1.1 Purpose and Problem
1.2 Methods and Materials
1.3 Previous Studies
2 Background Information
2.1 Situation in Zimbabwe
3 Theoretical Framework
3.1 EU as a normative actor
3.2 Conception of Good Governance
4 Analysis of EU Development Policy in Zimbabwe
4.1 Governance Performance of Zimbabwe
4.1.1 Freedom of the World Index
4.1.2 Governance Matters Index
4.1.3 Polity IV Country Report
4.2 EU Development Assistance - with regard to ODA
4.3 EU - Zimbabwe Cooperation
4.3.1 2000 to 2002 -first concerns about the Situation in Zimbabwe
4.3.2 2002 to 2008 - sanctions and political stagnancy
4.3.3 2008 to 2009 - on the way towards a resumption of EU-Zimbabwean Cooperation
5 Concluding Remarks
6 Further Research
"If you were to have a unanimous voice, saying quite clearly to Mr Mugabe... you are illegitimate and we will not recognize your administration in any shape or form - I think that would be a very, very powerful signal and would really strengthen the hand of the international community."1
Desmond Tutu made this statement during a BBC interview in June 2008. He is obviously not satisfied with the behavior of the international community concerning the crisis in Zimbabwe. In my essay I will look behind this statement, especially with the view on the European Union. I am going to analyze how the European Union, as a normative actor and soft power, reacts on the current crisis. How does the crisis influence development cooperation? What are the policy instruments within development cooperation? Which procedures are applied?
The South African Nobel Peace Prize Winner Desmond Tutu described Robert Mugabe as "mentally deranged" or "a cartoon figure of an archetypal African dictator"2. This thesis will spot on the cooperation between the European Union and the Zimbabwean Regime.
Zimbabwe, once a country of relative prosperity and a reasonably working democracy, has been completely devastated during the last decade. After two rigged elections, in 2002 and 2008, Mugabe is still in power and contains his main opponent Morgan Tsvangirai. The Government of National Unity (GNU), which was installed in early 2009 and includes the ruling ZANU-PF and Tsvangirais MDC, is in a really bad condition. After Tsvangirai left the GNU in October, he came back on 11th of November.3
The economical situation in Zimbabwe is still dramatic. There is an urgent demand for foreign development assistance. But the official development aid of European Union has not been resumed yet. The European Union has a clear catalogue of criteria’s which have to be fulfilled before a resumption of cooperation can take place. These criteria’s are based on the concept of Good Governance. This idea is a normative approach which provides a code of conduct. In my thesis I will analyze how the European Union reacts on the crisis in Zimbabwe with accordance to the concept of Good Governance.
I want to examine the behavior of the European Union in prior to the crisis from 2000 to 2002, during the crisis from 2002 to 2008 and in the current situation from 2008 up to now. I will bring the development cooperation in connection with the bad performance in Good Governance, especially democracy. It will be interesting to see the practical application of these guidelines.
This paper is structured in four chapters. At the beginning I provide background information and a short historical abstract of the recent developments in Zimbabwe. These basics are necessary to understand the context.
Secondly, I want to introduce the EU as a normative actor and the concept of Good Governance. I will give a theoretical fundament and I will point out the main assumptions of this approach. The third chapter will contain a survey of several governance ratings, the literature review of official European papers on Zimbabwe and a study of ODA disbursements provided to the south African country. These papers are analyzed in the next chapter. The conclusion will summarize the analysis and finally answers the research questions.
1.1 Purpose and Problem
The main goal of this thesis is to study the link between EU development aid and the concept of good governance. I will analyze how the European Union made use of its own principles during the crisis in Zimbabwe. The European Union is equipped with a wide range of political instruments, from warnings to restrictions and sanctions. Not to forget the most important instrument in development partnership - the ODA disbursements.
The European Union is often blamed as a soft power. This thesis will answer the question: is it possible for a soft power to influence domestic policies of a sovereign country. In order to answer these questions, it is necessary to rate the governance performance of Zimbabwe during the last decade. I am going to see, how the manner of ruling in the African country has evolved during the years. In order to examine all points I mentioned I have posed the following research questions:
- How does the performance in Good Governance influence development cooperation of the EU with Zimbabwe? - How has the EU influenced the governance performance in Zimbabwe?
