Cooperation in the European Union
How Trust and Administrative Culture Matter for Crisis Management
Sten Widmalm
Department of Government
Uppsala University
Uppsala, Sweden
Thomas Persson Department of Government
Uppsala University
Uppsala, Sweden
Charles F. Parker Department of Government Centre of Natural Hazards and Disaster Science (CNDS)
Uppsala University
Uppsala, Sweden
ISSN 2524-7263
ISSN 2524-7271 (electronic)
European Administrative Governance
ISBN 978-3-030-02857-2 ISBN 978-3-030-02858-9 (eBook)
https://doi.org/10.1007/978-3-030-02858-9
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Preface
A major challenge for the EU, since its creation, has been to forge agreement amongst its members and to persuade them to cooperate in effective and legitimate ways. In recent years, recurrent crises have made meeting this challenge tougher than ever. The economic and financial crisis brought some member states to the brink of bankruptcy, while others continued to prosper. The crisis over Ukraine then plunged the Union into a sharp conflict with Russia, even as certain member states continued to depend on good relations with Moscow. The subsequent refugee crisis led to further divisions between member states, over questions of solidarity and shared responsibility. In light of these events, the UK’s decision to leave the EU might be interpreted as the ultimate failure for European cooperation and integration. Nonetheless, the remaining member states seem to be determined to continue with the integration process. They persist in trying to make the internal market more efficient, while consolidating democracy and making the Union safer and more secure.
Other challenges facing the Union are more immediate, and they can appear in dramatic ways. We refer to these as crises, since they constitute an immediate threat to the EU’s ability to protect its citizens. While many of these events only affect individual member states, some of them are transboundary in character, meaning that they may affect at least two countries. Disasters of this kind are therefore best handled in cooperation with other member states. Moreover, economic, juridical, and political ties bind the member states together, such as the EU’s Solidarity Clause. The members of the Union thus share responsibility for coping with these emergencies. That is essentially what this book is about. We study how cooperation at
the level of the Union works in civil protection and crisis management, and we seek to identify the factors which make cooperation in this area effective and legitimate at the national and EU levels.
The impetus for this book came from a call for research put out by the Swedish Civil Contingencies Agency (MSB) in 2013. A better understanding was needed, MSB declared, of the conditions under which cooperation within the Union could advance in the area of civil protection. Recent experiences with crises in the EU—among them the outbreak of avian influenza, the ash-cloud crisis, numerous forest fires and floods, and recurrent terrorist attacks—clearly underlined the need for closer cooperation. When the MSB announced its call for research proposals, we saw an opportunity to participate in this endeavour by combining our knowledge of crisis management, of EU governance, and of the factors that are needed to facilitate cooperation. In particular, we felt that an important element was missing in this field of research: namely, a more thoroughgoing focus on software factors like social capital and administrative culture. Such a focus, we believed, could advance our common understanding of the requisites for effective and legitimate cooperation at the EU level in this area. We have sought to further this understanding by carrying out research within the so-called Persona project, and by presenting the findings thereby gained in this book.
When we started the project, we expected crises of the above-mentioned type to be what people primarily thought of when discussing cooperation in the field of civil protection. However, man-made conflicts changed this outlook quite rapidly. What was first believed to be a temporary and limited increase in the flow of refugees into the EU, in 2014, soon turned out to be the largest movement of refugees in Europe since the Second World War. A large part of the discussion on civil protection and crisis management then got entangled in the debate on the refugee situation, in a way that was unprecedented and unforeseen. The sheer suffering and tragedy that then unfolded cannot be described here in any way that does it justice. When you read this book, please keep this stark fact in mind. The practical and political challenges following the refugee crisis have naturally impacted upon our results. Take for example our own country: Sweden. During the last four years, Sweden has received some 300,000 applicants for asylum, in a country of ten million. Austria, Hungary, and Sweden are among the top recipients of asylum applications in the Union per capita; while France, Germany, and Italy have received the highest number in
absolute terms. Quite naturally, all of those involved in civil protection in Europe have had the effects of this crisis in mind.
However, we do want to emphasize that most of the officials with whom we spoke were by no means focused solely on the challenges arising from the refugee crisis. These came up, naturally, in many discussions—as will become clear in the course of this book. However, these officials were also (and even largely) focused on all the duties their agencies had to perform that had no relation to the ongoing refugee crisis. These included protection against forest fires, floods, terrorist attacks, cybercrimes, accidents, pandemics, and so on. While we must acknowledge, then, that our study was carried out under special circumstances due to the refugee crisis, there were plenty of other crises to be handled as well.
Inevitably, any efforts at providing civil protection take place in a context that poses unique challenges, due to the special traits and features of crises. Fortunately for us, the highly professional officials in the agencies we visited were used to dealing with more than one crisis at a time. Consequently, our study reflects their assessments, opinions, and judgements on far more than just one particular emergency operation. Our study gives, then, a fairly comprehensive picture of civil-protection cooperation in Europe.
