The cart is so full we hardly see how
There’ll be any room for more.
 TIME TO START
Dear me! my kittens are in such a hurry! They give me no time to
dress.
It takes a very long time to shine my fur and to fix my bonnet.
It is a new bonnet. This is the first time I have worn it. I hope it
looks all right.
I must practice sitting up straight and proper just for a minute. I
want the Queen to know that I am a fine lady.
I hope my kittens will not rough up their fur. If they do I shall
have to shine it all over again.
Now we must start.
Where is their father?
I HAVE A NEW BONNET
 IS MY HAT ON STRAIGHT
Here I am. Yes, I am the father of those four fine kittens.
They are such beautiful kittens their mother does not even tie
ribbons around their necks.
I am glad of that, for I do not like ribbons.
I must go now and take them all to the Queen’s palace. I am sure
they will be the handsomest kittens there.
I suppose I shall have to push their carriage.
Come, mother, let us be off. Are my whiskers stiff? Is my hat on
straight?
WAITING FOR THE CHILDREN
 HIDING
Don’t tell anybody where I am.
I am hiding away from mother.
She wants me to go to the Queen’s party and I don’t want to go.
I don’t like the Queen, she is so grand and dignified.
She frightens me.
I would rather hide in this pitcher all day than go to the Queen’s
palace.
Please don’t tell where I am.
You will not, will you?

DON’T TELL ANYBODY

AN INVITATION

I’ve had an invitation

To go to see the Queen,
But I’m a bashful kitten
And I’d rather not be seen.
 NO PARTY FOR ME
How strange it is that some of us want to go to the party, and
some do not want to go. Some of us can go, and some cannot go.
I am one who wants to go, and I am one who cannot go.
I have a sick head. It aches. Perhaps I caught too many mice last
night.
The doctor has been here. He told me to take this medicine every
half-hour.
How I wish I could go to the party!
They surely will have something good to eat there, but I must stay
at home and take my medicine.
I HAVE A SICK HEAD
 I’M OFF
I’m off for the Queen’s palace.
I’m the only cat in our country who has an automobile.
But I suppose all the fine cats will be having them soon.
It is really great fun to ride faster than any cat or kitten can run.
I would invite you to ride too, but there is room for only one.
So, good-bye!
I’m off for the Queen’s party.