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The Influence of Small States in the EU: Structural Disadvantages and Counterstrategies

January 2008

Authors:

University of Freiburg

The most recent rounds of European Union enlargement,considerably increased the number of small member states. Of the EU-27, 19 countries have fewer votes in the Council of Ministers than the EU average. They face structural disadvantages in up- loading national policies to the EU level due to lessbargaining powerand lessof the financial andadministrative resources necessary for building up policy expertise and exertinginfluence via arguing. This paper explores strategic disadvantages of smaller states in the EU and comprehensively,maps,their strategies to counterbalance them.

: Power Types and Strategic Disadvantages to Small States

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: Relative ranking of member states 7

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UCD Dublin European Institute

DEI Working Paper 08-3

The Influence of Small States in the EU:

Structural Disadvantages and Counterstrategies

Diana Panke

Working Paper: © Diana Panke 2008

This paper should be cited as follows: Diana Panke, The Influence of Small

States in the EU: Structural Disadvantages and Counterstrategies, UCD

Dublin European Institute Working Paper 08-3, May 2008.

All opinions expressed are the sole responsibility of the author.

Cover Photo: © European Community

About the Author

Diana Panke is Lecturer in the School of Politics and International Relations,

University College Dublin. Contact: Diana.Panke@ucd.ie

About the Dublin European Institute

The Dublin European Institute (DEI) supports scholarly research and debate

on the sources, processes and implications of European integration and

governance. Based within the School of Politics and International Relations

at University College Dublin, the DEI is the oldest and largest university

centre for research on European affairs in the Republic of Ireland.

For more information, see: http://www.ucd.ie/dei or contact: Dublin

European Institute, UCD School of Politics and International Relations,

University College Dublin, Belfield, Dublin 4, IRELAND (email: dei@ucd.ie)

The Influence of Small States in the EU:

Structural Disadvantages and Counterstrategies

Diana Panke

This is work in progress, comments are most welcome!

Abstract:

The most recent rounds of European Union enlargement considerably increased the

number of small member states. Of the EU-27, 19 countries have fewer votes in the

Council of Ministers than the EU average. They face structural disadvantages in up-

loading national policies to the EU level due to less bargaining power and less of the

financial and administrative resources necessary for building up policy expertise and

exerting influence via arguing. This paper explores strategic disadvantages of smaller

states in the EU and comprehensively maps their strategies to counterbalance them.

This mapping reveals interesting differences between new and old small member

states, and provides insights into the usage of intergovernmental coordination, priori-

tization and brokerage strategies. Some small states manage better than others to ex-

ploit the strength of their weakness and thus are more likely able to shape EU policies.

The paper also develops a set of hypotheses on the influence of small states in the EU

that amend both intergovernmental and supranational approaches.

The author:

Dr. Diana Panke

Lecturer in European Politics

School of Politics and International Relations

Dublin European Institute

University College Dublin

Dublin 4

Ireland

Phone: 00353 (0)1 716 7602

Fax: 00353 (0)1 716 1171

Email: diana.panke@ucd.ie

Web: http://www.ucd.ie/spire/school_staff_dp.html

Introduction

Which structural obstacles do small states face in shaping EU policies and how do

they cope with them? Which strategies do small states apply in order to influence out-

comes in the first pillar? Are all states equally active? How and under which condi-

tions do small states’ shaping activities translate into success?

These questions are important since the most recent rounds of EU-enlargements

increased the number of small member states. Of the EU-27, 19 countries have fewer

votes in the Council of Ministers than the EU-average. These are Malta, Cyprus, Es-

tonia, Latvia, Luxemburg, Slovenia, Denmark, Finland, Ireland, Lithuania, Slovakia,

Austria, Bulgaria, Sweden, Belgium, Czech Republic, Greece, Hungary and Portugal.

They face structural disadvantages in uploading national policies to the EU-level.

Firstly, they lack political power to shape EU law in the same manner as their bigger

counterparts. Secondly, due to their lower GDP and often smaller population size, the

amount of financial and administrative resources necessary for building up policy ex-

pertise and exert influence via arguing are more limited than in bigger and economi-

cally richer states. Thirdly, most of the small members recently joined the EU. They

can neither draw on close institutionalized links to Community institutions, most im-

portantly the European Commission, nor on prior knowledge of EU-governance, in

order to shape EU policies according to their interests. Fourthly, new small states lack

expertise and European proficiency to operate as policy forerunners, launching de-

manding regulative standards in market creating or correcting measures, to a compa-

rable extent than old members.

One could argue that the considerable political and economic size differences be-

tween EU members are not very important. The group of small states is relatively het-

For helpful comments and suggestions to earlier versions of this paper, I would like to thank Ole

Elgström, Brigid Laffan, Daniel Thomas, and Cornelia Woll. I would also like to thank all participants

of the Dublin European Institute research colloquium for the very constructive nature of the discussion.

Finally, this paper would have not been possible without the support of numerous staff members of

small state ministries and permanent representations in filling out questionnaires and volunteering for

interviews. I am extremely grateful to all of them.

This paper is part of an ongoing research project on the role of small member states in the

European Union. The project comprehensively maps structural disadvantages and counterbalancing

strategies of small states. It explores two different dependent variables. Firstly, it seeks to explain the

different activity level of member states (DV 1a) and differences in strategy choices between states

(DV 1b). Secondly, the project analyses scope conditions for the varying success of small states coun-

terbalancing strategies in shaping European policies (DV 2). For further information on the status of the

project, please contact Diana.Panke@ucd.ie

erogeneous, encompassing old and new members with high and low GDP per capita

and different rates in support for EU-integration. In addition, there are hardly any

structural cleavages between small states on the one side and big members on the

other, with institutional issues, such as voting rights in the Council of Ministers, as

being the only notable exception (Magnette & Nicolaidis, 2005: 83). Most issues on

the European political agenda are cross-cutting in character. Thus, small states might

have lesser political influence via voting, bargaining and arguing, but this poses no

structural governance dilemma according to which they have to implement EU law

which does systematically not reflect their political interests.

However, this paper argues that the lower shaping capacity in the agenda-setting

and decision-making stages of EU policy-making is important, because of its implica-

tions for the effectiveness and legitimacy of EU governance. Small states face strate-

gic disadvantages vis-à-vis bigger states in successfully furthering their interests on

the EU-level. Despite these potential implications, there is a dual gap in EU literature

to which this paper seeks to contribute. Firstly, there are numerous excellent case

studies on small states in the policy-shaping process of the EU (e.g. Laffan, 2006,

Björkdahl, 2007; Bunse, Magnette, & Nicolaidis, 2005; Galbreath, 2006; Maes &

Verdun, 2005; Raik, 2002; Raunio & Wiberg, 2001; Sepos, 2005; Tiilikainen, 2006),

but rarely comprehensive empirical overviews on how small states exert influence in

EU (e.g. Hanf & Soetendorp, 1998). This paper distinguishes between three power

dimensions, voting/bargaining power, argumentative power and moral/institutional

power, which bring about three types of structural disadvantages for small states (II).

It explores small states’ strategies to counterbalance these structural disadvantages

(III), maps them (IV), and discusses the empirical pattern (V). Secondly, integration

theory focuses either on big states (e.g. intergovernmentalism), or does not explicitly

discus size as an explanatory variable (e.g. supranationalism). Despite their increasing

importance in the context of the latest EU enlargements, systematic theoretical ac-

counts for the influence of small states are rare. Therefore, this paper concludes with a

set of hypotheses to amend prominent integration theories (VI).

II. Small states in the EU

The literature on small states usually draws attention to the fact that size is a social

construction (Hanf & Soetendorp, 1998). There is not one superior measure and the

line drawn between big and small countries is debateable as well (Magnette & Nico-

laidis, 2005, Thorhallsson, 2006; Thorhallsson & Wivel, 2006). In the European Un-

ion (EU), size is often determined based on economic and financial power (GDP), po-

litical power (votes in the Council, number of MEP), population, or territory. Size is a

relative concept. Even if the crude line between ‘small’ and ‘big’ is drawn based on

the below/above EU-27 average, the groupings vary depending on the measures used.

For example, Finland would be a big state based on its territory, but a small one ac-

cording to the other four criteria.