Uppsala, Sweden Sten Widmalm
Uppsala, Sweden
Charles F. Parker
Uppsala, Sweden Thomas Persson
acknowledgements
Our first thanks go to all those individuals who participated in our study as survey respondents and as interviewees, and who generously shared their views on civil protection and crisis management. We also wish to thank all the officials who helped us carry out the study in civil-protection institutions in Austria, Bulgaria, Croatia, the Czech Republic, Denmark, Finland, France, Germany, Greece, Hungary, Ireland, Italy, Latvia, Lithuania, Portugal, Slovenia, Spain, Sweden, and the United Kingdom, as well as at the Directorate-General for European Civil Protection and Humanitarian Aid Operations (DG ECHO).
We are also very grateful to the MSB, for providing financial support for the research that we report in this book. Several people at the MSB have given us valuable support and crucial advice along the way. Here we want in particular to mention Helena Lindberg, Nils Svartz, Camilla Öngörur, Johan Berglund, Marie Norrby, Bodil Lundberg, Björn Kerlin, Sara Myrdal, Arya Honarmand, and Anneli Bergholm Söder.
Nor would this study have been possible without support from the Department of Government at Uppsala University, which has served as our host. We give special thanks to our colleagues at the department who helped us with generous support and advice: Sverker Gustavsson, Christer Karlsson, Frederike Albrecht, Shirin Ahlbäck Öberg, and Daniel Nohrstedt. In addition, Anna Michalski, Niklas Nilsson, and Niklas Bremberg supported the publication of our chapter in the annual yearbook of the Swedish Network for European Studies; we are grateful for the opportunity this afforded us to disseminate our research.
We also want to give special thanks to Arjen Boin, Paul t’ Hart, Annika Brändström, Daniel Tarschys, Fredrik Bynander, Tom Christensen, and Bo Rothstein, as well as to the members of the research seminar at Gothenburg University, for providing valuable input and comments at various stages of this project that helped improve the final result.
This project has furthermore benefitted from the hard work of a number of research assistants who took part in the project at various stages. Many thanks to August Danielson, Axel Dalman, Ana Covaciu, Carina Portin, and George Kyroglou. Peter Mayers has scrutinized our text— both in its content and in its language—in a manner for which we are immensely grateful. We are thankful as well to Bernard Vowles, who also helped us to improve the text, and to the Royal Society of Arts and Sciences in Uppsala, which provided support in the final phase of the project. We further want to mention and to say thank you to the members of the Survey Gizmo support team, who helped us to solve certain challenges of survey design. We are also in debt to the anonymous reviewers for their constructive comments. Finally, we wish to thank the series editors, Tom Christensen and Sophia Vanhoonacker, as well as the patient and supportive editors at Palgrave Macmillan, Jemima Warren and Oliver Foster, for their expertise and assistance in making this book a reality.
On the personal front, all three of us owe a debt of gratitude to our families, who were extremely patient with us as we barnstormed 20 European capitals and spent endless hours working on this book. We could not have completed this project without their love and support.
Fig. 2.1 Share of women in the survey 46
Fig. 2.2 Experience of working with DG-ECHO (or similar) and training in the EU 47
Fig. 3.1 Level of cooperation with EU institutions in crisis situations 73
Fig. 3.2 Reliance on personal trust over formal protocols 75
Fig. 3.3 Emphasis on hierarchy at the work-place 77
Fig. 3.4 Freedom of speech at the workplace 78
Fig. 3.5 Relationship between trust in people at workplace and trust in people at EU institutions 80
Fig. 3.6 Relationship between trust in people at workplace and workplace hierarchy 81
Fig. 3.7 Relationship between trust in people at workplace and GDP per capita 82
Fig. 3.8 Relationship between reliance on trust over protocol and GDP per capita 83
Fig. 3.9 Relationship between workplace hierarchy and GDP per capita 84
Fig. 3.10 Relationship between workplace fairness and GDP per capita 85
Fig. 3.11 Relationship between workplace openness and workplace fairness
Fig. 3.12 Relationship between workplace meritocracy and GDP per capita
Fig. 3.13 All edges, and node sizes representing degree of prestige
Fig. 3.14 Strong edges representing degree of prestige
Fig. 3.15 Relationship between GDP per capita/democratic age, hierarchy and trust
Fig. 3.16 North/West and South/East divide in social capital and administrative cultures
Fig. 4.1
Fig. 4.2
Confidence intervals for one general indicator of effectiveness at national level, and at EU level; and balance between national and EU levels; mean estimate per country 109
Confidence intervals for effectiveness index at national level, and at EU level; and balance between national and EU levels; mean estimate per country 111
Fig. 4.3 Confidence intervals for public-administration structure (PAS), public-administration culture (PAC) respectively, and crosstabulation of both indices; mean estimate per country 113
Fig. 4.4
Confidence intervals for generalized trust, for trust in people working in civil-protection institutions at national level, and for trust in people working in such institutions at EU level; mean estimate per country 115
Fig. 4.5 Bivariate relationship between public-administration structure and effectiveness of institutions at the national level, respectively; mean estimate per country 117
Fig. 4.6 Bivariate relationship between public-administration culture and effectiveness of institutions at the national level, respectively; mean estimate per country 118
Fig. 4.7 Bivariate relationship between interpersonal trust in people at workplace and effectiveness of national civil-protection institution; mean estimate per country 119
Fig. 4.8 Bivariate relationship between generalized trust and effectiveness of national civil-protection institution; mean estimate per country 120
Fig. 4.9 Bivariate relationship between public-administration structure and effectiveness of EU civil-protection institutions, respectively; mean estimate per country 121
