!!

!!

!!

The!High!Seas!as!the!Sovereign!Frontier!–!Securing)the)border)or)Saving)the)migrants?!

!!!!!!!!!

Master!thesis,!Spring!2015!!

Global!Refugee!Studies!Aalborg!University,!Copenhagen!

!!!!!

Author:!Naja!Thaulov!Kofoed!!

Supervisor:!Johannes!Dragsbæk!Schmidt!!!!

!

! i!

Abstract(The! implementation! of! the! Schengen! Agreement! in! the! European! Union! extended! the!sovereign! interests! of! the! Member! States! beyond! the! traditional! borders,! pushing! the!pressure! of! migration! control! to! the! external! border! countries.! These! countries! have!increasingly! moved! the! integrated! border! management! to! the! highs! seas,! which! have!introduced! complex! questions! regarding! obligations! and! jurisdictions.! These! developments!have!had!unintended!consequences! for! the!migrants!attempting!to! irregularly!reach!Europe!and!an!increasing!number!of!them!have!drowned!in!the!Mediterranean!the!last!two!years.!The!situation! escalated! the! 19! April! 2015,! when! approximately! 800! migrants! lost! their! lives,!which!is!the!biggest!civilian!maritime!disaster!in!Mediterranean!history.!!!This! thesis! sought! to! investigate! the! reason! for! the! prolonged! nature! of! the! humanitarian!crisis! in! the!Mediterranean! in! order! to! understand!why! no! adequate! responses! have! been!implemented!at!EU! level!yet.!The!analysis!was!constructed!by!utilising! the! theories!of!NeoIfunctionalism,! Liberal! Intergovernmentalism! and! Constructivism,! with! the! aim! of!investigating!the!European!policy!negotiations!from!several!points!of!view.!It!was!found,!that!the!high!seas!is!a!zone!of!sensitiveIsovereignty,!which!de!facto!has!left!the!Member!States!to!navigate! on! a! patchwork! of! maritime! boundaries.! This! has! allowed! the! Member! States! to!apply! shifting! sovereignty! claims,!making! it!possible! to! circumvent! responsibilities! towards!migrants! at! sea.! The! investigation! also! revealed! structural! limitations! of! the! contemporary!European! migration! policies,! which! have! dramatically! decreased! the! maritime! protection!standards!for!migrants,!refugees!and!asylumIseekers.!!!The!main! findings! suggest,! that! the!EU! leaders!have!struggled! to! find!an!adequate! solution,!due! to! the! diverging! national! interests! of! the! Member! States,! ultimately! resulting! in! a!collective! action! failure.! The! prospects! of! new! policy! proposals! were! analysed! and! it! was!concluded! that,! the!Member! States! have! been! left! at! an! intergovernmental! divide,!which! is!partially!due!to!the!perceived!supranational! infringement!on!the!individual!States!sovereign!right! of! border! control.! The! investigations! further! revealed! the! need! for! a! comprehensive!perception!change!within!the!EU,!if!any!durable!solutions!should!be!found.!The!developments!in! the!Mediterranean!have!had!tragic!consequences! for! the!migrants,!revealing!the!need!for!the! EU! leaders! to! move! away! from! deterrence! and! security! policies.! The! situation! should!instead!be!approached!holistically!and!understood!in!the!context!of!the!global!displacement!crisis,! as!more! than! 59!million! people! are! displaced! globally,! which! is! the! highest! number!since!WWII.!!!!!!!(

! ii!

List(of(Tables(and(Figures((

Tables Page

Table 1: Detected arrivals on the Central Mediterranean route in 2008-2014 34

Table 2: Operational differences of Operation Mare Nostrum and Joint Operation Triton 49

Table 3: Division of asylum application sin Europe in 2014 60

Figures

Figure 1: Theoretical Composition 22

Figure 2: SAR zones according to the 2004 amendments 36

! iii!

Abbreviations(

AFM! ! Armed!Forces!of!Malta!

AMIF!! ! Asylum,!Migration!&!Integration!Fund!!

CEAS! ! Common!European!Asylum!System!

CSDP! ! Common!Security!and!Defence!Polict!

CIR! ! Consiglio!Italiano!Per!Rifugiati!Onus!!

EASO! ! European!Asylum!Support!Office!

EBF! ! External!Borders!Fund!

EC! ! European!Commission!

ECA! ! European!Court!of!Auditors!

ECRE! ! European!Council!on!Refugees!and!Exiles!

EEZ! ! Exclusive!Economic!Zone!!

EP! ! European!Parliament!

EU! ! European!Union!!

EUROSUR! ! European!External!Border!Surveillance!System!

FRA! ! The!European!Agency!for!Fundamental!Rights!!

FRONTEX! !European!Agency!for!the!Management!of!Operational!Cooperation!at!

the!External!Borders!of!the!Member!States!of!the!European!Union!

HRW! ! Human!Rights!Watch!

IMO! ! International!Maritime!Organization!!

IOM! ! International!Organisation!for!Migration!

IR! ! International!Relations!

IS! ! Islamic!State!

! iv!

JO! ! Joint!Operation!

LI! ! Liberal!Intergovernmentalism!!

MOAS! ! Migration!Offshore!Aid!Station!!

NF! ! NeoIfunctionalism!

NM! ! Nautical!Miles!!

OHCHR! ! Office!of!the!High!Commissioner!for!Human!Rights!!

OMN! ! Operation!Mare!Nostrum!!

RCCs! ! Rescue!Coordination!Centers!!

SAR! ! Search!and!Rescue!

SOLAS! ! Safety!of!Life!at!Sea!

TFEU! ! Treaty!on!the!Functioning!of!the!European!Union!!

UN! ! United!Nations!!

UNCLOS! ! United!Nations!Convention!on!the!Law!of!the!Sea!

UNHCR! ! United!Nations!High!Commissioner!for!Refugees!

UNSC! ! United!Nations!Security!Council!!

! 1!

Table&of&Contents&&!

1.&Introduction& 3!1.2.!Research!question! 5!

2.&Methodology& 6!2.1.!Delimitations! 6!

2.2.!Choice!of!Theory! 8!

2.3.!Empirical!Framework! 9!

2.4.!Limitations! 10!

3.&Theoretical&Framework& 12!3.1.!BurdenHsharing! 12!

3.2.!NeoHfunctionalism! 13!

3.2.1.%Burden,sharing%in%Neo,functionalism% 14!3.3.!Liberal!Intergovernmentalism! 16!

3.3.1.%Burden,sharing%in%Liberal%Intergovernmentalism% 17!3.4.!Constructivism! 19!

3.4.1.%Burden,sharing%in%Constructivism% 20!3.5.!Theoretical!Composition! 21!

3.6.!The!Sovereign!State! 23!

3.6.1.%The%Refugee%and%the%Sovereign%State% 24!3.6.2.%Zones%of%Sensitive,sovereignty% 25!3.6.3.%Sensitive,sovereignty%on%the%High%Sea% 27!

4.&Governing&the&Sea& 28!4.1.!The!United!Nations!Convention!on!the!Law!of!the!Sea! 28!

4.1.1.%Legal%interceptions%and%irregular%crossings% 29!4.2.!The!Maritime!Safety!System! 30!

4.2.1.%The%Humanitarian%Laws%of%the%Sea% 31!4.2.2.%Closing%the%Legal%Gap% 32!

5.&Irregular&migration&in&the&Central&Mediterranean& 34!5.1.!Disputes!in!the!Central!Mediterranean!Sea! 36!

5.1.1.%The%Fatal%Consequences% 39!5.1.2.%Anxieties%of%Disembarkation% 42!

5.2.!The!High!Sea!as!the!Sovereign!Frontier! 43!

5.2.1.%The%Sovereignty%Game% 44!5.2.2.%Maritime%responsibilities%and%the%Sovereign%State% 45!

5.3.!Operation!Mare!Nostrum! 46!

5.4.!Calling!for!European!solidarity! 48!

5.4.1.%Deploying%JO%Triton% 49!5.4.2.%Frontex%–%the%European%Border%Surveillance%Agency% 51!5.4.3.%Fulfilling%the%mandate,%while%failing%the%migrants% 53!

5.5.!Disunity!and!the!human!cost! 55!

! 2!

6.&A&decline&of&Social&Europe?& 57!6.1.!European!Migration!Policies! 57!

6.1.1.%Burden,sharing%and%European%Migration%Policies% 59!6.1.2.%Securing%the%border%or%securing%the%migrants?% 62!

7.&The&European&Agenda&on&Migration& 64!7.1.!Relocation!and!Resettlement! 66!

7.1.1.%The%Responses% 67!7.2.!The!Common!Security!and!Defence!Policy!Operation! 71!

7.2.1.%What%are%the%prospects?% 73!7.3.!Overall!assessment!of!the!proposal! 75!

8.&Future&developments& 76!

9.&Conclusion& 79!

Bibliography& 82!Websites! 90!

Annex& 98!Annex!1!–!The!Mediterranean!Maritime!Routes! 98!

Annex!2!–!IOM!Missing!Migrations!Project! 99!

Annex!3!–!The!European!Commissions!Ten!Point!Action!Plan! 100!

Annex!4!–!The!European!Commissions!Resettlement!and!Relocation!plan! 101!

Annex!5!–!Resettlement!and!Relocation!Key! 102!

Annex!6!–!Interview!with!Martin!Xuereb!–!Migration!Offshore!Aid!Station!(MOAS)! 103!

Annex!7!–!Interview!with!Mark!Camilleri!–!European!Asylum!Support!Office!(EASO)! 106!

Annex!8!–!Interview!with!Riccardo!Clerici!–!UNHCR! 111!

Annex!9!–!Interview!–!Asilo!in!Europa! 116!

Annex!10!–!Interview!with!Borderline!Sicilia!Onlus! 119!

Annex!11!–!Interview!with!Consiglio!Italiano!Per!Rifugiati!Onus!(CIR)!–!Original! 122!

Annex!12!–!Interview!with!Consiglio!Italiano!Per!Rifugiati!Onus!(CIR)!–!Translation! 125!

Annex!13!–!Frontex!PressHpack!on!JO!Triton! 128!

& &

! 3!

1.&Introduction&“Do%we%protect%our%outer%borders%or%the%life%of%the%individual%who%tries%to%reach%our%shores?%The%

answer% to% that%question%has%an% impact%on%our%core%values%–%Morten%Kjaerum”%(Stein%2015;%30%

April).!

!

The! number! of! migrants 1 !irregularly! crossing! the! Mediterranean! Sea! has! increased!

significantly! in! recent! years.! Most! vessels! embark! from! Libya,! as! the! continuous! political!

instability! has! fostered! favourable! conditions! for! people! smuggling! networks! to! operate!

(Betts! 2015a;! 24! April).2!This! has! made! Italy! one! of! the! most! important! entry! points! for!

irregular! migration! in! Europe,! with! over! 170,000! arrivals! in! 2014! (Frenzen! 2015;! 12!

January).!It!is!predicted!that!this!number!will!increase!during!2015!and!46,500!migrants!have!

already! arrived! (Scherer! 2015;! 7! June).! This! development! has! highlighted! the! dangerous!

nature!of!irregular!movements!over!the!Mediterranean,!which!has!had!tragic!outcomes!for!an!

increasing!number!of!migrants.!This!humanitarian!crisis!deepened!on!19!April!2015,!where!a!

boat!capsized! in!Libyan!waters,! resulting! in!approximately!800!migrants! loosing! their! lives,!

which!is!the!worst!civilian!maritime!disaster!in!the!Mediterranean!history!(Daily!Sabah!2015;!

19!April).!More!than!1,800!migrants!have!been!confirmed!dead!in!the!Mediterranean!this!year!

alone,!making!it!the!deadliest!sea!crossing!in!the!world.!!

This!humanitarian!crisis!should!be!understood!as!a!consequence!of! the!global!displacement!

crisis,! with!more! than! 59!million! people! displaced! around! the!world,! which! is! the! highest!

number!since!WWII!(Betts!2015b;!24!April).!This!global!crisis!has!highlighted!the!insufficient!

European! Union! (EU)! migration! policies,! and! the! latest! tragedy! verified! the! inadequate!

measures! that! have! been! implemented! to! safeguard! the! lives! of! the! migrants,! arriving!

irregularly! on! the! Mediterranean.! Previously,! concerted! EU! actions! have! been! focused! on!

security!and!migration!management,!rather!than!rescues,!which!have!only!served!to!deepen!

the! crisis! of! the! largely! preventable! deaths! in! the! Mediterranean.! The! EU! leaders! have!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! !!!!!!!!!!!!!!!!!!!!!

1!When!utilising! the! terms!migration!and!migrants,! it!will!be!with!a!reference!to! the! irregular!migratory! flows!

arriving!to!Europe! in!boat,!over!the!Mediterranean.! It! is!a!wellHknown!fact! that! these!boats!represent!a!mix!of!

refugees,!asylumHseekers!and!economic!migrants.!However,!in!this!paper,!they!will!continuously!be!referred!to!

as!migrants,!due!to!the!fact!that!the!flows!are!migrating!as!one!entity,!and!any!measures!implemented!for!one,!

will!also!affect!the!other.!Throughout!the!paper,!due!consideration!will!be!paid!to!the!fact!that!these!are!mixed!

migration!flows.!!

2!All!references!in!this!paper!and!the!bibliography!are!written!in!accordance!with!the!APA!reference!system.!!

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struggled!to!find!an!adequate!solution!and!any!responses!have!been!insufficient,! leaving!the!

situation! unnecessarily! protracted.! This! paper! will! therefore! examine! the! paradox! of!

upholding! international! and!humanitarian!obligations,!while! also! answering! to! the!national!

interests!of!the!Member!States.!!

Since! the! Schengen!Agreement!was! introduced,! the! traditional! concept! of! borders! changed!

and! the! sovereign! interests! of! the! European! Member! States! were! extended! beyond! the!

traditional! territory.!This!has!pushed! the!pressure!of!border! control! to! the!external!border!

countries,!which!have! increasingly! sought! to!move!migration!management! to! the!high!seas.!

This!development!has!introduced!complex!questions!regarding!states!sovereignty,!“due%to%the%

varying%intensity%of%state%jurisdiction%in%different%areas%of%the%sea”%(Amnesty%2014;%27).%This!has!

made! it! possible! for! countries! to! shift! responsibilities,! which! have! caught! the! migrants! in!

distress!between!the!competing!states!interests,! leaving!the!high!seas!as!a!place!of!disputes.!

The! search!and! rescue!Operation!Mare!Nostrum!(OMN)! temporarily! fixed! these!disputes! in!

the!Mediterranean.!This!operation!was!unilaterally!deployed!by!Italy,! following!a!shipwreck!

in!October!2013!and!the!operation!was!deployed!for!13!months!(Ibid.!20).!However,!OMN!was!

terminated!due!to!the!unsustainable!nature!of!the!operation,!costing!the!Italian!government!9!

million! euros! per! month.! It! was! not! substituted! by! a! new! search! and! rescue! operation,!

partially!due!to!the!argument,!that!this!could!serve!as!a!pullHfactor!for!more!arrivals.!Instead!

Frontex! Joint! Operation! (JO)! Triton! was! deployed,! with! a! lesser! mandate! of! border!

management.!!

In!May!2015,!the!European!Commission3!introduced!two!blueprints:!The%Agenda%on%Migration%

and!the%Council%Conclusions%on%Common%Security%and%Defence%Policy%(CSDP).%The!proposals!will!

be!analysed,! to! investigate!the!prospects!and!durable!nature!of! these,!whilst!also!seeking!to!

examine! the! diverging! national! interests! within! the! negotiations.! Up! until! now,! the!

humanitarian! crisis! in! the!Mediterranean!has!been!a! continuous! collective!action! failure!by!

the! EU.! This! stands! as! a! contrast! to! the! explicit! European! liberal! approach,! as! German!

Chancellor!Angela!Merkel!stated,!“images%of%drowned%people%are%incompatible%with%the%values%

of%the%European%Union”%(DW%2015;%22%April).%The!continuous!inactions!was!also!addressed!in!a!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! !!!!!!!!!!!!!!!!!!!!!3!Which!hereon!after!will!be!the!Commission.!!

! 5!

Joint!Statement!from!OHCHR4!urging!the!EU!leaders!to!agree!upon!a!common!response!to!the!

humanitarian!crisis!in!the!Mediterranean,!“The%European%Union%is%founded%on%the%fundamental%

principles%of%humanity,%solidarity%and%respect% for%human%rights.%We%urge%EU%Member%States%to%

demonstrate%moral% and% political% leadership% in% adopting% a% holistic% and% forward,looking% action%

plan% centred% upon% these% values”% (UNHCR% 2015;% 23% April).% The! Joint! Statement! ended,! by!

pointing! to! the! minimalist! approach,! which! has! been! implemented! by! the! EU! prior! to! the!

statement,! continuing! to! underline! that! the! current! EU! approach! of! enforcement! and!

deterrence!will!not!solve!the!crisis,!but!instead!increase!the!risks!for!the!migrants!(Ibid.).!!

&

1.2.&Research&question&

The! latest! tragedies! substantiate! the! claim! that! the!measures! implemented!by! the!EU!have!

been!insufficient!to!save!the! lives!of!the!migrants,!and!the!EU!increasingly!struggles!to!fulfil!

it’s! international! obligations.! The! migrants! are! therefore! caught! between! international!

conventions! and! the! national! interest! of! the! EU! Member! States,! which! have! lead! to! the!

following!research!question:!&

Why$has$the$European$Union$failed$to$provide$an$adequate$response$to$the$humanitarian$

crisis$ in$ the$Mediterranean$ and$which$ consequences$ are$ the$ external$ border$ countries$

facing,$ due$ to$ the$ inability$ of$ the$ Member$ States$ to$ provide$ a$ durable$ solution$ to$ the$

sovereignty?sensitive$issue?$ $

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! !!!!!!!!!!!!!!!!!!!!!4!Statement!by!UN!High!Commissioner!for!Refugees!António!Gueterres,!UN!High!Commissioner!for!Human!Rights!

Zeid! Ra’ad! Al! Hussein,! Special! Representative! of! the! UN! SecretaryHGeneral! for! International! Migration! and!

Development! Peter! Sutherland,! and! DirectorHGeneral! of! the! International! Organization! for! Migration!William!

Lacy!Swing.!

! 6!

2.&Methodology&In! the! following! section,! the! overall!methodological! considerations!will! be! exemplified,! the!

choice! of! theory! will! be! deliberated! and! the! empirical! framework! will! be! discussed.! This!

paper!will!be!based!on!problemHbased!research!following!deductive!reasoning,!thus!applying!

a! topHdown! approach! to! the! research! question! (Gray! 2013;! 18).! In! the! analysis! various!

empirical! material! will! be! implemented,! including! quantitative! and! qualitative! data.! This!

investigation! will! be! constructed! on! an! epistemological! base,! as! it! will! have! various!

approaches!and!a! firm!conclusion! is!not!necessarily! the!end!goal,!but!rather!to!examine!the!

chosen!field!(Ibid.!19).!!

&

2.1.&Delimitations&

The! objective! of! this! paper! is! to! investigate! the! humanitarian! crisis! in! the! Mediterranean,!

which! has! consequently! led! to! many! lost! lives.! The! specific! focus! will! be! on! the! issue! of!

irregular! maritime! migration! and! the! national! interests! of! the! Member! States,! which! are!

consequently!influencing!the!implementation!of!policy!responses.!The!research!will!therefore!

seek!to!examine!the!diverging!interests,!in!order!to!substantiate!and!investigate!the!prolonged!

crisis!that!has!increasingly!challenged!the!Mediterranean!in!the!last!two!years.!When!utilising!

terms! such! as! irregular!migration! and!migrants,! it! will! be!with! reference! to! the!migratory!

flows!arriving!by!boat!on!the!Mediterranean,!generally!embarking!from!Libya!with!the!goal!of!

disembarking! in! Italy.! These!migratory! flows! are! constituted! of! a!mix! of! refugees,! asylumH

seekers,! unaccompanied! minors! and! economic! migrants,! and! should! therefore! not! be!

understood! as! homogenous! (Malakooti! 2013;! 76).! However,! this! research! is! based! on! EU!

policy!implementations!in!the!Mediterranean,!which!will!affect!the!group!collectively!and!the!

flow!will!not!be!separated.!Therefore,!from!hereon!after,!they!will!be!addressed!as!migrants!

and! irregular! migration.! But! it! is! crucial! to! keep! in! mind,! that! these! flows! also! consist! of!

refugees5!such!as!Syrian!and!Eritrean!nationals!attempting!to!reach!Europe!in!order!to!seek!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! !!!!!!!!!!!!!!!!!!!!!5!The!current!refugee!regime,! is!built!on!the!1951!Refugee!Convention,!and!the!definition!of!a!refugee! is! taken!

from!Article! 1! from! this! Convention:! “A%person%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;%or%who,% not% having%a% nationality% and%being% outside% the% country% of% his% former% habitual% residence% as% a% result% of% such%events,%is%unable%or,%owing%to%such%fear,%is%unwilling%to%return%to%it.”%(UNHCR!1951:!art.!1A(2)).!

! 7!

asylum.! Any! pushHbacks!would! therefore! be! a! violation! of! nonHrefoulement,! until! a! proper!

assessment!of!all!individual!migrants!is!made.!!

The!research!will!be! limited!to!a!specific!geographical!and!temporal! framework,!as!this!will!

enable! a! localised! and! more! comprehensive! study.! The! temporal! frame! will! primarily! be!

based! on! the! evolvement! of! the! last! two! years,! as! these! experienced! a! high! increase! in!

irregular!arrivals,!with!an!even!higher! increase!of!shipwrecks!(Laczko!and!Brian!2014;!21).!

The!geographical!framework!will!be!based!primarily!on!the!central!Mediterranean,!as!it!is!the!

deadliest! maritime! stretch! for! irregular! maritime! migration! and! the! contemporary!

developments,!have!made!for!a!timely!investigation!(Ibid.).!The!focus!will!primarily!be!based!

on!Italy!and!Malta,!as!they!play!a!central!role!as!arrival!points!in!the!Central!Mediterranean!

Route! and! both! countries! have! SAR! zones! that! are! overlapping! the! route,! making! for! an!

interesting!case!of! investigation.!The!research!will!be!at!a!macroHlevel! to! investigate! the!EU!

policy!developments!and!maritime!conducts.!The!research!design!will!therefore!be!based!on!

the!case!study!method,!dealing!with!an! investigation!of!a!particular!entity,!within!a!specific!

timeframe!(Johansson!2003;!22!September).!However,!previous!EU!policies!of!migration!will!

be!implemented,!seeking!to!widen!the!understanding!of!the!current!developments.!

The!analysis!will!be!divided!into!two!phases!and!be!based!on!an!interdisciplinary!approach.!

Each!phase!has! a! specific! overall! framework,! dealing!with!different! aspects! of! the! research!

area.!The!first!phase!will!be!a!research!of!the!maritime!legal!structures!and!the!Member!States!

maritime! practices! during! rescue! operations! of! migrants.! This! analytical! part! will! mainly!

involve!the!statements!from!6!interviews!and!the!pressHpack!provided!by!Frontex.!Moreover,!

investigations!of!maritime!conducts!from!inter!alia!Amnesty!International!will!be!applied,!to!

research!previous!shipwrecks.!The!second!phase!will! involve! the!analysis!of!new!migration!

policy! proposals! from! the!EU.! Previous! developments! in! the! area! of!migration! policies! and!

burdenHsharing!will!be!applied,!in!order!to!substantiate!the!analysis!of!the!new!proposals.!The!

empirical!data!will!mainly!be!derived!from!Eurostat,!Conventions!and!blueprints!from!the!EU,!

as!well! as! the! 6! interviews.! The! new! proposals!will! be! analysed,! by! the! chosen! theoretical!

perspectives,!in!order!to!investigate!the!nature!of!the!negotiations.!!

To!reach!the!most!valid!and!constructive!understanding,!the!investigation!will!be!based!on!a!

variety!of!sources,!counting!statements!from!interviews,!policy!papers!and!articles.!These!will!

! 8!

all! be! implemented! to! gain! a! comprehensive! understanding! of! the! research! area.! The!

analytical! framework! will! place! the! sources! in! context! with! the! theories,! in! order! to!

investigate!the!problem!area!and!to!reach!a!conclusive!statement.!!

&

2.2.&Choice&of&Theory&

The! theoretical! framework!will!be!based!on! the! theories!of!NeoHfunctionalism!(NF),!Liberal!

Intergovernmentalism! (LI)! and! Constructivism.6!The! theoretical! knowledge! will! be! derived!

from!working!papers!and!books!and!the!approaches!will!be!deployed!throughout!the!analysis!

when! applicable.! The! theories! will! be! used! to! shed! light! on! the! different! aspects! of! the!

developments! and! the! process! of! burdenHsharing! and! they! have! therefore! been! chosen,! to!

serve!as!a!supplement!to!each!other.!!

NF!and!LI!will!be! implemented! to! investigate! the!problem!area,! as! these!are! suitable!when!

researching!cooperation!and!negotiations!within!the!EU.!They!will!offer!different!frameworks!

to! research! policy! negotiations! and! both! theories! will! have! explanatory! forces! within! the!

integration!process.!However,!both!theories!also!have!areas!of!explanatory!difficulties,!which!

will! be! deliberated! in! the! following! chapter,! during! the! delineation! of! the! theoretical!

framework.!The!theories!will!allow!for!a!comprehensive!analysis!of!the!policy!framework!and!

the!European!approach!to!the!current!situation.!The!interests!of!the!Member!States!will!also!

be!analysed!in!relation!to!the!normative!system,!which!should!be!embedded!in!the!liberalistic!

approach! of! the! EU! (Smith! 2011;! 144).! These! normative! structures! should! be! reproduced!

through!the!interactions!of!the!Member!States,!which!lies!outside!the!scope!of!NF!and!LI.!This!

made! it! relevant! to! implement! Constructivism,! which! will! provide! a! framework! for!

investigating!other!aspect!of!the!policy!negotiations.!Thus,!in!order!to!approach!the!problem!

area!comprehensively,!the!triangulation!method!has!been!utilised,!as!this!will!serve!to!assure!

an!extensive!research!base!and!to!avoid!a!one!sided!approach!within!the!analytical!framework!

(Ramprogus!2005;!12).!!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! !!!!!!!!!!!!!!!!!!!!!6!Other! theories! could!have!been! relevant! to! apply,! such! as! the! theory! of! Securitization! from! the!Copenhagen!

School.!If!chosen,!this!would!have!enabled!for!another!aspect!and!investigation!of!the!problem!area,!however!due!

to! the! limited! space! and! the! chosen! focus! of! the! investigation,! the! three! theories,! NeoHfunctionalism,! Liberal!

Intergovernmentalism!and!Constructivism!was!implemented!to!more!specifically!approach!the!research!area.!

! 9!

2.3.&Empirical&Framework&&

The! empirical! framework!will! consist! of! both! primary! and! secondary! data.! The! secondary!

data! employed! will! mainly! entail! EU! reports,! conventions! and! blueprints,! which! will! be!

implemented! in! order! to! understand! the! new! policy! proposals! in! the! area! of! migration.!

Special!emphasis!will!be!put!on!the!two!blueprints!presented!by!the!Commission!in!May!2015,!

namely!The%Agenda%on%Migration%and!the!Council%Conclusions%on%Common%Security%and%Defence%

Policy.%The! actual! blueprints! have! been! examined,! in! order! to! avoid! biased! interpretations!

prior!to!applying!them!in!the!analysis.!However,!comments!from!experts!and!officials!will!be!

implemented,!during!the!analysis,!to!substantiate!the!points!made.!Quantitative!material!will!

also!be!implemented,!such!as!statistics,!in!order!to!describe!developments!and!indications!of!

migratory! trends.! The! main! sources! for! these! statistics! will! be! derived! from! Eurostat! and!

Frontex.!

The!primary!data!will!consist!of!interviews,!which!are!collected!in!order!to!assess!the!current!

situation!more!comprehensively.!These!interviews!have!been!conducted!either!over!phone!or!

by! email! correspondence,! to! people! with! specific! expertise! in! this! field.! The! three! phone!

interviews!were! conducted! as! semiHstructured,! in! order! to! apply! an!open! approach,! as! this!

allowed!for!explanatory!and!followHup!questions!(Kvale!2008;!51).!However,!the!respondents!

were,!prior! to! the!phone! call,! provided!with! the!overall! area!of!questions!and!an! interview!

guide! (Ibid.! 55).! The! data! processing! consisted! of! recordings,! which! were! subsequently!

transcribed.!All! interviews!are!presented!in!the!Annex,!as!transcribed!or!received.!However,!

one! email! correspondence! was! received! in! Italian! and! has! therefore! subsequently! been!

translated!and!both!the!original!answer!and!the!translation!are!enclosed!in!the!Annex.!!