The distribution of votes in qualified majority voting in the Council of Minis-

ters is a good starting point to determine whether a state is small or big. It measures

political and economic power, which is an important shaping capacity in EU policy

processes, in particular since the application of this supranational principle has been

broadened with the recent Treaty reforms. Compared to unanimity, qualified majority

rule is disadvantageous to small states. States with lower number of votes can less

easily form winning coalitions in the Council. Additionally, the Commission often fo-

cuses on big states in agenda setting stages, knowing that they have stronger bargain-

ing powers in the Council (Bunse et al., 2005: 35-37, 44-45).

This paper defines small member states as countries, which possess less than

the EU-27 average of votes in the Council of Ministers (12.78). 19 out of 27 countries

fall into this category. These are: Malta, Cyprus, Estonia, Latvia, Luxemburg, Slove-

nia, Denmark, Finland, Ireland, Lithuania, Slovakia, Austria, Bulgaria, Sweden, Bel-

gium, Czech Republic, Greece, Hungary and Portugal. The group of small states is far

from being homogenous, including old and new member states, different political tra-

ditions and systems, diverse stances on further EU integration, and various national

interests (e.g. Magnette & Nicolaidis, 2005). In the EU comparison, these states share

not only a below average number of votes in the Council. Small states also have lower

bargaining powers, due to their smaller national economies (measured on the basis of

GDPs), the restricted ability to offer package deals and side-payments to other states

and less valuable unilateral options to act outside the EU. Next to the restricted voting

and bargaining power, small states often have a lower number of personnel and policy

experts in national delegations to Brussels (administrative capacities) which might

hamper their argumentative power (e.g. Donahue, Selden, & Ingraham, 2000, Raik,

2002).

Limited economic, financial and administrative capacities translate into differ-

ent types of strategic disadvantages for shaping European policies. In order to analyze

these disadvantages and small state strategies to counterbalance them, the following

section distinguishes between three different types of power in the European policy-

processes.

III. Power locations, structural disadvantages, and counterbalancing

strategies

The positive relationship between states’ ability to invest a variety of material and

ideational resources in bargaining and arguing processes or to use voting power, on

the one hand, and the successful influence of EU agenda-setting and decision making,

on the other hand, has often been pointed out (e.g. Fedeli & Forte, 2001; Kerremans,

1996; Peterson & Bomberg, 1998, Wallace, Wallace, & Pollack, 2005, Moravcsik,

1993a, Sandholtz & Zysman, 1989). The small states’ literature highlights that re-

sources and strategies to facilitate national interests might be interchangeable: a weak

state in one regard could be influential based on alternative resources or via other

channels (similar Katzenstein, 1985, Maes & Verdun, 2005, Thorhallsson, 2006).

Thus, an economically weak state might compensate the reduced bargaining or voting

power in the EU by extensively drawing on ideational or institutional resources in

processes of arguing.

In order to systematically examine structural disadvantages of small states and

possibilities to offset them, it is essential to distinguish between three power dimen-

sions. These are voting and bargaining power, argumentative power as well as moral

and institutional power. They reflect material, ideational and institutional resources

respectively. Within the EU relevant material resources do not encompass military

capabilities, but rest on the economic strength of states (GDP). This strongly corre-

lates with the number of votes in the Council and additionally influences the number

of alternative unilateral or multilateral courses of actions. Hence, economic resources

are important for exerting influence via bargaining and via voting (Moravcsik, 1999,

Hoffmann, 1982, Laursen, 2002). Ideational resources encompass policy expertise as

well as scientific and technical support. They are crucial for effective arguing in EU

agenda-setting and decision-making processes (Sandholtz & Zysman, 1989, Mörth,

2000, Arter, 2000; Björkdahl, 2007). Finally, institutional resources encompass op-

portunity structures, such as the EU Presidency. This office allows exercising influ-

ence in the interest of the Union and grants office holders moral authority. Institu-

tional resources also entail opportunities based on state-specific qualities, such as the

reputation as policy forerunners or as being neutral mediators in the Council

(Bengtsson, Elgström, & Tallberg, 2004, Elgström, 2003; Maes & Verdun, 2005).

All three power resources can be used to shape EU policies in accordance with

national interests. Comparing small and big states across the three dimensions, it is

remarkable that smaller members suffer strategic disadvantages in all three respects.

Voting and bargaining power are characterized by the ability of states to use their

political or economic weight in the EU, in order to influence agenda-setting and deci-

sion-making so that outcomes reflect national interests to an extent, proportional to

their bargaining assets. Small states have fewer votes in the Council, which decreases

the likelihood for successful shaping. Moreover, this even influences pre-negotiation

bargaining. The European Commission is more sensitive to big rather than small

states (c.f. Bunse et al., 2005). In addition, small states are less able to offer side pay-

ments to bigger states in exchange for support in a specific issue (c.f. Mattila, 2004:

34-35). Lower economic power makes smaller members also more vulnerable than

their bigger counterparts. Their alternatives for unilateral action or cooperation out-

side the EU are more limited, should cooperation fail in the EU, which leaves them

worse off than bigger states (Keohane, 1984). Finally, effective bargaining requires an

well-staffed administrative infrastructure with expertise, clear responsibilities and co-

ordination procedures in order to allow states to develop and present coherent posi-

tions in Brussels (Laffan, 2006, Soetendorp & Hanf, 1998). Yet, many small states se-

riously grapple with their domestic coordination of European policies, which also

makes effective bargaining difficult (Soetendorp & Hanf, 1998 : 192, Dosenrode von,

1998: 54, Ekengren & Sundelius, 1998: 137-140).

Smaller member states have also more limited argumentative power and are there-

fore, less likely to be successful via arguing or framing in the agenda-setting and deci-

sion-making stages. Policy expertise and scientific resources are crucial to persuade

others from a particular position (E. Haas, 1990; Radaelli, 1995, Young, 1999). Yet,

smaller states have lesser administrative capacities as well as have a lower number of

experts in national delegations in Brussels and a lower number of personnel to prepare

Council meetings or establish and maintain direct contacts to the Commission (e.g.

Kassim & Peters, 2001: 300, Kassim, Menon, Peters, & Wright, 2000, Pappas, 1995,

Spanou, 1998, Coyle, 1994). This renders effective arguing across multiple arenas

more difficult. Moreover, newer small states’ contact to European interest groups and

epistemic communities are less strong, so they gain fewer additional ideational re-

sources, which could be used for argumentative strategies. Finally, small states are

less able to exert argumentative influence than their bigger counterparts, since many

of them are new members and have fewer experiences with EU politics and policies

than older member states.

Even the last resource, moral power poses strategic disadvantages to smaller

states. Again, administrative and political capacities matter (Laffan, 2006). A lower

number of experts in national delegations in Brussels renders it difficult to systematic

highlight small states’ superior policy expertise and construct a reputation as “good

citizen” interested in the European public good. Moreover, many of the small and

poorer member states are not policy forerunners in regard to liberalization and costly

market-regulations (e.g. demanding environmental laws), but tend to prefer lower

standards (e.g. Börzel, 2003). Finally, in particular the new members among the small

states, have not yet had the time to disseminate a positive image (Bengtsson et al.,

2004: 319), upon which they could draw in order to gain moral authority for advanc-

ing specific policies.

Table 1: Power Types and Strategic Disadvantages to Small States

Power Type and Location

Disadvantages

of small states

Voting

and bar-

gaining

power

• bargaining & coalition

building in the agenda set-

ting stages

• bargaining, coalition build-

ing & voting during deci-

sion-making processes

• low bargaining and voting power: less votes, less

valuable unilateral options to act, lower number of

personnel in national delegations to polish bargain-

ing strategies

• many of the small states are new members and have

less developed contacts to other states

Argu-

mentative

power

• advancing national inter-

ests through arguing or

framing during agenda-

setting and decision-

making

• fewer ideational capacities (lower number of experts

in national delegations) and lower argumentative

power

• many of the small states are new members and have

less developed contacts to the workings groups of

the Commission and European interest groups

Moral

and insti-

tutional

power

• norm advocacy though

moral authority based on

policy forerunner or good

citizen reputations

• restricted institutional capacities and lower moral

power: poorer states are hardly regarded as policy

forerunners

• small new members had no time to construct a good

reputation in pursuing common European goods

Small states face structural disadvantages in all dimensions. Yet, they can engage in

counterbalancing bargaining, arguing and moral-authority based strategies, in order to

make their interests heard in the EU.