Fig. 4.10 Bivariate relationship between public-administration culture and effectiveness of EU institutions, respectively; mean estimate per country 122
Fig. 4.11 Bivariate relationship between interpersonal trust in people at workplace and effectiveness of EU civil-protection institutions; mean estimate per country 123
Fig. 4.12 Bivariate relationship between generalized trust and effectiveness of EU civil-protection institutions; mean estimate per country 124
Fig. 4.13 Bivariate relationship between interpersonal trust in people working in EU institutions and effectiveness of EU civilprotection institutions; mean estimate per country 125
Fig. 5.1 Confidence intervals for institutional trust at national level, and at EU level; and balance between national level and EU level; mean estimate per country 142
Fig. 5.2 Confidence intervals for public-administration autonomy, transparency, and professionalism at EU level; mean estimate per country
Fig. 5.3
Fig. 5.4
Fig. 5.5
Fig. 5.6
Fig. 5.7
Bivariate relationship between trust in national civil-protection institutions and trust in EU-level civil-protection institutions
Bivariate relationship between generalized trust and trust in EU-level civil-protection institutions
Bivariate relationship between particularized trust in people working in EU-level civil-protection institutions and trust in EU-level civil-protection institutions
Bivariate relationship between autonomy of officials in EU-level civil-protection institutions and trust in EU-level civilprotection institutions
Bivariate relationship between transparency of EU-level civilprotection institutions and trust in EU-level civil-protection institutions
Fig. 5.8 Bivariate relationship between professionalism in EU-level civilprotection institutions and trust in EU-level civil-protection institutions
144
146
147
148
149
150
151
Table 2.1 Number and share of respondents in central authorities responsible for civil protection and crisis management 40
Table 3.1 Indicators of social capital at national workplace and EU civilprotection/crisis-management institutions
Table 3.2 Indicators of administrative culture 69
Table 3.3 Trust and networks between surveyed countries 91
Table 4.1 Descriptive statistics of one indicator of effectiveness, national and EU-level
Table 4.2 Determinants of effectiveness in crisis-management institutions at national level
Table 4.3 Determinants of effectiveness in crisis management institutions at EU level
Table 5.1 Determinants of trust in EU-level institutions
CHAPTER 1
The Road to a Europe That Protects: Civil Protection, Trust, and the Culture of Public Administration in the EU
The EU and its member states have committed themselves to the protection of their citizens, and a Europe that protects must be able to respond effectively when disaster strikes. The expression of this goal can be found in the solidarity clause in the Treaty on the Functioning of the EU, which establishes a legal obligation for the EU and its member states to assist each other when an EU country is the object of a terrorist attack or a natural or man-made disaster. To this end, the EU has created a civil-protection mechanism and an accompanying operational hub in the form of the Emergency Response Coordination Centre (ERCC) which coordinates the response of the participating countries in the event of a crisis. Because the EU’s civil protection mission speaks to the EU’s entire project and is one of the most visible manifestations and tangible instruments of European solidarity, we treat it as a crucial case for investigating which factors—such as trust, public-administration culture, and publicadministration structure—facilitate or hinder effective EU cooperation.
The many crises faced by the EU today, from terrorist attacks to secession movements, put the EU at a crossroads. In fact, how well the EU is able to handle its crises will help determine the future health of the EU. The very idea of the EU is today being questioned more than it has ever been since 1951. If the EU is able to manage its crises through cooperation and solidarity, a more unified EU can emerge. However, if the current crises—financial, refugee related, and those relating to increasingly severe weather events and extreme climate related phenomena—
© The Author(s) 2019
S. Widmalm et al., Civil Protection Cooperation in the European Union, European Administrative Governance, https://doi.org/10.1007/978-3-030-02858-9_1
1
overwhelm the EU’s ability to solve problems and protect its citizens from harm, divisions will grow and the legitimacy of the EU will be called into question.
This book explores the challenges the EU and its member states face in order to achieve more effective cooperation in the quest to better protect its citizens, namely in the critical field of civil protection. It provides insights to what kind of cooperative structures exist in Europe in this issue area—in single countries, between countries, and at the EU level—and what role trust, shared norms, cooperative networks, and administrative culture play in how well the system functions. The book utilizes fieldvisits, interviews, and a large EU-wide survey among officials at civilprotection agencies throughout Europe and provides unique data on what aspects of civil protection are working well and what challenges lie ahead in areas that are more problematic.
We generate new empirical evidence on the actual functioning of EU civil-protection cooperation gathered through interviews conducted at the Directorate-General for European Civil Protection and Humanitarian Operations (DG ECHO) and in nineteen member states and through an extensive survey of 670 officials working with civil protection in seventeen member states. We then analyse this material through the prisms of administrative culture and social capital. We are able to provide evidence on the patterns of civil-protection cooperation in the EU, the effectiveness of EU civil-protection cooperation, and on the views of officials concerning the legitimacy of the EU’s efforts in this area. Prior to this study, little was known about how much trust practitioners working with civil protection actually placed in the EU’s efforts in this area or what mechanisms explain how they view the EU.