The!interviews:7!!

• Migration! Offshore! Aid! Station! (MOAS)! –! Director! Martin! Xuereb! (Recorded! and!

transcribed,!Annex!6)!!

• European!Asylum! Support!Office! (EASO)! –! Policy! and! Interinstitutional! Coordinator,!

Mark!Camilleri!(Recorded!and!transcribed,!Annex!7)!!

• The!United!Nations!High!Commissioner!for!Refugees!(UNHCR)!Italy,!Rome!–!Protection!

Associate,!Riccardo!Clerici!(Recorded!and!transcribed,!Annex!8)!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! !!!!!!!!!!!!!!!!!!!!!7!All!respondents!have!been!informed!of!the!purpose!of!the!interviews,!and!have!all!consented!to!the!recordings!

and!the!use!of!quotations.!!

! 10!

• Asilo!in!Europa!–!Alessandro!Fiorini!(Email!questionnaire,!Annex!9)!!

• Borderline!Sicilia!Onlus!–!Judith!Gletize!(Email!questionnaire,!Annex!10)!

• Consiglio! Italiano! Per! Rifugiati! Onus! (CIR),! Fondazione! Franco! Verga! (Email!

questionnaire!in!Italian,!original!and!translated,!Annex!11!and!12)!!

!

The! interviews!will! be! deployed! in! both! phases! of! the! analysis,! with! the! purpose! of! using!

expert!statements!to!understand!specific!areas!of!research.!The!statements!made!during!the!

interviews!are!a! combination!of! the! respondent’s!personal!opinion!and! the!official! stand!of!

the! organisations.! The! validation! of! the! information! received,! has! been! conducted! through!

clarifying!follow!up!questions!and!crossHreferencing,!before!utilised!in!the!analysis.!Meaning!

condensation! of! the! interviews! have! been! applied,! to! shorten! and! specify! the! answers!

received,! by! creating! an!overview!of! the! statements!made,! appointing! them! to! the! relevant!

aspects!and!thereafter!finding!the!central!themes!of!the!data!(Kvale!1996;!189).!All!responses!

have!been!directly!applied!in!the!text!as!articulated!or!written,!in!order!not!to!loose!value!of!

the!statements.!!

&

2.4.&Limitations&&

The! fact! that! the! chosen! framework! is! very! contemporary,! makes! it! hard! to! generate! a!

complete! understanding! of! the! situation,! as! it! is! currently! unfolding,! which! merits! to! be!

mentioned!as!a!limitation!during!the!investigation.!The!two!blueprints!that!are!analysed!are!

merely!proposals!from!the!Commission,!waiting!to!be!adopted!by!the!Council!of!Europe!and!

the! European! Parliament.!8!It! is! not! possible! to! predict! the! future! developments! and! the!

situation! can! develop! in!many! ways,! before! it! will! reach! a! conclusion.! The! analysis! of! the!

blueprints!will!therefore!not!reflect!actual!developments,!but!an!analysis!of!the!prospects!and!

the!Member!State! responses.!Other! relevant!material!will! therefore!also!be! implemented! in!

the! analysis,! to! comprehensively! address! the! research! area.! Some! statements! from! the!

interviews! have! also! been! deemed! out! dated,! due! to! the! rapidly! changing! nature! of! the!

problem!area,!where!new!developments!have!unfolded! following! the! time!of! the! interview.!

This!situation!made!it!necessary!to!decide!on!a!date,!where!all!collection!of!data!was!ended,!as!

the!situation!saw!new!developments!every!day.!So!to!comprehensively!address!the!research!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! !!!!!!!!!!!!!!!!!!!!!8!Which!heron!after!will!be!the!Council!and!the!Parliament.!!

! 11!

area,! the! last!data,!which!have!been! implemented! in! the!analysis,! is! therefore! from!27!May!

2015.!The!political! situation!may! change,! as! the! stream!of! refugees! could! reduce!or! revert.!

However,! the! current! developments! have! provided! good! premises! for! the! analysis! and! the!

study!of!the!current!situation,!making!the!analysis!very!contemporary!and!relevant.!!

Furthermore,! during! the! investigation! it! has! been! imperative! to! keep! in!mind,! that! all! data!

have! been! published! with! preHassumptions,! influenced! by! the! preHunderstandings! of! the!

author.!It!has!therefore!been!important!to!triangulate!the!findings,!for!the!study!to!be!reliable!

and! to! enhance! the! validity! and! examination! of! the! findings.! The! critiques! of! the! chosen!

theories! will! be! presented! in! the! following! chapter,! in! relation! to! the! delineation! of! the!

theoretical! framework.! However,! it! has! been! attempted! to! solve! these! shortcomings,! by!

implementing!complementary!theories.! !

! 12!

3.&Theoretical&Framework&In! this! section,! the! theoretical! framework!will! be! introduced,! delineating! the!main! theories!

that!will!be!deployed!in!the!analysis!and!outlining!the!rationale!behind!the!choices.!As!the!EU!

and! its! political! process! is! a! complex! field! of! study,! a! pluralistic! approach! is! needed,! to!

understand! both! the! stateHcentric! view,! as!well! as! the! normative! interests.! The! theoretical!

focus! will! therefore! be! based! on! the! theories! of! NeoHfunctionalism! (NF),! Liberal!

Intergovernmentalism!(LI)!and!Constructivism.!NF!and!LI!are!the!grand!theories!of!European!

integration! and! deploy! a! diverse! set! of! explanations! and! analytical! frameworks.! NF! and! LI!

have!made!distinctive!contributions!to!the!study!of!the!EU!integration,!making!them!relevant!

when! discussing! burdenHsharing.! The! frameworks! allow! for! a!macroHlevel! approach! to! the!

field,!with!NF!appointing!a!great!importance!to!the!supranational!level!and!LI!approaching!the!

process!with! a! stateHcentric! view.! It! has! been! argued! that! the! two! theories! have! been! outH

dated,!but!after!the!euroHcrisis,!the!integration!theories!have!been!put!back!on!the!scholarly!

agenda! (Tortola! 2015;! 5).! Nevertheless,! both! theories! show! inadequate!when! applied! to! a!

normative! discussion,! as! they! are! not! equipped! for! such.! Therefore,! to! comprehensively!

address! the! research! area,! Constructivism! is! deployed! as! a! midHrange! theory.! The! three!

theories!are!competing,!but!can!also!show!complementary!to!each!other!when!analysing!the!

policy!field.!So!rather!than!understanding!these!theories!as!conflicting,!they!will!be!applied!to!

generate!a!comprehensive!research,!allowing!for!a!broad!approach,!as!an!exhaustive!analysis!

cannot!rest!on!the!explanation!of!a!single!theory!(Chunyao!2007;!2).!!

&

3.1.&BurdenRsharing&

The! concept! of! burdenHsharing! will! be! applied! in! the! analytical! framework! and! a! brief!

introduction! is! therefore! needed.! BurdenHsharing! is! a! theoretical! concept! understood! as! a!

distribution!of!responsibilities!between!the!Member!States,!in!trying!to!accomplish!a!common!

goal! through! greater! solidarity.! Eiko! Thielemann! introduced! two! approaches! to! burdenH

sharing,!namely!the!costHbenefit!approach!and!the!normHbased!approach!(Thielemann!2003;!

256).!The!costHbenefit!approach! is!defined!by!the! logic!of!expected!consequences,!expecting!

states! to! go! into! burdenHsharing! agreements,!with! the! objective! to! produce! a! positiveHsum!

benefit.!The!second!motive!for!burdenHsharing!is!the!normHbased!approach,!which!is!applying!

the! logic! of! appropriateness.!Here,! states!will! show! solidarity!within! cooperation,! acting! in!

! 13!

accordance%“to%the%principle%of%universalization,%i.e.%acting%as%they%would%wish%all%others%to%act%as%

well”% (Ibid;% 257).%The! Member! States! will! thus! show! a! commitment! to! the! outcome! of! the!

cooperation,!as!a!collective!entity.!These!shared!norms!are!crucial!to!cooperate!in!issue!areas,!

such!as!the!contemporary!crisis!in!the!Mediterranean.!In!such!negotiations,!it!is!important!to!

remember,! that! burdenHsharing! doesn’t! automatically! equal! the! same! gains! for! all!

participating!states.!If!equalization!is!the!end!goal!of!cooperation,!a!oneHdimensional!approach!

to!burdenHsharing!should!be!applied,!as!this!aims!at!equalizing!the!gains!through!regulations!

(Thielemann! 2004;! 56).! If! equalization! is! not! the! end! goal,! a! multiHdimensional! burdenH

sharing! should! be! applied,!with! a!wider! interpretation! of! solidarity.! The!multiHdimensional!

approach! applies! a! range! of! perspectives,! when! understanding! the! benefits! of! cooperation!

and!the!countries!that!lack!an!equal!gain!can!be!compensated!in!other!areas!(Ibid.).!!

&

3.2.&NeoRfunctionalism&

NF!stems!from!Functionalism,!which!was!developed!in!the!interHwar!years!by!David!Mitrany!

as!an!alternative!to!the!stateHcentric!worldview.!Functionalism!was!concerned!with,!“whether%

nation,states%are%the%optimal%form%(most%functional)%of%an%organisation%to%fulfil%human%needs.”%

(Heinonen% 2006;% 54).%NF!was! introduced,! as! a!more!moderate! conceptual! framework,! with!

Ernst!B.!Haas!as!a!key!theorist,!developing!his!arguments!as!a!response!to!development!of!the!

European! Coal! and! Steel! Community! (Gehring! 1996;! 229).! Hass’! ideas! differed! from! the!

Functionalists’!in!two!specific!areas;!firstly,!by!paying!attention!to!the!intended!as!well!as!the!

unintended! consequences! of! the! integration! process.! Secondly,! by! emphasising! the!

understanding! of! how! disintegration! occurs! (Herbert! 1996;! 232).! Hass! defined! political!

integration! as,! “the% process% whereby% political% actors% in% several% distinct% national% settings% are%

persuaded% to% shift% their% loyalties,% expectations% and% political% activities% toward% a% new% centre,%

whose%institutions%possess%or%demand%jurisdiction%over%the%pre,existing%national%states”%(Haas%in%

Moga%2009;%797).%Haas!identified!organizations!and!regionally!relevant!social!movements,!as!

the!two!main!actors!in!the!integration!process.!The!states!were!therefore!neither!the!exclusive!

nor!the!predominant!actor!within!integration!and!by!placing!the!focus!on!subHstate!coalitions!

and!interests!groups,!the!states!“allocate%portions%of%sovereignty%to%supranational%institutions.”%

(Ibid.).%!

! 14!

Haas! believed! that! the! transfer! of! political! capital!would! cause! unintended! effects,! thereby!

creating! spillHovers.!The! spillHover!effect! can!be!understood!as,! “a%situation%in%which%a%given%

action,% related%to%a%specific%goal,% creates%a%situation% in%which%the%original%goal%can%be%assured%

only% by% taking% further% actions”% (Leustean% 2009;% 168).% Suggesting! that! integration! would!

harmonize!the!actions!of!the!actors,!strengthening!coHoperation!transnationally,!consequently!

deepening! the! integration! process! (Heinonen! 2006;! 58).! The! spillHover! concept! should! be!

viewed!as!a! linear!and!transformative!process,!starting!off!at!a!given!point,!creating! further!

effects!and!entangle!the!national!interests!with!the!regional!(Ibid.).!The!concept!of!spillHover,!

is! generally! divided! into! three! types:! functional,! political! and! cultivated! spillHover.! The!

functional! spillHover! occurs!during! an! incomplete! integration! in! one!policy! area,!which!will!

effect!the!functioning!of!another!policy!area,!creating!a!pressure!to!deepen!the!coordination.!

The! political! spillHover! can! be! seen,! when! integration! generates! a! demand! for! further!

integration!due!to!the!added!benefits,!thus!shifting!loyalties!to!a!new!centre.!The!last!concept!

is!cultivated!spillHover,!where!the!integration!will!cultivate!the!relation!between!governments!

and!other!actors,!establishing!an!internal!cohesion!and!shape!the!agenda.!!

Another!key!concept!of!NF!is!the!concept!of!eliteHsocialization,!introducing!the!idea,!that!the!

people!who!are!involved!in!policymaking!would!gradually!develop!European!values,!making!

the!actors!shift!their!loyalties!from!the!state!to!the!supranational!level.!These!actors!therefore!

become! a! central! part! of! the! integration! process,!which! is! defined! as! achieving! integration!

through!bureaucratic!interpenetrations!(Van!de!Walle!2000;!23).!Haas!introduced!the!concept!

of! the! shifting! loyalties! in! his! book! Beyond% the% Nation,state,% explaining! the! process! as!

“developing%dual%loyalties%(…)%the%new%central%institutions%may%ultimately%acquire%the%symbolic%

significance%of%end%values”%(Haas%in%Risse%2004;%3).!

!

3.2.1.$Burden?sharing$in$Neo?functionalism$

In!NF,!the!Member!States!are!no!longer!the!main!actors!driving!international!cooperation,!this!

is! instead! driven! by! supranational! institutions,! like! the! Commission.! The! Member! States!

decides!the!terms!of!the!negotiations!and!the!institutions!are!created!to!compensate!and!act!

as!mediators!overseeing!the!commitments!in!burdenHsharing!agreements.!The!Member!States!

therefore!allocate!a!portion!of!their!sovereignty!to!the!Commission,!which!thereafter!will!be!

the!driving!force!behind!the!burdenHsharing,!expecting!the!Member!States!to!be!constrained!

! 15!

by! the! commitment! they! agreed! on.! During! burdenHsharing,! the! Commission! will! not! be!

pressured! by! any! competitive! electoral! process! and! can! therefore! pursue! a! more!

comprehensive!approach!to!cooperation!(Lavenex!2006;!330).!!

NF!understands!burdenHsharing!as!a!process!rather!than!a!goalHdriven!mechanism,!engaging!

the!stakeholder!to!both!maximize!the!intended!and!unintended!consequences!of!the!process.!

An!example!of!a!negotiation!involving!all!three!spillHover!phases!is!the!Schengen!Agreement.!

By!abolishing!the!internal!borders,!the!decision!generated!spillHovers!to!other!policy!sectors,!

which!introduced!the!functional!spillHover,!extending!the!integration!to!the!nonHcooperating!

actors.! In! this! process! the! Member! State! delegates! sovereignty! to! the! supranational!

institution,! shifting! the! national! interests! to! the! Commission! introducing! the! concept! of!

political! spillHover.! This! process! consequently! makes! the! Commission! the! broker! of!

agreements,!leading!to!cultivated!spillHover,!where!the!interests!of!the!Member!States!are!reH

oriented! towards! the! common! interests.! This! is! possible,! through! pathHdependence,9!as! the!

Member! States! are! expected! to! follow! their! previous! commitments! to! the! burdenHsharing!

(Bono! 2002;! 7).! The! process! is! therefore! counting! on! the! good! behaviour! of! the! Member!

States! and! if! one! deflects! on! the! agreement,! this! is! labelled! spillHback.10!The! Schengen!

Agreement!serves!as!a!good!example!of!EU!linkage!and!subsequent!burdenHsharing,!as!it!was!

explained! by! Jef! Huysmans! “the% linking% of% internal% and% external% borders% of% the% European%

Community%has%played%an%important%role%in%the%production%of%a%spillover%of%the%socio,economic%

project%of%the%internal%market%into%an%internal%security%project”%(Cited%in%Dimulescu%2010;%22).%!

NF! understands! burdenHsharing! as! a! positiveHsum! game,! failing! to! generate! a! possible!

explanation!for!the!imbalance!in!burdenHsharing!and!the!multiHdimensional!approach,!where!

the!Member!State!will!accept!an!unequal!gain.!NF!has!received!a!range!of!criticisms!and!was!

extensively!criticised!for!ignoring!the!role!of!the!nationHstates!within!the!process!of!European!

integration.! LI! exemplified! this,! as! NF! failing! to! generate! and! “adequately% theorize% societal%

interests;% in%particular% it%did%not%provide%a% theoretically%productive%way%of%organizing%societal%

interests“%(Caporaso%1998;%9).%Thus!taking!for!granted!the!national!interests!in!EU!interHstate!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! !!!!!!!!!!!!!!!!!!!!!

9!During! integration,! the!Member! States!will! participate! in! institutional! changes! and! they!will! be! expected! to!

invest!significantly!in!these!changes!and!adapt!accordingly!(Gehring!1996;!248).!

10!A! spillHback! occurs,! if! a! Member! State! withdraw! from! a! prior! obligation! by! not! adhering! to! the! rules! or!

regulations.!A!spillHback!could!be!applied!if!a!Member!State!changes!interests!in!the!given!policy!area.!!

! 16!

bargaining.! The! dualism!between!NF! and! LI! can! be! utilised!when! investigating!EU!burdenH

sharing!and! integration.!NF! is!relevant,! in!relation!to!the!analytical! framework,!as!a! tool! for!

assessing! and! discussing! the! burdenHsharing! process.! However,! during! the! analysis,! it! is!

crucial! to! keep! in! mind,! the! limited! applicability! of! NF! when! dealing! with! state! interests,!

making!it!relevant!to!apply!LI,!which!will!allow!for!a!broader!approach.!!

&

3.3.&Liberal&Intergovernmentalism&

In!1963,!Charles!de!Gaulle!generated!the!empty!chair!crisis!by!vetoing!the!British!membership!

application!to!the!EU!and!the!results!following!the!veto!incident,!challenged!NFs!approach!and!

the! actual! implementation! ability! of! Haas! theories! ! (Heinonen! 2006;! 60).! Stanley! Hoffman!

caught! this! challenge! in! the! mid! 1960s,! creating! an! academic! critique! of! NF! functionality!

beyond! the! theoretical! frame! (Ibid.).! Hoffman! highlighted! the! significance! of! national!

interests,! “De%Gaulle’s% example%had% shown% that% single% states% could%affect%and%even%disturb% the%

whole%integration%process%if%they%wanted%to,%and%there%was%thus%nothing%inevitable%of%automatic”%

(Ibid.%61).!He!defined!integration!as!a!process,!which!should!be!understood!within!the!global!

context!but!with!explicit!focus!on!the!state!interests.!The!desire!to!preserve!national!interests!

would!lead!the!sates!to!participate!in!the!integration,!positioning!Intergovernmentalism!close!

to!the!theory!of!neoHrealism.!!

Andre!Moravcsik!introduced!LI!following!the!signing!of!the!Maastricht!Treaty!in!1991!(Buşe!2012;!53).!Moravcsik!build!on! the! ideas!of!Hoffman,!basing! the!LI!approach!on! the!rational!

behaviour!of!the!states,!emphasizing!the!importance!of!national!preferences!in!integration.!He!

described!EU! integration! as,! “based%on% the%political%power%resulted% form%the%confrontation%of%

national% interests% between% state% actors% (…)% growing% interdependence% of% the% economy% and%

politics,% these% states% have% chosen% to% pool% their% national% interests% to%meet% safety% and%welfare”%

(Ibid.).% The! ideas! were! based! on! case! studies,! leading! Moravcsik! to! argue! that! the! EU!

arrangements! could! be! divided! into! agreements! on! policy! responses! and! agreements! of!

institutional! arrangements.! The! “national% interests% were% concurrent% to% economic% interests,%

ignoring% any% political% bias% and% that% any% choices% in% favour% of% Europe% came% from% the% national%

governments”% (Bache% 2006;% 13).% EU! is! therefore! viewed! as! an! exercise! of! conventional!

statecraft,!where!the!states!can!advance!their!interests.!The!key!concepts!of!LI!are!based!on!

! 17!

the! national! preferences! and! the! formation! of! these,! how! these! are! used! in! interstate!

bargaining!and!the!institutional!choice!when!reaching!an!agreement.!!

Moravcsik’s!theoretical!approach!was!also!inspired!by!the!twoHlevel!game!model,!which!was!

introduced! by! Robert! Putnam.! In! this! theory,! international! negotiations! and! politics! are!

understood! as! a! twoHlevel! game! being! played! at! national! and! international! level.! At! the!

national! level,! the! “domestic% groups% pursue% their% interests% by% pressuring% the% government% to%

adopt%favourable%policies”%(Heinonen%2006;%64)%and!at!the!international!level,!the!governments!

are! pursuing! these! domestic! interests! to! satisfy! the! nation,! “while% minimizing% the% adverse%

consequences%of%foreign%developments”%(Ibid.).%Therefore,! to!understand!international!politics,!

both! sides! of! this! twoHlevel! game! have! to! be! analysed,! as! the! national! governments! are!

simultaneously!engaged!in!negotiations!nationally!and!internationally.!Moravcsik!applied!this!

model,! when! studying! the! integration! process,! by! illustrating! the! importance! of! the! state!

interests! as! a! relative! position! within! the! international! system.! He! assumed! “that% national%

preferences%arise% in% the%context%provided%by%the%domestic%politics%of%member%states”%(Ibid.%65).%

This! is! a! rational! approach,! which! is! domestically! constrained! by! national! preferences,!

implying! that,! “international%conflict%and%cooperation%can%be%modelled%as%a%process%that%takes%

place% in% two%successive%stages:%governments% first%define%a% set%of% interests,% then%bargain%among%

themselves%in%an%effort%to%realize%those%interests”%(Moravcsik%in%Heinonen%2006;%65).!

%

3.3.1.$Burden?sharing$in$Liberal$Intergovernmentalism$

LI!burdenHsharing!negotiations! should! involve! three! stages:! national!preferences,! interstate!

bargaining!and! institutional! choice.!The!main!actor! in! the!negotiation!phase! is! the!Member!

State!and!burdenHsharing!agreements!should!therefore!be!a!reflection!of!the!states!interests.!

The! Commission! and! the! Parliament! are! assumed! to! have! neutral! preferences! and! are!

therefore!only!playing!a!marginal!role!in!this!process,!serving!as!the!platform!for!negotiations.!

The!continuous!effect!of!burdenHsharing!should!be!a!result!of!a!rational!choice!made!by!the!

state,!seeking!to!increase!the!gain!through!intergovernmental!agreements.!The!outcome!of!a!

burdenHsharing! agreement! is! dependent! on! the! relative! bargaining! power! of! the! Member!

State! and! the!more!a! state! is! set!on!a! given!outcome,! the!more!power! the!other! states!will!

have!during!the!bargaining.!When!an!agreement!is!reached,!the!Member!States!delegate!the!

authority! to! a! supranational! organization,! seeking! to! reduce! the! costs! and! ensure! the!

! 18!

preferences! and! behaviour.! The! individual! sovereignty! in! the! given! area! is! therefore!

transferred!to!the!Commission,!which!thereafter!oversees!the!process.!!

The!LI!framework!can!be!applied!to!the!burdenHsharing!that!occurred!during!the!euro!crisis,!

based! on! the! “partly%converging%and%partly%diverging%member%state% interests%and%designed% to%

strengthen% the% credibility% of% member% states% commitments”% (Schimmelfennig% 2015;% 180).% The!

national!preferences!during!the!bargaining!process!was!a!result!of!a!strong!interdependence!

and! the! economic!position!of! the!Member! States,! “LI%thus%expects%mixed%state%motives% in%the%

euro% crisis:% a% common% interest% in% the% survival% of% the% euro% (area)% based% on% perceptions% of%

interdependence%and%potential%net%losses.”%(Ibid.).%Germany!had!the!relative!power,!allowing!it!

to!shape!the!agreements!and!even!though!“the%Commission%launched%numerous%initiatives%and%

proposals%in%favour%of%supranational%reform%solutions,%they%were%only%successful%if%and%when%they%

chimed% with% the% preferences% of% Germany% and% its% allies”% (Ibid.).% BurdenHsharing! should!

strengthen! the! autonomy! of! the! governments,! which! could! explain! the! logic! of! trading!

benefits!for!burdens.!If!a!Member!State!is!nonHcompliant!to!the!burdenHsharing!agreement,!it!

could! be! a! tool! for! expressing! resistance! against! outvoting! and! an! expression! of! state!

preferences.!%

The!stateHcentric!approach!received!criticisms,!as!the!significant!meaning!of!the!nationHstate!

undermine!the!importance!of!the!supranational!institutions,!thereby!only!providing!a!narrow!

understanding! of! interHstate! bargaining,! failing! to! fully! account! for! the! integration! process!

(Scimmelfennig! 2015;! 178).! Moravcsik! also! failed! to! comprehend! the! willingness! of! the!

individual! state! to! limit! their! sovereignty,! as!he!noted! in!his!book! from!1998,! “How%are%the%

varied%choices%of%governments%to%delegate%and%pool%sovereignty%to%be%explained?”%(Moravcsik%in%

Heinonen% 2006;% 65).%He! tried! to! answer! the! critique! by! providing! a! credible! explanation,!

arguing!that!states!strive!to!establish!credible!commitments!to!each!other,!under!conditions,!

which!are!uncertain,!by! transferring! their!national! sovereignty! to! the! institutions!hoping! to!

reach!a!potential!gain!(Ibid.!66).!Moravcsik!later!limited!the!scope!of!LI!to!treaty!negotiations!

and!issues!of!decisionHmaking!in!intergovernmental!meetings!(Polk!2002;!19).!

!

! 19!

3.4.&Constructivism&

The! Cold! War! changed! the! debate! in! International! Relations! (IR),! as! the! mainstream! IR!

theories! could! not! predict! or! comprehensively! explain! the! peaceful! end! of! the! Cold! War,!

introducing!Constructivism! to! the! centre!of! the! IR!debates! ! (Nugroho!2008;!85).!Alexander!

Wendt!published!his!influential!article,!Anarchy%is%What%the%States%Make%of%It,%in!1992!and!has!

since! been! one! of! the! keyHthinkers! of! Constructivism.! Nicholas! Onuf! has! also! contributed!

immensely! to! the! theory! and! coined! the! term! in! his! book!World%of%Our%Making% from!1989.!

Some!scholars!have!argued,! that! the!success!of!Constructivism!could!stem!from!the!middleH

ground!position!(Guzzini!2000;!148).!!

The! Constructivist! approach! in! IR! can! be! understood! in! the! “context%of% reflexive%modernity.%

Particularly%relevant%for%International%Relations%has%been%the%sudden%self,awareness%(…)%It%could%

no% longer% assume% or% impose% its% rules% as% being% universally% shared.”% (Ibid.% 153).%By! putting! an!

emphasis! on! the! interHsubjective! approach! to! world! politics,! Constructivism! takes! a!

distinctive! position! by! challenging! the! idea! of! the! rational! actor! and! the! realist! claim! of!

material!constraints.!State!relations!are!understood!as!a!pattern!of!interactions!between!the!

states!shaping!the!identities!over!time,!and!not!as!a!fixed!entity!(Griffiths!&!O’Callaghan!2002;!

50).! The! Constructivist! approach! can! be! understood! by! two! key! assumptions,! “‘(1)% the%

environment%in%which%agents/states%take%action%is%social%as%well%as%material;%and%(2)%this%setting%

can% provide% agents/states% with% understandings% of% their% interests’”% (Cowles% 2001;% 110).% InterH

subjectivity!should!be!understood!as!the!norms,!culture!and!rules!shaping!the!understanding!

of!the!individual!to!the!outside!actor,!but!also!how!the!state!identify!themselves,!“In%this%way,%

as%actors%develop%certain%identities,%particular%meanings%become%stable%over%time,%creating%social%

orders%that%constructivists%call%structures%(Ibid.).%!

Constructivist!does!not!understand!material! forces!as!a!predominant! factor! in! international!

relations,! but! instead! combined! with! interHsubjective! factors.! The! states! relations! are!

therefore!determined!by!traditions!and!norms,!which!also!gives!great!importance!to!nonHstate!

actors,!as!“Institutions%embody%the%constitutive%and%regulative%norms%and%rules%of%international%

interaction”%(Griffiths!&!O’Callaghan!2002;!51).%The!institutions!are!created!as!a!product!of!the!

states!and!are!produced!and!reproduced!by!the!states!(Ibid.).!The!social!relationships!of!states!

are!defined!as!interHchangeable!and!for!the!states!to!acquire!international!authenticity!it!has!