In EU policy-processes bargaining frequently takes place in the shadow of

votes (Christiansen, Falkner, & Jörgensen, 2002; Dürr & Mateo, 2004; Elgström &

Jönsson, 2000; Laursen, 2002). Thus, bargaining as well as voting power are impor-

tant in shape European policies (Moravcsik, 1993a, 1998). Limited bargaining power

and a low number of votes can be counterbalanced with two strategies: institutional-

ized coordination on a regional basis and strategic partnerships with bigger states. Ex-

amples for the former are the Baltic group, the Benelux, the Nordic cooperation and

the Visegràd group. With these institutionalized forms of intergovernmental coordina-

tion the members can develop collective bargaining positions, increase their collective

bargaining leverage, and shape EU policies more effectively than through unilateral

action. One example of successful influence in the EU was the ‘Northern Dimension

Initiative’ (c.f. Arter, 2000, Tiilikainen, 2006). The most well-known strategic part-

nership is the German-Franco tandem (Wallace & Wallace, 2000) or the Spanish-

Portuguese partnership (Magone, 2001: 184). These forms of institutionalized multi-

or bilateral cooperation can counterbalance restricted bargaining or voting powers, but

presuppose homogenous interests within groups and between partners.

Processes of arguing are important in EU policy-making processes and take

place in many vertically differentiated settings, such as the workings groups of the

Council of Ministers or the COREPER, or the European Commission (Elgström &

Jönsson, 2000, Joerges & Neyer, 1997). Shortcomings in argumentative power can be

compensated through direct contacts to the European Commission. This way, small

states gain additional background information on the issue at stake in order to com-

pensate for limited domestic administrative and cognitive capacities. This could con-

siderably save domestic costs for and time to gather expertise and might also help to

speed up domestic coordination processes for the formulation of national negotiation

positions. Contacts to the European Commission can be beneficial for small states for

a second reason. If states know the content of a dossier in advance, they can start to

think about national implications and start in preparing a position even before the

draft proposal is dealt with in the Council. Saving time for the national coordination

of positions additionally helps to counterbalance shortcomings in administrative re-

sources. Also, it opens windows of opportunity for longer periods of consultations

with stakeholders and experts, for extracting good arguments to defend national inter-

ests in Council negotiations later on. A second argumentative counterbalancing strat-

egy is the prioritization of issues. Selective engagement allows small states to concen-

trate their limited capacities on salient issues, while they do not spend much time, per-

sonnel and administrative and financial resources on less important questions.

If ex-

tremely low priorities are not dealt with at all, the overall workload will be reduced

and scarce resources can be saved. In addition, the prioritization of important issues

makes it easier for ministries in small states and their permanent representations in

Brussels to establish links to relevant actors for a proposal at stake. Contacts to Euro-

pean and national epistemic communities and interest groups can be used to obtain in-

formation on policy implications and on technical and scientific backgrounds and in

order to get insights on interests and believes of other actors (e.g. P. M. Haas, 1992).

Based on this, small states can construct an eventually persuasive argumentative strat-

egy, backed by up to date scientific knowledge. One example of setting priorities is

Belgium’s concentration on the European Monetary Union (c.f. Maes & Verdun,

2005). In addition, small states place big hopes into direct contacts to the European

Commission in order to use this channel of exerting voice (without investing many re-

sources) and increase the sensitivity of the Commission towards a particular small

state interest. For example, using direct access was key in safeguarding institutional

equality among states (Bunse et al., 2005: 6, 22-23).

A third bundle of counterbalancing strategies relates to moral and institutional

power. Almost all states perceive small states as not particularly powerful and able to

shape EU policies according to their self-interests (c.f. IV). Hence, small states can

use their size as an asset for gaining influence masked in neutrality (Arter, 2000: 679,

683; Thorhallsson, 2006; Thorhallsson & Wivel, 2006; Tiilikainen, 2006: 81-82).

They can act as “impartial mediators” between different bigger states or upgrade com-

mon interests and, thereby, systematically promote their own policy preferences in the

Council through the backdoor.

An example is Finland’s preparation of the decision to

grant Turkey a candidate status, a process during which Finland explicitly highlighted

its neutrality (Bengtsson et al., 2004: 321). Another source of moral authority stems

from the institutional opportunity structure of the EU Presidency. Firstly, the Presi-

Prioritization could at least partially explain the finding that smaller member states vote less often

against the Council majority than bigger member states (Mattila, 2004: 30, 34-5).

However, honest brokers might also prevent policy-developments against their interests, rather than

actively and positively pursuing them under the cover of neutrality.

dency allows small states to actively shape the European political agenda in drawing

on the authority of the post as guiding the interests of the Union (Dimitrakopoulos &

Passas, 2004; Elgström, 2003). Denmark, for example, used this office in order to

promote their interests in the process of enlargement and promised financial means to

candidate states without prior EU consensus (Bengtsson et al., 2004: 324, Pedersen,

2003). Similarly, Greece shaped outcomes during its presidency in line with self-

interests (Dimitrakopoulos & Passas, 2004). Secondly, small states can approach the

Presidency of the day and highlight particular problems they might have with a dos-

sier and hope that the Presidency draw on its institutional authority and will accom-

modate their concerns.

IV. Mapping Small States’ Activities

Case studies have shown that small states have developed a variety of institutionalized

and ad-hoc mechanisms to influence European policies. This section systematically

maps the importance and frequency of these activities based on a series of question-

naires on states’ strategies in the EU. In order to create a representative dataset 298

questionnaires were circulated among small member states between October 2007 and

April 2008. The survey controlled for policy-variation and asked eco-

nomic/employment ministries, environmental/agricultural ministries,

foreign and fi-

nance ministries and the permanent representations in Brussels. Depending on the re-

sponse rate of the first round of questionnaires, each ministry/permanent representa-

tion received between two and fourteen forms. The total response rate was 31 percent.

Responses came from at least four different fields (ministries and permanent represen-

tation) for each state and each state replied with four to twelve questionnaires.

The below mapping of small state strategies shows country averages (table 2).

It is representative, because it encompasses compressive data based on responses from

ministries and permanent representations and controls for different policy fields. For

the purpose of this working paper, I standardized the responses according to a 1-3

scale, corresponding to high, medium and low categories of usage. This allows mak-

ing answers comparable across strategies and captures differences and similarities be-

tween small member states without exaggerating dissimilarities.

Not every small state has different ministries for the fields agriculture and environment (for example,

in Cyprus and Malta one ministry deals with both issues) and for economy and employment issues.

Table 2: Mapping of Small States Strategies

Institu-

tionalized

coordina-

tion

Strategic

bilateral

partner-

ships to

big coun-

tries

Prioritiza-

tion of is-

sues

Contacts

to the

Commis-

sion

“Honest

brokers”

in the

Council

Presidency

as oppor-

tunity

structure

for na-

tional in-

terests

Austria

Belgium

Bulgaria

Cyprus

Czech Republic

Denmark

Estonia

Finland

Greece

Hungary

Ireland

Latvia

Lithuania

Luxemburg

Malta

Portugal

Slovenia

Sweden

Slovak Republic

* frequency of usage/importance of strategies

seldom/low

occasionally/medium

frequently/strong

A mapping ranking the member states according to their activity scores cap-

tures differences between states more prolonged (1 being the lowest, 19 the highest

score) (table 3). Nevertheless, it basically reveals similar insights as the mapping

based on absolute numbers (compare tables 2 and 3). Denmark is the most active state

followed by Luxembourg, Ireland and Belgium, and Bulgaria is the least active state,

preceded by Cyprus, Greece and Lithuania.

Please note: this figure has last been updated in April 2008, questionnaires that arrived afterwards are

not yet included in this mapping.

Since not every state has yet held the Presidency and since states can also approach the Presidency in

order to sensibiliser the latter on their problems, the question aimed for its importance for pursuing na-

tional interests trough the Presidency, rather than they way states use the office once they hold it.