Institutions for civil protection are special. On the one hand they are supposed to coordinate multiple actors under extremely stressful conditions, such as natural disasters, pandemics, and terrorist attacks. On the other hand, they are supposed to prepare for crises and foresee new threats and challenges to the safety of citizens. Consequently, part of the time they are expected to behave like many other public administration institutions which carry out long term strategies in a relatively foreseeable way. But intermittently they are also expected to respond rapidly and appropriately to a variety of crises and transboundary events, such as natural disasters, environmental threats, major emergencies, epidemics, terrorism, migration, and the breakdown of critical infrastructure that demand that they act as a coherent emergency response team.
When we look at the EU, it is clear that there is great variation in how civil-protection institutions are structured. Civil protection involves a large variety of organizations and because there is no single model for how best to organize civil-protection activities, particularly in the EU context, we examine the different practices, traditions, relationships and cultures that shape civil-protection institutions and responses to crises in the EU. These differences pose challenges since crises so often have little or no respect for borders. Coordination between different actors will always be a challenge.
Within the context of the EU however it is natural to assume that coordination at the EU level should be the solution to such challenges. However, it is one thing to simply observe that cooperation is needed when there is an ash cloud, when rivers flood, when there is a forest fire, or when extremists attack innocent citizens. But bringing about such cooperation and making it work well is a major challenge. Sometimes the challenge lies in the nature of the crisis. However, more often, the challenge lies within the civil-protection institutions themselves. This means investigating the vital “software” factors of social capital and publicadministration culture rather than simply examining the “hardware” factors of formal structures, functional capacities, and technical equipment. It is this challenge that is the focus of this book, and this is why the objects of analysis for this study are the lead agencies responsible for civil protection and crisis management in civil society in the EU member states and the central EU-coordinated institutions DG ECHO and the Emergency Response Coordination Centre (ERCC). In particular, we investigate the role of the revised Civil Protection Mechanism in facilitating cooperation between the civil-protection agencies in the EU and with DG ECHO, including the central role played by the ERCC; thereby, allowing us to generate insights into the effectiveness and legitimacy of cooperation between national and EU-level authorities.
It is noteworthy that our research for this book was conducted after some very important post 2013 changes and developments that have taken place regarding the EU’s civil-protection cooperation, which due to timing could not be fully captured by past research in the field. Our interviews and surveys were carried out at an opportune time, from 2015 to 2017, which means our investigation is able to capture attitudes informed by early assessments of the revised EU Civil Protection Mechanism legislation, which was adopted in December 2013, the functioning of the Emergency Response Coordination Centre (ERCC), which was launched
in May 2013, and the strengthened European Emergency Response Capacity, which was adopted in October 2014. It is also notable that this research was carried out during a very trying time for the EU. In recent years, the EU has been buffeted by a number of crises, such as the Eurozone financial crisis, Brexit, and the refugee and migration crisis, all of which have proved challenging to the EU’s ability to solve problems and cooperate.
Our points of departure come from past research on crisis management in the EU context. In this chapter we briefly describe the scholarly debate and explain how our study contributes to current research in the field and specify the concrete research questions our study will address. Our main starting point is that traditional crisis management studies have not sufficiently addressed what is known as “software factors”, such as the central role of public-administration culture and social trust for achieving civilprotection cooperation. Inspired by other researchers in this field (Boin et al. 2013; Bossong and Hegemann 2015), we therefore suggest that the way forward is to combine knowledge from crisis management studies (Ansell et al. 2010; Comfort et al. 2010) with insights from public administration (Christensen et al. 2016a, b; Painter and Peters 2010; Peters 2010; Persson et al. 2017) and social capital studies (Putnam 1993, 2000; Rothstein 2011; Rothstein and Uslaner 2005). By bringing together insights from all three fields we find the conceptual tools that inform our empirical study.
Specifically this book addresses the three following research objectives. First, we investigate the main divides and unifying patterns of cooperation that exist among the countries in our study and report which countries are the most trusted and by whom. Second, we investigate which factors promote effectiveness in civil protection and crisis management both at the national and EU-level. In doing so we examine whether structural and cultural factors are strongly related to perceptions of effectiveness of crisis management within national agencies and to what extent these factors are associated with perceptions of effective crisis management at the EU level. Finally, we investigate the factors that foster trust in national and EU civil protection governance. We examine how trust in EU institutions is linked to trust in national institutions and explore the mechanisms behind confidence in EU governance among civil protection officials.
By studying crucial aspects of civil protection and crisis management in the EU, we should be able to provide insights on proposals and policies to improve responsiveness and to help ensure that crises are met with
appropriate measures. We move beyond case studies and a technical analysis of formal institutional structures here, in an effort to uncover the values, principles, norms, and cultures that characterize civil-protection and crisis-management institutions in the Union. The broader question we ask is what traits of administrative agencies—traits that mostly remain hidden beneath the official descriptions of such bodies—serve to facilitate or to hinder cooperation when well-functioning crisis-management and civilprotection institutions are needed the most.