! 20!

to!apply!a!consistent!normative!approach.!If! inconsistencies!are!introduced,!the!states!could!

be!viewed!as!hypocritical.!But!by!acting!consistent!the!states!can!create!a!collective!identity,!

through! continuous! interactions! and! socializations.! The! actions! of! the! individual! state! are!

therefore! important,!when! shaping! an! understanding,! introducing! the! concept! of! the! social!

constructions! of! structures.! The! structures! are! the! shared! meanings! and! institutions! that!

create! the! sphere! and! the! agents! are! the! entities! acting! in! this! arena,! and! the! two! have! a!

constituting! relationship.! It! is! in! these! structures! the! stateHinterests! are! constructed! and!

anarchy! is! dependent! on! the! interactions! between! states,! described! as,! “People% act% toward%

object,% including% other% actors,% on% the% basis% of% the%meanings% that% the% objects% have% for% them% ”%

(Wendt%in%Nugroho%2008;%89).%!

!

3.4.1.$Burden?sharing$in$Constructivism$

Constructivism!starts!from!a!knowledgeHbased!point!of!view,!which!means!that,%“when%aware%

of%where%state%preferences%come%from,%it%is%possible%to%influence%them%and%therefore%influence%the%

state%action% that%results% from%these%preferences”% (Suy%2014;%67).%Both! the! social! and!material!

elements! are! considered,!when!assessing! state! interactions! and! the! gains! from!cooperation!

are! not! awarded! more! meaning! than! the! social! construction! of! the! relationship! in!

negotiations.!“In%this%case,%burden,sharing%decisions%might%be%more%accurately%explained%by%the%

relationships% between% alliance% members% than% the% relative% net% benefits“% (Hillison% 2009;% 5).!

Understanding!the!construction!of!interests!and!previous!socializations!of!the!state!will!help!

predict! any! future! behaviour! and! understand! the! preferences! and! interests! in! cooperation.!

The!social!norms!will!therefore!help!to!predict!states!behaviour!in!cooperation!settings,!as!it!

partly!shapes!the!states!interests.!Defining!the!identity!of!the!states!through!socialization!can!

create! a! synthesis! of! common! views! and! values,! which! can! form! coherence.! Wendt!

understood!this,!as!the!society!creating!a!sense!of!self!in!the!group!setting.!This!could!explain!

the!behaviour!of!the!EU!as!a!collected!entity!and!the!willingness!of!the!Member!States!to!show!

solidarity!through!burdenHsharing!(Ibid.!38).!!

Within! the! cooperation! settings,! states! can! bargain! through! normative! suasion,! utilizing!

discourse!and!negotiations!which!reflect!the!rules!and!norms!that!have!been!created!between!

the! states! over! time! as,! “The% longer% and%more% intensely% an% actor% is% socialized,% the% more% its%

behavior%is%expected%to%conform%to%accepted%social%norms%of%the%institution.”%(Ibid.).%The!Member!

! 21!

State! will! act! towards! the! other! actors! on! the! basis! of! their! meaning! for! them,! thereby!

creating! a! behavioural! pattern.! These! values! can! be! used! in! persuasions! for! solidarity! and!

burdenHsharing,! based! on! the! states! predetermined! positions,! shaping! the! burdenHsharing!

agreements! on! the! normative! framework.! The! EU! institutions! will! in! these! situations!

emphasize! the! previous! collectively! agreed! European! frameworks,! based! on! humanitarian!

values.! The! Commission! and! the! Parliament! are! community! created! institutions,!which! are!

constituted!and!recreated!through!the! interactions!and!the! importance!awarded!to!them!by!

the! states.! These! institutions! are! granted! a! significant! role! in! the! cooperation! arena.! The!

Parliament! is!based!on!norms!and!will!utilize!these,! to!enhance!the!outcome!in!a!normative!

manner,!by!generally!representing!the!European!values!and!draw!on!positions!which!the!EU!

governments! previously! have! taken.! The! Parliament! is! therefore! able! to! push! “EU% values%

within%the%eventual%outcome%of%the%negotiations,%since%from%the%beginning%the%necessity%of%these%

norms%were%acknowledged%and%guaranteed”%(Suy%2014;%67).!

The!theory!of!Constructivism!is!not!without!its!criticism;!the!central!one!being!that!it!can!lack!

a! theory! of! agency! (Cowles! 2003;! 110).! Theorists! of! Constructivism!have!been! reluctant! to!

establish!a!universal!theory!of!politics!or!definitive!claim!to!state!behaviour,!due!to!the!firm!

belief! in! interests! and! identities! being! nonHstatic.! It! has! therefore! been! argued! to! be! a!

productive!theoretical!framework!more!than!an!explanatory!theory,!as!it!does!not!“predict%any%

particular% social% structure% to% govern% the% behaviour% of% states.% Rather,% it% requires% that% a% given%

social%relationship%be%examined,%articulated%and,%ultimately,%understood.%When%this%is%done,%then%

it% may% be% possible% to% predict% state% behaviour% within% that% particular% structure% (Griffiths% and%

O’Callaghan%2002;%51).!!

!

3.5.&Theoretical&Composition&&

The!previous!chapters!illustrated!the!chosen!theories!and!how!these!theories!can!be!applied!

when! understanding! burdenHsharing.! These!will! not! only! be! applied! contradictory! but! also!

complementary,!as!the!diverse!theories!can!have!explanatory!values!on!particular!aspects!of!

the! negotiations.! To! establish! a! comprehensive! framework! for! the! analysis,! these! different!

theories!will!all!be!consulted.!The!theories!of!NF!and!LI!are!chosen!as!two!dualistic!variables,!

allowing! for! a! comprehensive! approach! to! the! research! question.! However,! they! are!

inadequate,!when!applied!to!a!normative!discussion,!where!Constructivism!can!be!applied,!as!

! 22!

a!middleHground!position!to!bridge!the!gap!between!the!other!theories,!as!exemplified!in!the!

figure!below.!

Figure$1:$Theoretical$Composition$$

NF!puts!an!explicit! focus!on!the!supranational! level,!whilst!LI! focus!on!the!nationHstate.!The!

two!opens!the!possibility!of! independently!explaining!the!diverse!positions!taken!within!EU!

negotiations! as,! “analysts% frequently% conclude% that% neither% of% the% two% perspectives% is% clearly%

superior% to% the% other% and% that% both% of% them% contribute% to% explaining% empirically% observed%

outcomes.% (Gehring% 1996;% 226).%Emphasising! the! national! interests! as! driven! by! power! can!

have! its! relevance,! but! a! complete! disregard! of! ethics! and! norms!will! leave! out! important!

details! in!an!analysis!of!burdenHsharing.!Constructivism!will! therefore!be!applied! to!discuss!

the!normative!approach!of!the!EU!response!to!the!influx!of!migrants!at!the!external!borders.!

Constructivism! is! able! to! bridge! the! differences! between! theories! and! is! not! mutually!

exclusive!to!other!approaches!thereby!allowing!it! to!be!deployed!as!a!middle!ground.!When!

applied! to! the! case! of! the! EU,! Constructivism!will! be! able! to! provide! a! vast! understanding!

within!and!about!the!norms!of!European!governance!and!the!EU!policy!formations,!but!also!as!

a!framework!for!exploring!sovereignty!(Cowles!2003;!110).!! !

! 23!

3.6.&The&Sovereign&State&To! comprehensively! address! the! research! area,! it! is! important! to! clarify! the! concept! of! the!

sovereign!state,!so!the!following!chapters!will!consist!of!a!definition!of!the!sovereign!state,!the!

concept! of! the! refugee! within! the! framework! of! sovereignty! and! a! short! definition! and!

discussion!of!sensitive!sovereignty!and!the!area!of!the!high!sea.!The!question!of!sovereignty!

and!jurisdiction!is!highly!relevant!when!working!with!the!EU!and!areas!relating!to!it,!as!the!EU!

is!“the%region%with%the%greatest%degree%of%integration”%(Betts%2009;%171).%The!abolishment!of!the!

internal!borders,!has!made! it!difficult! to!apply! the! traditional!concept!of!sovereignty,!which!

has!made! it!even!more! important,! to!clearly!define!the!concept.!Furthermore,! the!sovereign!

state! is!also!an!important!component,!when!understanding!the! legal!obligations!on!the!high!

seas.!!

Sovereignty!is!traditionally!a!defining!principle!within!international!politics,!international!law!

and!interHstate!relations.!The!concept!of!sovereignty!originated!from!the!Peace!of!Westphalia!

in!1648,11!which!introduced!the!idea!of!the!modern!international!state!and!the!new!order!of!

Europe.!Sovereignty!should!be!understood!as!the!absolute!political!authority!of!a!territory,!in!

contrast!to!the!external!area,!“sovereignty%is%the%supreme%legal%authority%of%the%state%to%give%and%

enforce%the%law%within%a%certain%territory%and,%in%consequence,%independence%from%the%authority%

of% any% other% state% and% equality% with% it% under% international% law”% (Heinonen% 2006;% 10).% The!

concept!of!sovereignty!has!moved!from!an!absolute!to!a!contingent!approach,!as!defined!by!

Alexander! Betts,! “the% end% of% the% twentieth% century% there% was% a% growing% consensus% that%

sovereignty%was%no%longer%absolute%but%was%conditional%or%“contingent”%upon%states%behaving%in%

a%certain%way”%(Betts%2009;%47).!!

The! state! is! international! sovereign,! having! the! power! to! ratify! treaties! and! to! enter! into!

cooperation!with! other! states,! as! the! ratification! of! international! conventions! constitutes! a!

sovereign! act.! Conceptualising! the! sovereign! state! in! relation! to! the! human! rights! regime!

becomes!relevant,!as! they!are! “necessary%complements%in%the%functioning%of%international%law%

(Ibid).%This!has! imposed!obligations!on! the! sovereign!state,! externally!and!obliged! the! state!

internally.! Once! they! sign! international! treaties,! “they% relinquish% a% certain% measure% of%

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! !!!!!!!!!!!!!!!!!!!!!11!The!Peace!of!Westphalia! is! the!political!settlement,!ending!the!Thirty!Years!War! in!Europe,!by! the!Treaty!of!

Westphalia,! which!was! signed! in! October! 1648.! This! Treaty! has! been! credited! as! being! the! establishment! of!!!

modern! state! system!within! Europe,! introducing! an! important! turning! point! for! European! politics,! given! the!

rulers!the!absolute!powers!over!the!detailed!territorial!outlines!(Griffiths!and!O’Callaghan!2002;!239).!

! 24!

sovereignty% to% the% international% community”% %(Griffiths% and% O’Callaghan% 2002;% 297).% Thomas!

GammeltoftHHansen! argues! that! the! different! conceptualizations! of! sovereignty! are! being!

utilized! for! advancing! arguments,! in! regards! to! the! different! legal! norms,! which! is! taking!

precedence! in! the! given! areas! (GammeltoftHHansen! 2008;! 6).! States! will! therefore!

increasingly! enter! into! international! cooperation! and! integrations,! such! as! the! EU.! Which!

means! that! the! EU! and! the! concept! of! sovereignty! is! not! static,! it! is! shaped! and! divided!

between! the!Member!States,!according! to! the!needs!of! the!state.!The!sovereignty! is!divided!

nationally! as! understood! in! the! theoretical! framework! of! LI,! but! can! also! be! pushed! and!

collectively!exercised!at!the!supranational!level,!as!assumed!in!NF.!!

Constructivism!offers!a!conceptual! framework! for!understanding!sovereignty!and! the!social!

construction!of!modern! state!building.!This! should!be!understood! through! the! construction!

and!reproduction!of!the!sovereign!state,!as!an!exclusionary!practice!through!boundaries!and!

borders.!The!restructuring!of!these,!have!eliminated!the!original!conception!of!borders!within!

the! EU,!which! have! extended! and! blurred! the! sovereign! functions! and! responsibilities.! The!

control! of! transHborder!movements!was! traditionally! defined!with! a! distinction! of! internal!

and! external! sovereignties,! but! this! distinction! has! been! unclear! after! the! Schengen!

agreement! was! adopted.! For! the! Member! States,! this! created! a! need! for! border! controls!

outside!the!original! territory!and!on!the!high!seas.!This!has!raised!new!questions!regarding!

sovereignty! and! jurisdiction,! especially! in! regards! to! the! applicable! international! laws! and!

internal!vs.!external!practices!(GammeltoftHHansen!2008;!6).!! !

$

3.6.1.$The$Refugee$and$the$Sovereign$State$

Refugees! are! a! concept,! which! is! created! in! relation! to! sovereignty! and! the! nationHstate!

system,! as,! “The%concept%of%a%“refugee”%exists%as%a%manifestation%of%both%the%breakdown%of%the%

state,citizen% and% citizen,territory% relationship% upon% which% the% sovereign% state% is% premised”%

(Betts% 2009;% 44).% The! refugee! is! a! proof! of! the! stateHsystems! failure! and! Emma! Haddad!

highlighted! the! complex! and! mutually! constitutive! relationship! between! the! two,! defining!

refugees!as!an!inevitable!consequence!of!sovereignty!and!the!nationHstate!system.!The!refugee!

is!therefore!both!reinforcing!the!state!system!and!challenging!it!simultaneously.!The!refugees!

represent!an!anomaly!in!the!relationship!between!international!laws!and!sovereignty,!as!the!

refugee! reinforces! the! sovereign! state! system,! conceptualizing! the! idea! of! the! insider! and!

! 25!

outsider! in! a! territory.! It! also! means! that,! “states’% responses% to% forced%migration% construct,%

reproduce,%reconstruct,%and%deconstruct%state%sovereignty”%(Biersteker%and%Weber%in%Betts%2009;%

54).% The! 1951! Refugee! Convention! places! constraints! on! the! states! right! to! have! the! full!

autonomy!over!the!territory!and!the!refugee!thus!occupy!a! legal!space,!which!emerged!as!a!

result! of! sovereignty! and! the! principle! of! territorial! supremacy.! States! responses! to! the!

encounter!with! refugees,! are! therefore! created!on! the!basis! of! the! competing!humanitarian!

principles!and!the!idea!of!selfHpreservation!(GammeltoftHHansen!2009;!50)!

$

3.6.2.$Zones$of$Sensitive?sovereignty$$

The!Member!States!have!increasingly!pushed!their!border!practice!to!the!high!seas,!leaving!a!

gap! in! interpretations! of! sovereign! responsibilities.! This! gap! could! be! defined! as! a! zone! of!

sensitiveHsovereignty,! which! is! a! concept! introduced! by! Elizabeth! Dunn! and! Jason! Cons! in!

their! article!Aleatory% Sovereignty%and% the%Rule% of% Sensitive% Spaces.! The! concept! of! sensitiveH

sovereignty! was! strongly! influenced! by! Giorgio! Agamben’s! idea! of! spaces! of! exception,! as!

explained!as,!”The%state%of%exception,%which%is%what%the%sovereign%each%and%every%time%decides,%

takes% place% precisely% when% naked% life% –% which% normally% appears% rejoined% to% the% multifarious%

forms% of% social% life% –% is% explicitly% put% into% question% and% revoked% as% the% ultimate% foundation% of%

political% power.% The% ultimate% subject% that% needs% to% be% at% once% turned% into% the% exception% and%

included% in% the% city% is% always% naked% life.”% (Agamben% 2000;% 5).% Agamben’s! work! focused! on!

spaces!where! sovereignty!was! either! frayed!or! overdetermined,! such! as! refugee! camps.!He!

argued!that!these!spaces!are!spheres!of!ambiguity,!where!laws!are!suspended!selectively!and!

mainly!comprised!of!people,!who!have!been!deprived!of!social!and!political!rights,!concluding!

that!these!spaces!are!exceptions!of!sovereign!rules.!!

Dunn! and! Cons! argued! that! Agambens! framework! failed! to! account! for! the! fact! that! big!

sovereign!powers!had!been!unsuccessful! in!these!spaces,!and!that!his!analysis!did!not! leave!

space! to! understand! the! concept! of! gaps! between! sovereign! conceptions! of! power! and! its!

concrete! enactments.! The! sovereign! powers! can! act! unpredictably! in! these! zones,!which! is!

why!Dunn! and! Cons! argued! to! rethink! the! state! and! the! states! power!within! these! spaces,!

instead! of! discarding! Agambens! ideas.! These! zones! should! be! understood! as! sensitive,! to!

comprehend! the!multiple!power! claims,!which!are!overlapping!and!competing!within! these!

areas,! “and%the%forms%of%anxiety%that%they%provoke%for%both%those%who%are%governed%and%those%

! 26!

who% seek% to%govern”% (Dunn%and%Cons%2013;% 96).%They! apply! the!word! sensitive,! to! illustrate!

these!zones!as!spaces!of!uncertainty!and!insecurity,!without!any!specific!provision!of!threats!

or! insecurities.!These!areas!are!argued!to!resist!any!full! incorporation!of!governance!with!a!

multiplicity!of!states!claiming!sovereignty!and!therefore!blurring!the!understanding!of!official!

powers,! enhancing! the! anxieties.! The! existence! here! is! overHdetermined! and! “are% both%

productive% and% emblematic% of% a% set% of% anxieties% about% national% survival% and% geopolitical%

stability”%(Ibid.%98).%As! these! areas! are!understood! to!be! crucial! for! the!broader! geopolitical!

rules,! interventions!on!claims!of! territory!and!security!are!generally!allowed!(Ibid.!95).!The!

various!interventions!serve!as!reaffirming!the!space!as!sensitive,!producing!and!reproducing!

the!anxieties!and! “more%or%less%autonomous%sovereignties%compete,%combine,%and%overlap%with%

one%another%to%produce%an%often%unstable%footing%of%sovereign%power%(Ibid.%97).!

These!are!spaces!of!anxious!contestations!of!control!claims,!with!specific!attention!paid!to!the!

overlapping! controls! and! the! actors! challenging! each!other,! thereby! failing! to! fit!within! the!

traditional! logic! of! sovereign! control.! The! zones! can! become! “symbols% of% porous% borders,%

transborder% crime,% and% terrorist% threats.% Increasingly,% the% logics% of% intervention% within% such%

spaces%comes%to%be%dominated%more%by%broader%anxieties%over%the%problems%that%they%appear%to%

represent% than%over% specific% issues%or% complexities% “on,the,ground”% (Ibid.).! These! variables! all!

contribute!to!make!it!impossible!to!foresee!situations!in!these!space!as!they,!“appears%not%just%

contingent%(…)%but%aleatory%and%often%inexplicable%from%the%perspective%of%individual%actors,%who%

cannot%know%everything%about%how%and%why%the%other%people%in%sensitive%space%act.”%(Ibid.%103).%

The!way!a!state!act!within!these!spaces!are!therefore!exemplified!as!acts!through!satisficing,!

which! literally!means! calculating! and! gambling!when! predicting! a! situation,! as! this!will! be!

based! on! imperfect! knowledge! of! the! situation,!which! leaves! a! terrain! that! is! everHshifting.!

This!forces!the!governing!actors!to!rule!by!adhorcracy,!which!means!ruling!by!improvisation,!

consequently! forcing! the! governed! people! to! “navigate%among%multiple% forms%of% power% that%

change% objectives% and% modes% of% rule% rapidly% as% the% situation% evolves”% (Ibid.).% This! scattered!

navigation! introduces! anxieties! both! for! the! governed! and! the! governing,! which! can!

consequently!result!in!individuals!attempting!to!exploit!the!terrain.!!

!

! 27!

3.6.3.$Sensitive?sovereignty$on$the$High$Sea$

Dunn!and!Cons!applied!this!notion!to!borderlands!and!refugee!camps,!but!this!could!also!be!

applicable! when! understanding! and! navigating! on! the! high! seas.! Here,! no! absolute!

sovereignty! is! found!but! it! is! instead!constituted!by!overlapping! legal! frameworks,!as! in!the!

case! of! the! Search! and! Rescue! (SAR)! zones,! where! contradicting! approaches! and! multiple!

jurisdictions!encounter,!when!claiming!power.!Since!the!high!seas!fail!to!fit!under!sovereign!

control!and!legibility,!irregular!migration!on!the!Mediterranean!has!created!anxiety!in!Europe.!

Despite! the! many! legal! instruments! that! have! been! implemented! to! regulate! the! area,! a!

framework!of!conflictions!and!contradicting!interpretations!are!still!present.!!

The!classical!sovereignty!game!was!constituted!of!states!claiming!legitimate!authority!over!a!

sovereign! territory.! However,! when! moving! the! controls! to! the! high! seas! another! idea! is!

applicable,! as! exemplified! by! GammeltoftHHansen,! “The% commercialisation% of% sovereignty,% by%

contrast,%essentially% involves%instrumentalising%the%authority%of%another%entity% in%order%to%limit%

the%sovereignty,%or%at%least%sovereign%responsibility,%of%the%acting%state.%Put%simply,%as%offshoring%

and%outsourcing%practices%have%moved% to% the% fore,% sovereignty%games% in% this% regard%become%a%

matter%of%disclaiming%authority%and%sovereign%responsibility%over%the%polity%or%acts%concerned”%

(Gammeltoft,Hansen%2009;%175).%He!understands!this!as!most!evident!in!jurisdiction!shopping,!

where!states!will!shift!sovereign!responsibilities!to!attempt!a!circumvention!of!international!

law! obligations,! “it% is% by% reference% to% the% territorial% state% as% the% guarantor% of% human% rights%

obligations%within%its%national%borders%that%a%presumption%is%created%against%similar%obligations%

of%states%carrying%out%interception%schemes%in%foreign%territorial%waters.%“(Ibid.).!The!states!are!

bound! to! uphold! their! legal! responsibilities! within! their! jurisdiction,! however! by! pushing!

controls!out!on!the!high!seas,!the!states!attempt!to!shift!responsibilities,!especially!in!regards!

to!the!territorial!claims!and!disclaims.!This!was!exemplified!by!GammeltoftHHansen!as,!“One%

important% exception% to% the% territoriality% principle% as% the% starting% point% for% dividing% sovereign%

responsibilities% regarding% refugees% pertains% to% international% maritime% law% and% the% duty% of%

rescue,% which% is% particularly% concerned% with% the% high% seas% as% a% non,sovereign% space.”%

(Gammeltoft,Hansen% 2010:18).% Albeit! not! immediately! recognized,! multiple! international!

Conventions!are!present!attempting!to!govern!the!high!seas.! !

! 28!

4.&Governing&the&Sea&&Many! attempts! have! been! made! to! govern! the! sea! and! one! of! the! most! significant! is! the!

convention!on!Safety%Of%Life%At%Sea%(SOLAS)%from!1914,!which!is!considered!to!be!the!starting!

point! of! the!maritime! safety! system12!(Kopacz! et.! al.! 2001;! 200).! Furthermore,! it! has! been!

argued!that!SOLAS! introduced!a!new!maritime!custom,!as!“the%adoption%of%SOLAS%was%also%a%

sign% that%human% life%at% sea%had%priority%over%property,%as%often%had%not%been% the%case%before”%

(Ibid.).%This! paved! the!way! for! a! new!maritime! safety! regime.! Since! then,! several!maritime!

conventions!have!followed!and!the!extension!of!the!legal!rights!at!sea!is!determined!by!these!

international! laws!and! it!has!been!argued! that,! “all% legal%questions%concerning%the%law%of%the%

sea%are%governed%by%the%United%Nations%Convention%on%the%Law%of%the%Sea”%(Marian%2012;%60).!

!

4.1.&The&United&Nations&Convention&on&the&Law&of&the&Sea&

The!United!Nations! Convention! on! the! Law!of! the! Sea! (UNCLOS)!was! codified! in! 1982! and!

went! into! force! in!1994.13!UNCLOS! is!based!on!a!combination!of! longHstanding!customs!and!

previous! treaties,! in!due! consideration!of! the!main!principles!of! the! customary! laws,!which!

were! already! in! place.! UNCLOS! defined! the! territorial! and! jurisdictional! areas! of! the! sea,!

restructuring!the!implicitly!agreed!maritime!borders!as,!“Since%the%seventeenth%century,%states%

with% coastlines% traditionally%observed%a% three%nautical%mile% “cannon% shot”% rule%over%what%was%

considered% territorial% waters,% with% all% water% beyond% this% national% boundary% subject% to% the%

Grotian% principle% of%mare% liberum”% (Carlson% et% al.% 2013;% 23).%UNCLOS!modified! the! previous!

standards,!introducing!new!areas!of!jurisdiction,!dividing!the!sea!into!4!zones:!the!Territorial!

Sea,! the!Contiguous!zones,! the!Exclusive!Economic!Zones!and! the!High!Seas,!all! introducing!

different!jurisdictional!laws!and!frameworks.!!

The!Territorial!Sea!extends!12!nautical!miles!(nm)!from!the!baseline!(the!low!water!mark!of!

internal!waters),!which!is!a!legal!extension!of!the!states!territory,!as!outlined!in!Section!2!of!

UNCLOS.!However,!the!coastal!states!are!not!allowed!to!prevent!the!right!of!innocent!passage!

through!this!territory,!granted!that!this!passage!is!not!“prejudicial%to%the%peace,%good%order%or%

security%of%the%coastal%State”%(UNCLOS%1982;%Art.%19%(2)).%The!Contiguous!zone!extends!up!to!24!

nm! from! the! states!baseline,! and!certain! sovereign! functions!may!extend! to! this! zone! (Ibid.!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! !!!!!!!!!!!!!!!!!!!!!12!Assuming!that!Maritime!Safety!System!exemplifies!the!system!in!place!to!ensure!safety!at!sea!for!all.!

13!A!total!of!159!countries!have!since!ratified!this!convention.!

! 29!

Art.! 8).! The! coastal! state! has! the! legal! right! to! exercise! customs! and! migration! controls.!

UNCLOS!Article!33!exemplifies!that!the!coastal!state!is!allowed!to,!“Punish%infringement%of%the%

above% laws% and% regulations% committed% within% its% territory% or% territorial% sea.”% (Ibid.% Art.% 33).%

Within!the!contiguous!zone,!states!do!not!have!the!jurisdiction!over!foreign!ships!and!all!ships!

enjoy!the!freedom!of!navigation.!Beyond!the!Contiguous!zone,!is!the!Exclusive!Economic!Zone!

(EEZ)!extending!200!nm!out.!The!coastal!state!enjoys!the!right!to!control!all!natural!resources!

and!has!the!power!to!explore!within!this!zone!(Ibid.!Art.!55).!The!water!that!extends!beyond!

the!EEZ!is!defined!as!the!high!seas,!which!is!open!to!all!and!no!state!enjoys!full!sovereignty!

(Ibid.!Art.!88).!Nonetheless,!the!high!seas!are!not!to!be!understood!as!a!place!constituted!by!

anarchy,!as!it!is!subject!to!international!laws.!The!main!principle!establishing!order!at!sea!is!

the!flagHstate!obligation,!which!defines!the!applied!jurisdiction!of!the!boats,!by!which!flag!they!

are!flying,!“Ships%have%the%nationality%of%the%State%whose%flag%they%are%entitled%to%fly.%There%must%

exist% a%genuine% link%between% the% State%and% the% ship.”% (Ibid.%Art.% 91).14%However,! the! flagHstate!

definition!can!be!problematic,!as!many!vessels!involved!in!crime,!such!as!smugglers,!are!either!

stateless!or!utilizing!a!flag!of!convenience.!!

&

4.1.1.$Legal$interceptions$and$irregular$crossings$$

Specific! procedures! and! formalities! have! been! delineated! in! UNCLOS,! in! relation! to!

interdicting!foreign!vessels!at!sea.!A!state!has!the!authorization!to!take!measures,!if!a!vessel!is!

suspected! of! engaging! in! people! smuggling,! after! notifying! the! flagHstate.! The! flagHstate! can!

thereafter!authorize!a!search!of!the!vessel!and!if!“evidence%is%found%that%the%vessel%is%engaged%in%

the% smuggling% of% migrants% by% sea,% the% boarding% state% can% take% appropriate% measures% as%

authorized%by%the%flag%state”%(Coppens%2012;%347).%When!encountering!a!stateless!vessel!in!the!

territorial! or! contiguous! zone,! the! state! has! the! legal! right! to! visit! without! implying! any!

enforcement!prerogatives!to!verify!the!identity!of!a!vessel!(UNCLOS!1982;!Art.!110).!However,!

it! is! not! illegal! to! utilize! vessels,! which! are! not! under! the! authority! of! a! flagHstate,! but! a!

stateless!vessel!can!encounter!penalties,! if!deemed!a!danger!to!the!regime!on!the!high!seas.!

Appropriate!measures!by!the!inspecting!state!can!legally!be!carried!out!if;!“(1)%the%ship%indeed%

proves%to%be%without%nationality;%and%(2)%there%are%reasonable%grounds%for%suspecting%that%the%

ship%is%engaged%in%the%smuggling%of%migrants%by%sea%in%accordance%with%the%Smuggling%Protocol.”%

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! !!!!!!!!!!!!!!!!!!!!!14!However,! ”State% shall% issue% to% ships% to%which% it% has% granted% the% right% to% fly% its% flag% documents% to% that% effect”%(UNCLOS%1982;%Art.%91),%thereby!safeHguarding!the!use!of!states!flags.!