Table 3: Relative ranking of member states

institu-

tional-

ised co-

ordina-

tion

stra-

tegic

bilat-

eral

part-

ner-

ships

con-

tact to

Com

mis-

sion

pri-

oriti-

zation

role of

presi-

dency

neutral

broker-

age in

Council

total

score

rank

Austria

4.5

5.5

Belgium

18.5

11.5

17.5

78.5

Bulgaria

4.5

Cyprus

4.5

11.5

Czech Republic

11.5

53.5

Denmark

18.5

92.5

Estonia

11.5

47.5

Finland

9.5

5.5

Greece

4.5

9.5

2.5

18.5

4.5

44.5

Hungary

11.5

15.5

1.5

68.5

Ireland

4.5

18.5

Latvia

11.5

7.5

50.5

Lithuania

11.5

7.5

Luxemburg

18.5

Malta

4.5

2.5

Portugal

4.5

11.5

Slovak Republic

11.5

1.5

Slovenia

4.5

15.5

17.5

66.5

Sweden

What pattern can be observed? In discussing the empirical mapping of small states ac-

tivities, the next sections on variation within strategies, between strategies and be-

tween states systematically include interview insights with self evaluations and the

evaluation of other states. In addition, secondary literature is taken into account where

available. This triangulation lends strong support to the mapping on questionnaire-

basis.

V. Pattern of Strategies

Country variation within strategies

Not all small states use institutionalized coordination with other EU members as a

means to increase the collective bargaining power. Austria, Bulgaria, Cyprus, Greece,

Ireland, Malta, Portugal and Slovenia do not engage in multilateral forms of policy

Please note: this figure has last been updated in April 2008, questionnaires that arrived afterwards are

not yet included in this mapping.

coordination. Multilateral institutionalized coordination takes place on the basis of

geographic proximity. There are two Nordic, one Central and one Eastern European

region, in which states established common institutions in order to identify and even-

tually also promote common interests. These regional forums differ significantly in

their degree of institutionalization, the coherency of shared member states interests

and the frequency to which the platforms are used to increase the bargaining leverage

and voting power in EU negotiations. The strongest form of regional multilateral co-

ordination is the Benelux group composed of Belgium, Luxemburg and the Nether-

lands. Over the years, the Benelux platform has been often and successfully used in

order to strengthen the voice of its members in EU policy-making processes (Benelux,

2007, Benelux General Secretariat, 2007). Denmark, Finland and Sweden enhance

their bargaining and voting powers in the EU via the Nordic cooperation, which also

includes the non-EU members Norway and Iceland. The Nordic cooperation is highly

institutionalized but flexible. It allows for of intergovernmental and parliamentary

policy consultation and coordination in various constellations (e.g. The Nordic Coun-

cil and Nordic Council of Ministers, 2003).

As the Benelux, the Nordic cooperation

is strongly institutionalized, institutionally differentiated, and relatively frequently

used (e.g. The Nordic Council and Nordic Council of Ministers, 2007, The Nordic

Council and Nordic Council of Ministers, 2003). By contrast, the Visegràd and the

Baltic groups are less strongly institutionalized and less frequently used. Hungary,

Slovakia, the Czech Republic and Poland form the Visegràd group (V4). The V4 is

not strongly institutionalized and it is not the primary loci of collaboration between its

members (Dankova, 2003: 3). Since the four members have few common interests,

they utilize the Visegràd group not very successful (Hejsek, 2003: 1, Prasil, 2006: 3,

Minarik, 2004).

Estonia, Latvia and Lithuania form the Baltic group, which is institu-

tionalized to a medium extent:

Meetings are often regarded as successful coordina-

tion devices, but take place in an irregular, infrequent manner, depending on pre-

Its institutional structure encompasses the Nordic Council (1952) as consultative platform and the

Nordic Council of Ministers (1971), which operates as agenda setter and also implements decisions of

the Nordic Council.

Even in instances in which they shared concerns, such as the early accession to the Schengen agree-

ment, or getting a higher number of European deputies during the Nice IGC, the four states did not

consistently act in concert in the EU (Prasil, 2006: 3, Hejsek, 2003: 2, Nikodem, 2004: 2).

It encompasses intergovernmental consultation and coordination and occasional contacts between the

three parliaments (Baltic Assembly, 2007).

existing shared policy interests (Ministry of Foreign Affairs of Latvia, 2003: 2,

Ministry of Foreign Affairs of Latvia, 2003: 1, Baltic Assembly, 2007).

Strategic bilateral partnerships with powerful states are less often applied than institu-

tionalized regional coordination. A well known form of such partnerships takes place

between Portugal and its bigger neighbour Spain (c.f. Morata, 1998: 113, Magone,

2001: 184). There are several issue-specific partnerships, such as between Ireland and

France in agricultural policies or Austria and Germany the transport area (c.f. Luif,

1998: 126). In these settings, bilateral consultations are frequently evoked in prepara-

tory stages and ongoing policy-making processes. If partnerships are not purely of an

ad-hoc character, there is issue-specific variation: Smaller partners especially side

with their bigger ones, when they are not strongly interested in a particular issue. With

the exception of Malta, which due to its history has medium strong and occasionally

used ties to the UK, and to a lesser extent the Czech Republic and Slovenia, new

small members have not yet entered into institutionalized bilateral partnerships with a

bigger state. Although Hungary and the Slovak Republic are geographically close to

Poland, frequent bilateral intergovernmental contacts to coordinate joint EU positions

with this big state are absent. This is partially due to their limited number of common

positions on EU policies (Krothvil, 2003; Trzakowski, 2003; Vida, 2003, Prasil, 2006:

1-3, Hejsek, 2003: 2-3). In addition, some of new small member states tend to estab-

lish bilateral contacts to old small rather than old big states, such as Cyprus with

Greece, or Slovenia with Austria. Compared to older small EU members, recently ac-

ceded states rely less frequently on institutionalised forms of intergovernmental coop-

eration and have difficulties to find bigger allies in order to support their positions in

bargaining processes (Nikodem, 2004: 1).

The prioritization of issues is a strategy to concentrate limited administrative, person-

nel and cognitive resources on policies with high saliency. This allows generating ex-

pertise in drawing on a variety of domestic and transnational experts, interest groups

or epistemic communities. High quality arguments backed up by up-to-date knowl-

edge, in turn, are more likely to persuade other actors in negotiations. Foreign Minis-

tries and country representations in Brussels cover the whole range of policies, often

Compared to old and new small states, the control group of big member states has much stronger ties

to other big states, in particular to the UK, France and Germany.

with a slightly lesser degree of prioritization, whereas selective engagement is very

common for almost all ministries in smaller member states. Especially Ireland, Lux-

embourg, the Czech Republic, Sweden, Estonia and Hungary systematically focus

their energy on a limited number of issues with higher importance for their country

(for Ireland see also Laffan, 2006: 705). Other countries, such as Belgium, Malta, and

Greece, have lower prioritization rates and adopt a more comprehensive approach to

EU negotiations (for Denmark see also Pedersen, 2001). Comparing small and big

states, it is striking that bigger states focus on 5.3 issues on average, while the average

share of prioritized issues is 2.9 for small states. In this sense, the prioritization strat-

egy is indeed a genuine small states tactic to counterbalance size-related disadvan-

tages.

In general, the survey shows that the frequency of contacts is considerably higher for

the permanent representations in Brussels than for the individual ministries back

home. The intensity of contacts between national departments and the European

Commission varies between states and across policy fields. It is highest for the foreign

ministries, which contact the Commission at least on a weekly basis on the average.

By contrast, environment, employment and economic ministries pursue national inter-

ests in directly approaching the Commission mostly on a monthly basis. Overall, old

small members have more frequent interactions with the Commission, than the group

of recently acceded Eastern states. Ireland, Denmark, Austria closely followed by

Belgium, Luxembourg and Sweden most frequently contact the European Commis-

sion. Slovenia and Hungary also seek to establish very close ties to the European

Commission, but have not yet reached frequency levels of the most active old member

states (c.f. interview Permanent Representation #6, 09 May 2008).

