Criminals at the border?

1. Criminalsat the border? People Smuggling, Asylum and the European Union

2. I. INTRODUCTION Thesis Title: Criminalsat the Border? People Smuggling, Asylum and the EU Research Question/Statement: This thesis examines the responses made by the EU to the arrival of African asylum seekers in Porto Empedocle in 2004 via people smuggling, and compares these responses to those made by the EU in 1998, when a group of Kosovar asylum seekers assisted by people smugglers illegally entered the UK via Dover. It will examine whether the inclusion of Declaration 17 in the 1999 Amsterdam Treaty, which fostered an EU-UNHCR partnership, has led to a higher degree of involvement for the UNHCR in EU asylum affairs, and a higher degree of EU compliance to the 1951 Geneva Convention.

3. Thesis Objectives:(Exploratory & Comparative) • To highlight the humanitarian aspect of people smuggling from a refugee rights perspective • To examine the involvement of the UNHCR in the EU’s reception procedures for smuggled asylum seekers, and determine whether the inclusion of Declaration 17 in the 1999 Amsterdam Treaty has led to a strengthened and more interactive EU-INHCR partnership in the field of refugee protection, and the insertion of refugee concerns in the EU’s border control agenda

4. IMPORTANCE & NOVELTY OF RESEARCH • People smuggling an area of contention in the EU at present • Existing literature treats people smuggling as a business or criminal activity: lack of theoretical constructions treating smuggling as a response to humanitarian requirements • Lack of literature in regard to EU-UNHCR relationship, and the UNHCR’s activities in the EU • Existing literature on the EU’s responses to smuggling and asylum is largely results-oriented; thesis takes a procedural focus

7. DUAL IMPERATIVE OF REFUGEE RESEARCH • Contribution to embryonic literature of people smuggling as a humanitarian exercise (theoretical impact); and • Using knowledge and information generated by the research for policy recommendations (practical impact).

8. II. SUB-QUESTIONS • What is ‘people smuggling’ and what is its role in the international refugee protection system? • How did the EU respond to the illegal entry of asylum seekers into its territory in 1998 and 2004 respectively? • How did the inclusion of Declaration 17 in the 1999 Amsterdam Treaty foster an EU-UNHCR partnership in the area of refugee protection? • What changes were introduced by Declaration 17 to the UNHCR’s role and activities in the EU? • What were the changes introduced by Declaration 17 to the reception procedures and conditions for smuggled asylum seekers in the EU? • In what ways has Declaration 17 affected the EU’s border control agenda?

9. INTERVENING VARIABLE Reasons EU is preferred destination by smuggled asylum seekers INDEPENDENT VARIABLE Strengthened EU-UNHCR partnership Developments in EU asylum and border control policies DEPENDENT VARIABLE Working relationship between the EU and UNHCR CONTROLING VARIABLE MODERATOR VARIABLE Inclusion of Declaration 17 in Amsterdam Treaty Illegal entry of Kosovar refugees in Dover in 1998; African refugees in Italy in 2004

10. III. THEORETICAL FRAMEWORK • ‘People smuggling’ as a humanitarian activity (Refugee Perspective) • Developing nascent ideas of smuggling as humanitarian; • Applying concept of humanitarianism to refugee protection • EU “actorness” in refugee rights and border control Bretherton & Vogler (1999): EU as “several” international actors • EU decision-making process in asylum and border control Moravcsik and Liberal Intergovernmentalism – CEAS, Schengen, Dublin Title IV vs Title VI of TEU

11. IV. DEFINITION OF KEY CONCEPTS & TERMS • Definitions of “smuggling”, “refugee” as prescribed by international conventions and protocols to be used SMUGGLING, not Trafficking the procurement […] of the illegal entry of a person into a StateParty of which the person is not a national or a permanent resident [in order to obtain, directly or indirectly, a financial or other material benefit] (Art 3(a) Smuggling Protocol) REFUGEE, not Economic Migrant […] owing to a well-founded fear of being persecuted for reasons of race, religion, nationality, membership of a particular social group or political opinion, is outside the country of his nationality, and is unable, or owing to such fear, is unwilling to avail himself of the protection of that country. (Art 1A (2) 1951 Convention)

12. Development of a definition of “people smuggling” reflecting its humanitarian aspect (WORK IN PROGRESS!). Factors to consider: • Process of transporting people beyond the reach of persecution and bringing people before the law • People being smuggled unarmed • International law – right to claim asylum regardless of method of entry • Endorsement by EU (and the West) of creation of refugee camps outside country of origin • Applicability of Principles of Humanitarian Action (impartiality, neutrality, independence) • Applicability of law of armed conflict • Reference to history – smuggling acceptable in WWII in Europe

13. V. METHODOLOGY • Qualitative (EU Policy Analysis) and Quantitative Approach (Refugee statistics) • Data Collection Methods: • Archival Method – examination of documents, materials • Case Study - comparing 1998 and 2004 entry of asylum seekers via smuggling • Interviews (semi-structured)- UNHCR, European Parliament, Commission, NGOs, local border control authorities, refugee communities (via Snowball technique)

14. SOURCES OF DATA • 1998 arrival of Kosovar asylum seekers in Dover: reception conditions and procedures taken for determination of asylum claims Sources of data: • UNHCR London Office • Periodicals • Local authorities (Dover) • UK Home Office • NGOs • EU COM Reports • Interviews (Semi-structured) with members of Kosovar community (snowball technique) • Interviews with UNHCR (Semi-structured) • ECJ

15. 2004 arrival of African asylum seekers via Cap Anamur in Italy: reception conditions and procedures for determination of asylum claims Sources of data: • UNHCR Brussels Office • Cap Anamur (German charitable organisation) • European Parliament LIBE Committee • EU COM Reports • African community in Italy (could be problematic) • Interpol/Europol (problematic) • NGOs • ECJ jurisprudence

16. VI. DIFFICULTIES & LIMITATIONS • Nature of refugee research – methodological and ethical considerations 2. Geographical limitations – question of funding 3. Work-Information exchange – internship necessary?

17. VII. INTENDED RESULTS? • Publication of chapters? • Publication of Literature Review as a Working Paper? • Policy recommendations?