! 30!

(Coppens%2012;%343).%Apprehending!passengers!suspected!of!engaging!in!smuggling!activities,!

is!a!provision!in!the!Smuggling!Protocol,!Article!8!(7)!which!states!that;!“A%State%Party%that%has%

reasonable%grounds%to%suspect%that%a%vessel%is%engaged%in%the%smuggling%of%migrants%by%sea%and%

is% without% nationality% or% may% be% assimilated% to% a% vessel% without% nationality% may% board% and%

search% the% vessel.% If% evidence% confirming% the% suspicion% is% found,% that% State% Party% shall% take%

appropriate%measures%in%accordance%with%relevant%domestic%and%international%law.”%(UN%2001;%

Art.%8%(7)).15%!

Encountering! irregular! migration! at! sea! is! more! ambiguous! than! other! seizures! and!

interdictions,!as!this!requires!an!involvement!of!other!international!laws.!If!the!migrants!are!

disembarked!on!a!vessel,!they!are!under!the!jurisdiction!of!the!flagHstate,!thereby!legally!able!

to!seek!asylum,!which!would!render!any!pushHbacks!in!violation!of!nonHrefoulement!(MorenoH

Lax!2011;!179).!Even!if!the!vessel! is! illegally!entering!the!territorial!or!contiguous!zone!of!a!

state! by! carrying! out! a! nonHinnocent! passage,! the!migrants! are! in! their! legal! right! to! seek!

asylum.!According! to! the! framework! of! the! Smuggling!Protocol,! the! smuggled!migrants! are!

not! liable! to! criminal! prosecution,! as! they! are! the! object! of! the! conduct! and! not! the!

perpetrator!(UN!2001;!Art.!5).!!

&

4.2.&The&Maritime&Safety&System&

It! is!a! timeHhonoured!tradition! to!provide!assistance! to!people! in!distress!at!sea!and!rescue!

organizations!have!existed!since!the!late!18th!century,!“the%basic%concepts%safety%at%sea%and%the%

maritime% safety% system% have% remained% almost% unchanged% for% a% comparatively% long% time”%

(Kopacz%et%al.%2001;%199).!A!more!comprehensive!international!effort!was!implemented!in!the!

20th!century,!which!intensified!a!more!structured!application!of!safety!and!security!at!sea!(Fox!

2007;!76).!The!obligation!of!rendering!assistance!to!people!in!distress!is!enshrined!in!UNCLOS!

Article!98,!“Every%State%shall%require%the%master%of%a%ship%flying%its%flag,%in%so%far%as%he%can%do%so%

without%serious%danger%to%the%ship,%the%crew%or%the%passengers:%(a)%to%render%assistance%to%any%

person%found%at%sea%in%danger%of%being%lost;%(b)%to%proceed%with%all%possible%speed%to%the%rescue%of%

persons% in% distress,% if% informed% of% their% need% of% assistance,% in% so% far% as% such% action% may%

reasonably% be% expected% of% him.”% (UNCLOS% 1982;% Art.% 98).! This! obligation! should! apply!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! !!!!!!!!!!!!!!!!!!!!!15!Methods!used!under!such!inspections!shall!never!affect!the!obligations!and!responsibilities!of!the!states!under!

the!Human!Rights!Declarations!nor!if!applicable!the!1951!Refugee!Convention.!

! 31!

regardless!of!the!nationality!or!the!status!of!the!people!in!distress!and!with!disregard!of!the!

circumstances!in!which!they!have!been!found.16!!

!

4.2.1.$The$Humanitarian$Laws$of$the$Sea$$

The! Humanitarian! Laws! of! the! Sea! will! hereon! after! be! SOLAS! from! 1974! and! the!

International!Convention!on!Maritime!Search!and!Rescue!(SAR)!from!1979.!SOLAS!introduced!

uniform!maritime!agreements!with!the!objective!to!promote!a!safety!framework!at!sea.17!The!

SAR!Convention!was!created!with!the!objective!to!develop,!an!international!plan!of!Search!and!

Rescue! operations! and! to! coordinate! the! efforts! between! coastal! states.! Following! the! SAR!

Convention,! IMO!divided! the!high!seas! into!SAR!zones!attributing! the!responsibility!of!each!

zone! to! coastal! states! (IMO! 2015).! All! state! parties! to! the! SAR! Convention! are! required! to!

establish! the! necessary! arrangements! for! coordination! of! distress! calls.! This! should! be!

coordinated!between!the!national!Rescue!Coordination!Centers!(RCCs),!in!adherence!to!SAR,!

Chapter!3.!The!RCCs!should!ensure!close!coordination!between!the!national!maritime!services!

in!order!to!immediately!take!action,!when!a!distress!call!is!received.!This!can!be!done!either!

through! initiation! of! national! rescue! efforts! or! by! transferring! the! distress! call! to! the!

responsible!RCC,!which!immediately!has!to!accept!the!responsibility.!!

The! concept! of! rescue! should!be!understood! as! “an%operation%to%retrieve%persons% in%distress,%

provide%for%their%initial%medical%or%other%needs,%and%deliver%them%to%a%place%of%safety”%(SAR%1979;%

1.2).%Furthermore,!a!rescue!is!not!complete,!until!the!people!are!delivered!to!a!place!of!safety.!

According!to!SOLAS!a!place!of!safety!is;!“a%location%where%rescue%operations%are%considered%to%

terminate,%and%where:% the%rescued%persons’% safety%of% life% is%no% longer% threatened;%basic%human%

needs%(such%as%food,%shelter%and%medical%needs)%can%be%met”%(UNHCR%et%al.%2015;%12).!However,!

SAR!only!presented!an!unclear!definition!of!Distress! at! Sea,! defined!as! “A%situation%wherein%

there% is% reasonable% certainty% that%a%person,%a%vessel%or%other% craft% is% threatened%by%grave%and%

imminent%danger%and%requires%immediate%assistance.”%(Ibid.%13).%To!avoid!disputes,!the!Council!

adopted!guidelines!for!the!EU!Member!States!to!follow!when!determining!Distress!at!Sea:!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! !!!!!!!!!!!!!!!!!!!!!16!According!to!UNCLOS,!the!duty!on!states!or!private!people!to!render!assistance!is!applicable!in!all!the!maritime!

zones!and! the! flagHstates!are! in!charge!of!ensuring!all! ships,! flying! the! flag!of! the!state,! to!assist! the!people! in!

distress,!when!informed!of!such!situations.!

17!It! is! important! to! note! that! according! to! the! Convention! it! is! the! flagHstate,! which! is! responsible! for! their!

vessels!to!comply!with!this!framework.!

! 32!

• The%existence%of%a%request%for%assistance;%

• The% seaworthiness% of% the% ship% and% the% likelihood% that% the% ship% will% not% reach% its% final%

destination;%

• The%number%of%passengers%in%relation%to%the%type%of%ship%(overloading);%%

• The%availability%of%necessary%supplies%(fuel,%water,%food,%etc.)%to%reach%a%shore;%%

• The%presence%of%qualified%crew%and%command%of%the%ship;%%

• The%availability%of%safety,%navigation%and%communication%equipment;%%

• The%presence%of%passengers%in%urgent%need%of%medical%assistance;%%

• The%presence%of%deceased%passengers;%%

• The%presence%of%pregnant%women%or%children;%%

• And%the%weather%and%sea%conditions.%(Council%2010/252/EU)%

So,!following!the!EU!legislation!on!Distress!at!Sea,!the!situation!will!be!assessed!on!a!caseHbyH

case!basis,!however,!it!is!still!possible!to!argue!that!the!definition!is!open!for!interpretations.!

These! guidelines! are! given! to! the! Member! States,! whilst! Frontex! is! following! a! specific!

guideline! stating! that! a! situation! of! distress! is,! “a% situation% in% which% uncertainty% or%

apprehension% exists% as% to% the% safety% of% a% ship% or% of% any% person% on% board”% (Moreno,Lax% 2011;%

196).%!

&

4.2.2.$Closing$the$Legal$Gap$

Neither! of! the! maritime! laws! clearly! provides! definitions! of!Distress% at% Sea! and! a! Place% of%

Safety,! thereby! leaving! the! interpretation! to! the! individual! state.! This! has! led! to! prolonged!

situations! of! disputes! between! coastal! states,! resulting! in! migrants! being! caught! in!

unnecessary!protracted!situations.!Following!a!number!of!such!disputes,!SOLAS!and!SAR!was!

amended! in! 2004.! The! amendments! established! that! the! people! rescued,! should! be!

disembarked!at!a!safe!place,!with%“the%division%of%the%high%seas%into%national%search%and%rescue%

zones% within% which% the% coastal% state% holds% primary% responsibility% for% coordinating% rescue%

responses% and% disembarkation”% (Gammeltoft,Hansen% 2010;% 15).% The! amendments! were!

supposed! to! ensure! the! protection! of!migrants! at! sea! and! to! provide! shipmasters!with! the!

confidence,! that! if! they! assist! in! a! distress! situation,! they!would!be! sure! to! have! a! delivery!

point.!This!should!relief!them!from!any!prolonged!processes,!thereby!minimizing!the!negative!

consequences! when! providing! assistance! (Gibosn! 2009;! 64).! This! amendment! is! often!

! 33!

interpreted! to! oblige! disembarkation! in! the! SARHstate,! however! it! is! still! open! for!

interpretations.!

The!contemporary!humanitarian!crisis! in!the!Mediterranean!has! led!to!many!such! incidents!

and!such!disputes!have!revealed!gaps!in!the!international!maritime!laws.!GammeltoftHHansen!

has!argued!that!the!situation!should!be!defined!by!normative!structures,!as!“It%is%by%reference%

to% the% relevant% SAR% conventions% that% states% may% seek% to% disclaim% their% own% sovereign%

responsibility”% (Gammeltoft,Hansen% 2010;% 23).% The! situations! in! the! Mediterranean! are!

governed!by!the!legal!norms!in!place,!“then%sought%interpreted%to%claim%and%disclaim%different%

responsible% sovereigns% and% subjects% of% governance”% (Ibid.% 8).%This! introduces! the! idea! of! the!

sovereignty! game,! which! is! surrounding! the! responsibilities! of! saving! lives! on! the!

Mediterranean.!Even!within!the!EU,!the!Member!States!have!introduced!alternate!norms!and!

views!on!policies,!to!shift!their!responsibilities!to!other!Member!States.!The!Commission!has!

previously! acknowledged! these!disputes! as! a,! ”disunity%within%the%EU%over%which%obligations%

arise% from% EU% fundamental% rights% and% international% human% rights% and% refugee% law,% and% how%

these%obligations%relate%to%the%law%of%the%sea”%(Moreno,Lax%2011;%176).! !

! 34!

5.&Irregular&migration&in&the&Central&Mediterranean&&Due! to! the! geographical! location! in! the! periphery! of! Europe! and! in! close! proximity! to! the!

countries! in! North! Africa,! the! Mediterranean! region! is! an! important! component! in! the!

European!migration! flows! and! thousands! of! people! arrive! every! week! irregularly! to! these!

countries!(Cameron!2010;!19).!Currently,!the!majority!of!boats!depart!from!Libya,!through!the!

Central! Mediterranean! Route! with! Lampedusa! as! the! most! important! entry! point,! as!

exemplified! in! Annex! 1.! This! route! has! a! high! number! of! irregular! migration! entries,! as!

illustrated!in!the!table!below,!showing!the!detected!arrivals!from!2008!until!2014,18!

Table$1:$Detected$arrivals$on$the$Central$Mediterranean$Route$in$2008?2014$

Year!Arrivals!detected!on!the!Central!Mediterranean!Route!

(including!Apulia!and!Calabria)!Increase/decrease!

2008! 39,800! H!

2009! 11,000! H!72,3%!

2010! 4,500! H59%!

2011! 64,300! 1328,8%!

2012! 15,900! H75,2%!

2013! 40,000! 151,5%!

2014! 170,750! 326,9%!

Source:!(Frontex!pressHpack!Annex!13).!!

These!irregular!crossings!are!primarily!characterized!as!a!high!level!risk!and!the!number!of!

fatalities!in!the!Mediterranean!have!increased!dramatically!since!the!beginning!of!2000.19!But!

the! reality! of! the! situation! is! difficult! to! assess,! as! many! incidents! are! never! found! and!

recorded.!According!to!estimates!released!by!Amnesty!International!20,257!migrants!died!in!

the!Mediterranean!between!1988!and!2014,!with!3,500!only! in!2014.!This!development!has!

made! UNHCR! label! the! Mediterranean! “The% most% deadly% stretch% of% water% for% refugees% and%

migrants”%(Amnesty%2014;%14),%compared!to!all!other!sea!crossings!in!the!world,!accounting!for!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! !!!!!!!!!!!!!!!!!!!!!18!The!Treaty!of!Friendship,!Cooperation!and!Partnership,!which!was! signed!between! Italy!and!Libya! in!2008,!

could! explain! the! large!decrease! in! arrivals! between!2009! and!2010.!However,! the! civil!war! in! Libya! and! the!

unrest!erupting!in!Tunisia!during!the!Arab!spring!in!2011!caused!a!spike!in!arrivals,!increasing!the!number!with!

over! 1300%! compared! to! the! foregoing! year.! After! the! collapse! of! the! Gaddafi! regime! in! august! 2011,! the!

detection!of!irregular!migration!arrivals!in!the!central!Mediterranean!was!low!throughout!2012,!but!during!2013!

a!new!increase!was!seen,!due!to!inter!alia,!the!civil!war!in!Syria.!The!civil!war!in!Syria!and!the!current!situation!in!

Libya!have!both!contributed!immensely!to!the!high!increase!in!arrivals!in!2014.!170,760!arrivals!is!the!highest!

number!that!has!ever!been!recorded!in!the!central!Mediterranean.!Furthermore,!it!has!been!estimated,!that!this!

number!will!only!continue!to!increase!during!2015.!!

19!Before!1990,!there!was!only!a!relative!low!number!of!migrants!dying!on!the!Mediterranean,!a!reason!could!be,!

that!it!was!much!easier!to!reach!Europe!through!legal!and!regular!ways.!

! 35!

an! estimated!75%!of! all!migrants’! deaths! at! sea! in! 2014! (Laczko! and!Brian! 2014;! 21).! The!

Italian! maritime! forces! have! continuously! carried! out! search! and! rescue! operations,!

attempting! to! assist! the!migrants! in!distress! in! the!Mediterranean,! however,! the! increasing!

number!of!crossings!have!challenged!the!capacity!of!the!Italian!authorities,!and!the!irregular!

nature! of! the! crossings! has! made! it! difficult! to! comprehensively! respond! to! the! distress!

situations.!According!to!IOM!records,!46,500!migrants!have!already!arrived!at!Italian!shores!

this!year!and!it! is!estimated!that!1,800!have!lost!their!lives!between!January!and!May!2015.!

Moreover,! during! April! 1,265! migrants! were! recorded! dead,! which! makes! the! number! 30!

times!higher!than!the!same!time!frame!last!year.20!!

The! arrivals! has! challenged! the! commendable! tradition! of! rescue! at! sea! and! conflicting!

interests! and! disputes! have! increased! regarding! responsibilities! at! high! seas,! delaying! SAR!

operations! and! introducing! difficulties! of! disembarkation! (Klug! 2014;! 51).! The! 2004!

amendments!only!determines!which!state!is!responsible!for!the!rescue!operation!and!do!not!

provide!a!clear!definition!of!the!disembarkation!procedure.!The!disembarkation!of!migrants!

rescued!at!sea!has! therefore!become!an! integral!component! in!a!range!of!disputes!between!

the!Mediterranean! countries.! According! to! the! amendments,! the! state! in! charge! of! the! SAR!

zone!is!responsible!for!securing!a!place!of!safety!and!if!such!a!place!cannot!be!arranged!“The%

Government%responsible%for%the%SAR%area%should%accept%the%disembarkation”%(Trevisanut%2010;%

531).%%

European!border!countries,! like!Italy!and!Malta,!are!especially!facing!the!difficulties!and!the!

distress!situations!are!increasingly!being!interpreted!on!an!ad!hoc!basis,!usually!characterized!

”whereby% the% state% interprets% legislation%or%Directives% in% its% own% favour”% (Cameron%2010;%22).%

The!states!practice!therefore!continuously!vary,!as!Malta!believes!that!disembarkation!should!

be!allowed!at!the!closest!port!of!safety!and!not!determined!by!the!SAR!zone!and!Italy!believes!

that!“unless%a%different%arrangement%is%reached%on%a%case,by,case%basis,%the%state%competent%for%

the% relevant% SAR%zone%must%allow% the%disembarkation”% (Amnesty%2014;%38).%These! conflicting!

interpretations!of!disembarkation!have!recurrently!created!disputes!and!tension!between!the!

two!countries.!According!to!the!SecretaryHGeneral!of! IMO,!Mr!Sekimizu!the!SAR!system!was!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! !!!!!!!!!!!!!!!!!!!!!20!See! Annex! 2! for! IOM!missing!migrants! project,! recordings! of!migrants! fatalities! comparing! the! numbers! of!

2014H2015.!

! 36!

not!intended!to!handle!the!contemporary!situation!and!the!”migrants%are%effectively%being%put%

into%extreme%danger%as%soon%as%they%leave%shore”%(IMO%2015;%12%April).!

&

5.1.&Disputes&in&the&Central&Mediterranean&Sea&&

The!migrants! irregularly! crossing! the! Mediterranean! currently! challenges! the! SAR! regime,!

which!has!led!to!more!frequent!and!comprehensive!distress!situations!and!“the%response%of%the%

states% faced% with% this% phenomenon,% primarily% Italy% and% Malta,% has% been% influenced% and%

undermined%by%preoccupations%relating%to%migration%control.”%(Amnesty%2014;%30).%The!fact!that!

Malta!and!Italy!have!partially!overlapping!SAR!zones,!has!added!to!the!challenge!of!securing!

the!central!Mediterranean.!The!SAR!zones!are!divided!as!exemplified!below,!according!to!the!

2004!amendments.!

Figure$2:$SAR$zones$according$to$the$2004$amendments.$$

!

!

!

!

!

!

!

!

!

Source:!(GammeltoftHHansen!2010;!22)!

This!has!created!confusion!when!determining!the!responsible!state!and!the!lack!of!clarity!can!

“be% exploited% to% avoid% taking% action”% (Ibid.% 32).% The! Maltese! SAR! zone! is! immense,! when!

compared! to! the!size!of! the! island,!complicating!Malta’s!capacity! to!ensure! the!250,000!km.!

! 37!

zone,21!reaching! from! “Tunisian%territorial%waters%to%the%Greek%Island%of%Crete.% It% incorporates%

the% Italian% islands% and% territorial% waters% of% Lampedusa,% Linosa% and% Lampione”% (Ibid.).% The!

primary! responsibility! of! the!Maltese! SAR! zone! lies!with! the!Armed!Forces! of!Malta! (AFM)!

operating!under! the! international!maritime! laws,!UNCLOS,! the!1974!SOLAS!Convention!and!

the! 1979! SAR! Convention.! However,! Malta! has! not! signed! the! 2004! amendments,! as! the!

Maltese!Ministry!of!Foreign!Affair’s! stated! that!Malta! “is%not%yet%in%a%position%to%accept%these%

amendments”% (Coppens% 2013;% 6).% Maltese! officials! argued! that! the! amendments! lacked!

considerations! of! the! geographical! realities,! with! specific! emphasis! on! disembarkation,!

claiming! that! the!SAR!state!may!not!be! the!most!appropriate!solution! for!ensuring!a! timely!

disembarkation.!!

Chapter!3!of!the!SAR!Convention!requires!all!states!to!coordinate!rescue!operations!with!their!

neighbouring! states,! to! ensure! effective! assistance.! But! the! area! between! Libya,! Italy! and!

Malta!is!continuously!raising!problems!in!this!regard.!The!legal!obligation!to!render!assistance!

at! sea! is! triggered! by! a! distress! situation,! but! due! to! the! lack! of! coherence! between! legal!

frameworks,!this!notion!is!defined!differently!by!Italy!and!Malta.!For!the!Italian!authorities,!a!

boat! that! is! unseaworthy! can! be! the! sole! reason! for! a! distress! situation.! The! Maltese!

authorities!applies!a!more!narrow!definition,!where!a!boat!has!to!be!on!the!point!of!sinking!

before!a!distress!situation!is!applicable!and!a!formal!request!for!assistance!has!to!be!made.!As!

migrants!are!often!headed! for! Italy! “and%do%not%want%to%end%up%in%Malta,%Malta%has%used%this%

interpretation%to%its%advantage%to%minimize%its%SAR%interventions.”%(Amnesty%2014;%36)%The!AFM!

has! been! “accused% of% not% fulfilling% their% duty,% by% for% example% only% helping% persons% who% are%

actually%requesting%assistance.”%(Coppens%2013;%6),%and!The!European!Agency!for!Fundamental!

Rights!(FRA)!has!accused!AFM!for!occasionally!dissuading!migrants!from!being!disembarked!

on!Malta!“as%these%are%informed%that%Malta%has%a%mandatory%detention%policy”%(Amnesty%2014;%

36).%%

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! !!!!!!!!!!!!!!!!!!!!!

21!AFM’s!website!confirms!the!size!of!the!Maltese!SAR!zone,!stating!that,!“Malta%Search%and%Rescue%Region%(SRR),%an%area%comprising%250,000%Sq.%km%of%water.”%(AFM%2015;%19%June)%Many!countries,! including!Italy!has!requested!Malta! to! reduce! their! SAR! zone,! which! has! been! ruled! out! by! the! Maltese! government.! In! 2009,! Dr.! Mifsud!

Bonnici!was!quoted!on!the!Maltese!News!site!Times%Of%Malta,%explaining!that,!"It%is%true%we%are%a%small%country%but%the%large%SAR%area%could%be%considered%to%be%part%of%the%bonus%we%inherited%from%our%Colonial%past.%It%is%an%asset%for%our%country%and%I%don't%think%a%country%should%simply%give%up%its%assets."%(Grech%and%Sansone%2009;%26%April).!

! 38!

A!distress!situation!should!be!assessed!on!a!caseHbyHcase!basis,!as!this!is!the!only!framework,!

which!leaves!enough!room!to!approach!the!situation,!whilst!taking!into!account!the!security!

of!the!people!in!distress.!This!approach!is!already!being!deployed!by!Migration!Off!Shore!Aid!

Station! (MOAS)!,22!which! is! a!privately! funded!Search! and!Rescue!NGO!based!on!Malta,! and!

Director! Xuereb! described! distress! situations! as,! “when% you%have% a% 12%meter% boat%with% 270%

people%on%board,%that%is%for%us%very%clearly%a%situation%of%distress.%Obviously%the%situation%needs%to%

be%taken%on%a%case%by%case%basis,%depending%on%many%factors,%including%the%state%of%the%people%on%

board,%the%state%of%the%vessel,%the%weather”%(Personal%communication,%February%23,%2015).%These!

described! differences! between! Italy! and! Malta! have! resulted! in! several! cases,! where! an!

effective! search! and! rescue! assistance! has! been! undermined! and! the! current! influx! has!

intensified! the! clashing! interests!of! the! states.! Some!have!argued! that!AFM!has! tried! to!pin!

rescue! responsibilities! on! the! Italian! Navy! and! journalist! Karl! Scembri! described! “the%

operation% of% the%Maltese% navy% as% a% ‘calculation’:% if% there% is% any% chance% that% a% boat% will% have%

enough%fuel%to%reach%Italy,%the%AFM%will%take%the%risk%of%not%immediately%rescuing%the%migrants%

and%will%‘pass%the%problem%on%to%the%Italians’,%expecting%the%Italian%security%forces%to%take%care%of%

the%arriving%boat“%(Klepp%2011;%553).%

Malta!and!Italy!face!an!unequal!number!of!migrant!arrivals!compared!to!other!EU!countries,!

and! their! interests! are! shaped! through! these! structures,!which! influence! the! actions! taken.!

This!has!been! further! aggravated!by! the!Dublin!Regulations! rule!of!First%Country%of%Asylum,!

creating! a! disincentive! for! Malta! and! Italy! to! allow! disembarkation! after! assisting! the!

migrants,! to! avoid! the! subsequent! responsibilities.! The! political! discussions! on! Malta!

regarding! SAR! operations! and!migrant! responsibilities! shape! the! behaviour! of! AFM,! when!

performing!SAR!operations!and!“Legal%loopholes%and%avoidance%measures%are%used%to%sidestep%

SAR%obligations.%As%a%consequence,% there%have%been% incidents%where%AFM%practises% impeded%or%

delayed% SAR% actions,% with% serious% consequences% for% migrants“% (Klepp% 2011;% 552).% Whilst!

conforming!under!the!current!structural!framework!and!acting!in!the!perceived!interest!of!the!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! !!!!!!!!!!!!!!!!!!!!!22!MOAS! is!a!privately! funded! foundation,!operating! from!Malta,! founded!by!Christopher!Catrambone! in!2006,!

consisting!of!humanitarians,!security!professionals,!medical!staff!and!experienced!maritime!officers,!who!work!

together!to!prevent!catastrophes!at!sea.!Maltese!native!(Ret’d)!Martin!Xuereb,!previous!Chief!of!Defence!of!Malta!

is! director.! MOAS! acts! as! an! aid! station,! supporting! with! vessels! when! a! need! of! assistance! is! detected,!

coordinating!Search!and!Rescue!with!authorities!around!the!Mediterranean,!aiming!to!mitigate!loss!of!life!at!sea.!

February!23,!2015,!a!phone!interview!was!conducted!with!Director!Xuereb,!which!can!be!found!in!Annex!6.!

!

! 39!

states!capacity,!AFM!have!on!several!occasions!attempted! to!deny! the!relationship!between!

humanitarianH!and!maritime!laws,!when!determining!a!place!of!safety.!Maltese!officials!argued!

that!migrants!could!be!disembarked!in!Libya,!after!being!rescued!within!the!Libyan!SAR!zone,!

stating!that!the!refugee!law!should!be!separated!from!the!SAR!regime!(Ibid.!551).!This!would!

be!in!the!interest!of!Malta,!as!many!distress!situations!unfold!in!the!Libyan!SAR!zone,!making!

determination! of! disembarkation! inherently! difficult.! Malta! has! therefore! denied! multiple!

disembarkations! from!Libya,!which! “has%resulted% in%a%number%of%situations%that%have%put%the%

right%of%refugees%to%seek%international%protection%at%risk”%(Amnesty%2014;%39).%%

The! current! situation! in! Libya! has! added! to! the! complexity! of! the! central! Mediterranean!

situation! and! as!provided! in! SAR,! if! an!RCC! is! not! able! to! assume! its! responsibilities,! these!

should!be!handed!over!to!other!RCCs.!However,!the!cooperation!efforts!between!Italy,!Malta!

and!Libya!have!all!“been%undermined%by%the%institutional%chaos%in%post%al,Gaddafi%Libya%and%the%

complexity%of%the%security%sector,%composed%of%a%myriad%of%militias%pursuing%competing%political%

agendas”%(Ibid.).%Furthermore,!any!effective!cooperation!with!Libya!could!endanger!migrants!

fundamental!rights!and!the!principle!of!nonHrefoulement,!with!Libya!not!being!a!party!to!the!

1951! Refugee! Convention! and! the! migrants! that! are! send! back! to! Libya,! could! be! facing!

“widespread% abuse% by% the% Libyan% authorities% (Gammeltoft,Hansen% 2010;% 20).% The! European!

Court!of!Human!Rights!authoritatively!affirmed!the!fact!that!Libya!could!not!be!considered!a!

place!of!safety,!in!the!case!of!Hirsi!Jamaa!and!others!v.!Italy,23!which!determined!that!Italy!had!

violated! the! right! of! nonHrefoulement,! when! sending! back! migrants! to! Libya,! without! any!

comprehensive!processing.!!

&

5.1.1.$The$Fatal$Consequences$

These! events! have! led! to! disputes! between! Malta! and! Italy,! revealing! a! weakness! in! the!

maritime! legal! framework.! The! SAR! regulation! is! sustained! through! a! highly! normative!

compliance!of!its!participants,!which!has!been!challenged!by!the!political!nature!of!the!current!

border! control.! The! governments! of! the! Mediterranean! have! “repeatedly% locked% horns% over%

respective% obligations% vis,à,vis% migrants% lost% at% sea,% claims% have% made% that% neighbours% were%!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! !!!!!!!!!!!!!!!!!!!!!