1.2 Methods and Materials
This thesis is a qualitative research which is based on a case study of Zimbabwe. According to Robert K. Yin “case studies can be done by using either qualitative or quantitative evidence. The evidence may come from fieldwork, archival records, verbal reports, observations, or any combination of these.”4
Robert K. Yin defines case studies as follows: “A case study is an empirical inquiry that: investigates a contemporary phenomenon within its real-life context; when the boundaries between phenomenon and context are not clearly evident; and in which multiple sources of evidence are used.”5
Case studies can be subdivided into three different kinds: Explanatory studies, exploratory studies and descriptive studies. For my research I have chosen the descriptive case study. This kind of case study “is an attempt to describe, like what happen to a product when it is launched.”6 Applied on my study, I want describe and examine what happen when the governance performance changes. What are the consequences referring to development assistance? A case study enables me to go into detail and to draw certain conclusions, which would not be possible if many countries are studied. By using a descriptive case study, it will be possible to highlight and to point out connections between development policy and Zimbabwean policy. Explanatory and exploratory studies could not ensure this.
In order to achieve my goal of answering the research questions I am going to analyze European development aid in Zimbabwe during the last decade from 2000 up to now. Therefore I will bring the development policy in connection with Zimbabwean domestic policy.
In this single-case study I want to review official documents of the European Union, the German Ministry of Economic Cooperation and Development and the OECD. Information on the situation and crisis in Zimbabwe I will get from the German Ministry for foreign Affairs as well as media articles from online-newspapers. To get standardized ratings of the Zimbabwean Good Governance performance, I will make use of indicators and scale systems offered by Freedom House, World Bank and the Polity IV Project.
This paper will also contain an analysis of the EU-ODA disbursements provided to Zimbabwe. For this I use the datasets offered by OECD.stat.
For the main part of my research I am going to examine official European documents. I will study papers of the European Council, Commission and Parliament which are dealing with the situation in Zimbabwe. This enables me to survey the European reactions, such as warnings, resolutions or restrictions.
The analysis in this thesis will be subdivided into two parts. First of all, I am going to rate the Good Government performance of Zimbabwe. In order to do so, I will make use of several indicators. By using indicators it becomes possible to measure the governance performance. “Governance indicators are usually narrowed down to measure more specific areas of governance such as electoral systems, corruption, human rights, public service delivery, civil society, and gender equality.”7
For my analysis I have chosen three different rating agencies, the Freedom of the World Index offered by Freedom House, the World Bank Governance Index and the Index of Polity IV Project of the George Mason University. These indexes are commonly used in political researches and provide reliable information. The following table shows which indicators I want to make use of.8 9 10
Abbildung in dieser Leseprobe nicht enthalten
These indices enable me to measure the governance performance of Zimbabwe. I will compare the different ratings and make a conclusion, whether the governance performance improved or got worsen.
1.3 Previous Studies
Since the question of political conditionality rose in the end of the 1980ies there have been published many studies and researches on this topic. The issue of governance and good governance occupied a large number of scholars. In my thesis I will stick to the author Roland Czada11, who has dealt with the basics of Good Governance and Governance.
This concept is a part of the “EU as a normative actor”-discussion. In this point my essay will mainly base on the ideas of Ian Manner, who is a keythinker of this topic.
Cecilia Jörgensen from Lund University12 has already studied the link between the normative approach of the EU and the cooperation with Zimbabwe. She put much emphasis on the normative discussion, whereas I want to focus on the application of the Good Governance principle.
In this study I will concentrate on the current Zimbabwean crisis. Caused by the limitations in space and time it is only possible to deal with period from the year 2000 up to now. As it is the case in every crisis, it is difficult to receive unbiased information. All sources should be tested on credibility.
The term Good Governance can be subdivided in an economical and political dimension. In this essay I will only consider the political part. Furthermore I am going to concentrate on the European Union concept of Good Governance. The role of the World Bank and other institutions will be noticed, but not explained into detail.
Development Aid is a wide sector. This essay will only deal with official development aid (ODA) provided by the European Union. The use of ODA figures ensures a comparable and reliable study.
This thesis will provide a one-sided view seen from the European Union’s perspective. The topic will not be regarded from the Zimbabwean perspective, so it is an asymmetrical study.
2 Background Information
2.1 Situation in Zimbabwe
Independence and economical problems
Zimbabwe became independent after 15-years lasting civil war in 1980. The First Premier minister was Robert Mugabe, leader of the victorious ZANU party. Since a constitutional amendment in 1987 he unified the offices of president and prime minister in his person up to 2009. The first years of the Mugabe government were marked by improving the education and healthcare for the benefit of broad segments of the population on the one hand but on the other, by the violent formation of a single party system. Nevertheless, Zimbabwe was considered as a good example for past-colonial state.13 During the 1990ies economical problems emerged.