If we understand why and why not cooperation occurs, and what the informal structures are that govern civil-protection and crisis-management institutions, then there is a better chance that our decisions about future strategies will actually guide the EU in directions that sustain and promote its legitimacy.
It is often said that, due to the many crises it faces today, the EU finds itself at an important crossroads. Crises are repeatedly putting the Union in a situation where ‘the response’ or ‘the next move’ is seen as ‘crucial’. But many times, when there is a crisis of some kind, it is not so clear which road should be taken to improve or solve the situation. When Alice met the Cheshire cat in Wonderland, she asked which road she should take, and the cat responded by asking where she wanted to go. Alice then replied that she did not care, to which the cat said: ‘Then it doesn’t much matter which way you go.’ We hope this book will prove far more helpful than the Cheshire cat. We must not forget, however, that the cat is very clever. He points out the obvious need to understand one’s purpose and context. So, we begin this first chapter by discussing just those things. This book is not just a general contribution to the discourse on how means and methods of cooperation can evolve so as to respond to crises more effectively. It investigates more specifically the enabling and constraining factors upon which EU cooperation depends and provides evidence on the extent to which states are more inclined to work out their own national solutions or to make use of the Union’s supranational institutions in the crucial field of civil protection.
EU CoopEration: thE historiCal ContExt and CUrrEnt ChallEngEs
If we want to examine what options are available to the EU in crisis situations, then we need to understand the overall objectives of this organization. We can thereby learn about the obstacles and challenges that lie
S. WIDMALM
ahead, and what resources and opportunities may be available. The most challenging part here is to appreciate that the purposes of the Union have changed over time. The contexts in which crises arise vary too.
The original purpose of European integration was to bring an end to war amongst the states of Europe. And almost immediately, economic cooperation became the primary tool to achieve it. Post-war policy-makers and political elites in the West were immensely influenced by the modernization school, which declared not only that a common market would preserve peace; economic growth would also stabilize and preserve democracy—the only regime type under which a humane and common future was possible, as had been evident since the grim and cruel consequences of communism and national socialism had made themselves known. For more than three decades the EEC expanded, gaining greater legitimacy all the while, as it provided for the three goals at the same time: peace, economic growth, and democracy. Although the expansion of the Union was slow, the incremental nature of the changes that took place over time facilitated the cumbersome task of building up trust and synchronizing different administrative traditions (Widmalm et al. 2018). The legitimacy of the EU was thus preserved and nurtured, and new paths forward were incrementally prepared. The end goal, of course, was the creation of a real union.
After dramatic changes in the political climate in the 1980s and the fall of the Berlin wall, this understanding of the EU became less obvious and established. Neo-liberal economic reforms placed economic growth at the top of the agenda for many states. The break-up of the Soviet Union also led to a rapid expansion in the number of EU member states. The logic of geopolitics took over, making other goals less relevant. Democracy, for instance, was put on the back burner in several respects. European integration first, full democracy later—that was the main strategy. Otherwise the newly free and independent states in the East would run the risk of being pulled back into Russia’s gravitational field. Terror attacks after 2001 combined with refugee disasters to favour demands for a less inclusive EU, and priority were given in many policy areas to security concerns. In addition, natural disasters—some considerably worsened by the bad side of man-made ‘development’—put strains on the whole EU system. And so, a paradoxical situation revealed itself. The more challenges the EU project encountered, the more obvious it became that working together collectively was needed to meet them. At the very same time, however, the prospects for cooperation were growing dimmer, due to austerity policies,
strains resulting from migration and the influx of refugees, and certain side-effects arising from the operation of the common labour market (Widmalm et al. 2018). In this problematic new environment, populist movements thrived. Various crises related to security, the environment, and the economy either exposed existing wedges between member states or drove in new ones. So when the EU finally, and quite recently, decided to push for more cooperation in crisis management and civil protection, the challenges were to say the least considerable. Instead of revealing the need for cooperation, collective action, and shared responsibility, the Union’s efforts in this area revealed deep cleavages and free-rider behaviour—and likely led to further problems besides. One question became evident immediately: how can the Union develop such common institutions as are needed to solve the increasing threats in this area? The research project on which this book is based emanated from such concerns.
If Brexit, terror attacks, the refugee crisis, and the economic crisis of 2008 have created an ‘EU crisis’, can the Union then be expected to be the place for member states to go in order to solve crises? Can we expect joint solutions and cooperation for civil protection and crisis management to emerge from something which today, according to its harshest critics, looks more and more like the raft of the Medusa? Or is it exactly this kind of context which will forge unity and a stronger EU that understands the importance of a modicum of unity and the value of tackling challenges jointly? In order even to begin to answer such questions, we need to understand the fabric which holds—or may hold—the EU together, and the gravitational forces which divide it. Therefore, whilst this study focuses on traits and characteristics of crisis management and civil protection in the EU, it also addresses the broader issue of how the EU might act more inclusively for common purposes. From a political perspective, the capacity to cooperate and coordinate is often portrayed as the Holy Grail—a chalice that needs to be filled with legitimacy. From a crisis-management, a civil-protection, and more generally an administrative point of view, such a capacity is often portrayed as highly desirable. But if only certain actors can cooperate, or wish to, then that may also say something about internal divisions or differences of interest. We hope therefore to clarify what facilitates cooperation, and what conditions cooperation from the perspective of the member states. We also need at least to touch on the political: what unifies some actors and what divides them. To do this, we must focus and narrow the scope of the investigation (especially if we include a majority of EU member states in the study, which we do).