23!Hirsi!Jama!and!others!v.!Italy!is!a!landmark!trial!from!2012.!A!vessel!from!Libya!was!intercepted!and!forcibly!

returned!to!Tripoli!by!an!Italian!vessel!in!2009.!In!the!boat!were!11!Somalis!and!13!Eritreans,!who!took!Italy!to!

the! European! Court! of! Human! Rights,! for! violating! numerous! fundamental! rights,! counting! nonHrefoulement.!

Italy!lost!and!all!prosecuting!parties!were!awarded!15,000!Euros!for!nonHpecuniary!damage!suffered,!confirming!

the!importance!of!all!States!to!uphold!the!obligation!of!nonHrefoulement!(Wetzel!et!al.!2014;!49).!

! 40!

deliberately%dumping%rescuees%in%foreign%SAR%zones”%(Ibid.%13). The!migrants!get!caught!in!the!middle! of! diplomatic! standHoffs! leading! to! dire! consequences.! These! disputes! ultimately!

exacerbated!due!to!the!responsibilities!of!taking!in!the!migrants!and!possible!asylumHseekers!

“periodically% produces% deadlocks% and% delays% which% can% put% the% lives% of% migrants% at% risk% and%

result%in%the%denial%of%the%opportunity%for%refugees%to%secure%international%protection”%(Amnesty%

2014;%39).%%

An!example!of!such!a!denial!is!the!case!of!Salamis.!On!4!August!2013!Salamis,!a!Commercial!

vessel,!left!Libya!for!Malta!and!rescued!102!migrants!stranded!in!the!Libyan!SAR!zone.!Libyan!

RCC!requested!Italian!assistance!in!coordinating!the!rescue!and!Rome!RCC!directed!Salamis!to!

the!coordinates!of!the!boat!in!distress.!After!the!successful!rescue!operation!Salamis!informed!

Rome! RCC! that! one! person! was! in! need! of! medical! assistance,! Rome! therefore! directed!

Salamis! to! the! closest! port,! which! meant! “to% transport% those% rescued% back% to% Libya% and%

disembark% them% in% Tripoli.% The% Salamis% refused% to% return% them% to% Libya”% (Ibid.% 40).% Salamis!

informed! Rome! that! they! could! cope! without! assistance,! and! continued! to! their! original!

destination!on!Malta,!which!Malta!and!Libya!was!informed!of!by!Rome!RCC.!The!5!August!AFM!

stopped! Salamis! before! reaching!Maltese! territorial! waters,! “contending% that% the% vessel% had%

disobeyed%orders%given%by%the%Rome%RCC%to%direct%back%towards%Libya%and%disembark%individuals%

rescued% at% sea% there”% (Ibid.).% After! three! days! of! diplomatic! negotiations,! the! Italian!

government! authorized! disembarkation,! due! to! humanitarian! reasons.! Despite! official!

statements! made! by! European! Commissioner! Malmström! pleading! for! the! Maltese!

government!to!allow!disembarkation!“Malta%did%not%and%the%Maltese%Minister%for%Home%Affairs%

and% National% Security% reportedly% stated:% “As% a% sovereign% state,% we% cannot% give% in% to% the%

barefaced% breach% of% international% law% by% this% captain”% (Ibid.).%This! stands! as! an! example! of!

Malta’s! disregard! of! the! 1951! Refugee! Convention! when! dealing! with! SAR! operations! and!

subsequent! disembarkations.! This! situation! is! not! an! isolated! incident,! and! not! all! end! as!

peaceful.!Two!months!later!two!maritime!disasters!killed!around!400!people!in!October!2013!

and! Amnesty! International! has! questioned! the! efficiency! of! the! Maltese! and! Italian!

coastguards!the!11!October!2013.!!

On! 3!October! 2013,! a! boat! carrying! approximately! 500!migrants! sunk! outside! the! coast! of!

Lampedusa.!Only! 155!passengers! survived,! and!366!bodies!were! retrieved! from! the!water,!

! 41!

Amnesty! International! estimates! that! 20! people! were! never! found! (Ibid.! 16).! Only! 8! days!

later,!on!11!October,!a!trawler!carrying!more!than!400!migrants!sank!in!the!waters!between!

Lampedusa!and!Malta,!within! the!Maltese!SAR!zone.!Between!10!AM!and!12!PM! the! Italian!

RCC!was! reportedly! contacted! from! the!boat,!which!was! taking! in!water.!Mohanad! Jammos!

from!Syria!made! the!call,!delivering! their!position! “and%added%that%there%were%many%Syrians,%

including%many% doctors,% and% over% 100% children% on% the% boat,% and% that% the% boat%was% taking% in%

water”%(Ibid.%44).%Rome!RCC!received!the!data!around!12!PM!and!contacted!the!Maltese!RCC,!

where!after!AFM!took!charge!of!the!rescue!operation,!“Meanwhile%(…)%the%patrol%vessel%Libra%

(with%a%helicopter%on%board),%started%sailing%towards%the%refugee%and%migrants’%boat,%27nm%or%

48km%away”%(Ibid.).%According!to!the!AFM!press!statement!after!the!rescue!operation,!an!AFM!

aircraft! located!the!boat!at!4!PM,!and!“A%few%minutes%later,%the%aircraft%reported%that%the%boat%

had%capsized%and%that%numerous%people%were%in%the%water%(…)%AFM%Patrol%Boat%P61%was%first%to%

arrive%on%scene%at%around%17:51hrs%and%immediately%initiated%SAR%activities.”%(Ibid.%46).%At!5!PM,!

AFM! informed! Italy! about! the! capsizing! of! the! boat! and! requested! assistance,! but! the! boat!

sank!quickly!and!only!212!migrants!were!rescued.!Afterwards!26!bodies!were!recovered,!but!

considering!that!the!boat!supposedly!contained!more!than!400,!it!is!believed!that!around!200!

were!lost!at!sea!(Ibid.!47).!!

According! to! both! countries,! they! acted! in! compliance! with! their! international! legal!

obligations,!but!Amnesty!International!has!argued!that!there!were!breaches!in!the!efficiency.!

The! Italian! Navy! vessel! Libra! did! not! direct! itself! in! full! speed! after! being! notified! of! the!

distress! situation,!which! is! required! in! SOLAS,! further! arguing! that! the!Maltese! authorities!

failed! to! “provide% assistance% to% the% boat% after% officially% having% taken% charge% of% the% case,% as%

required%by%the%SAR%Convention,%by%ensuring%co,ordination%and%co,operation%with%other%states,%

namely%Italy”%(Ibid.%51).%According! to! Italian!authorities,! it!was! the!responsibility!of!Malta! to!

request!the!assistance!of!Italy!and!that!they!fully!complied!with!all!requests!made!after!Malta!

assumed!the!coordination!of!the!rescue,!as!“Doing%otherwise%would%have%constituted%a%violation%

of% the% sovereignty% of%Malta%and%of% the% SAR% convention”% (Ibid.% 52).%Sufficient! investigations! of!

these!incidents!are!difficult,!due!to!the!lack!of!transparency!in!the!field!of!maritime!practices,!

and!the!ad!hoc!based!cooperation!has!been!“characterised%by%the%European%Commission%as%an%

important%lacuna”%(Moreno,Lax%2011;%199).%There!is!a!consensus!amongst!all!actors!that!these!

deaths!are!largely!preventable,!but!the!question!remains!how.!!

! 42!

5.1.2.$Anxieties$of$Disembarkation$$

The! current! situation! has! exposed! a! weakness! in! the! maritime! legal! system! and! “The%

negotiable%and%political%character%of%the%drafting%and%implementation%of%law%becomes%evident%in%

this%‘multi,sited%arena%of%negotiation’%of%the%SAR%system%in%the%Mediterranean%Sea”%(Klepp%2011;%

556).%The! legal! frameworks!are!being!modified!and!adapted! to! the! individual!agenda!of! the!

states!and!the!normative!practice!of!rescue!is!increasingly!being!politicised,!delaying!the!SAR!

obligations.! One! such! development! is! the! case! of! commercial! vessels! being! denied!

disembarkation! after! assisting! migrants! in! distress,! which! could! consequently! create!

disincentives!for!the!shipmasters!to!participate!in!future!rescue!operations.!This!would!result!

in!“a%weakened%international%SAR%system”%(Ibid.%549)!and!the!anxieties!of!disembarkation!could!

therefore! hinder! effective! rescue! actions.%As! Malta! did! not! sign! the! amendments,! the! two!

states! are! “legally% bound% by% different% rules,% clearly% militating% against% a% uniform% and% co,

ordinated% approach% to% a% common%problem”% (Mallia% 2013;% 11).%These! gaps! in! interpretations!

allow! the! Member! States! to! push! the! rescue! and! disembarkation! responsibilities! to! other!

states.! So! even! though! the! division! of! the! SAR! zones!were! supposed! to! bring! an! increased!

protection! at! sea,! it! also! opened! the! door! for! responsibilityHshifting.! The! amendment! can!

therefore!be!argued!to!be!insufficient!in!enhancing!the!safety!at!sea!and!the!SAR!regime!has!

instead!been!utilised!in!attempting!to!reject!legal!obligations.!!!

Italy!has!regularly!conducted!SAR!operations!in!the!Maltese!SAR!zone!to!support!Malta!in!the!

immense! area;! however,! all! operations! are! based! on! ad! hoc! agreements,! which! are!

contemporarily!challenged.!A!partial!solution!to!the!problem!could!be!for!Malta!to!accept!its!

SAR!zone!to!be!reduced!in!size,!and!“If%respective%SAR%zones%were%rendered%coextensive%with%the%

areas%defined%by%the%closest%ports%in%both%territories,%fewer%problems%would%arise%with%regard%to%

disembarkation,%and%the%problem%of%Malta’s% limited%resources% for%SAR%would%also%be%reduced.”%

(Amnesty%2014;%32).%However,!Malta! has! shown! little! interest! in! reducing! its! SAR! zone! and!

“One%of%the%reasons%is%that%this%area%is%connected%to%the%lucrative%income%the%island%derives%from%

its%Flight%Information%Region%(FIR),%as%the%size%of%the%latter%is%bound%to%the%SRR.”%(Coppens%2013;%

6)%Malta!is!earning!approximately!8.2!million!euros!per!year,!from!the!air!traffic!passing!over!

its!SAR!zone!(Klepp!2011;!546).!!

A!common!and!accepted!definition!of!the!disembarkation!procedure!is!also!urgently!needed!

! 43!

within! the! EU,! to! adequately! respond! to! the! contemporary! situation! and! to! ensure! a!

consistent! standard! of! safety.! This! is! an! important! gap! to! be! filled,! in! order! to! approach! a!

cooperation! framework! between! the!Member! States,! but! a! solution! to! this! has! never! been!

found,! due! to! the! diverging! interest.! The! normative! structure! of! the! SAR! regime! should!

provide!a!positive!obligation!for!the!states,!however,!this!has!just!meant!that!“The%sovereignty%

game%thus%changes%from%one%of%territorial%retraction%to%one%in%which%the%high%seas%and%foreign%

SAR% zones% become% venues% where% migration% control% can% be% operated% without% incurring% the%

correlate% responsibilities% for% disembarkation% and% subsequent% duties% in% regard% to% asylum%

processing% or% return.”% (Gammeltoft,Hansen% 2010;% 17).% The! SAR! regime! has! brought! new!

geopolitics! of! the! high! seas! and! norms! and! policies! are! increasingly! interpreted! to! shift!

responsibilities!as!a!game!between!the!sovereigns.!%

&

5.2.&The&High&Sea&as&the&Sovereign&Frontier&

Traditionally,!the!main!maritime!threat!came!from!opposing!government’s!military!ships,!but!

this! realist! approach! to! maritime! threats! has! shifted! to! a! more! liberalist! approach,!

contemporarily! embodied! by! the! irregular! migratory! crossings! as! the! principal! maritime!

threat! to! Europe.! These! crossings! are! unfolding! in! different! maritime! zones,! thereby!

introducing! a! complex! political! framework! for! the! coastal! states,! when! responding! to! the!

arrivals! (Bateman! 2011;! 4).! The! legal! dimension! of! these!maritime! frontiers! are! therefore!

often!conflicting!and!overlapping!when!leaving!the!states!territorial!sea,!marking!the! line!of!

the!states!full!sovereignty.!!

The! high! seas! essentially! challenge! the! traditional! understanding! of! jurisdiction! and! states!

have! to!navigate!within!a! framework!of!multiple! legal! structures,!blurring! the!duties!of! the!

state,! “Tensions% and% inconsistencies% arise% from% the% simultaneous% applicability% of% sets% of% rules%

(Amnesty%2014;%27).%The!high!seas!are!a!true!international!sphere,!which!have!caused!clashes!

of! sovereignty! claims! and! jurisdictional! conflict! for! absolute! power! and! is! therefore!

understood!as!a!sensitiveHsovereignty!zone.!The!power!on!the!high!seas!is!not!easily!defined!

thus!creating!a!space!of!unstable!regulations!and!contradicting!interpretations,!as!previously!

shown! in! the! cases! between! Italy! and! Malta.! The! states! are! bound! to! uphold! the! legal!

responsibilities! within! their! jurisdiction,! however,! with! the! contingent! sovereignty! and!

globalization!approach,!the!opportunity!has!opened!for!states!to!shift!their!responsibilities!by!

! 44!

pushing!the!border!control!out!on!the!high!seas.!

%

5.2.1.$The$Sovereignty$Game$

The!irregular!migratory!movements!embodies!the!insecurity!of!the!high!seas,!as!the!migrants!

are! ungovernable! persons! with! no! jurisdictional! classification,! thereby! having! no! clearHcut!

responsibility!prescription!when!encountered!outside!a!state!territorial!waters.!The!refugee!

embodies! the!people,!which!have! fallen!outside! the! framework!of! the! ideal! state!and!are! in!

need!of!international!protection.!Some!states!may!perceive!the!obligation!of!upholding!these!

rights! as! a! challenge! to! sovereignty,! thereby! putting! the! state! between! territorial! selfH

preservation! and! the! obligation! of! upholding! basic! human! rights! (GammeltoftHHansen!

2008:6).!By!moving!border!control!outside! the!states! territorial!waters! to! the!patchwork!of!

maritime! boundaries,! the! states! attempt! to! “de% facto% or% de% jure% relinquishing% themselves% of%

some%of%the%human%rights%obligations%otherwise%owed%to%asylum,seekers”%(Ibid.).!

The!states!utilise!responsibility!shifting’s!in!an!effort!resisting!to!conform!under!international!

laws,!by!moving!the!control!out!on!a!sovereignHsensitive!zone!where!the!rules!are!made!under!

adhocracy.!This! responsibility! shifting! is!extensively! seen! in! the!conflicts!between! Italy!and!

Malta! over! their! SAR! zones,! consequently! resulting! in! ““the% drowning% migrant”% % (…)%

increasingly%complex% field%of%governance,% in%which%participating%states%may%successfully%barter%

off% and% deconstruct% responsibility% by% reference% to% traditional% norms% of% sovereignty% and%

international%law.(…)%the%Mare%Liberum%becomes%the%venue%for%a%range%of%competing%claims%and%

disclaims% to% sovereignty”% (Gammeltoft,Hansen%2010:%18).%The! SAR! regime!was! an! attempt! to!

implement!a!governing!framework!on!the!high!seas,!however!it!is!loosely!governed!due!to!the!

limited! accountability! and! therefore! “provides% leverage% for%playing%the%sovereignty%game%and%

disclaiming% sovereign% responsibility”% (Gammeltoft,Hansen% 2010;% 18).% Irregular! migration!

challenge! the! sovereign!states! security! interests!and! the!maritime!obligations!challenge! the!

sovereign!rights!of! the!state! to!control! its!borders,!drawing!up! the!concerns!between!stateH

centric!sovereignty!and!the!norm!based!humanitarian!laws.!!

The! state! practice! of! pushing! the! sovereign! responsibilities! out! of! the! stateHterritory,! has!

allowed!the!states!to!assess!the!encounters!with!migrants,!on!a!caseHbyHcase!basis.!The!SAR!

regime!opened! the!door! for! responsibility! shifting’s!between! the!coastal! states!and!allowed!

! 45!

for! a! strategic! behaviour! towards! the!migrants! (Ibid.).! The! coastal! states! have! increasingly!

applied! the! method! of! convenient! sovereignty! claims,! by! claiming! sovereignty! when!

convenient! and! disclaiming! the! obligations! when! needed.! This! involves! concrete! political!

frameworks! as,! “The% legal% nexus% surrounding% search% and% rescue% and% the% case% of% illegal% boat%

migration% is% a% particularly% illustrative% example% of% such% sovereignty% practices,% because% it%

transposes% the% sovereignty% game”% (Ibid.).% The! multiple! disputes! between! Italy! and! Malta,!

constitutes! this! legal! nexus,!which! has! fatal! consequences! for! the!migrants,! standing! as! an!

example! of! the! complexity! surrounding! the! high! seas.! The! shifting! between! sovereign!

responsibilities!to!circumvent!international!obligations!was!defined!by!GammeltoftHHansen!as!

jurisdiction!shopping.!In!the!Mediterranean,!this!mainly!relates!to!the!fulfilment!of!states!SAR!

obligations,! due! to! the! politicization! of! disembarkation,! challenged! by! Malta’s! immense!

unilaterally!declared!SAR!zone!and!Libya’s!current!unstable!situation.!!

!

5.2.2.$Maritime$responsibilities$and$the$Sovereign$State$

The!responsibility!claims!and!disclaims!in!relation!to!migration!at!sea,!is!a!result!of!the!high!

seas! as! zones! of! sensitive! sovereignty! and! lack! of! institutional! structures.! These! variables!

have!all!unconsciously!supported!the!selfHinterested!states!in!their!practice!of!responsibility!

shifting’s.!The!high!seas!are!“organised%mainly%around%a%residual%principle%of%freedom%for%both%

states% and% individuals% occupying% it”% (Gammeltoft,Hansen% 2010;% 14).% However,! even! though!

somewhat! freedom!is!applied,! the!state!and! the! flagHstates!are!still!obliged!under!sovereign!

jurisdiction!to!participate!and!undertake!rescue!operations.!If!a!Member!State!is!party!to!an!

international! law,! it! cannot! “avoid% responsibility% by% out,sourcing% or% contracting% out% its%

obligations,% either% to% another% State,% or% to% an% international% organization”% (Moreno,Lax% 2011;%

202).% It! can! therefore! be! concluded,! that! no! state! should! be! able! to! circumvent! their!

international! obligations! on! the! high! seas.! The!maritime! structures! as! codified! in! UNCLOS,!

should!be!followed!and!border!controls!should!be!exercised,!with!consistency!to!the!relevant!

international! treaties! and! “The% human% rights% of% the% individuals% attempting% to% cross% borders%

must%be%respected,%protected%and%promoted%at%all%times”%(Ibid.).% !

! 46!

5.3.&Operation&Mare&Nostrum&&

In! the! immediate!aftermath!of! the!catastrophes! in! the!Mediterranean! in!October!2013,! Italy!

took! a! big! step! towards! a! solution! to! the! humanitarian! crisis,! by! independently! launching!

Operation!Mare!Nostrum!(OMN).!OMN!was!deployed!18!October!2013,!only!7!days!after!the!

second!shipwreck,!as!an!Italian!NavyHled!operation.%The!Commission!initially!had!the!idea!to!

launch!a!Frontex!Joint!Operation!(JO)!as!a!response!to!the!tragedies,!but!before!Member!State!

support!for!the!Frontex!JO!was!gathered,!the!Italian!government!unilaterally!launched!OMN.!

The! objective! of! OMN! was! presented! as! a! twoHfold! aim! of! “safeguarding% life% at% sea% and%

combating% human% trafficking”% (Amnesty% 2014;% 20).! This! humanitarian! approach! set! it! apart!

from!previously!deployed!operations!by!the!EU!and!as!argued!by!Asilo,24!“The%Operation%Mare%

Nostrum% was% more% effective% in% rescuing% operations,% when% compared% to% previous% coastguard%

activities,% because% of% the% large% capacity% and% the% SAR%mandate.% Several% navy% ships,% helicopters%

and% vessels% have% been% deployed% in% international% waters”% (Personal% communication,% April% 26,%

2015).%OMN’s!operational!area!measured!43,000!km.!stretching!across! the! Italian! territorial!

zone,! continuing! far! beyond! international! waters.25!The! operational! area! overlapped! both!

Maltese!and!Libyan!SAR!zones!and!Asilo!believed!that,!“Mare%Nostrum%was%a%great%response%to%

the%large%number%of%arrivals%when%it%comes%about%SAR%operations,%because%of%the%great%capacity%

deployed”% (Ibid.).! It! was! estimated! that! OMN! cost! Italy! 9! million! euros! per! month! to! keep!

operational.!!

The!intercepted!migrants!were!all!brought!to!Italian!ports,!and!was!left!to!the!directorate!of!

immigration! and! the! border! police,! attempting! to! ensure! effective! identity! checks! of! the!

migrants,!which! included! fingerprinting! to! introduce! them! into! the! Eurosur! system.26!OMN!

was!welcomed!by!humanitarian!organizations! as! a! good!practice,! especially! applauding! the!

fact! that! all! boats! carrying! migrants! was! regarded! as! unseaworthy! and! “as% being% in% an%!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! !!!!!!!!!!!!!!!!!!!!!

24!Asilo! in!Europa! is!an! Italian!association,!which!was! founded! in!2013!with!headquarters! in!Bologna.!Asilo! is!

comprised!of!professionals! from! the! field!of! asylum! in!Europe,!with! the!aim!of!promoting! the! right! to!asylum!

(Asilo!2015;!12! June).!The!questions!are!all! stemming! from!an!email! correspondence!with!Alessandro!Fiorini,!

President!of!Asilo!in!Europa!from!26!April!2015.!The!correspondence!can!be!found!in!Annex!9.!!

25!To!operate!this!area,!OMN!relied!on!staff!and!assets!from!the!Italian!Navy,!Coastguard,!Police!and!Air!forces,!

with! the! Navy! providing! 900! employees! to! work! in! the! operation,! which! was! deployed! with! stateHprovided!

assets!counting!32!naval!units!and!2!submarines.!

26!! The! European! Border! Surveillance! System! (Eurosur)! has! been! operational! since! December! 2013! and“% is%“multipurpose”,% aiming% at% “detecting,% preventing% and% combating% illegal% immigration% and% cross,border% crime% and%contributing%to%ensuring%the%protection%and%saving%lives%of%migrants”.%The%purpose%of%saving%migrant%lives%has%been%a%prominent%argument% in% the%adoption%of% the%Regulation,%and%human%rights%provisions%–% in%particular%relating%to%non,refoulement,%human%dignity%and%data%protection%–%are%also%entered%into%the%Regulation.”%(Carrera%2015;%17).!

! 47!

emergency%situation%requiring%assistance,%which%is%therefore%provided%as%quickly%as%operationally%

practicable.”%As!the! Italian!Admiral!Culcasi!explained! to!Amnesty! International:%“For%us,%they%

are%all%SAR%situations,%all%overcrowded%rickety%boats,%all%in%need%of%rescue”%(Amnesty%2014;%25).%

During!the!deployment,!OMN!rescued!more!than!150,000!migrants!and!brought!330!alleged!

people!smugglers! to! justice.!However,! in!spite!of! these!efforts!3,500!migrants!still! lost! their!

lives!during!that!period,!demonstrating!that!even!this!was!not!enough!to!completely!ensure!

the!safety!of!the!migrants!crossing!the!Mediterranean.!

Director!Xuereb!believes!the!success!of!OMN!to!be!linked!to!its!area!of!operation,!“so%the%boats%

in%distress%were%being%given%assistance%in%the%first%12%hours%from%their%departure%from%Libya,%and%

really% for% the% simple% reason% that% it%was%an%humanitarian% search%and% rescue% operation,% rather%

than% a% border% control% operation”% (Personal% communication,% February% 23,% 2015).%MOAS! was!

deployed! during! the! same! time! as! OMN! and! assisted! in! several! rescue! operations! and! as!

Director! Xuereb! explained,! “every% rescue% we% did,% we% coordinated% with% the% Rome% Maritime%

Search% and% Rescue% Region,% so%we%were% being% tasked% by% Rome% to% provide% assistance,% and% they%

were%the%entity%telling%us%where%to%disembark,%so%in%the%majority%of%the%instances%we%disembarked%

on%Mare%Nostrum%boats,%so%on%Italian%state%ships”%(Ibid.).%MOAS!never!experienced!any!disputes!

regarding! disembarkation,! due! to! the! willingness! of! Italy! to! allow! full! disembarkation! on!

Italian!shores!and!could!therefore!fully!focus!on!search!and!rescue.!!

OMN! thus! became! the! temporary! solution! to! the! disputes! between! Malta! and! Italy,! by!

disembarking! all! rescued!migrants! from! the! three! SAR! zones! at! Italian! ports.! Italy! thereby!

unilaterally!offered!a!solution!to!the!challenges!of!the!legal!maritime!frameworks!and!Malta!

consequently!experienced!a!big!drop!in!arrivals!during!2014,!“However,%a%durable%solution%to%

this% long%running%dispute%between%Italy%and%Malta%has%yet%to%be%found,%and%the%disagreements,%

with%their%potentially%fatal%impact%(…)%could%start%all%over%again”%(Amnesty%2014;%25).%OMN!was!

only! created! as! a! temporary! solution! to! the!humanitarian! crisis,! as! it! is! not! sustainable! for!

Italy! to! solely!provide! reception! for! all!migrants! rescued! in! the! central!Mediterranean.!The!

problems!between!the!two!countries!are!bound!to!resurface!when!OMN!is!no!longer!deployed,!

until! a! longHterm! solution! is! in! place.! This! point! was! further! substantiated! by! the! Italian!

! 48!

association,! Borderline! Sicilia,!27!“Mare%Nostrum%cannot%be%a% substitution% for%a%real%European%

border%policy%–%it%will%be%–%and%it%was,%only%a%so%called%drop%in%the%ocean.%What%we%need%is%not%an%

emergency% scenario% but% an% open%welcome% policy,% legal% entrances% in% the% European% Union% and%

afterwards% decisions% about% asylum% requests% etc.% So% Mare% Nostrum% was% a% good% emergency%

support%for%a%work%that%the%Search%&%Rescue%MUST%do%anyway;%but%it%was%no%political%solution.”%

(Personal%communication,%May%18,%2015).%!

!

5.4.&Calling&for&European&solidarity&&

The! Italian!government!repeatedly! indicated! the!unsustainable!nature!of! the!deployment!of!

OMN!and!the!future!of!the!operation!subsequently!became!an!object!of!much!discussion,!both!

nationally!and!at!EU!level!during!2014.!In!July,!Italy!pleaded!for!EU!burdenHsharing!and!Italian!

Prime!Minister!Matteo!Renzi!called!for!a!supranational!approach!and!went!to!the!Parliament,!

stating!that,!“A%Europe%that%tells%the%Calabrian%fisherman%that%he%must%use%a%certain%technique%to%

catch% tuna% but% then% turns% its% back% when% there% are% dead% bodies% in% the% sea% cannot% call% itself%

civilised”%(Davies%2014;%25%June).%NGOs!also!called!for!an!enhanced!EU!effort!to!assist!Italy!and!

Riccardo! Clerici! from! the! Italian! UNHCR 28 !called! for! a! new! rescue! operation! in! the!

Mediterranean! coordinated! by! the! EU,! “with%Libya% in% a% situation,%which%allows% for% 1,000s% of%

departures,% how%many%would%have%died%without%Mare%Nostrum.%Way%more!% So%Mare%Nostrum%

minimized% the% risk.% (…)% Mare% Nostrum% was% a% good% measure% to% address% the% very% short,term%

priority%which%was,%and%still%is,%saving%lives”%(Personal%communication,%March%13,%2015).%Frontex!

was!key!in!the!debates,!and!27!August!2014!the!Commission!announced!that!Frontex!would!

launch! a! new! JO! in! the! central! Mediterranean! called! Triton,! as! a! complement! to! OMN.! As!

Malmström! stated,! “We% have% decided% that% the% two% ongoing% Frontex% operations% Hermes% and%

Aeneas%will%be%merged%and%extended%into%a%new%upgraded%operation.%The%aim%is%to%put%in%place%

an%enlarged%‘Frontex%plus’%to%complement%what%Italy%has%been%doing”%(Carrera%2015;%8).29%!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! !!!!!!!!!!!!!!!!!!!!!

27!Borderline!Sicilia!ONLUS,! is!an!Sicilian!association! from!2008.!The!association!works!to!defend!the!rights!of!

the!migrants.!The!information!from!Borderline!Sicilia!was!gathered!through!email!correspondence,!from!18!May!