The questionnaire also asked for the perception of whether small states are more often

impartial than big states in the Council of Ministers. This revealed that small states are

indeed perceived as much more neutral than big states. If small states are often re-

garded as impartial or too petite to effectively shape European policy outcomes ac-

“When you are new in a group, and after 4 years you are still somehow new. You think that the deci-

sion-making fora is the Council and you concentrate on that. We have now learned that it is as well

very important to have contacts with the Commission and that you will be efficient. The preparatory

stage is very important. We are trying to do as much as possible. But I must admit that in that regard

we and many other member states are still not active enough.” (interview Permanent Representation #6,

09 May 2008).

cording to their national interests, they might act as potential mediators between big-

ger states (Arter, 2000: 679, 683; Thorhallsson, 2006; Thorhallsson & Wivel, 2006;

Tiilikainen, 2006: 81-82). In using an ascribed veil of neutrality, small states could

seemingly acting as “impartial brokers”, while they selectively advance those posi-

tions which are favourable to themselves. The survey revealed that small states act not

very often as “honest brokers” but do so at best on an annual basis. Denmark as well

as Belgium and Slovenia most frequently advance their positions in acting as “honest

brokers” in the Council. The rate is even less than once a year for Austria, Finland,

Ireland, Luxembourg, Portugal, Sweden and the Slovak Republic. Bulgaria, Cyprus,

the Czech Republic, Estonia, Greece, Hungary, Latvia, Lithuania, Malta and the Slo-

vak Republic almost never embark upon their neutrality in order to advance particular

positions through the backdoor. The limited application of the “honest broker” strat-

egy is puzzling in the wake of the general perception of big and small states that small

states are more neutral than bigger ones. One reason for the general rare usage could

be that many small states prioritize issues and are members of either bilateral strategic

relationships or regional institutionalized groups, so that they might side with their

partners whenever the issue salience is low.

The Presidency offers another window of opportunity to at least sometimes pursue na-

tional interests masked as European concerns (c.f. Elgström, 2003). Since not all EU-

27 states have yet held the presidency, the insights are solely based on responses to

the questionnaire which asked for the general importance of the role of the Presi-

dency. The questionnaire did not distinguish between the frequency as to which a

state actively used its chair position (holding the Presidency) or proactively ap-

proached the Presidency of the day during working group or COREPER negotiations

in order to lobby for own positions in periods of not holding this post. Case study in-

sights on Denmark, Finland and Sweden indicate that older members are less neutral

and more frequently pursue national self-interests through office Presidency than

newer states, which are more sensitive to create and protect a good reputation in the

EU (Bengtsson et al., 2004: 319, Dimitrakopoulos & Passas, 2004; Pedersen, 2003).

While the survey also found that Denmark and Greece promoted national interests

though the Presidency, it also revealed that differences between the groups of old and

new small states are not highly pronounced. Denmark, Greece, followed by the Czech

Republic, Latvia, Belgium and Cyprus put the strongest emphasis on pursuing na-

tional interests though the Presidency of the day. Bulgaria, Lithuania, Sweden and Es-

tonia do not regard the Presidency as a good window of opportunity for equally pursu-

ing national and European interests.

Variation between States

As the relative ranking showed, member states differ in their overall activity to en-

gage in counterbalancing strategies. The below table is based on the absolute ranking,

adding the scores on a country basis. If one crudely quantifies frequent, occasional

and seldom usages with three, two and one respectively, the level of activity ranges

between seven and sixteen activity points for all small members. Denmark is most ac-

tive followed by Luxembourg, Ireland and Belgium, while Bulgaria and Cyprus fol-

lowed by Greece and Lithuania are least active. All other small states range from 10

to 12 influence points and constitute a big middle-field.

Table 4: Activity Level of States

Den-

mark

Luxem

bourg

Ireland

Bel-

gium

Austria

Hun-

gary

Slove-

nia

Swe-

den

Czech

Repub-

lic

Finland

Slovak

Repub-

lic

Portu-

gal

Estonia

Latvia

Malta

Greece

Lithua-

nia

Cyprus

Bul-

garia

This shows that old member states are overall more active in counterbalancing struc-

tural disadvantages than new member states. Yet, some old members such as Greece

do not score high, while the new members Hungary and Slovenia are relatively active

in strategies to counterbalance structural disadvantages. If we take a closer look into

the different strategies, we find further differences between old and new small mem-

bers in many of the individual strategies.

The prospects to counterbalance structural bargaining drawbacks through in-

stitutionalized regional cooperation vary between old and new states. Benelux and the

Northern cooperation, in which older small members interact, are more highly institu-

tionalized than the Baltic cooperation and the V4, both of which are composed of new

member states. Moreover, effective regional cooperation requires institutionalization

Please note: this figure has last been updated in April 2008, questionnaires that arrived afterwards are

not yet included in this mapping.

and a harmony of interests among the partners, which seems to be more often than not

absent in the Visregard group (interview Permanent Representation #4, 10 April

2008).

Compared to multilateral coordination, strategic bilateral partnerships de-

crease the heterogeneity of interests. Yet, on average, old members have much

stronger bilateral partnerships, and interact with two or more bigger states on a

weekly basis, than new members, which contact bigger members monthly or less of-

ten. At the same time, newer small states often have frequent contacts to around three

to four other small countries. Finally, older states such as Ireland and Portugal are in

close contact to states holding the Presidency, while many of the newer states are less

flexible in establishing such temporary intergovernmental networks (interview Per-

manent Representation #1, 10 April 2008, interview Permanent Representation #5, 10

April 2008). Thus, newer small states face more difficulties to find allies with high

bargaining leverage or strong argumentative capabilities to support their positions

(e.g. Nikodem, 2004: 1).

Contacts to the Commission are important for big and small old and new states

alike. Yet, permanent representations and many individual ministries of older small

states are at least in weakly contact, while ministries of states that joined the EU in the

last decade approach the Commission on a monthly or even less frequent basis. This is

not too surprising given that old states had more time to establish networks to Euro-

pean actors.

While old small states, such as Ireland, Denmark, and Austria contact

the European Commission much more frequently than new small states, the second

argumentative counterbalancing strategy, the prioritization of issues, is more often

used by new small states. Next to Ireland and Luxembourg, the Czech Republic, Es-

tonia, Hungary, Lithuania, followed by Bulgaria, Latvia and the Slovak Republic only

focus on a maximum of 2.9 and respectively 4.9 issues at a time. Hence, new small

member states might – to some extent – balance argumentative disadvantage vis-à-vis

older small states based on a lower frequency of contacts to the Commission.

The heterogeneity of interests increases additionally, if regional groups engage in consultation with

each other (e.g. Baltic group and Benelux, Ministry of Foreign Affairs of Latvia, 2007).

Since the European Commission is frequently portrayed as a friend to small states (c.f. Bunse et al.,

2005, interview Permanent Representation #2, 10 April 2008), the questionnaire also included a ques-

tion on the sensitivity of the Commission. (Question number four stated “How sensitive is the Euro-

pean Commission to concerns of smaller member states compared to bigger states?” Answer options

were: “very sensitive to small states; sensitive to small states; as sensitive as to big states; less sensitive

than to big states.”) This revealed that, on average, older small member states regard the Commission

as almost neutral, with a tiny inclination of being more sensitive to small than to big state interests. By

contrast, big states and small new member states perceived the Commission as being slightly more sen-

sitive to big states’ concerns.

If we take a look into the realm of moral power, the most striking observation

is that new small states place big hopes into EU presidencies. Only Estonia, Lithuania

and Bulgaria regard the presidency not as a good opportunity structure to effectively

further national interests. On the other end of the spectrum, the Slovak Republic to-

gether with Denmark and Greece regard the presidency as very important for the

shaping of European policies according to own aspirations. The pattern is not stable

for the second moral and institutional resource-based strategy. New member states

tend less often act as impartial mediators than old member states, which, with the ex-

ception of more active Denmark, do so on average only less than once a year. The

questionnaire responses to both moral power based strategies could indicate that new

member states are concerned in building up positive reputations in day-to-day interac-

tions in the Council, the COREPER or working groups rather than exploiting alleged

neutrality for introducing self-interests through the backdoor (similar Bengtsson et al.,

2004: 319, Dimitrakopoulos & Passas, 2004; Pedersen, 2003). In the longer term, new

small states might be more willing to use moral or institutional authority in order to

pursue national interests, in particular when they will take their turn in serving as a

Presidency.

Variation between Strategies

Small member states are a heterogeneous group. Except of the their low number of

votes in the Council of Ministers, the associated lower share of bargaining and argu-

mentative power, their fewer administrative and personnel capacities, and the fact that

they consequently face structural disadvantages in shaping European policies, they

have little in common. Thus it is not too surprising that no counterbalancing strategy

is used at the same frequency by all countries alike (see tables 2-5).