Joint Civil protECtion and Crisis ManagEMEnt in thE EU: prEConditions and FoCal points
Previous studies have already furnished important insights into what makes cooperation possible, and what makes it difficult to achieve in times of crisis. Many of these have highly focused, however, on hardware factors such as the nature and content of formal agreements, legal frameworks, and functional capabilities. Clearly, we need a better understanding of these institutional actors from within. We need to know more about how values, virtues, trust, traditions, culture, and the like motivate actors and how these factors influence the quality of cooperation among them. High profile events like the terrorist attacks in Madrid in 2004 and London in 2005, the tsunami disaster in 2004, the bird flu in 2005–2006, the Ebola epidemic in West Africa in 2014, and earlier food-supply crises like ‘mad cow disease’, have had the catalytic effect of spurring the EU to become more and more involved in crisis management and civil protection (Widmalm et al. 2018). Lately, moreover, the Union’s responsibilities as a civil-security actor have expanded—and quickly (Kirchner et al. 2015). The Civil Protection Mechanism, for instance, is designed to help the Union and its member states cope with crises like fires, floods, extreme weather, landslides, volcanoes, earthquakes, and complex accidents and emergencies (European Commission 2017a). Terrorism in Paris and Brussels in 2015–2016 further encouraged cooperation amongst EU agencies in this area. Common efforts now include actions against terrorist financing, measures against weapons smuggling (including stronger cooperation amongst different police forces), the collection of passenger data on flights, and the reinforcement of controls at the outer borders of the Union (including biometric information checks). To be sure, a kind of responsiveness on the part of the Union is evident here: new directives have been issued; new laws have been passed and implemented. It is less clear, however, whether these are furthering unity within the EU. Are they forging stronger bonds amongst the member states?
The main responsibility in the immediate aftermath of a disaster or emergency, according to the EU, rests with the country where it takes place. Nevertheless, the Union recognizes that extreme events can exceed the capacity of any one country to cope, making outside assistance necessary. In today’s complex and interdependent world, moreover, crises that start in one country can spread quickly to others, increasing the risk of far-reaching regional or even global damage. The member states have
agreed, accordingly, that an extreme event may become much too serious for the afflicted country to handle without outside assistance.
The migration and refugee crisis, which became an acute problem in 2015 and 2016, is a vivid example of a challenging and divisive transboundary crisis. Mirjana Milenkovski, UN High Commissioner for Human Rights, described the refugee crisis as the most extensive seen in Europe since the Second World War (Cerni and Savic 2015). It has led, moreover, to serious divisions within and between the member states. Survivors fleeing war and terror find themselves in a Union badly divided over how to accommodate them. The situation is highly unstable. Efforts are made at coordination; refugee quotas are resisted; political factions clash with one another. The refugee crisis and migration within the Union were important factors in the strong support gained by champions of Brexit (Wilkinson 2016). As migrants and refugees poured into Europe, the EU tried to cope, amongst other things by offering support to countries like Hungary. In the Hungarian case, however—according to those we interviewed for this study (see Chap. 3)—the offer was rejected, save for some tents, coats, and blankets for the refugees. The member states differ enormously in their views on the refugee crisis. It is clear there is no consensus on the nature of the challenges to the Union in this area, and no single direction forward.
However, not all crises have this effect. Some actually reveal clear common interests. Take the Icelandic ash cloud in 2010. It occasioned no dramatic divisions within the Union; quite the contrary. It was a textbook example of a cascading crisis, and it had a major negative impact throughout Europe, disrupting air traffic massively and paralysing European aviation. A coordinated EU response was needed to resolve it (Parker 2015). And its effect was to push the EU forward in a common direction.
Crises of this type, which exceed the capacity of any single country to resolve on its own, are among the main reasons the Union has taken on a more prominent role in managing crises. The Treaty of Lisbon has thus been furnished with a Solidarity Clause (Article 222 TFEU), which obligates the Union to assist member states in the event of natural or manmade disasters. However, EU ef forts in this area face important ‘hardware’ challenges: e.g., creating a coherent legal framework; establishing properly functioning formal structures; developing a robust response capability; and making sure that sufficient resources and technical equipment are available in times of need. Yet the ‘software’ challenges may be even more important: leadership; training; networks; and trust in the people involved
and in the systems and procedures that have been built up (Boin and ‘t Hart 2010; Ansell et al. 2010). In this book, we focus to some extent on the interaction between hardware and software factors. Our main emphasis, however, is on the latter, which has received less focused attention by past research. Our work builds on the insights of scholars of crisis management that have shown an increasing interest in social capital, and in how effective crisis management can be both enabled and undermined by trust, shared norms, and a strong esprit de corps (Moynihan 2008; Boin and ‘t Hart 2010; Ansell et al. 2010; Boin et al. 2014; Persson et al. 2017).