2015,!with!Judith!Gletize.!The!correspondence!can!be!found!in!Annex!10!(migrantssicily!2011;!1!February).!!

28!Riccardo!Clerici,!Protection!Associate!from!UNHCR!in!Rome!was!interviewed!over!the!phone,!13!March!2015.!

The!interview!can!be!found!in!Annex!8.!

29!Frontex!has!coordinated!several!operations!in!Italy!since!2006.!JO!Hermes!was!launched!in!2011,!responding!

to! the! large! influx! of! migrants! following! the! Arab! Spring,! acting! on! a! formal! request! made! by! the! Italian!

government.! Simultaneously! Frontex! JO!EPN!Aeneas!was!deployed! in! the!Mediterranean! from!2011,! covering!

Apulia!and!Calabria,!and!during!2014!(Carrera!2015;!8).!

! 49!

5.4.1.$Deploying$JO$Triton$

The! two! operations! are! different! in! nature,! as! OMN! was! deployed! with! a! SAR! operation!

mandate! and! Triton! is! deployed! under! the! Frontex! mandate! of! border! control.! The!

operational!differences!of!the!two!operations!are!illustrated!below,30!

Table$2:$Operational$differences$of$Operation$Mare$Nostrum$and$Joint$Operation$Triton$$

! Operation!Mare!Nostrum! Joint!Operation!Triton!

Resource!allocation!

per!month!9!million!euros! 2.9!million!euros!

Mandated!range! 70.000!km2! 30!nm.!From!Italian!baseline!

Assets!

Five!naval!vessels,!helicopters,!

five!aircrafts!and!two!

submarines!

Seven!vessels,!one!helicopter,!

four!fixedHwing!aircraft!

Manpower! 900!military!personnel! 65!officers!

Source:!Personal!elaboration!!

Frontex!is!focused!on!supporting!the!Member!States!to!more!efficiently!secure!the!borders!in!

the!Mediterranean!and!Triton’s!fleet!is!allocated!as!appropriate!to!this!mandate,!which!means!

that!it!is!only!capable!of!controlling!the!European!borders,!not!police!the!same!area!of!control!

as!OMN.31!!Asilo!clearly!explained!the!differences!between!the!two!operations:!!

“The% capacity% of%Triton% is% one,third,% in% terms%of% resources%allocated,% and% even% less% in% terms%of%

ships%deployed.%The%mandate%of%Mare%Nostrum%broadly%differs%from%Triton.%While%the%former%was%

mandated% of% searching% and% rescuing% boats% in% distress,% while% at% the% same% time% combating%

trafficking,%the%latter’s%first%objective%is%contrasting%irregular%migration%and%patrolling%borders.%

Triton%ships%engage%in%SAR%operations%only%when%requested%by%the%Italian%SAR%authorities,% like%

all%the%other%vessels%at%sea.%Since%the%main%goal%of%Triton%is%border%surveillance,%the%EU%deployed%

mission%does%not%reach%international%waters.%Triton%ships%do%not%operate%beyond%30%miles,%unless%

they%are%instructed%to%do%so,%by%the%SAR%Coordination%centre.%Mare%Nostrum%on%the%other%hand%

went% as% far% as% 100% miles,% operating% in% international% waters,% making% more% effective% SAR%

operations.”%(Personal%communication,%April%26,%2015).%%

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! !!!!!!!!!!!!!!!!!!!!!30!The!facts!regarding!JO!Triton!in!this!illustration,!is!from!its!initial!deployment!in!November!2014.!!

31!During!deployment,!all!Triton!assets!will!operate!under!the!command!of!the!Italian!Ministry!of!Interior,!which!

is!cooperating!with!Guardia!di!Finanza!and!the!Italian!Coast!Guard!(Frontex!press!pack,!Annex!13).!!

! 50!

Overall,! Triton! is! considerably! smaller! both! in! mandate! and! in! the! limitations! of! the!

operational!scope.!

Triton! was! ultimately! launched! on! 1! November! 2014! and! the! day! before! the! launch,! the!

Italian! Interior!Minister,! Angelino!Alfano! announced,! "Mare%Nostrum%ends.% Italy%has%done% its%

duty"%(Ide%2014;%31%October).%This! announcement! came! in! conflict!with! the! statements,! that!

Triton!was!only!intended!to!support!the!Italian!efforts!and!not!substitute!it,!as!understood!by!

Malmströms! statement,! “With% its%Mare%Nostrum%operation,% Italy%has%done%a% formidable% job% in%

assisting%thousands%upon%thousands%of%refugees%who%have%risked%their%lives%by%trying%to%cross%the%

Mediterranean%in%rickety%vessels.%It%is%clear%that%the%Triton%operation%cannot%and%will%not%replace%

Mare%Nostrum.”% (EC%2014b).%Nevertheless,! November! 1! 2014!marked! the! official! day! of! the!

termination! for! OMN! and! the! deployment! of! Triton,! leaving! aid! groups! worried.! UNHCR!

spokesperson! William! Spindler! said! that! "A% proper% search% and% rescue% effort% needs% to% be%

maintained,%otherwise%people%will%continue%to%die%(…)%did%not%think%"Triton"%which%will% involve%

patrols%limited%to%EU%waters%was%enough”%(Ide%2014;%31%October).%%

During! the!negotiations!regarding!OMN!at!EU!policy! level,! the!operation!was! labelled!a!pull!

factor!for!immigration!towards!Europe,!making!the!continuation!of!the!operation!increasingly!

unwanted.!UK!announced! that! they!would!not!be!supporting!any! further!search!and!rescue!

operations!in!the!Mediterranean,!justified!by!the!argument!that!these!operations!served!as!a!

pull!factor!for!the!migrants,!counting!on!the!possible!rescue!if!in!distress.!This!was!announced!

by!UK’s!Foreign!Office!minister,!Lady!Anelay!in!October!2014,!because!of!the!"unintended%‘pull%

factor’,%encouraging%more%migrants%to%attempt%the%dangerous%sea%crossing%and%thereby%leading%

to%more% tragic%and%unnecessary%deaths”% (Hodges%2014;%28%October).%Sergio! Carrera! therefore!

argues! that,! deploying! Triton! with! a! limited! mandate! was! the! only! possible! EU! response!

within!its!rule!of!law!framework!and!“One%could%understand%this%as%a%way%to%employ%rule%of%law%

arguments%to%win%authority%struggles”%(Carrera%2015;%11).!When!asked!about! the! idea!of!SAR!

operations!acting!as!a!pull! factor,!Director!Xuereb!answered,!“at%the%moment%this%year,%there%

was%no%Mare%Nostrum%and%no%MOAS%still,%despite%the%fact%that%it%is%winter,%despite%the%fact%that%

the%see%is%very%rough,%we%have%had%people%leaving%North%Africa%anyway,%so,%they%know%there%is%no%

Mare% Nostrum,% they% know% the% dangers% are% very% very% big% in% winter,% and% people% still% leave,% so%

clearly%what%was%attracting%them%were%neither%Mare%Nostrum%nor%MOAS,%when%we%answer%that%

! 51!

question%we%need%to%consider%the%push%factors%rather%than%the%pull%factors,%and%we%think%that%no%

matter%what,%these%people%feel%compelled%to%cross,%they%feel%they%have%no%other%option”%(Personal%

communication,%February%23,%2015).%!

Within! the! first! two!months!of!2015,! the! influx!had! increased!with!60%!compared!to!2014,!

where! both! MOAS! and! OMN! were! deployed.! Riccardo! Clerici! from! UNHCR,! argued!

concurrently! with! Director! Xuereb! and! continued,! “if% you% look% at% the% numbers,% that% is% the%

answer,%with%no%Mare%Nostrum,%there%is%more%arrivals.%(…)%The%real%issue%is,%not%only%obviously%

crisis,%the%role%of%the%international%community,%countries%of%departures,%Eritrea%and%Syria,%transit%

countries% and% the% situation% in% Libya”% (Personal% communication,% March% 13,% 2015).%Making! it!

possible!to!argue!that!the!irregular!migration!should!not!be!perceived!as!a!consequence!of!the!

search! and! rescue! operations,! but! instead! understood! by! the! tremendous! pressure! of! the!

conflicts!and! instabilities! in! the!countries!of!departure.!Asilo!shared! this!view,!arguing! that,!!

“Mare%Nostrum%was%not%a%pull%factor,%and%this%is%shown%by%the%increase%in%sea%arrivals%after%the%

operation%was%ended.%The%number%of%boat%people%disembarked%on%the%Italian%coast%has%sharply%

increased%(…).%The%root%causes%of%forced%migration,%along%with%the%Libyan%crisis%are%the%reasons%

underlying% the% increase% of% departures% and% arrivals,% not% rescuing% operations.”% (Personal%

communication,% April% 26,% 2015).% These! arguments! have! been! substantiated! and! it! can! be!

confirmed!that!the!pretension!of!SAR!operations!acting!as!a!pull!factor!has!been!discredited.32!!

!

5.4.2.$Frontex$–$the$European$Border$Surveillance$Agency$

The!general!concern!relating!to!JO!Triton!is,!as!argued!by!Director!Xuereb!that!“it%can%operate%

only%within% Frontex% regulation,% (…)% so% if% we%want% the%mandate% of% Frontex% to%move% beyond% a%

border%control%and%to%include%other%things,%then%we%need%to%assess%(…)%the%regulation%setting%of%

Frontex,% because% Frontex% is% clearly% a% border% control% operation,% you% cant% expect% Frontex% to%

conduct%search%and%rescue%operations%if%this%is%outside%its%mandate.”%(Personal%communication,%

February% 23,% 2015).%Frontex! should! therefore! not! be! expected! to! perform! SAR! operations,!

when! it! is!mandated! to! conduct!border! control! surveillance.! Since! the!European!Summit! in!

Tampere!1999!adopted!a!strategy! to!counter! irregular!migration!and!developed!the!area!of!

Liberty,% security% and% justice,% a! field! of! control! and! surveillance! was! introduced! at! the! EU!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! !!!!!!!!!!!!!!!!!!!!!

32!The! root! causes! is! directly! linked! to! the! global! displacement! crisis,! the! civil!war! in! Syria! and! the! unrest! in!

Libya.!

! 52!

external! borders.! This! ultimately! resulted! in! the! establishment! of! the! border! surveillance!

agency,! the! European! Agency! for! the! Management! of! Cooperation! at! the! External! Borders!

(Frontex).!Frontex!was!set!up!by!a!Council!Regulation!2007/2004! in!2004,!which!was! later!

amended!in!Regulation!863/2007!and!1168/2011.!The!goal!of!Frontex!was!to!fight!irregular!

migration,!through!joint!operation!with!the!mandate!to!coordinate!operational!cooperation’s!

between!Member!States!and!assist!in!border!controls!(Lilienkamp!2015;!2).!!

During! the! negotiations! of! Triton,! the!Member! States!were! reluctant! to! deploy! a! JO!with! a!

focus! on! search! and! rescues! going! beyond! the! European! territorial! waters.! Carrera! has!

argued,! that! this! could! be! a! way! for! the! Member! States! to! evade! the! constraints! of!

disembarkation,!which!was!put!forth!in!Regulation!656/2014!called!“rules%for%the%surveillance%

of% the% external% sea% borders”! for! the! Frontex! maritime! operations! (Carrera! 2015;! 11).! This!

regulation!more! clearly! introduced! a! definition! of! a! place! of! safety! and! the! procedures! for!

disembarkation,!“thereby%also%raising%the%prospects%for%liability%where%incidents%might%occur%at%

sea”%(Ibid.).%Within!this!Regulation,!the!ambiguity!and!sensitive!nature!of!SAR!operations!was!

highlighted!and!“The%aim%of%the%new%Regulation%is%to%resolve%confusion%over%diverging%national%

interpretations%of%international%provisions%on%maritime%surveillance%by%setting%out%clear%rules%to%

be%laid%out%in%Frontex%operational%plans%and%followed%during%Frontex%joint%operations.”%(Amnesty%

2014;%55).%%

During! the! negotiations! of! the! Regulation,! Greece,! Spain,! France,! Italy,! Cyprus! and! Malta,!

opposed! article! 9! and! 10,! which! pertained! the! specifics! of! disembarkations! and! SAR,! by!

arguing! that! the! “regulation% of% search% and% rescue% and% disembarkation% in% an% EU% legislative%

instrument% is% unacceptable”% and% “constitutes% a% red% line”% (Carrera% 2015;% 11),% drawing! on!

international! law,!as! the!de! facto!regulator!of!disembarkation!questions.! It!could!be!argued,!

that!these!reactions!also!related!to!the!states!unwillingness!to!allocate!the!sovereign!right!of!

border! control,! to! a! supranational! institution.! The! Regulation! was! accepted! when! these!

articles!were!clarified!to!only!relate!to!Frontex!operations.!Regulation!Article!10.1!(2)!“(a)%in%

the%case%of%interception%in%the%territorial%sea%or%the%contiguous%zone%as%laid%down%in%Article%6(1),%

(2)%or%(6)%or%in%Article%8(1)%or%(2),%disembarkation%shall%take%place%in%the%coastal%Member%State,%

without% prejudice% to% point% (b)% of% Article% 6(2)”% (EP% 656/2014).%Which! could! result! in! the!

majority!of!all!intercepted!vessels!during!Frontex!operations,!to!be!disembarked!in!Malta.!But!

! 53!

by! only! granting! Frontex! a! limited! operational! area,! it! is! mainly! operating! within! Italian!

territorial!seas.!This!will!consequently!result!in!full!disembarkation!on!Italian!shores,!leaving!

Italy!to!handle!all!subsequent!asylum!applications.!!

!

5.4.3.$Fulfilling$the$mandate,$while$failing$the$migrants$$

Triton!was!mandated!to!coordinate!the!operational!cooperation!between!the!Member!States!

during!border!surveillance,!within!a!limited!operational!area!and!JO!Triton!has!fully!complied!

with!the!awarded!mandate.!However,!the!question!remains,!has!Europe!failed!to!live!up!to!its!

international! obligations,! leaving! the!migrants! to! perish! in! the!Mediterranean?!The! current!

situation!and!the!large!amount!of!migrants,!who!have!already!lost!their!lives,!has!proven!that!

JO! Triton! does! not! have! the! mandate! or! resources! needed! to! meet! the! needs! in! the!

Mediterranean.!Judith!Sunderland!from!Human!Rights!Watch!(HRW),!argued!that,%“If%the%EU%is%

serious%about%preventing%future%tragedies,%it%needs%to%give%Triton%the%mandate%and%resources%to%

rescue% boats% throughout% the%Mediterranean”% (HRW%2014;% 8%October).%UNHCR! argued! that! JO!

Triton! was! not! prepared! to! handle! the! number! of! arrivals! and! the! rescues! that! are!

unavoidably! needed! and! Riccardo! Clerici! calls! for! “another% rescue% operation% in% the%

Mediterranean%by%the%European%Union,%whether%it%can%be%a%reinforcement%of%Triton%or%whatever%

else.%But%if,%you%know%the%short%term%prioritize,%and%something%that%now%has%been%said%a%little%bit%

more% loudly% is% that% the% first% two%months% of% 2015,% there%were%more% arrivals% than% in% the% same%

period%of%2014,”%(Personal%communication,%March%13,%2015).%Triton!does!not!have!the!principal!

mandate!to!adequately!respond!to!the!humanitarian!crisis!and!to!save!human!lives.!!

Winter!used!to!bring!lesser!arrivals!due!to!the!harsh!weather!conditions,!however,!this!year,!

the!high!number!of!arrivals!during!winter!season!suggest!that!these!conditions!are!no!longer!

hindering! neither! the! smugglers! nor! the! migrants! in! trying! to! cross! (Frontex! 2015;! 21!

February).!Director!Xuereb!believes!that!this!is!a!consequence!of!“Libya’s%escalating%situation%

is% leading%to%people%becoming%so%desperate%to%escape%that%they%do%so%without%even%considering%

weather%conditions%beforehand! (…)%Irrelevant%whether%its%summer%or%winter,%they%feel%the%need%

to% leave% the% country% and% do% so% without% taking% into% consideration% the% implications% of% bad%

weather”%(Malta%Independent%2015;%17%February).%However,! in!spite!of!the!increasing!amount!

of! people! fleeing,!Malta! has! not! seen! an! increase! of! arrivals! after! the! termination! of! OMN,!

! 54!

according!to!Mark!Camilleri! from!EASO,33!“people%continue%fleeing%and%the%fact%now,%that%they%

are%using%both%ships%and%remedies%to%transport%more%people,%but%this%so%far,%there%has%not%been%

any% reports% of% big% arrivals% in% Malta% so% it% is% still% the% same% situation% so% far,% as% it% was% before”%

(Personal% communication,% March% 13,% 2015).% This! could! be! a! result! of! Italy! continuously!

allowing!for!full!disembarkation,!which!is!not!a!sustainable!longHterm!solution.!More!lives!will!

be! lost,! if! more! safety! is! not! implemented! in! the! Mediterranean.! These! factors! makes! it!

reasonable!to!argue,!that!OMN!did!not!serve!as!a!pull!factor!and!terminating!it!has!not!let!to!

less!arrivals!“but%merely%to%more%deaths%at%sea,%as%this%recent%tragedy%shows”%(UNHCR%2015;%20%

April).% It! is! possible! to! argue,! that! the! mandate! of! Triton! does! not! meet! the! needs! of! the!

migrants,!which!could!have!catastrophic!consequences.!However,! it! is!not! fair! to!claim,! that!

these!fatale!shipwrecks!would!all!have!been!avoided!if!OMN!were!still!deployed,!but!it!can!be!

argued! that! Triton! is! not! equipped! to! support! the! situation! and! the! current! number! of!

shipwrecks!speaks!for!themselves.!%

If!Triton!was!deployed!with!a!larger!operational!and!search!and!rescue!mandate,!there!would!

have!been!a!higher!possibility!of!detecting!the!boats!at!an!earlier!stage.!The!operation!is!not!

designed! to! handle! the! current! situation! and! “It% cannot% pre,empt% trouble% in% international%

waters% –% it% can%only%act%when% lives% are% immediately% at% risk.”% (Holtz%2015;% 11%February).! As! a!

response! to! the! many! catastrophes! in! the! Mediterranean! during! the! last! 5! months,! the!

Commission!announced! that! they!will!be! stepping!up! their!assistance! to! Italy,!by!extending!

Triton!until! the!end!of!2015!and!allocating!more!resources! to!match! the!monthly!budget!of!

OMN! (Frontex! 2015;! 26!May).! These! initiatives! are! good! steps! in! securing! the! lives! at! sea,!

however,!the!real!change!will!not!come,!until!the!limited!mandate!will!be!changed.!A!budget!

increase!and!surveillance!will!not!secure!the!lives!of!the!migrants!in!distress,!as!explained!by!

Asilo,! “Recently% the%Council%has%announced% that% the%budget%and% the% capacity%of%Triton%will%be%

tripled.% We% welcome% this% development,% and% at% the% same% time% we% stress% that% if% the% mandate%

remains%border%surveillance%the%capacity%of%Triton%in%terms%of%SAR%will%still%be%limited%compared%

to%Mare%Nostrum.”%(Personal%communication,%April%26,%2015).!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! !!!!!!!!!!!!!!!!!!!!!33!EASO! is! the! European!Asylum!Support!Office,!which! is! located! in!Malta.! EASO! is! founded! to! assist!Member!

States! in! fulfilling! European! and! international! obligations,! in! relation! to! asylum.! Mark! Camilleri,! Policy! and!

Interinstitutional!Coordinator!for!EASO!was!interviewed!13!March!2015!over!the!phone.!This!interview!can!be!

found!in!Annex!7.!!

! 55!

5.5.&Disunity&and&the&human&cost&

Europe! has! been! turning! their! backs! on! the! migrants! in! the! Mediterranean! and! by! not!

enhancing! the! operational! area! of! Triton! or! amending! the! Regulation! of! Frontex,! the!

responses!have!been!characterised!by!indifference.!UNHCR!is!calling!for!actions!from!the!EU!

entities!and!Member!State!solidarity,!arguing!for!an!implementation!of!legal!channels!for!the!

migrants!to!seek!asylum!in!the!EU,!as!it!is!“precisely%this%lack%of%regular%channels,%coupled%with%

harsh% controls% at% external% borders,% which% have% led% migrants% to% turn% to% the% flourishing% and%

increasingly% organised% smuggling% industry% along% Europe’s% southern% borders,% (…)% “Migrant%

smugglers%are%the%symptom,%not%the%cause%of%this%wretched%situation.”%(UNHCR%2015;%20%April).%

Europe! has! a! big! network! of! NGOs! and! international! organisations! devoted! to! securing!

fundamental! rights,! which! should! enhance! the! supranational! approach! to! the! problem,!

however! most! interstate! cooperation! between! Member! States! is! based! on! an!

intergovernmental! approach,! “With% all% member% states% being% on% an% equal% footing,% and% with%

unanimous%decision,making%on%issues%that%might%impair%state%sovereignty,%states%remain%largely%

in%control%of%the%organisations’%activities.%At%worst,%intergovernmental%cooperation,%with%its%‘one%

state,% one% vote’% principle,% has% a% ‘freezing% effect’% and% leads% to% ‘organisational% paralysis’”%

(Brummer% 2010;% 280).%Which! subsequently! can! have! implications! for! the! Member! States!

placed!at!the!external!borders.!!

On!the!World!Day!of!Migrants!in!2014,!Pope!Francis!made!the!statement!that,!“Migrants%and%

refugees% are% not% pawns% on% the% chessboard% of% humanity.% (…)% needs% to% be% approached%and%

managed% in% a% new,% equitable% and% effective% manner;% more% than% anything,% this% calls% for%

international%cooperation%and%a%spirit%of%profound%solidarity%and%compassion”%(Holy%See%2013;%5%

August).%The!human!cost!is!high!in!these!political!debates!but!despite!the!unitary!recognition!

of! a! need! for! action,! a! lack! of! coherent! interests! of! the!Member! States! leaves! the! Southern!

states! in! a! Suasion% Game! situation,34!hoping! for! the! stronger! actors,! to! agree! on! a! durable!

solution! for! all! parties.!A!holistic! approach! is!needed! to!develop! cooperation! in! the! area!of!

migration! and! to! avoid! any! further! deaths! at! sea.!Migration! cannot! be! stopped! through! an!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! !!!!!!!!!!!!!!!!!!!!!34 The! Suasion! Game! is! an! analogy,! capturing! the! cooperation! of! states,! where! one! state! has! significantly!stronger! bargaining! power! than! the! other.! In! such! negotiations,! the! strong! state! will! have! little! interest! in!

cooperation!and!the!weaker!state!will!have!no!choice!but!to!agree!on!the!terms!of!the!cooperation,!as!it!would!

weaken!the!state!even!more,!if!choosing!not!to!cooperate.!As!explained!by!Betts,!“collective%action%failure%arises%on%a%global%scale%because%of%a%combination%of%the%‘problem’%being%mainly%located%in%and%confined%to%the%South,%on%the%one%hand,%and%the%differential%power%capabilities%of%North%and%South,%on%the%other”%(Betts%2008;%6).!

! 56!

enhancement!of!border!control!and!“Every%intensification%of%the%EU’s%border%control%policy%will%

have% a% direct% impact% on% the% selection% of% migration% routes% and% modus% operandi% –% and% may%

increase%the%death%toll%by%forcing%migrants%to%take%more%and%more%dangerous%routes%to%the%EU%

mainland”%(Fischer,Lescano%et%al.%2009;%296).% !

! 57!

6.&A&decline&of&Social&Europe?&The!scale!of! the!global!displacement!crisis!keeps!growing!and!as!Betts!argued,! “The%scale%of%

the%displacement%crisis% is%enormous%and%is%only%going%to%get%worse%(…)%The%Syrian%crisis%places%

the% entire% humanitarian% system% at% a% crossroads.% It% requires% us% to% radically% rethink% how% we%

protect% and% assist% such% large% numbers% of% displaced% people.”% (Sengupta% 2015;% April% 17).%These!

developments! have! had! significant! influence! on! the! situation! in! the! Mediterranean,! which!

have!led!humanitarian!organizations!to!advocate!for!an!urgent!response!from!Europe,!arguing!

that!the!EU!leaders!should!not!stand!by,!whilst!lives!are!lost!repeatedly!at!their!doorstep.!This!

onHgoing!crisis!has!revealed!multiple!structural! limitations!of! the!EU!migration!policies!and!

the!European! response!have!been! characterized!by!grave! inactions.!The! shipwreck! in!April!

2015!finally!triggered!a!reaction!from!the!EU!leaders!and!48!hours!later,!a!tenHpoint!plan!for!

immediate! action! was! presented.! However,! this! plan! was! quickly! substituted! with! a! more!

comprehensive!migration!plan,! less!than!a!month!later.!The!blueprint! for!the!new!European%

Agenda% on% Migration! was! presented! by! the! Commission! the! 13! May! 2015.! The! upcoming!

months!will!therefore!show,!whether!or!not!this!will!serve!as!an!adequate!response,!in!order!

to!prevent!any!further!deaths!in!the!Mediterranean.!!

$

6.1.&European&Migration&Policies&&

The! challenges! for! the! EU! leaders! to! comprehensively! respond! to! the! humanitarian! crisis!

cannot! be! understood,! without! analysing! previous! developments! in! the! area! of! migration!

within!the!EU!policies.!The!contemporary!inputs!could!all!be!understood!as!a!cultivated!spillH

over!effect,!generated!by!the!signing!of!the!Schengen!Agreement!in!1985,!that!abolished!the!

internal! borders.! This! highlighted! the! contingency! of! configuring! the! classical! perceived!

territory!and!sovereignty,!and!the!necessity!to!strengthen!the!external!borders!and!Member!

State!cooperation!on!issues!relating!to!migration!(ZapazataHBarrero!2010;!8).!One!of!the!first!

collective!attempts! in!EU! law!to!solve!state!responsibility!of!asylum!seekers!was!the!Dublin!

Convention,! which! was! unanimously! adopted! in! 1990.! The! necessity! for! this! development!

could!be!explained!by!the!NF!theory!of!spillHover!due!to!unintended!consequences,!generating!

deeper!integration!and!revealing!further!areas!in!need!of!cooperation.!As!explained!during!the!

interview! with! Asilo,! “in% order% to% counterbalance% the% lifting% of% the% controls% at% the% internal%

borders% and% determine%which% State%was% responsible% for% handling% an% asylum% claim”% (Personal%

communication,% April% 26,% 2015).% This! integration! also! led! to! a! Common! European! Asylum!

! 58!

System!(CEAS),!as!a!topic!of!negotiations!during!the!Tampere!Summit.!!

In! 2003,! the! Dublin! Convention! was! replaced! by! the! Dublin! II! Regulation,! which! was! also!

adopted!through!unanimous!support.!Dublin!II!was!still!containing!the!same!core!principles!

as! the!previous!Convention,! however,! it! also! set! out!modifications! and! additions,! inter! alia,!

establishing! a!hierarchy!of! criteria! for!determining! responsibility! for! an! asylum!application!

and!endorsing!the!utilisation!of!the!safe!third!country!concept!(ZapaztaHBarrero!2010;!168).!

This!meant,!that!the!first!country!an!asylum!seeker!reached!in!the!EU!was!responsible!for!the!

asylum!claim,!allowing!other!Member!States!to!refuse!an!asylumHapplicant,!if!arriving!from!a!

safe!third!country.!The!first!country!of!arrival!should!be!determined!by!the!eurodac!system,35!

where!asylumHseekers!would!be!registered!when!entering!the!EU,!in!the!fingerprint!database.!!

Asilo!argued!that!the!inherent!flaw!of!the!Dublin!system,!“(i.e.%the%imbalanced%burden%sharing)%

became% evident% and% non,sustainable% in% itself.% Indeed,% changes% were% needed% to% better% address%

situations%of%particular%pressure%on%first%entrance%Member%States'%asylum%systems.%Accordingly,%

in%2013,% the%EU%Legislators%approved% the%Dublin% III%Regulation,%aiming% to% improve% the%overall%

efficiency% of% the% Dublin% system.”% (Personal% communication,% April% 26,% 2015).! The! Dublin! III!

Regulation!was! implemented! in!2014,! intending! to!harmonise! the!Member!States!practices,!

but!it!was!still!based!on!the!same!principles!as!its!predecessors,!to!avoid!refugees!in!orbit!and!

prevent! abuse!of! the! asylum!procedures!within! the!EU! (Amnesty!2014;!57).!Dublin! III!was!

adopted!through!a!qualified!majority!voting,36!and!the!decisionHmaking!process!was!therefore!

changed,! ultimately! altering! the! power! influence! and! negotiation! process.! This! intraH

institutional!shift!intensified!the!inequalities!between!the!Member!States!in!the!negotiations,!