Table 5: Frequency of Strategies

Institutional-

ized coordina-

tion

Strategic bilat-

eral partner-

ships to big

countries

Prioritization

of issues

Contacts to the

Commission

“Honest bro-

kers” in the

Council

Presidency as

opportunity

structure for

national inter-

ests

Please note: this figure has last been updated in April 2008, questionnaires that arrived afterwards are

not yet included in this mapping.

On average, selective engagement is most often used, followed by contacting the

Commission. Is this good news for the prospects to successfully upload policies to the

EU-level? The tentative answer is: probably not. Overall, contacts to the Commission

are more frequent for older than for newer small states and are regarded as very prom-

ising to shape European policies. However, the Commission is a strategic actor. As

such, it is more responsive to states with strong bargaining power, in particular in

regulative and re-distributive policies, which account for the fast majority of policies

dealt with on EU-level (Bunse et al., 2005: 44). In addition, selective engagement

saves resources and allows bundling efforts on single issues in order to convince the

Commission or other states of a particular problem-perception or solution. Yet, this

does not necessarily mean that arguments of small states are more persuasive than

those of bigger ones. In addition, even good arguments backed by expertise do not

necessarily shape outcomes, since interactions on the various levels of Council nego-

tiations can easily shift into either bargaining or voting as two alternative mechanisms

of decision-taking.

“Honest brokerage” followed by strategic bilateral partnerships with bigger

states are least frequently invoked, followed by institutionalized cooperation and by

the exploitation of the EU presidency. Small states that joined the EU in the last dec-

ade do less extensively act in a window dressing manner as “honest brokers” in the

Council of Ministers or during IGCs. So far Bulgaria, Cyprus, the Czech Republic,

Estonia, Hungary, Latvia, Lithuania and Slovakia have almost never relied on this

counterbalancing strategy. Although empirical studies indicate that the Presidency is

often successfully used to act as political entrepreneur of European interests and of

national agendas (e.g. in studies in Elgström, 2003), the questionnaire shows that is

less frequently exploited for the latter purpose. This could reflect a strive of some

newcomers to built up and safeguard good reputations within the EU, which might be

thwarted by “abuses” of EU institutions (Bengtsson et al., 2004: 319). Alternatively,

the low popularity of both moral and institutional authority based strategies among

old and new small states could reflect loyalties within bilateral partnerships and

within institutionalised regional cooperation. States that have no important interest in

a particular issue (eventually due to prioritization) might side with ‚their’ respective

partners instead of trying the act as ‘honest brokers’.

VI. Theorizing Small States’ Influence

In particular realist and neo-realist theories of international relations, but also liberal

institutionalists considered size as a determining factor in world politics (e.g.

Morgenthau, 1948, Waltz, 1979, Keohane, 1984). In contrast, federalism, functional-

ism, and intergovernmentalism as the first generation of regional integration theories

have either neglected country size as an explanatory variable for dynamics and out-

comes (Deutsch & al., 1957, Mitrany, 1943), or focused predominantly on interests

and bargaining behaviours of big states (e.g. Hoffmann, 1966, 1989). Second genera-

tion approaches, such as neo-functionalism, liberal intergovernmentalism and supra-

nationalism, include sub-state actors and/or European actors, such as the Commission

of the European Court of Justice (E. B. Haas, 1961, 1970, Moravcsik, 1993b,

Sandholtz & Zysman, 1989, Stone Sweet, 2000). Yet, they do not systematically ad-

dress differences in the roles of small and big states in EU policy-making processes,

but concentrate their attention on the big three (the UK, France, Germany, e.g.

Moravcsik, 1998) or the bigger five (including Spain and Italy, e.g. Stone Sweet,

2000).

The previous discussion focused on six different bargaining, argumentative and medi-

tative strategies. This section develops a set of hypotheses on the prospects of small

states to successfully counterbalance structural disadvantages and effectively shape

European policies, which supplement prominent liberal-intergovernmental and supra-

national approaches.

Liberal intergovernmentalism basically contends that national policy interests are

shaped by aggregated domestic interests in the first step. In a second step, states with

high bargaining power (based on the share of votes and the size of the economy (al-

ternative courses of action)) can influence outcomes in EU negotiations, if they man-

age to form winning coalitions (e.g. through compromise, package deals, side-

payments). The causal mechanism rests on bargaining dynamics. Hence, small states

strategies to counterbalance disadvantages in bargaining and moral power can be con-

The dependent variable “chances of small states to influence policy outcomes” is conceptualized di-

chotomously as either high or low. The hypotheses are formulated in a probabilistic manner, since pol-

icy outcomes depend not only on small state strategies, but also on other variables such as the interest

constellation among all actors, other bargaining, coalition building, argumentative and meditative ef-

forts, as well as policy-specific conditions such as the urgency of problems.

sistently incorporated into liberal intergovernmentalist theory. Thus, small states are

more likely to successfully shape policy outcomes through:

• regional coordination in the agenda setting and decision-making stages, if all gov-

ernments were responsive to their domestic interests and if the internal coherence of

the group is high.

• strategic partnerships in the agenda setting and decision-making stages, if the posi-

tions of domestic interests between the small and the big states are similar.

• ‘honest brokerage’ in the Council of Ministers, if none of the involved big states is a

strategic partner of the small state, and if the domestic constituency of the small state

is not too keen on an issue to hamper the small state’s reputation as being impartial.

• the Presidency, if self-interests are masked as European interests and fit to the overall

European agenda.

Supranational institutionalist approaches argue that policy outcomes and integration

dynamics are shaped by processes of political or judicial argumentation, typically in-

volving supranational actors, such as the Commission or the ECJ. The better argument

resonates well with sub-state and European interests, wins the competition of ideas,

and shapes outcomes. Since the causal mechanism basically rests on argumentative

dynamics, small states strategies based on argumentative and moral power can be co-

herently integrated into supranational institutionalism. Thus, small states are more

likely to successfully shape policy outcomes through:

• contacts with the European Commission in the agenda setting stage, if the issue at

stake allows to appeal to the Commission’s concern of institutional equality among

states or if the arguments are persuasive fitting to the framing of the problem or to al-

ready shared policy and scientific ideas.

• the strategy of prioritization, if states manage to cumulate expertise and innovative

policies, and develop sound argumentative strategies that are convincing to the Com-

mission in the agenda-setting and to other states in the decision-making stages (e.g.

that resonate well with already shared believes).

• ‘honest brokerage’ in the Council, if none of the involved big states is a strategic

partner of the small state and if the issue matter is not known as having high saliency

for the small state itself.

• the Presidency, if self-interests are masked as European interests and fit to the overall

European agenda.

These hypotheses fit to liberal intergovernmentalism and institutionalist supranational

approaches respectively in a theoretically coherent manner. They allow for fine-

grained assessments of how and under which conditions small member states might

successfully shape policy outcomes in the EU. The scope conditions for effective

strategies are policy-specific (e.g. institutional vs. regulative or redistributive policies)

or case-sensitive (e.g. issue saliency, positions of domestic interests, resonance to

shared ideas). This indicates that none of the six counterbalancing strategies of small

states is per se a “via regia”. One and the same small state might sometimes succeed

in uploading endeavours, but fail to shape EU policies in other instances – even in ap-

plying the same strategy.

Under ceteris paribus conditions, some strategies should theoretically be more

effective in influencing policy outcomes than others, since the number of scope condi-

tions and the likelihood that they are met differs. In an intergovernmentalist perspec-

tive the least effective small state strategy should be the use of the Presidency fol-

lowed by “honest brokerage”. The former can only be applied when the particular

state is taking its turn with the Presidency and additionally requires that national inter-

ests do not obviously deviate but resonate well with the broader European agenda.

The latter is only successful under two very restrictive scope-conditions, namely that

none of the involved big states is a strategic partner of the small state and that the af-

fected domestic interests are not strong concerning the issue at hand. In particular the

second presumption is hardly met, since a particular issue must be salient so that a

small state invests scarce resources to actively shape policies rather than just voting in

line with the Council majority. In terms of scope conditions, regional coordination is

also very demanding. A common win-set requires not only converging interests of all

affected governments, but also of the domestic interests in all states, which addition-

ally have to remain stable during the cooperation. By contrast, the success of bilateral

strategic partnerships depends on a lesser number of external constraints. It requires

only a substantive overlap of governmental positions and domestic interests in two

countries. Thus, in an intergovernmental perspective states, such as Greece and the

Slovak Republic that strongly rely on the “honest broker” or the “Presidency” strate-

gies, but rarely turn to bilateral contacts to big EU members should be less influential.