Increasingly, crises are crossing boundaries of organization and sector (Boin et al. 2006, 2010). Many organizations, therefore, feel the need to coordinate their efforts more and more. Such coordination takes place on various levels of administration, at times periodically and at other times permanently. Clearly, therefore, the Union can play a productive role. If it is to do so, however, it must overcome some challenges. As Arjen Boin and Paul ‘t Hart point out, research has shown that hardware factors tend to be ascribed too much importance (Boin and ‘t Hart 2010). As they see it, such a focus can divert attention from efforts in the software area, which are often more important and cost-effective.
This suggests that trying to build a perfect organization—by adjusting rules, regulations, operational procedures, etc.—is not likely to improve crisis management very much. According to Boin and ‘t Hart, the critical thing here is not formal structures but the quality of communication and coordination within and across the rescue services of the individual countries. As Charles Parker, Eric Stern, and their colleagues have shown, coordination and cooperation problems were central to the suboptimal outcomes seen when warning-response systems failed in connection with the 9/11 terrorist attacks (Parker and Stern 2002) and Hurricane Katrina (Parker et al. 2009). There is thus much to suggest that software factors often make the biggest difference.
It is very important, to be sure, to take an institutional perspective on the Union’s crisis-management capacity (Boin et al. 2013). But we take things a step further in this book, by considering more closely the oftoverlooked importance of social tr ust and public-administration culture in different member states. The question of trust is particularly interesting in connection with the EU, where crisis management is increasingly shared among member states and supranational agencies. We will soon dig deeper into the software factors and how they interact. However, a brief overview of some of the hardware factors concerning the institutional setup of civil-
protection cooperation within the EU is necessary in order to appreciate the context of the study.
thE EvolUtion and institUtional sEtUp oF CivilprotECtion CoopEration in thE EU
The Union Civil Protection mechanism, which is the responsibility of DG ECHO, was created to coordinate the response to natural and man-made disasters at the EU level and was first established in 2001. The legal basis for EU action in the field of civil protection is predicated on Article 196 of the Treaty on the Functioning of the European Union (TFEU also known as the Treaty of Lisbon). Article 196 calls on the EU ‘to improve the effectiveness of systems for preventing and protecting against natural or man-made disasters’ says that EU action should aim to ‘promote swift, effective operational cooperation within the Union between national civilprotection services’ as well as ‘promote consistency in international civilprotection work’. The UCPM is also designed to contribute to the implementation of Ar ticle 222 of the TFEU, the so-called solidarity clause, which obligates the EU and its member states to come to the aid of any member state that is overwhelmed by a natural disaster, terrorist attack, or other major man-made crisis. The Lisbon Treaty also calls on the Union to provide assistance and protection to victims of natural disasters or manmade disasters around the world (Ar ticle 214).
The civil-protection legislation was revised in late 2013. The EU was motivated to do so by the increasing frequency and severity of natural and man-made disasters. According to the EU, future disasters, due to climate change and possible interaction effects between several natural and technological systems, are likely to be increasingly extreme and more complex with potentially devastating consequences (European Parliament and Council 2013). To bolster an integrated European wide approach to disaster management and better promote solidarity, in late 2013 the EU adopted a strengthened civil protection mechanism to better ‘support, complement, and facilitate the coordination of Member States’ actions in the field of civil protection with a view to improving the effectiveness of systems for preventing, preparing for and responding to natural and manmade disasters’ (European Parliament and Council 2013).
The EU clearly sees the UCPM as a high profile, and high priority, manifestation of its commitment to European solidarity and has explicitly embraced the mission of ‘ensuring a practical and timely contribution to
prevention of and preparedness for disasters and the response to disasters and imminent disasters’ (European Parliament and Council 2013). By reinforcing the UCPM with new legislation, European leaders hope to improve cooperation at the EU level in connection with disaster prevention, preparedness and planning, and response time (European Commission 2013).
The revised Civil Protection Mechanism went into effect on 1 January 2014 and the specific components that now comprise the structure of the UCPM are the Emergency Response Coordination Centre (ERCC), the Common Emergency Communication and Information System (CECIS), and the European Emergency Response Capacity (EERC) (European Parliament and Council 2013).
The ERCC, which was established in May 2013, is the operative hub and the heart of the UCPM. The ERCC is the EU’s main crisis monitoring and coordinating platform and it disseminates information, provides early warning, and coordinates responses from the participating countries in the event of a crisis. The ERCC offers a full 24/7 capacity to monitor disasters, to provide real-time information about them, and to respond to them by providing needed data, updates, expertise, financial assistance, and resources from the voluntary pool (European Commission 2013: 2). The ERCC is supported in its work by CECIS, which is a web-based alert and notification system that allows for real time information sharing among participating states and the ERCC.