“the%Greek%‘no’%vote%was%far%from%influential,%for%instance.%In%that%light,%the%end%of%unanimity%and%

of% its% consensus,seeking%practices%has%confirmed% fears%of%a% sharper%divide%between% the%Union’s%

North%and%South”%(Mouzourakis%2014;%15).!

The!current!humanitarian!crisis!has!revealed!the!structural!difficulties!of!the!Dublin!System,!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! !!!!!!!!!!!!!!!!!!!!!35!“Early%steps%in%implementing%this%system%were%taken%in%1992,%yet%technological%and%political%obstacles%postponed%ratification%until%2000.%Within% its% short% lifespan% it%has%become%the%role%model% for% similar%surveillance%and%control%technologies,%such%as%the%Schengen%Information%System”%(Gammeltoft,Hansen%2006;%10).%36!Qualified!Majority!voting!refers!to!a!decision!procedure,!where!every!Member!State!has!a!voting!power,!which!

is!based!on!the!number!of!citizens!within!the!country,!benefitting!countries!like!Germany!and!Italy,!and!can!be!

reached!by!55%!of!the!Member!States,!representing!at!least!65%!of!the!EU!citizens.!!

!

! 59!

which! was! also! claimed! by! Asilo,! “The% Dublin% system% was% not% designed% as% a% mechanism% of%

burden% sharing% between% Member% States% insofar% as% it% had% other% objectives% (avoiding% asylum%

shopping%and%asylum%seekers%in%orbit).%We%can%see%that%the%application%of%the%Dublin%system%has%

the%effect%to%enhance%a%lack%of%burden%sharing%among%Member%States”%(Personal%communication,%

April% 26,% 2015).%This! statement! can! be! emphasised,! with! Thielemann’s! argument,! that! the!

Dublin!System!could!be!an!example!of!a!counterHproductive!EU!initiative,!“In%establishing%this%

mechanism,%the%Member%States%have%placed%the%responsibility%for%(and%the%cost%of)%securing%the%

EU’s% external% border%disproportionately% onto% the%EU’s% external% border% countries”% (Thielemann%

2012;% 35).! This! disproportionate! reception! division! has! consequently! resulted! in! a! lack! of!

protection!and!reception!facilities!in!the!frontline!states.!

!

6.1.1.$Burden?sharing$and$European$Migration$Policies$$

European! cooperation! on! migration! policies,! has! encountered! multiple! difficulties! in!

realisation! due! to! the! sensitive! nature! of! the! area! and! the! intergovernmental! bargaining!

process.!It!could!be!argued,!that!these!burdenHsharing!difficulties!is!partly!due!to!the!Dublin!

System,!as!in!the!case!of!Italy,!which!is!facing!a!large!number!of!the!total!arrivals!in!Europe.!If!

Italy!would! uphold! all! the! obligations! imposed! by! the!Dublin! System,! all! arrivals!would! be!

entered!into!the!eurodac!system!and!Italy!would!bear!the!responsibility!of!all!the!subsequent!

asylum! claims.! However,! according! to! Mark! Camilleri,! Italy! has! had! problems! living! up! to!

these! obligations,! “You% have% a% number% of% persons% arriving% in%multiple% numbers% and% some% of%

them%disappear%(…)%before%they%are%registered.%That%is%a%current%problem%in%the%Italian%system%

(…)% ideally,% every% person% who% is% apprehended% as% a% irregular% lets% say,% should% be% registered%

through%that%(EURODAC).%If%this%is%not%happening%then%you%have%migrants%entering%your%country,%

without%you%actually%knowing%that%they%are%there.”%(Personal%communication,%March%13,%2015).!

It! is!not!durable!for!Italy!to!take!in!all!arriving!migrants!asylum!claims!every!year!and!a!EU!

burdenHsharing! approach,37 !would! favour! a! collective! responsibility! sharing.! This! could!

ensure!a!fair!and!equal!distribution!of!asylum!seekers!amongst!the!Member!States,!as!pointed!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! !!!!!!!!!!!!!!!!!!!!!37!The! concept! of! burdenHsharing!was!mentioned! in! 2002,! as! a! component! to! a! common!border!management!

policy,! but! has! been! hard! to! realise! due! to! the! diverse!means! and! interests! of! the!Member! States,! regarding!

migration!and!asylum.!Different!solidarity!mechanisms!are!currently!in!place!in!the!EU,!as!for!example!to!tackle!a!

strong!migratory!pressure,!where!EASO!can!deploy!a!support!team!to!support!the!reception!facilities!and!asylum!

procedures.!EASO!is!currently!present!in!Italy!with!a!support!team,!and!has!been!since!2013.!!

! 60!

out!by!CIR38!President!Roberto!Zaccaria,! “The%geographical%and%geopolitical%situation%of%Italy%

puts% our% country% in% the% face% of% increasingly% difficult% challenges% and% it% is% necessary% that% the%

European%Union%shows%solidarity%both%in%rescuing%operations%at%sea%and%in%giving%hospitality%to%

refugees.%(…)%“We%want%that%the%principle%of%solidarity%that%has%to%regulate%the%European%norms%

in% terms% of% immigration% and% asylum%will% be% applied% in% policies% and% national% laws”% (Personal%

communication,%February%26,%2015).!

Germany! has! previously! expressed! concerns! regarding! the! Italian! governments! ability! to!

uphold!its!obligations!under!the!Dublin!System.!By!deflecting!on!these!obligations,!the!arrivals!

can!move! from! Italy! to! other! European! countries! in! order! to! apply! for! asylum.! The! Italian!

deflection! could! be! an! expression! of! Italian! reservations! towards! the! unexpected!

consequences! of! the!Dublin! System,! as! argued!by!Asilo,! “there%was%no%real%awareness%of% the%

possible%impact%of%the%Dublin%system%(…)%Nowadays%Italy%and%the%other%external%border%Member%

States% continue% to% accept% the% Dublin% System% because% it% became% a% political% instrument% on% the%

table%of%the%negotiations%at%the%European%level.%In%fact%the%burden%shifted%on%these%Member%States%

by%the%functioning%of%the%Dublin%System”%(Personal%communication,%April%26,%2015).%The!fact! is,!

that! during! 2014,! 170,816! migrants! arrived! irregularly! in! Italy! and! only! 66,066! were!

registered!in!the!eurodac!system,!leaving!104,750!migrants!unaccounted!for!(Williams!2015;!

17!February).!It!is!plausible!to!argue,!that!Italy!would!not!be!able!to!take!in!170,816!asylum!

seekers! independently! and!by!deflecting! on! the! obligations,! Italy! instead!becomes! an! entry!

point,!where! the! applications! are! generally! lodged! in! other! countries,! as! exemplified! in! the!

table!below,!illustrating!the!division!of!asylum!applications!in!2014.!

Table$3:$Division$of$asylum$applications$in$Europe$in$2014$$

Country! Asylum!applications!in!2014!

Austria! 28.065!

Belgium! 22.850!

Bulgaria! 11.080!

Croatia! 450!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! !!!!!!!!!!!!!!!!!!!!!

38!Fondazione!Franco!Verga!is!an!Italian!association!devoted!to!integration!of!migrants!and!refugees,!from!1978.!

Fondazione! Franco! Verga! is! part! of! the! board! of! CIR! Consiglio! Italiano! Per! Rifugiati! Onus,! which! is! an!

independent!NGO! from!1990,! defending! the! rights! of! refugees! and! asylum!seekers.! Information! from!CIR! and!

Fondazione! Franco! Verga!was! retrieved! through! email! correspondence! from! 26! February! 2015,! with! Valeria!

Carlini.!The! correspondence! can!be! found! in!Annex!11!and!12.!Annex!11! is! the!original! version! in! Italian!and!

Annex!12!is!the!English!translation!(CIR!2015;!12!June).!!

! 61!

Cyprus! 1.745!

Czech!Republic! 1.155!

Denmark! 14.715!

Estonia! 155!

Finland! 3.625!

France! 64.310!

Germany! 202.815!

Greece! 9.435!

Hungary! 42.775!

Ireland! 1.450!

Italy! 64.625!

Latvia! 375!

Lithuania! 440!

Luxembourg! 1.150!

Malta! 1.350!

Netherlands! 24.535!

Poland! 8.025!

Portugal! 445!

Romania! 1.545!

Slovakia! 330!

Slovenia! 385!

Spain! 5.615!

Sweden! 81.325!

United!Kingdom! 31.945!

Source:!(Eurostat!2015;!19!June)!

These! numbers! exemplify! that! the! asylum! burden! lies! with! Sweden! and! Germany,! which!

shows!the!structural!limitations!of!the!Dublin!System.!According!to!UNHCR,!this!is!partly!due!

to!“an%increasing%number%of%asylum%seekers,%including%Syrians,%‘avoid%fingerprinting%in%Italy%and%

try%to%reach%other%European%countries%in%order%to%apply%for%asylum%there,%reportedly%due%to%poor%

reception%conditions%and%integration%prospects%in%Italy”%(ECRE%2013;%1).%In!order!to!avoid!state!

deflections!and!bad!reception!conditions!for!the!migrants,!a!system!is!needed,!to!allocate!the!

responsibilities! of! reception! between! the! Member! States! and! support! with! earlyHwarning!

preparedness!and!prompt!action.!As!described!by!Asilo,!“Indeed,%equal%burden%sharing%depends%

very%much%on%States'%will%to%take%on%their%international%responsibility.%And%the%EU%shall%be%there%

to%remind%its%Members%about%such%responsibilities“(Personal%communication,%April%26,%2015).%%

However,! Borderline! Sicilia! believes! that! this! will! be! hard! to! realize! as,! “it% will% be% really%

difficult%to%find%a%solution%that%will%be%supported%by%all%member%States.%Those%member%States%who%

! 62!

are%not%taking%refugees%have%to%contribute% in%another%way”%(Personal%communication,%May%18,%

2015).%This! could! be! achieved! through! fiscal! contributions,! by! allocating! funds! to! address!

migratory!pressure!and!insufficient!national!capacities.!These!funds!could!be!used!to!improve!

reception! capacities,! screening! and! registrations,! in! order! to! support! the! activities! in! the!

frontline! states.! Some! of! the! main! funds! are! the! External! Borders! Fund! (EBF)39!and! the!

Asylum,!Migration!&!Integration!Fund!(AMIF).40!The!fiscal!contributions!should!ultimately!not!

stand!as!the!sole!solidarity!tool,!as!the!financial!matters!are!not!the!only!variable,!when!taking!

in!large!numbers!of!asylum!seekers.!This!calls!instead!for!a!normHbased!approach!to!burdenH

sharing!and!the!act!of!solidarity!between!the!states.!%

!

6.1.2.$Securing$the$border$or$securing$the$migrants?$

The!diverging!nature!of!national!interests!and!the!fragmented!picture!of!EU!migration!policies!

have! resulted! in! inactions! in! the! Mediterranean.! If! the! focus! continuously! is! based! on! the!

policyHrelated!pull! factors!and!security,!as! it!was!during!the!OMN!negotiations,!the!situation!

will!remain!a!collective!action!failure.!As!Mark!Camilleri!underlined,!“the%Dublin%System%was%an%

instrument%conceived%some%time%ago,%with%very%specific%intentions%and%it%does%now%a%days,%in%my%

view,%it%does%not%really%address%the%issues%appropriately,%(…)%Then%it%does%not%really;%the%current%

Dublin%instrument%is%not%the%best%one%that%you%can%think%of”%(Personal%communication,%March%13,%

2015).%The!area!of!migration!has!dramatically!changed!since!the!Dublin!Convention!was!first!

adopted!and!it!is!contemporarily!inadequate!to!respond!to!these!changes,!as!CIR!argued!“It%is%

more%protecting%and%reaffirming%a%principle%rather%than%giving%concrete%answers%to%the%refugees%

problems”% (Personal% communication,% February% 26,% 2015).% In! order! to! overcome! the!

consequences!of!the!Dublin!System!and!the!sensitiveHsovereignty!zone!creating!disincentives!

for! rescue!operations,! the! crisis! should!be!perceived! as! a! European!problem,! rather! than! a!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! !!!!!!!!!!!!!!!!!!!!!39!One!of!the!main!funds! is!the!External!Borders!Fund!(EBF),!amounting!to!1,9!billion!euro!for!a!6!year!period!

(ECA! 2013),! EBF! is! implemented! to! help! the! border! countries! to! effectively! control! the! EU! common! external!

borders.! An! auditing! of! the! results! of! the! funding! and! goals! reached,! showed! that! it! had! fostered! financial!

solidarity,! however,! only! in! border!management,! and!not! for! search! and! rescue.! The! audit! also! found! serious!

weaknesses!in!management!of!the!funds!allocated!to!key!Member!States,!like!Italy!and!Greece,!which!could!limit!

the!effectiveness!of!the!funds.!!

40!In!2014,! the!Asylum,!Migration!&! Integration!Fund! (AMIF)!was!established!by!combining! the!previous!ERF,!

European!Return!Fund!and!the!European!Integration!Fund.!AMIF!would!have!a!total!budget!of!3.1!billion!for!6!

years!between!2014H2020,!and!should!promote!solidarity!between! the!Member!States,! in! the!asylum!field,! for!

e.g.!refugee!resettlement,!with!Member!States!choosing!to!receive!resettled!refugees,!receiving!6,000!euros!pr.!

Refugee! arriving,! and! 10,000! euros! for! the! refugees,! which! have! been! identified! to! be! a! priority! of! EU!

resettlement.!To!receive!the!money,!the!Member!States!have!to!pledge!to!receive!a!specific!number!of!refugees!

one!year!in!advance,!with!EASO!as!jointly!responsible!of!the!implementation!(EC!2014a).!!

! 63!

national! one.! This! could! be! achieved! through! a! full! implementation! of! CEAS,! in! order! to!

guarantee!refugees!a!high!level!of!protection.%

The!disagreements!between!Italy!and!Malta!could!be!understood!as!a!struggle!between!this!

security! approach! and! the! obligation! to! protect!migrants’! lives.! This! could! explain,!why! no!

frontline!state!has!been!open!for!a!supranational!authority!to!define!disembarkation!rules,!as!

this!would!infringe!on!their!sovereignty!and!the!right!of!border!control.!It!could!therefore!be!

possible!to!relate!the!SAR!regime!to!the!Dublin!System,!arguing!that!these!generally!overlap,!

especially!when!understood! in!regards! to! the!contemporary!situation! in! the!Mediterranean,!

where! it! could,! “disincentivise% the% effective% co,ordination% of% search% and% rescue% operations%

between%Malta%and%Italy,%as%both%face%the%responsibility,%post%rescue,%of%receiving,%screening%and%

possibly%returning%rejected%asylum,%seekers%and%irregular%migrants”%(Amnesty%2014;%9).!!

The!Dublin!System!could!serve!as!a!discouragement!for!the!frontline!state!to!fully!uphold!the!

fundamental!rights!of! the!migrants!encountered!at!the!high!seas,!partly!due!to!the!sensitive!

nature! of! the! zone,! but! also! discourage! proper! implementation! of! the! eurodac! system.! The!

Dublin!System!is!therefore!no!longer!adequate!to!answer!to!the!problems!of!migration,!as!this!

was! created! to! deal! with! something! fundamentally! different.! Instead! it! has! enhanced! the!

situation!of!imbalanced!burdenHsharing,!creating!further!disincentives!for!the!Member!States!

to!show!solidarity!and!assist!migrants!at!sea.!The!world!is!facing!the!worst!displacement!crisis!

since! WWII! and! irregular! migration! to! Europe! will! only! increase.! A! more! comprehensive!

approach!is!needed!to!prevent!further!loss!of!life!in!the!Mediterranean,!as!the!last!two!years!

have! been! dominated! by! shameful! inactions! of! an! intergovernmental! and! divided! EU.! As!

argued!by!HRW,!“the%EU’s%collective%response%to%saving%lives%in%these%waters%has%been%little%more%

than%shameful”%(HRW%2014;%8%October).% !

! 64!

7.&The&European&Agenda&on&Migration$Following!the!shipwreck!in!April,!the!Commission!finally!responded!to!the!humanitarian!crisis!

by! convening! an! emergency! summit!of! Foreign! and! Interior!ministers! in!Luxembourg.!As! a!

result!of!this!summit,!High!Representative41!Frederica!Mogherini!presented!a!10Hpoint!plan!of!

immediate!action.42!The!plan!was!quickly! labelled!insufficient!and!a!oneHoff!response,!which!

would! not! repair! the! structural! limitations! of! the! EU! migration! policies.! The! Commission!

presented! a! more! comprehensive! plan! on! May! 13! 2015,! called! the% European% Agenda% on%

Migration.%The!Agenda!presented!new! strategies! to!manage!migration,!with! immediate! and!

midHterm!solutions!for!a!fiveHyear!plan,!“building%on%four%pillars:%1)%reducing%the%incentives%for%

irregular% migration;% 2)% saving% lives% and% securing% the% external% borders;% 3)% a% strong% common%

asylum% policy;% 4)% a% new% policy% on% legal% migration.”% (EC% 2015c).% In! the! blueprint,! the!

Commission! called! for! a! clear! common! policy,! to! restore! the! confidence! in! EU’s! ability! to!

comprehensively!address!the!migration!situation!and!“to%work%together%in%an%effective%way,%in%

accordance%with%the%principles%of%solidarity%and%shared%responsibility”%(EC%2015b;%2).%The! first!

part! of! the! Agenda! focused! on! the! immediate! measures! that! should! be! implemented! to!

prevent!further!loss!of!lives!at!sea.!!

It!was! proposed! to! strengthen! the! presence! at! sea,! by! allocating! Frontex! operations!Triton!

and!Poseidon!89!million!euros!during!2015!and!2016.!Furthermore!an!amendment!to!Triton!

was! signed! on! 26! May,! expanding! the! operational! area! to! 138! nm! south! of! Sicily.! This!

amendment!is!a!step!in!the!right!direction,!however,!it!is!hard!to!have!confidence!in!the!plan,!

until! a!more! comprehensive! change! in! the! Frontex!mandate! has! been!made,! as! the! role! of!

Frontex!still!remains!to!ensure!“effective%border%control%at%the%external%borders%of%the%EU”%(EC%

2015d).%The!second!immediate!step,!is!a!proposal!to!activate!the!emergency!mechanism!under!

Article!78(3)!of!the!Treaty!on!the!Functioning!of!the!European!Union!(TFEU)43!and!a!proposal!

of! “a% temporary% distribution%mechanism% for% persons% in% clear% need% of% international% protection%

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! !!!!!!!!!!!!!!!!!!!!!41!The!Lisbon!Treaty,!which!entered!into!force!in!2009,!gave!special!regards!to!foreign!policy!adjustments,!giving!

jurisdiction! to! a! High! Representative! for! Foreign! Affairs! and! Security! Policy,!with! a! twofold! responsibility! as!

spokesperson!for!a!common!foreign!EU!policy!and!ViceHPresident!of!the!European!Commission.!!

42!The!10Hpoint!plan!can!be!seen!in!Annex!3!as!presented!the!20!April!2015,!Luxembourg.!

43!“Article% 78(3)% of% the% TFEU% provides% a% specific% legal% basis% to% deal% with% emergency% situations% at% the% external%borders.% It% states% that% ''In% the% event% of% one% or%more%Member% States% being% confronted% by% an% emergency% situation%characterised%by%a%sudden% inflow%of%nationals%of% third%countries,% the%Council,%on%a%proposal% from%the%Commission,%may%adopt%provisional%measures%for%the%benefit%of%the%Member%State(s)%concerned.%It%shall%act%after%consulting%the%European%Parliament''.%(EC%2015d).%

! 65!

within%the%EU.%A%proposal%for%a%permanent%EU%system%for%relocation%in%emergency%%situations%of%

mass%influxes%will% follow%by%the%end%of%2015”%(EC%2015b;%3).!The!criteria! for! triggering!Article!

78(3)!are!that,!one!or!more!countries!have!to!be!confronted!with!a!high!influx!of!third!country!

nationals.! The! Commission! further! suggested! a! future! resettlement! scheme! to! be!

implemented.!The!last!immediate!respond,!was!a!proposal!to!launch!a!Common!Security!and!

Defence!Policy!(CSDP),!to!operate!in!the!Mediterranean!in!order!to!dismantle!the!trafficking!

networks.!

The! midHterm! plan! presented! in! the! Agenda,! was! inspired! by! President! Juncker’s! Political!

Guidelines!on!migration44!based!on!four!pillars,!!

The%Way%Forward%

• A!permanent!common!EU!relocation!system!for!emergency!situations!

• A!EU!resettlement!scheme,!as!a!more!permanent!approach!beyond!2016!

• Regional!Development!and!Protection!Programmes!

• MultiHpurpose!pilot!centre!in!Niger,!established!by!the!end!of!2015!

!

The!midHterm!proposals!were!made! to! reduce! incentives! for! irregular!migration.! European!

migration!liaison!officers!should!therefore!be!distributed!in!key!third!countries.!Furthermore,!

the!Agenda!called!for!an!amendment!to!Frontex!legal!mandate,!to!award!Frontex!a!bigger!role!

in!returning!economic!migrants.!This!would!serve!to!enforce!the!return!rate45!and!two!pilot!

projects!would!be! implemented! in!Pakistan!and!Bangladesh! to! “help%third%countries%to%meet%

their%obligations%by%offering% support% such%as%capacity%building% for% the%management%of% returns%

(EC% 2015b;% 10).% In! the! Agenda,! the! Commission! hoped! to! tackle! the! humanitarian! crisis!

upstream,!by!increasing!collaboration!with!countries!of!origin!and!transit,!through!enhanced!

border!management!capacities!and!Regional!Development!and!Protection!Programmes!(Ibid.!

5).!Within! the!EU,! the!Commission!will! establish!a!Union!Standard! for!Border!Management!

and! possibly! revise! the! Dublin! III! during! 2016.! As! it! was! argued! in! the! Agenda,! “the%

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! !!!!!!!!!!!!!!!!!!!!!44!In!April!2014,!JeanHClaude!Juncker!presented!a!5Hpoint!plan!on!migration,!which!was!part!of!his!campaign!for!

European!Commission!President.!!

45!This!would!be!based!on! the!Return!Directive,!which!entered! into! force! in!2010,! “This%directive%established%a%common%set%of%rules,%for%returning%an%third,country%national%from%within%the%EU,%who%did%not%fulfil%the%conditions%for%entry% or% are% residing% illegally% within% a% Member% State,% establishing% the% standards% and% initial% procedures% when%facilitating% returns,% and% the% objective% of% the% Directive% is% therefore% clearly% explicitly% for% an% expulsion% of%undocumented%migrants%within%the%EU”%(Diego%Acosta%in%Zapazta,Barrero%2010;%85).%%

! 66!

mechanism%for%allocating%responsibilities%to%examine%asylum%applications%(the%"Dublin%system")%

is% not% working% as% it% should.% In% 2014,% five% Member% States% dealt% with% 72%% of% all% asylum%

applications%EU,wide.”%(Ibid.%12).!

This!Agenda!is!far!more!comprehensive!and!ambitious!than!first!expected,!however,!it!still!has!

a!predominant!focus!on!security!and!border!management!and!will!only!allow!for!immediate!

and!mediumHterm!solutions.!The!Agenda!calls!for!a!strong!common!CEAS,!assuming!that!this!

will! serve! as! a! longHterm! development.! However,! the! EU! has! since! 1999! worked! on!

establishing! CEAS! and! no! agreement! has! been! firmly!made,! it! therefore! seems! unlikely! to!

happen!in!the!near!future.!The!three!most!controversial!and!immediate!actions!in!the!Agenda!

were!Relocation,!Resettlement!and!the!CSDP!operation,!which!will!be!discussed!further!in!the!

following!chapters.!!

&

7.1.&Relocation&and&Resettlement46&

The! Agenda! introduced! the! idea! of! triggering! Article! 78(3)! to! implement! a! temporary!

relocation! mechanism! from! Italy! and! Greece.47!The! Commission! proposed! a! relocation! of!

40,000!applicants!over!24!months,!with!a!distribution!of!24,000!from!Italy!and!16,000!from!

Greece! (EC! 2015d).! This! relocation! would! cover! applicants! in! clear! need! of! international!

protection,!which!was!determined!by! analysing! the! recognition! rates! of! asylum! from!2014,!

and! due! to! a! recognition! rate! of! 75%! the! relocation! system! would! benefit! Syrians! and!

Eritreans! (Ibid.).! The! Agenda! presented! the! relocation! scheme! in! the! Annex,! and! the!

distribution!was!determined!by! “objective,%quantifiable%and%verifiable%criteria%that%reflect%the%

capacity% of% the%Member% States% to% absorb% and% integrate% refugees,% with% appropriate% weighting%

factors%reflecting%the%relative%importance%of%such%criteria”%(EC%2015b;%19).%The!distribution!key,!

was!calculated!by!the!following!variables,!!

1. The!size!of!the!population!(40%)!!

2. The!total!GDP!(40%)!!

3. Average! number! of! spontaneous! asylum! applications! and! resettled! refugees! per! 1!

million!inhabitants!over!the!period!from!2010H2014!(10%)!!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! !!!!!!!!!!!!!!!!!!!!!46!See!Annex!4!for!European!Commission!Resettlement!and!Relocation!plan.!

47!Malta!is!not!considered!in!this!mechanism,!as!it!was!concluded!that!it!was!not!under!high!migratory!pressure,!

but!the!Maltese!situation!will!be!monitored.!

! 67!

4. Unemployment!rate!(10%)!!

Following!this!system,!Germany!would!get!18%!of!the!redistributed!asylum!applicants,!which!

is! a! small! number! compared! to! earlier! years,! as! Germany! took! in! 35%! of! all! EU! asylum!

seekers!in!2014.!Sweden!would!go!from!14%!to!nearly!3%!following!the!redistribution!key.!In!

addition!to!relocation,!the!Agenda!also!proposed!a!resettlement!scheme!in!collaboration!with!

UNHCR,! where! 20,000! asylum! seekers! should! be! resettled! within! a! 2Hyear! period.! The!

distribution! of! the! resettlement! will! be! based! on! the! same! key! variables! as! the! relocation!

scheme!and!if!adopted,!the!distribution!of!both!schemes!would!be!calculated,!as!exemplified!

in!Annex!5.48!!

$

7.1.1.$The$Responses$

Germany! is! advocating! for! the! implementation! of! relocation! and! resettlement,! followed! by!

Sweden,! Austria,! Italy,! Greece! and! Malta,! “for% the% straightforward% reason% that% they% take% in%

much% more% asylum% seekers% than% the% others% and% a% quota% system% would% bring% them% a% net%

reduction”% (Traynor%2015b;%10%May).%Germany! is! a! strong! component! to! have,! in! favour! for!

such!a!system,!as!it!has!served!as!a!lead!economic!and!political!engine!in!the!EU!over!the!past!

years,!which!was!reaffirmed!during!the!economic!crisis!!(Tortola!2015;!12).!However,!the!area!

of!asylum!policies!is!controversial!and!if!the!EU!was!allowed!to!determine!the!distribution!of!

migrants,! it! could! be! perceived! as! affecting! national! economic,! social! and! demographic!

objectives.!The!supranational!migration!Agenda!could! therefore!be!perceived! to! infringe!on!

the! individual! Member! States! sovereign! right! to! border! control! (Cameron! 2010;! 18).! It! is!

possible! to! predict,! that! these! difficulties! could! lead! to! a! political! deadlock! of! national!

objectives,!which!could!hamper!the!harmonization!of!these!policies.!Especially!as!the!asylum!

trends! are! so! quantitatively! different! between! the!Member! States,!which! could! serve! as! an!

obstacle!in!reaching!a!solution!to!the!crisis!in!an!effective!manner.!!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! !!!!!!!!!!!!!!!!!!!!!48!The!resettlement!division!is!calculated!on!the!assumption!that!UK,!Ireland!and!Denmark!will!be!participating,!

even!though!they!will!only!be!bound!if!they!choose!so.!As!according!to!Article!78(3)!TFEU!is! located!in!Title!V!