Neither the socialist-statist ideology nor the liberalization and structural adjustment programs, which were supported from the International Monetary Fund (IMF) in the 1990ies, were able to sustainably improve the economic situation.14 In 1997 the Zimbabwean currency declined. This was caused by an accelerated and chaotic land reform in combination with an enormous budget deficit. The economic downturn continues since 1998.
Political crisis and democratically deficits
As a consequence of a failed constitutional referendum in February 2000, the Government has falsified all elections held since then.15 The presidential elections of March 2002 as well as the parliamentary elections of March 2005 and the parliamentary and presidential elections of 2008 can be regarded as rigged.16 Despite pre-election manipulation in 2008, Robert Mugabe and his party ZANU (PF) were faced with a disaster. His challenger in the presidential elections Morgan Tsvangirai scored significantly the best election results. According to official results he missed the absolute majority. The results were announced with a delay of five weeks.17
The challenging MDC party won the parliamentary elections as well and achieved a majority in parliament for the first time. The majority in the Senate was prevented by procedural rules. In the local elections, the MDC was successful in rural areas like never been before and was also victorious in all urban municipalities.
In prior to the run-off elections for presidency on 27th of June, Zimbabwe was faced with an unprecedented wave of violence. This was organized by the state and directed mainly against representatives and supporters of the opposition. During this riots nearly 200 people died, thousands became victims of abuse, rape and internal displacement. Under the impact of these processes Tsvangirai withdrew his candidacy on 22th of June. Mugabe won this rigged election and claimed the presidency since 28th of June 2008.18
Power-sharing agreement - a new chance
Confronted with a powerful opposition in the parliament, criticism from abroad and an ongoing and rapid economical downturn, Mugabe was forced to deal with Morgan Tsvangirai. After protracted negotiations, the signing of the power-sharing agreement between MDC and ZANU-PF took place on 15 September 2008. The hope for a quick breakthrough towards the formation of interim government failed in the following months by disagreements on key issues that were not addressed in the agreement text.19 Due to the total political and economical stagnancy, Zimbabwe was directly confronted with the collapse of almost all governmental structures in the end of 2008.
Since August 2008 the country was faced with an unprecedented cholera epidemic. Schools and hospitals were closed and the entire public service was collapsed. In December 2008 for the first time lootings by soldiers in the streets of Harare took place. In the end of 2008, the Zimbabwean currency became irrelevant, because of the hyperinflation. The last official rate in July 2008 stood at 231 million percent.20 The dollarization of the country began.
Due to this dramatic situation, Mugabe and his followers were forced to make concessions. Mid-February 2009 the interim government was set up after months of delays. Morgan Tsvangirai became new Prime Minister. Even after the swearing-in of the Government of National Unity (GNU) it came to a violent dispute over ministerial posts, whose total number was eventually increased unilaterally by Mugabe in order to satisfy his clientele.21
To date, numerous arrangements of the power-sharing agreement are not implemented, on the contrary, a lot of new problems emerged, for example the intensification of farm occupations since February. After all, the last political prisoners, most of them were arrested after the September 2008, were released in April 2009. They were released on bail and the court procedures have been not finished yet, and there were even short-term interim re-arrests.22
Morgan Tsvangirai and the GNU is now facing a major challenge, despite the contradictory domestic situation, he has to promote confidence that the GNU will be successful. Zimbabwe needs financial aid from abroad, otherwise the GNU has no chance to survive.
3 Theoretical Framework
3.1 EU as a normative actor
The European Union as an actor on the international stage is often seen as a soft power, a civilian power and a normative power in international relations. The ties between these three ideas are very close. The political thinker François Duchêne has formed the term of “civilian power“. This concept “includes the idea of pursuing the domestication or ‘normalisation’ of international relations by tackling international problems within the sphere of contractual politics.”23 Duchêne has seen the European Community as an example for a new era in the political civilization. In this civilization the EC member states decline the use of military options among themselves, which lead to a legitimate claim to encourage others to follow this example.
The approach of “soft power” is mainly characterized by the scholar Joseph Nye. His idea “was related to forms of foreign policy influence which relied on cooptation, multilateral cooperation, institution-building, integration and the power of attraction”.24 According to Hill25, this concept describes the EU’s foreign policy most exactly.