The revised civil-protection legislation led to the creation of the European Emergency Response Capacity (EERC), which consists of a voluntary pool of pre-committed capacities from the Member States, including trained experts, relief teams, and equipment (European Parliament and Council 2013). To guarantee that committed resources are of high quality, DG ECHO subjects all assets to a dedicated certification process (European Parliament and Council 2013). The voluntary pool of precommitted capacities was one of the new additions designed to address the weaknesses in the previous mechanism and was created to move away from the reactive and ad hoc coordination the reigned prior to 2014, to ‘a preplanned, prearranged and predictable system’ (European Court of Auditors 2016: 9; European Commission 2017b: 4). The voluntary pool creates a response capacity and range of assets that can be tapped immediately when needed. Since the EERC’s establishment in October 2014, 20 participating states have committed over 90 resources and response capacities, such as search and rescue teams, medical teams, high-capacity
pumping units, water purification equipment, evacuation teams, and forest firefighting teams, which are available to be deployed in the EU and worldwide (European Commission 2017c). Collectively, the Civil Protection Mechanism, ERCC, CECIS, and the EERC’s voluntary pool are designed to be the concrete manifestations of European solidarity in the field of civil protection.
Since its inception in 2001, the Civil Protection Mechanism has monitored more than 400 disasters worldwide. It has been activated more than 250 times (European Commission 2017d), among other things in connection with the in Haitian earthquake of 2010, the Japanese nuclear disaster of 2011, the Ebola outbreak in West Africa in 2014, the earthquake in Nepal in 2015, and the floods in Peru in 2017 (European Commission 2017b: 5, 2017e, 2018). Inside the EU from 2001–2017 there has been 102 requests for assistance and activations in Europe include the floods in the western Balkans in 2014, a forest fire in Sweden in 2014, and the migration and refugee crisis in Croatia, Greece, Hungary, Serbia, and Slovenia in 2015 (European Commission 2017b: 5–6; 2018). In response to the widespread forest fires in 2017, the UCPM was activated to assist southern European countries and Albania, France, Italy, Montenegro, and Portugal received help from the UCPM in the form of firefighting airplanes, fire-fighters and vehicles.
Disasters across Europe proved extremely costly in recent years both in terms of human lives and in economic damage. The EU has noted that 200 people lost their lives due to natural disasters in 2017 alone and nearly €10 billion in economic losses were suffered in 2016 (European Commission 2017c, f). In response, the EU, in November 2017, has proposed to strengthen civil-protection action and cooperation once again with its rescEU initiative to create a new system for an enhanced collective European response to disasters (European Commission 2017g). Specifically, the EU called a reserve of new civil protection capabilities managed by DG ECHO, the boosting of national civil protection capacity, and enhanced disaster prevention and preparedness (European Commission 2017f, g).
As these developments show, the EU is pushing forward. It is enabling more joint crisis management, and encouraging greater cooperation for civil protection. It is doing this by building common institutions and trying to enhance capacities at the EU level. Common institutions, however, may be necessary but not sufficient for facilitating cooperation. As they build up an institutional framework in this area, the Union and its member
states are confronting a number of important software challenges relating to trust, culture and legitimacy that are integral to the quality of coordinated action and crisis response. If the new arrangements are to improve the management of future disasters and crises, it is critical that these challenges be overcome.
thE iMportanCE oF soCial Capital and adMinistrativE
CUltUrE: soFtwarE rEqUirEMEnts For EFFECtivE Crisis
ManagEMEnt
As Boin and ‘t Hart amongst others have observed (2010), researchers on civil protection and crisis management have focused too much on formalities and technicalities—what they call ‘hardware’ factors. Scholars in the field will be well-advised, therefore, to look more at leadership, networkbuilding, education, training, and organizational culture.
Recent studies of crisis management in the Union have done just that (Persson et al. 2017; Christensen et al. 2016a; Kuipers et al. 2015). Two approaches in particular would seem especially rewarding here. One is the scholarship on social capital, with its stress on the importance of norms, networks, and trust. The other is the research on administrative culture, which in a number of ways intersects with that on social capital. We will explain why these approaches are valuable, and how they can enhance crisis-management research (particularly as regards the EU’s capacities).
Let us begin with social capital, which has drawn massive attention from researchers for more than two decades now. Earlier social scientists recognized the centrality of social capital for favourable social development, even if they did not use the term. In his study of democracy in America, for example, Alexis de Tocqueville (de Tocqueville 1835 and 1840, reprinted in 1994) singled out the customs and practices of the new country as the key to its democratic stability. A century later, in The Civic Culture (Almond and Verba 1963, reprinted in 1989), Gabriel Almond and Sidney Verba drew much the same picture. Robert Putnam, finally, hammered home the same message a few decades after that. In Bowling Alone and Making Democracy Work (Putnam 1993), he showed the importance of social capital for both economic growth and democratic progress. He issued a warning as well, however: social capital in the United States had steadily eroded in the years since the Second World War. There is evidence to suggest, furthermore, that this warning applies as well to
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them well between cloths; and make a pickle of the following ingredients:
Six eschalots, minced
White peppercorns 2 oz.
Mace, bruised 1½ oz.
Nutmeg, sliced 1½ oz.
Common table salt 6 oz.
White-wine vinegar 5 pints
Skim this well, boiling it fifteen minutes, and, filling jars with the fruit, pour the liquor and spices equally upon them, when about new milk warm, and tie bladder over the jars.