By contrast, states such as Ireland, Luxembourg, Malta and Austria that have strong

bilateral relationships should be most influential, followed by states that are active

members of strong institutionalized forms of regional coordination, such as Belgium.

In a supranational perspective, contacts to the European Commission are the

least demanding and, thus, most influential strategy, although there are several scope

conditions. By contrast, the prioritization strategy is suited to bundle resources in or-

der to build up argumentative capacities for most important issues as a precondition

for argumentative policy shaping rather than to actually exerting influence. In order to

translate arguments into outcomes, further scope conditions, such as the resonance

with already shared believes, have to be met. Finally, supranational theory would

agree with intergovernmental accounts that “neutral mediation” and “instrumentaliz-

ing the Presidency” cannot be often applied successfully, because of the high number

of very demanding preconditions. Supranationalist accounts would expect that, for

example, Luxembourg, Ireland and Hungary, followed by Denmark, Estonia, Slovenia

and Sweden are more successful in uploading their policies to the EU than members

with less frequent contacts to the Commission and with lower prioritization. Ceteris

paribus, the least prospects to effectively shape EU policies have Bulgaria, Cyprus,

Greece and Malta followed by Finland, Latvia, Portugal and the Slovak Republic as

states with infrequent contacts to the European Commission, which additionally do

not highly prioritize issues.

Modified intergovernmental and supranational approaches offer competing

hypotheses. However, their empirical test, carefully tracing processes of successful

and unsuccessful attempts to influence European policies and systematically control-

ling for all specified scope conditions as well as for ceteris paribus conditions is be-

yond the scope of this paper.

VII. Conclusions

After the latest rounds of enlargement, the European Union consists of many more

small than big member states. This paper argued that size differences could translate

into three types of strategic disadvantages for small members in shaping EU policies

according to national interests. Compared to their bigger counterparts, small states

have lower shares of bargaining and voting powers. In addition, their argumentative

powers are limited, not the least due to the average smaller size of their delegations in

EU negotiations, the lower administrative and financial capacities and the fact that

many small states are less experienced in the EU since they joined the latter recently.

Finally, small states and in particular the new members have a comparative disadvan-

tage in moral power as well, because they cannot draw on histories of being a good

EU citizen and on good reputations as policy forerunners and motors of EU integra-

tion.

Against the background that systematic shaping disadvantages might have

negative consequences for the EU’s legitimacy and effectiveness, this paper inquired

into counterstrategies of small states. Alongside the three power dimensions, it identi-

fied six strategies. Limited bargaining power can be balanced through regional coor-

dination and through bilateral partnerships to bigger members. Contacts to the Com-

mission and prioritization strategies can counteract argumentative power shortcom-

ings. Disadvantages in moral power can be compensated by using the Presidency as

an opportunity to pursue own interests within the broader agenda or in acting as al-

leged “impartial mediators” in the Council or during IGCs. Thus, small states face

three types of disadvantages vis-à-vis bigger states, but have no tied hands in upload-

ing national policies to the EU level.

One of the most important insights of this paper is that three is considerable variation

in both, the activity levels of small states and their choice of strategies. Most strik-

ingly, Denmark, Luxemburg, Ireland and Belgium are most active, while Bulgaria,

Cyprus, Lithuania and Greece are least active. To explain the variation in the activity-

level as well as in the strategic choice of different states is beyond the scope of this

paper, but subject to ongoing research of the author.

This paper showed that overall, selective engagement is most often used strat-

egy, followed by contacts to the Commission. Compared to that, the exploitation of

the Council Presidency, honest brokerage’ and strategic bilateral partnerships are less

prominent. The group of small states is heterogeneous and the most striking differ-

ences are between new and old small states. Diverse preferences of strategies might

very likely reflect differences of historical legacies. On average, old members tend to

have stronger bilateral partnerships to bigger states, more frequent contacts to the

European Commission and more often use mediator roles as channels for self-

interests. Newer small states, by contrast, prefer multilateral over bilateral intergov-

ernmental coordination, regard pursuing national interests through the Council as in-

appropriate or not promising and shift their hopes for shaping the European agenda

according to their interests to the their time of Presidency. Other than that, there are

no subgroups.

Moreover, within each of the three power dimensions, counterbalancing

strategies are to some extent exchangeable means to pursue national interests. As to

bargaining and voting power, small states tend to either put strong emphasis on re-

gional coordination or on bilateral partnerships. For argumentative power, many states

For more information on the status of this research, please contact Diana.Panke@ucd.ie

tend to either have close contacts to the Commission, or concentrate their efforts only

on issues of high importance. In the realm of moral power, several small states are in-

clined to either use the Presidency for national interests masked as European ones or

use their alleged impartiality to ‘mediate’ in favour of their own position in the Coun-

cil or during IGCs.

Based on the observations of these empirical patterns, this paper offered a set

of fine-grained intergovernmental and supranational hypotheses on the prospects of

small states strategies to successfully influence policy outcomes. They expect that the

success of small states is most likely crucially influenced by policy and case-specific

scope conditions, such as the type of policy, the constellation of domestic interest

groups, the issue salience, or the resonance of problem structures, policy approaches

and scientific ideas. The systematic test of these refined hypotheses is also up to fu-

ture research (c.f. footnote 15). For now, we could reasonably expect that small states

can counterbalance size-related disadvantages a great deal (albeit with inter-state

variation) and shape EU policies according to their interests to a greater extent than

expected by prominent integration theories. If it would empirically hold true, this

would be good news for the legitimacy and effectiveness of EU integration.

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Hungary as a Norm Entrepreneur in Migration Policy

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Jan 2021

Veronika Czina

This paper analyses Hungary as a small state within the EU and the policy it applied during the refugee crisis of 2015/2016 that changed the landscape both on the European and Hungarian level. During the crisis, Hungary acted as a small, interest-maximizing Member State constrained by domestic political interests and it did not only refuse to participate in common European policy proposals to solve the crisis, but it also engaged in unilateral actions perceived as solutions, such as erecting a border wall on the Southern border of Hungary. This paper examines how Hungary acted during the refugee crisis with the help of small state theories. Presenting the events, legislative changes and discourses surrounding migration policy in the past years will show that Hungary managed to take advantage of the refugee crisis by acting as a norm entrepreneur which gave the Prime Minister the opportunity to articulate his own views and convictions about the right way to solve the crisis and also about the future of the EU as a whole. Many EU Member States joined Hungary in its migration strategy and so it became the leading country of the anti-immigration block in Europe.

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Dec 2018

Lidija Madzar

The aim of this paper is to study the pace and role of small states in international economic relations. The main characteristics of small states are a high degree of economic openness, export concentration and high dependence on strategic imports. In addition, their significant features are also indivisibility of overhead costs and diseconomies of scale. There is no single definition of small states since the size is a relative term. In addition to the size of population, sometimes other indicators are used as size criteria such as territory size or gross domestic product. This paper emphasizes the endogenous and macroeconomic characteristics of small states in detail and some small countries’ problems that can be challenging in developing their economies. Furthermore, the concepts of small states’ economic vulnerability and resilience are covered. This paper pays special attention to arguments in favor of regional cooperation among small countries. The final part of the paper is dedicated to the similarities, and also economic differences among the small European states. It also highlights the benefits of small states’ membership into the European Union. Numerous economic benefits for small countries arise from the process of regional integration, especially with regard to strengthening economic resilience, foreign trade, strengthening their bargaining power, joint management of regional public goods, receiving technical assistance and geopolitical aspect.

Being a Small State: Discussion on the Role of Size

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Justinas Lingevičius

What place for East and West? Discourses, reality and foreign and security policies of post-Yugoslav small states

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Marko Kovačević

This paper explores different and changing receptions and uses of ‘East’ and ‘West’ in the foreign policy discourses of Serbia and Croatia, as puzzling cases of state identity configuration. The author suggests and gives meaning to the conception of ‘small state reality’ and offers a perspective on the role of historical, contextual and situational elements of state identity in the understanding of foreign policy orientations and agency. The paper discusses the productive possibilities of such a reading in the light of the relational turn in small states’ literature and recent discussions about ‘non-Western’ international relations.