Finally, I want to introduce the EU as a normative power. This way of thinking goes back to Ian Manners. He “described the EU as a foreign policy actor intent on shaping, instilling, diffusing - and thus ‘normalising’ - rules and values in international affairs through non- coercive means.”26 The European Union is normative power, because” it changes the norms, standards and prescriptions of world politics away from the bounded expectations of state-centricity.”27
This idea of a normative power can be found again in EU official documents. In the Lisbon treaty, which will come into force soon, several values the Union, wants to promote are included. According to the treaty the EU has the aim to foster human rights, fundamental freedoms, democracy and the rule of law. Referring to Manners there are “five core values - peace, liberty, democracy, the rule of law and respect for human rights - and four subsidiary values - social solidarity, anti-discrimination, sustainable development and good governance.”28 These values are closely connected to the principles of good governance as they are defined in the ACP-Agreement. From this follows that one of the overarching aim of a normative power is the promotion of good governance.
These approaches of soft, normative and civilian power raise the question if they are successful or not. Ian Manners has studied the outcomes and results of these policies. In his research he chose the “EU opposition to the death penalty as an important example of the Union’s commitment to project its values externally.”29 The study came to the conclusion that the Europeans has operated with a high degree of consistency and acted proper successful in this field of policy. They managed to lift the question of death penalty on the international floor. Discussions in several countries, such as Poland, Albania and Russia, were strongly influenced.
1 Marr, Andrew: “Tutu urges Zimbabwe intervention”, BBC News, <http://news.bbc.co.uk/2/hi/7479696.stm> (01.12.2009)
2 Peta, Basildon: “Zimbabwe is Africa's shame, Tutu declares”, The Independent, <http://www.independent.co.uk/news/world/africa/zimbabwe-is-africas-shame-tutu-declares- 440536.html> (01.12.2009)
3 AFP, „Tsvangirai nimmt Regierungsgeschäfte wieder auf“, FOCUS Online <http://www.focus.de/politik/weitere-meldungen/simbabwe-tsvangirai-nimmt-regierungsgeschaefte- wieder-auf_aid_453159.html> (01.12.2009)
4 Robert K. Yin (1981): Case Study Crisis in Administrative Science Quarterly, Vol. 26, No. 1, p. 58
5 Robert K. Yin (1989): Case Study Research, p. 23
6 Khairul Baharein Mohd Noor (2008): Case Study: A Strategic Research Methodology in American Journal of Applied Sciences, Nov 2008, p.1602
7 UNDP (2007): Governance Indicators: A Users Guide, p. 7
8 Ibid, p. 27
9 Ibid, p. 62
10 Ibid, p. 80
11 Roland Czada (2009): Good Governance als Leitkonzept für Regierungshandeln: Grundlagen, Anwendungen, Kritik.
12 Cecilia Jörgensen (2007): The EU’s Normative Role - The Use of Political Conditionality in Relations with Cuba, China and Zimbabwe. Lund University
13 Auswärtiges Amt der Bundesrepublik Deutschland, can be found at: <http://www.auswaertiges- amt.de/diplo/de/Laenderinformationen/Simbabwe/Innenpolitik.html>
15 Munzinger-Archiv (2006): Simbabwe, p. 7
16 Auswärtiges Amt der Bundesrepublik Deutschland, can be found at: <http://www.auswaertiges- amt.de/diplo/de/Laenderinformationen/Simbabwe/Innenpolitik.html>
21 Auswärtiges Amt der Bundesrepublik Deutschland, can be found at: <http://www.auswaertiges- amt.de/diplo/de/Laenderinformationen/Simbabwe/Innenpolitik.html>
23 Natalie Tocci (2008): Who is a Normative Actor? The European Union and its Global Partners, p.1
24 Ibid, p. 2
25 Christopher Hill (1990): European foreign policy: power bloc, civilian model - or flop? As quoted in Natalie Tocci (2008): Who is a Normative Actor? The European Union and its Global Partners, p.2,
26 Ian Manners (2002): Normative Power Europe: A contradiction in terms? in Journal of Common Market Studies, Vol. 20, No. 2, pp.235-258. As quoted in Natalie Tocci (2008): Who is a Normative Actor? The European Union and its Global Partners, p.2
27 Ian Manners (2008): The normative ethics of the European Union, p. 1
28 Ian Manners (2002): Normative Power Europe: A Contradiction in Terms? in Journal of Common Market Studies, 40,2: 235-58. As quoted in Charlotte Bretherton, John Vogler (2006): The European Union as normative actor: Contradictions in the Union’s collective identity, p.9
29 Ibid, p. 10