Memories of Discipline in Soviet Lithuania: Stories in Oral History

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Jogile Ulinskaite

Totalitarian regimes attempt to restrict and control virtually every aspect of human life. Interestingly, conscious reflection on disciplinary practises takes up only a small part of the life-stories of interviewed Lithuanians, as far as the memory of the post-Stalin era is concerned. The interviews that form the foundation for this paper were conducted during the summer of 2017 in three different districts in Lithuania. The article aims to answer the following two research questions:1) Which mechanisms of discipline did people recognize and reflect upon?2) How were disciplinary actions remembered and described?According to interviews, tangible individuals filled the role of disciplinarians in schools and workplaces. In addition, the responsibility for discipline and control lies within the imperceptible disciplinarian, supplemented by the invisible discipline of the collective. This led to overwhelming uncertainty in the society, where people invoked intuition and interpretations of who is trustworthy to adapt to uncertain situations. The greatest impact of the totalitarian discipline was that people effectively internalized it and consequently became their own most significant disciplinarians.

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Malta, small EU state heading the presidency of the Council of the EU.

Malta's EU Presidency

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Book

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Roderick Pace

Malta assumed the Presidency of the Council of the EU in the first half of 2017. The publication contain 11 chapters on various aspects of the Presidency and it's declared aims written by a number of scholars from the Institute of European Studies of the University of Malta, former students and European scholars.

Punching Above their Weight: Small States in Key Mediation Roles. Ghana's Capacity and Prospects for Mediation Learning from Nordic Examples

Thesis

Full-text available

Feb 2018

James Mckeown

This thesis examines the role of small states in conflict mediation along two axes. First, it seeks to explain and explore the role and the capacity of small states in international peace mediation by using the case of Ghana. Second, the study turns the centre of attention to how Ghana can contribute meaningfully to conflict mediation by comparing it with the examples from the Nordic countries of Finland, Norway and Sweden and more specifically the insights they bring and challenges they pose. The study relies on a qualitative research approach to obtain and scrutinize the data. The study uses existing literature on the subject matter as well as interviews. This study suggests that, in spite of the increasing popularity of the role of small states in peace mediation globally in recent years, at the very least, has not received the needed attention from the extant literature. The study further suggests that Ghana’s role with regards to conflict mediation can move from being overlooked to being an internationally acclaimed success story if a systematic investment is made in strengthening the country’s mediation competences. This thesis concludes by arguing that the insights obtained from the mediation infrastructure of the Nordic countries can be retained, and some of the potential challenges overcome by providing a conceptual apparatus to engage these issues frontally for future policy research.

Studying Small States in International Security Affairs. A Quantitative Analysis

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Dec 2017
Camb Rev Int Aff

Diana Panke

Todays’ international security architecture composed of international security treaties and international security norms has been established and formalized by negotiations. Owing to the great importance of international security negotiations for international security practices, this paper sheds light on negotiation activities. A study of 100 different international security negotiations shows that states vary considerably with respect to their negotiation activity. Some countries voice positions very often, while others remain completely silent. This is puzzling, as active negotiation participation is an expression of state sovereignty and a means to influence the shape of the international security architecture. The article distinguishes between capacity and incentives as driving forces of state activity in international security negotiations. The analysis reveals that, next to political and financial capacities, states that place high priority on military matters are more active, while smaller and poorer states are more likely to shelter under the security umbrella of larger counterparts.

National Report of Poland to EUREF 2013

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Measuring Government Management Capacity: A Comparative Analysis of City Human Resources Management Systems

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Full-text available

Apr 2000

This article fills a gap in both the public management and human resources literatures by applying a conceptual model supported by a criteria-based evaluative framework to assess and compare the nature and capacity of city government human . resources management systems. Various management reforms have swept through many American governments recently, but practitioners and researchers have not reflected carefully on how these reforms contribute to management effectiveness. One management system that has received relatively little systematic attention is human resources management. The existing research about assessing human resources is sparse, focuses on the private sector, and fails to converge upon a set of criteria for evaluating human resources management systems comprehensively. In earlier work, we proposed a theory that dissects the black box of government management to identify key management systems and define their contribution to management capacity and to overall government performance. In this article, we refine this model by developing a set of criteria that serve as indicators of the effectiveness of human resources management systems. We apply our framework and criteria to a sample of cities in an empirical analysis that measures human resources management capacity and controls for two key environmental contingencies: unionization and government structure. We find that higher capacity governments are able to achieve better human resources outcomes, and that more unionized governments and those that lack a senior professional administrative officer generally have lower human resources management capacity.

Conclusion: Co‐ordinating National Action in Brussels—a Comparative Perspective

Chapter

Nov 2001

This book is the second of two volumes in which leading scholars examine the way in which European Union (EU) member states co-ordinate their European policies, and investigates the structures, institutions and processes put in place by national governments in Brussels. The companion volume, published in 2000, examines the national co-ordination of EU policy at the domestic level. This second book offers a comprehensive, comparative analysis of national co-ordination at the European level. It investigates the way in which eleven member states—Austria, Belgium, France, Germany, Greece, Ireland, Italy, the Netherlands, Portugal, Sweden, and the United Kingdom—co-ordinate their European policy in Brussels. It examines their co-ordination ambitions, the value attached to co-ordination and their conception of it, and the strategies adopted by the member states for defining and defending a national position in EU policy-making. It looks in detail at the organization and operation of the permanent representations—the principal institution charged by governments with safeguarding the ‘national interest’ in Brussels—and at how, to what extent (indeed, whether) they succeed in reconciling their responsibilities as both agencies of the national government and part of the EU decision-making system. The book assesses the effectiveness of the various national arrangements in achieving their intended goals, and identifies the factors that influence or determine performance at the European level. The institutions, structures, and processes utilized by the member states in Brussels are compared with a view to discovering whether there is evidence of convergence around a common model or whether national differences persist. All of the chapters except for the Conclusion are extensively revised versions of papers presented at a workshop, held at Nuffield College, Oxford, on 13–14 May 1999.

The Portuguese Permanent Representation in Brussels: The Institutionalization of a Simple System

Chapter

Nov 2001

José M. Magone

Decision-Making in the European Union

Book

Jan 1999

Introduction Making Sense of EU Decision-Making Institutions, Rules, Norms The Internal Market External Trade Policy The Common Agricultural Policy Cohesion Policy Environmental Policy Research and Technology Policy The Common Foreign and Security Policy Conclusion

A Working Peace System: An Argument for the Functional Development of International Organization

Chapter

Jan 2006

David Mitrany

Story, knowledge, and power

Article

Jan 1990

Small States in World Market: Industrial Policy in Europe

Article

Jan 2006

Peter J. Katzenstein

In the 1970s and 1980s, it is often said, the rate of economic change is accelerating while the capacity for political adjustment is shrinking. Throughout the advanced industrial world this divergence has become both a rallying cry for conservatives demanding fewer state intrusions in the market and a challenge to liberals seeking more eaective state intervention. In the case of the small European states, this book has argued, economic flexibility and political stability are mutually contingent. The corporatist strain in the evolution of modern capitalism no longer yields readily to interpretations based on such established dichotomies as market and plan, private and public, efficiency and equity, Right and Left. Under conditions of increasing vulnerability and openness, the large industrial states are groping toward workable solutions for the economic predicaments of the 1980s. The incremental, reactive policy of the small European states and a stable politics that can adjust to economic change provide a point of orientation that is both helpful and hopeful. Students of the international political economy are undecided whether the most important development of the 1970s lay in the predictable growth or the astonishing containment of protectionism. Similarly, students of domestic politics focus their attention both on the cartelization of politics in the hands of party, group, and bureaucratic elites and on the challenge that new social movements pose to established institutions. In analyzing the democratic corporatism of the small European states this book dissents from the view that capitalism is being driven by structural crisis toward collapse, nor does it support the view that capitalism is being resurrected by the vigors of market competition. Contradictions are inherent in all forms of political and economic domination. But democratic corporatism has been able to tolerate contradictions because of its accommodation rather than resistance to market competition and because of its inclusion of all significant actors in the decision-making process. Copyright

Small States in World Market: Industrial Policy in Europe

Article

Jan 1985

Theory of International Politics

Article

Jun 1980

The Influence of Small States in the EU: Structural Disadvantages and Counterstrategies

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