Part! Three! of! the! Treaty! of! the! Functioning! of! the! EU.! “The%United%Kingdom%and% Ireland%have%an% 'opt,in'% right%under% the% Treaties,%whereby% they%may% choose,%within% three%months% of% a% proposal% being% presented% to% the% Council%under% Title% V% Part% Three% of% the% Treaty% on% the% Functioning% of% the% European%Union% (TFEU),%whether% they%wish% to%participate%in%the%measure.%The%Kingdom%of%Denmark%has%an%'opt,out'%right%whereby%they%do%not%participate%in%Title%V%Part%Three%TFEU%measures.”%(EC%2015c).!

! 68!

These! national! interests! will! be! seen! in! the! debate! from! countries! like! the! UK,! which! has!

already! voiced! their! opposition,! as! a! UK! Home! Office! spokesperson! stated! that,! “We% will%

oppose%any%E.U.%Commission%proposals%to%introduce%a%non,voluntary%quota”%(Goodenough%2015;%

May%12).%This!was! further!substantiated,!when!Interior!Minister,!Theresa!May!argued,!“Such%

an%approach%would%only%act%as%an%increased%pull%factor%across%the%Mediterranean%and%encourage%

more%people%to%put%lives%at%risk”!!(RT!News!2015;!17!May).!This!again!leads!the!UK!opposition!

to! the! perceived! political! pullHfactors,! hampering! any! further! developments! in! the!

Mediterranean.! Several! other! governments! have! joined! UKs! opposition,! including! Spain,!

France,!Hungary,!Poland,! the!Czech!Republic,!Estonia,!Latvia,!Lithuania!and!Slovakia! (Miller!

2015;!18!May).!The!French!Prime!minister!Manual!Valls!expressed!his!opposition!by!stating,%

“I%am%against% the% introduction%of%quotas% for%migrants.%This%has%never%been% in% line%with%French%

proposals”%(RT!News!2015;!17!May).%The!Hungarian!Prime!Minister!Viktor!Orban!labelled!the!

plan! as! mad! and! unfair,! as! he! argued,! "Illegal% immigration% is% an% offense% (,,,)% The% European%

concept%of% ‘someone%letting%immigrants% into%their%country’%and%then% ‘distributing’%them%among%

the%other%member%states%is%a%mad%and%unfair%idea”%(Traynor%2015a;%10%May).!

The!domestic! factors!will!have!a!strong!impact!on!the!Member!States!willingness!to!comply!

with! such! a! system,! especially! the! geographical! location! and! geopolitical! situation.! This! is!

apparent! when! comparing! the! amount! of! asylum! applications! received! in! the! countries!

advocating!for!the!system,!in!contrast!to!the!countries!that!are!in!the!opposition.!The!German!

position!will! relate! to! the! national! circumstances!with! a! high! number! of! applicants,! which!

have! formed! the! national! preferences.! This! is! also! relevant! when! understanding! the!

preferences!of! the!opposing!Member!States.!The!Eastern!European!Countries!only! took! in!a!

limited!number!of!asylum!seekers! in!2014,!which!could!explain!the!high!number!of!Eastern!

European!Member!States!joining!the!opposition!in!this!debate.!This!shows,!the!importance!of!

the!preHexisting!domestic!circumstances!when!forming!national!interests,!and!the!willingness!

of!the!Member!States!to!comply!with!Commission!directives.!The!Hungarian!Prime!minister!is!

known! to! deploy! an! antiHimmigration! attitude,! which! influences! the! Hungarian! position! in!

these! discussions.! The!Hungarian!Chief! off! Staff,! Janos! Lazer! stated,! “Hungary%will%under%no%

circumstances%receive%such%refugees%based%on%the%EU's%decision”!(RT!News!2015;!17!May).!The!

Lithuanian!government!shares!this!view,!arguing!that!decisions!concerning!asylum!should!be!

made! from! Vilnius! (Delfi! 2015;! 12! May).! These! opposing! arguments! are! relating! to! the!

! 69!

sovereign! right! to! border! controls! and! the! unwillingness! to! release! such! rights! to! a!

supranational!entity.!The!UK!government!was! fast! to!explicitly!voice! its!opposition! to! these!

proposals,! and! the!other! governments! subsequently! identified! and!aligned! themselves!with!

the!UK,!on!the!basis!of!similar!policy!preferences.!These!preferences!can!be!explained!by!the!

twoHlevel!game,!where!the!domestic!politics!and!preferences!on!migration!issues!are!forming!

the!opinions!on!the!international!level.!!

The!UK!position!could!be!based!on! the!overall!UK!structural!euroscepticism!(Tortola!2015;!

13),! as! UK! generally! deploys! an! ambivalent! attitude! towards! further! EU! integration.! This!

negative! attitude! towards! the! EU’s! supranational! measures! could! be! forming! the! national!

interests! of! the! UK! government! within! this! debate.! If! a! deepening! of! integration! will! be!

implemented,! the! UK! could! choose! to! substantially! scale! down! its! EU! involvement,! as!

“Britain’s%exceptionalism%within%the%EU%would%become%more%and%more%problematic.”%(Ibid.).%This!

relationship!will!be!tested,!by!the!upcoming!referendum!regarding!UKs!EU!membership,49!and!

“Should%the%eurozone%take%further%steps%towards%integration,%the%UK%will%therefore%probably%face%

a%decision%whether%to%follow%(and%maybe%even%rethink%some%of%its%opt,outs)%or%substantially%scale%

down%its%EU%involvement”%(Ibid.%14).%The!Member!State!preferences!are!significantly!influenced!

by! their!previous! tendencies,! as!LI! argues! that! a! countries! ideology! is!playing!a! substantial!

role!when!forming!national!preferences.!This!could!explain!the!very!explicit!opposition!of!the!

UK!government,!despite!the!fact!that!they!have!the!option!not!to!participate!in!any!relocation!

or!resettlement!scheme,!under!the!existing!agreements!in!place!between!the!EU!and!Ireland,!

UK!and!Denmark.50!!

The!UK!will!not!be!able! to!block! the!proposal,!but! is!not! forced! to!be! subjected!either.!The!

other! opposing! countries! would! have! to! mobilize! enough! Member! States,! to! block! the!

approval! in!a!qualified!majority!voting.!Previously,! these!negotiations!have!been!blocked!by!

the!EU!intergovernmental!biased,!which!is!clear!when!adopting!policies!in!relation!to!asylum!

and!migration.!This!approach!has!prevented!the!EU!from!effectively!tackling!the!situation!in!

the! Mediterranean! and! in! an! effort! to! prevent! such! an! intergovernmental! deadlock,! the!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! !!!!!!!!!!!!!!!!!!!!!49!David!Cameron!pledged! to! renegotiate!Britain’s’! EU!membership! terms,! trough! a! referendum!by! the! end!of!

2017,!to!establish!if!Britain!should!remain!in!the!EU,!on!these!terms!50 The!UK!and!Ireland!has!to!notify!the!Council!within!three!months!after!a!proposal!is!presented,!if!they!wish!to!take!part!of!the!application.!Denmark!can!at!any!time,!notify!the!other!states,!if!they!wish!to!apply!and!adopt.!!

!

! 70!

Commission!proposed!to!invoke!Article!78(3),!which!would!require!the!Member!States!to!take!

part!in!the!relocation!of!20,000!migrants!from!Italy!and!Greece.!This!will!therefore!be!decided!

on!the!supranational!level,!by!deploying!an!NF!approach.!However,!the!resettlement!scheme!

still!has!to!be!adopted!by!a!majority!voting,!which!will!be!a!reflection!of!the!states!preferences!

and!bargaining!powers.!

Betts! has! expressed! his! disappointment!with! the! 20,000! resettlements,! as! this! is! a! limited!

number,! compared! to! the! severity! of! the!displacement! crisis.!He! also! criticised! the!plan,! as!

migration!cannot!be!controlled!and!basing! the!Agenda!on!such!an!assumption,!will!create!a!

flawed!plan! from!the!outset! (Campbell!2015;!May!11)."The%reality%is%that%it's%very%difficult%to%

turn%the%tap%on%and%of,%(…)%European%policies%aren't%likely%to%have%much%of%an%effect%on%the%flow%

of% people”% (Ibid.).%Betts! is! particularly! concerned! with! the! control! directive! of! the! Agenda,!

arguing! that,! “all%migrants%should%be%given%full%human%rights,% the%prospect%of%turning%away%or%

regulating% refugees% is% a%particular% concern”% (Ibid.).%A!UN! Special! Rapporteur! also! voiced! his!

simultaneous! hope! and! disappointment! in! the! new! Agenda,! as! he! argued! the! resettlement!

proposal!was! a! good! initiative,! but!woefully! inadequate,% “The%number%of%resettlement%places%

initially% envisaged% seems%utterly% insufficient”% (UNHCR%2015;%15).%This! is! possible! to! argue,! as!

46,500!migrants!have!already!arrived!at!the!Italian!shores!in!2015,!furthermore,!the!20,000!

resettlements!would!only!represent!0.004%!of!the!entire!population!in!the!EU.!!

However,! the! initiative! of! the! relocation! and! resettlements! is! an! important! step! for! EU!

burdenHsharing,!if!the!states!could!realize!a!multiHdimensional!approach!to!the!negotiations!of!

gains,!to!show!a!wider!interpretation!of!solidarity.!For!this!to!be!implemented,!Asilo!believes!

that! the! EU! should! play! a! bigger! role,! when! forming! the! opinions! of! the! Member! States,!

“Moreover,% the% early% warning,% preparedness% and% crisis% management% mechanism% shall% be%

triggered,%in%order%to%promptly%support%any%State%under%serious%pressure. On%the%other%hand,%the%

amelioration%of% the%Dublin%system%shall%be% flanked%by%concrete%actions%on%relocation,% taken%by%

both%the%EU%and%the%Member%States.%Indeed,%equal%burden%sharing%depends%very%much%on%States'%

will%to%take%on%their%international%responsibility.%And%the%EU%shall%be%there%to%remind%its%Members%

about% such% responsibilities.”% (Ibid.).% Concerning! the! Dublin! System,! the! proposed! decision!

would!entail!a!temporary!derogation!of!some!of!the!provisions!from!the!Regulation.!

!

! 71!

7.2.&The&Common&Security&and&Defence&Policy&Operation&

The! proposal! of! military! action! against! smugglers! has! been! easier! to! negotiate! than! the!

proposal!of!relocation!and!resettlement.!According!to!the!Guardian,!all!28!Member!States!are!

supportive! of! this! directive! (Traynor%2015a;%10%May).! This! operation!would!deploy!military!

force!to!prevent!the!smuggling!of!migrants,!by!destroying!the!vessels,! inspired!by!operation!

EU!NAVFOR!ATALANTA.!This!was!an!antiHpiracy!mission!in!Somalia!from!2008!to!2012,!were!

EU!naval!forces!destroyed!speedboats!and!infrastructure!of!the!pirates!(The!Economist!2015;!

23!May).!The!Agenda!argued!that!the!smugglers!were!the!main!cause!of!the!high!death!toll!in!

the! Mediterranean,! therefore! proposing! a! more! elaborate! plan! to! fight! the! smugglers! and!

traffickers.51!This!plan!was!set!out!in!a!blueprint!for!the!CSDP!operation,!which!was!leaked!to!

the!public!on!19!May.!!

The!plan,!called!EU!NAVFOR!Med.!would!be!a!drastic!move!for!the!EU!and!authorisation!from!

the!UN!Security!Council! (UNSC)! is!needed,! in!order! to!operate! in! sovereign!waters!of! third!

countries,!if!an!authorisation!of!the!respective!governments!is!not!granted.!This!is!needed,!as!

the!focus!of!the!operation!would!be!inside!Libyan!territorial!waters,!and!“On%the%high%seas,%the%

adoption%of%a%UNSCR%under%Chapter%VII%would%allow%(i)%to%circumvent%the%absence%of%assent%of%

the% flagship% in% order% to% board,% search,% seize% and% possible% destroy% (ii)% not% to% rely% on% domestic%

measures% in% order% to% seize% and%possibly% destroy% ships%without% nationality.”% %(Council% 2015;% 7).%

The! 4! EU! members! of! the! UNSC,! France,! UK,! Spain! and! Lithuania,! have! drafted! a! UN!

resolution,! falling!under!Chapter!VII,! allowing! the!use!of!military! force! (Burchard!2015;!18!

May).!The!negotiations!are!currently!onHgoing!and!the!UNSC!has!voiced!concerns!regarding,!

“the% appropriateness% of% this% response% to% tackle% this% phenomenon,% the% protections% foreseen% in%

accordance%with% international%refugee% law,%the% issues%associated%with%consent% from%the%Libyan%

authorities,% the%geographical% scope%of% the% resolution,%and%consent%by% the% flag% states% regarding%

interdictions.”%(Frenzen%2015;%19%May).%!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! !!!!!!!!!!!!!!!!!!!!!51!“What%is%the%difference%between%smuggling%and%trafficking?%Migrants%smuggling%and%trafficking%are%two%diverse,%yet% interlinked%criminal%activities%perpetrated%by%criminal%networks.%The%difference%between%the%two%is%that% in%the%former% migrants% normally% willingly% engage% in% an% irregular% migration% process% by% paying% for% the% services% of% a%smuggler%in%order%to%cross%an%international%border,%while%in%the%latter%they%are%the%victims%of%an%extremely%hideous%form%of%criminal%activity%where%they%are%coerced%into%a%vicious%process%of%severe%exploitation%which%may%or%may%not%be%linked%to%the%crossing%of%a%border.%In%reality,%the%two%phenomena%are%not%easy%to%disentangle%as%persons%who%start%their% journeys% in% a% voluntary%manner%might% end% up% in% networks% of% labour% or% sexual% exploitation% along% the%way.%Smuggled%migrants%are%also%often%exposed%to%violence,%gross%human%rights%violations%or%even%death.%“(EC%2015c).%

!

! 72!

While!awaiting!UNSC!approval,!the!logistical!planning!of!the!operation!has!begun,!drawing!up!

the!first!stage,!which!would!entail!surveillance!and!intelligence!gathering.!Any!further!action!

requires! either! the! third! countries! approval! or! a! UNSC! mandate! in! order! to! uphold! the!

provisions! of! UNCLOS.! As!many! smuggling! vessels! are! bearing! the! flag! of! Libya,! Egypt! and!

Tunisia,! they!can!only!be!seized,! if! the! flagHstate!has!approved.!However,! it! is! in!accordance!

with!UNCLOS,!to!board!and!search!a!vessel,!if!it!is!suspected!of!participating!in!illegal!activity.!

If! a! vessel! is! not! flying! any! flag,! it! can! be! seized,% “provided% that% the%warship%conducting% the%

seizure%is%so%authorized%under%its%own%national%law”%(Rettman%2015;%15%May).%The!blueprint! is!

based! on! the! assumption! that! a! UNSC! mandate! is! granted,! in! order! to! operate! in! Libyan!

waters.! If! a! consensus!between! the!EU! leaders!and! the!Libyan!government!was! reached,! “a%

[military]% presence% ashore% might% be% envisaged% (…)% the% terrorist% presence% in% the% region% …%

constitutes%a%security%threat.%Action%taken%ashore%could%be%undertaken%in%a%hostile%environment”%

(Nielsen%2015;%13%May).!However,! this!consensus!seems!to!be!hard!to!obtain,!as!EU!NAVFOR!

Med.!has!not!been!welcomed!in!Libya.!Hatem!elHOuraybi,!a!Libyan!government!spokesperson!

stated! that,! “The%military%option% to%deal%with% the%boats% inside%Libyan%waters%or%outside% is%not%

considered%humane”%(Miller%2015;%18%May).%!

The! internationally! recognised! government! in! Libya! is! based! in! Tobruk,! fighting! a! rival!

administration!in!Tripoli!and!the!rising!threat!of!Islamic!State!(IS)!militants.!The!fact!that!the!

Libyan!government!is!divided!and!partly!controlled!by!clans!and!terrorist!groups,!will!make!

any! cooperation! with! Libya! complicated.! Mogherini! confirmed! that! EU! officials! were! in!

contact!with!the!Libyan!government,!arguing!that,!“there%is%a%responsibility%that%Libya%also%has%

to% take"% (Ibid.).% If! an! agreement!with! the! Libyan! government! isn’t! reached,! any! operational!

activity!within!Libyan!territorial!waters,!would!infringe!on!Libya’s!sovereign!rights.!However,!

the!Libyan!government!fears!that!any!military!action!at!Libyan!shores!could!mistake!fishing!

boats!with!smugglers!vessels,!putting!civilian!lives!in!danger.!Members!of!the!Parliament!have!

also!voiced!their!scepticism!by!arguing,%“That%proposed%action,%to%target%smugglers%boats%is,%at%

best,% fraught%with%difficulties%and,%at%worst,% could%harm%the% lives%of%vulnerable%migrants”% (Pop%

2015;%13%May).%

! 73!

Despite! this! scepticism,!EU!NAVFOR!Med.! is! expected! to! launch!after! the!EU!Summit!on!25!

June.52!The!Italian!government!will!lead!the!operation,!with!headquarters!in!Rome53!and!it!is!

estimated! to! run! for! 1! year.! This! estimation! is! based! on! the! assumption! that! the! Libyan!

authorities!would! improve! their! capacity,! in! order! to! tackle! the! smugglers! themselves,! “As%

regards%to%Libyan%coastguard%and%had%reached%an%initial%level%of%effectiveness%through%which%it%

could%demonstrate%sufficient%control%of%the%Libyan%coast%to%tackle%the%smuggling%of%migrants,%the%

CSDP% operation% would% start% to% handover% its% responsibilities% and% tasks% to% the% Libyan%

authorities.“%(Council% 2015;% 14).% It! is! expected,! that! the! operation! will! be! launched! in! the!

following!four!phases,!!

Phase!1.!Intelligence!gathering,!surveillance!and!patrols!!

Phase!2.!Boarding,!searching!and!seizing!of!suspected!smuggling!vessels!

Phase!3.!Disruption!and!destruction!of!boats!on!land!or!in!water!!

Phase!4.!Mission!withdrawal!and!completion!!

$

7.2.1.$What$are$the$prospects?$$

It! is! unlikely! that! the! results! of! EU!NAVFOR!ATALANTA! can! easily! be! repeated! against! the!

smugglers! in! Libya.! It! will! be! difficult! to! damage! the! vessels,! without! inflicting! harm! on!

civilians,!as!these!boats!are!loaded!with!people!the!minute!they!disembark!from!Libya.!If!the!

boats! are!destroyed! in!Libyan!harbours,! “it%will%be%tricky%to%distinguish%them%from%legitimate%

fishing% vessels”% (The% Economist% 2015;% 23% May).% The! former! head! of! operations! from! EU!

NAVFOR!ATALANTA,!Gerry!Northwood! told!BBC! that,! “destroying%boats%would%have%"limited%

value"% Boats% are% "cheap% and% plentiful% and% easily% replaced”% (Coleman% 2015;% 18% May).% This!

statement!substantiates!the!previous!claim,!by!warning!about!the!possibility!of!unwanted!loss!

of!life.%The!context!of!the!two!operations!are!inherently!different,!as!the!situation!in!Somalia!

was! criminality! and! the! Libyan! situation! is! a! result! of! the! “underlying% displacement% crisis%

around%the%world”%(Betts%2015b,%24%April)%and!involve!a!majority!of!innocent!people.!According!

to!Betts,!another! flaw!of! the!proposal! is! that,%“even%if%we%take%a%militaristic%response,%it%won’t%!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! !!!!!!!!!!!!!!!!!!!!!52!Operation!EU!NAVFOR!Med.!Was!deployed!earlier!than!first!expected.!The!22!June!2015!marked!the!start!of!

the!operation,!where!the!first!phase!of!surveillance!was!initiated.!!53 Britain,!France,!Germany,!Italy!and!Spain!will!deploy!warships!for!the!missions,!and!the!Naval!operation!will!involve! “Intelligence,% Surveillance% and% Reconnaissance;% Boarding% teams;% Patrol% units% (air% and%maritime);%Amphibious% assets;% Destruction% air,% land% and% sea,% including% Special% Forces% units;% Command% and%control;%Logistic%(including%medical)”%(Council%2015;%18).%!

! 74!

make%the%smugglers%go%away%because%the%demand%conditions%will%still%be%there%and%people%will%

continue%to%try%to%come%because%they%have%very%little%alternative.”%(Ibid.).%EU!NAVFOR!Med.!fails!

to! recognise! that! smuggling! is!not! the! cause!of!migration,!but! instead!a! respond! to! this.!By!

fighting!the!smugglers,!EU!will!not!solve!the!problem!but!instead!“simply%displace%the%problem,%

increase% prices,% introduce% ever% less% scrupulous%market% entrants,% and%make% journey% ever%more%

perilous”%(Ibid.).%%

If! Europe! continues! to! deploy! this! predominantly! security! driven! approach! to!migration,! it!

could! show! counterproductive,! as,! paradoxically,! by! attempting! to! secure! the! European!

external!borders,! the!EU!has! lost! the!control,! further!empowering! the!smuggling!rings.!This!

was!argued!by!the!UN!Human!Rights!Council!in!February!2015,!“EU%member%states%can%thus%be%

seen% as% co,responsible% for% creating% conditions% that% encourage% smuggling% and% make% it% more%

dangerous.% (…)%Europe%will%not%succeed%at% fighting%resourceful%and%adaptable%smuggling%rings%

unless%it%destroys%their%business%model,%which%was%created%when%barriers%were%erected%and%which%

thrives%at% evading% repressive%European%migration%policies.”% (OHCHR%2015;% 5%February).! Libya!

has!been!a! fertile! ground,! for! smuggling! rings! to! form,!but! these!gangs! could!mobilize!new!

routes,!if!faced!with!military!actions!from!the!EU.!The!smugglers!are!willing!to!adapt,!in!order!

to! maximise! profits,! as! Riccardo! Clerici! argued,! “Smugglers% are% in% trade” 54 %(Personal!

communication,!March!13,!2015).!A!humanitarian!approach!is!needed,!in!order!to!address!the!

underlying!causes,!instead!of!targeting!the!symptom.!!

In!the!blueprint,!it!is!clearly!stated!that!people!are!likely!to!get!killed!during!EU!NAVFOR!Med.!

“Non,compliant%boarding%operations%against%smugglers%in%the%presence%of%migrants%has%a%high%

risk%of%collateral%damage%including%the%loss%of%life”%(Council%2015;%8)%Continuing! to!argue! that,!

“Any% casualties% as% a% result% of% EU% action% could% trigger% a% negative% response% from% the% local%

population% and% the% wider% region,% jeopardising% support% and% follow,up”% (Ibid.% 16).% These!

statements!are!worrying!and!several!humanitarian!organisations!have!expressed!their!deep!

concern!regarding!these!military!measures,!fearing!for!the!lives!of!thousands!of!migrants.!This!

operation! could! eventually! lead! to! more! unintended! deaths! at! sea! and! ECRE! SecretaryH

General!Michael!Diedring!argued!that,!“If%there%is%a%shortage%of%vessels,%even%more%people%will%be%!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! !!!!!!!!!!!!!!!!!!!!!54!”The%migrants%are%charged%between%1,000%,%2,000%Euros%for%a%place%aboard.%The%average%value%to%the%smugglers%of%one%recently%intercepted%boat,%which%contained%450%people,%was%calculated%at%1m%Euros.%In%order%to%increase%profits,%the%migrants% are% generally% packed% in% as% tightly% as% possible,% which% naturally% leads% to% overloading% and% a% greatly%increased%risk%of%capsize.”%(Frontex%press%pack,%Annex%13).!

! 75!

packed%into%them.%There%is%even%a%possibility,%given%the%desperate%situation%these%people%face,%that%

they%might%try%to%construct%their%own%boats”!(RT!news!2015;!18!May).!These!variables!could!all!

lead! to! an! even!bigger!humanitarian! crisis! in! the!Mediterranean! and! add! fuel! to! the! fire! in!

Libya.!It!is!of!great!concern,!that!the!emphasis!once!again!is!put!on!security!and!this!proposal!

could! instead! bring! more! risks! to! the! dangerous! journey! of! irregular! migrants.! Many!

problems! therefore! need! to! be! addressed! before! deploying! EU!NAVFOR!Med.! especially! to!

carefully!assess!the!human!rights!implications!of!the!operation.!

!

7.3.&Overall&assessment&of&the&proposal&&

This!plan!has!the!risk!of!making!the!sea!crossing!more!dangerous!for!the!migrants!and!until!

the!root!causes!of! the!migration!has!been!tackled,!no!EU!proposal!will!be!able!to!match!the!

scale!of!the!biggest!displacement!crisis!since!WWII.!The!20,000!refugees!that!possibly!will!be!

resettled!“looks%impressive%only%if%set%against%Europe’s%low%ambitions”%(The%Economist%2015;%16%

may).%This! predominantly! security! driven! approach! will! only! serve! to!make! the! trip!more!

dangerous!and!the!migrants!even!more!vulnerable!(Ćerimovic!2015;!12!May).!Furthermore,!it!

is!concerning!that!the!blueprint!for!the!Agenda,!is!suggesting!the!possibility!of!Frontex!being!

given!a! legal!mandate! to! initiate! the! returns!of! the! rejected!migrants.!Frontex! is! an!agency,!

which!is!created!for!surveillance!and!should!not!be!given!a!legal!personality,!until!the!capacity!

and!mandate!has!been!amended!to!fit!the!purpose.!However,!the!new!amendment!to!Triton!is!

a! step! in! the! right! direction,! in! order! to! save! more! lives! in! the! Mediterranean.! But! as!

previously! stated!and!as! argued!by!HRW,! “It’s%not%enough%to%increase%EU%boats%at%sea%if%they%

remain% focused% on% protecting% Europe’s% borders% rather% than% the% people% at% sea% who% are% dying%

trying% to% get% there% (..,)% EU% leaders% should% give% a% clear% search,and,rescue% mandate% to% these%

operations.”%(HRW%2015;%23%April).%A!proper!EU! search!and! rescue!operation! is!needed,! and!

the! illusion! of! OMN! serving! as! a! pullHfactor! has! widely! been! discredited.! If! more! people!

continue! to!die! in! the!Mediterranean,! it!will!be!a!disgrace! to! the! lack!of!action! from!the!EU!

leaders,!especially!when!accounting!for!the!length!of!this!situation!and!the!amount!of!lives!lost!

on! the! doorstep! to! Europe.! However,! it! also! deserves! to! be! mentioned,! that! parts! of! the!

Agenda! is! including! positive! steps! in! the! right! direction,! even! though! the! proposals! are!

incontestably!ill!proportioned!to!the!contemporary!crisis.!! !

! 76!

8.&Future&developments&&There! is!a!need!to!understand!the!Mediterranean!crisis! in! the!broader!context!of! the!global!

displacement!crisis,!as!Betts!exemplified,!“Around%the%world,%more%people%are%displaced%than%at%

any%time%since%the%World%War%II.%Globally,%there%are%more%than%50m%displaced%and%16m%refugees.%

To%take%the%case%of%Syria,%there%are%9m%displaced%Syrians;%3m%of%whom%are%refugees.%Most%are%in%

Turkey,% Jordan,% and% Lebanon.% But% countries% like% Jordan% and% Lebanon% –% whose% capacities% are%

stretched%to%breaking%point%–%are%now%closing%their%borders%and%in%need%of%international%burden,

sharing.%These%people%have%to%go%somewhere%and%increasingly%they%are%travelling%on%to%Europe%in%

search% of% protection.”% (Betts% 2015b;% April% 24).%To! reach! protection! in! Europe,! the! migrants!

accept! the! risk! of! drowning! as! they! are! pushed! to! more! dangerous! routes,! due! to! the!

restrictive!migration!policies!and!lack!of!safe!and!regular!entries!to!the!EU!(Amnesty!2014;!8).!

Humanitarian!organisations!have!urged!the!EU!to!approach!the!migration!policies!holistically,!

as!the!number!of!arrivals!is!not!likely!to!decrease,!due!to!the!global!displacement!crisis.!The!

question!now!remains,!how!many!more!needs!to!drown,!before!the!EU!changes!its!strategic!

approach! to! migration?! It! is! time! to! call! for! an! establishment! of! a! human! rights! based!

approach!and!count!on!mobility!to!bring!down!the!deaths!in!the!Mediterranean.!!

A!future!development!could!be!the!possibility!for!wouldHbe!refugees!to!seek!protection!from!

outside!Europe,!by!allowing!for!thirdHcountry!processing.!A!legal!entry!scheme!would!allow!a!

more!sufficient!respond!to!the!current!needs!of!the!migrants!and!would!also!help!to!fight!the!

smuggling!rings,!making!it!easier!for!migrants!to!seek!protection!in!Europe.!When!the!Agenda!

was! presented,! it! looked! like! this! approach!was! implemented! as! one! section!was! labelled,!

“New% channels% for% legal% migration”.%However,! the! emphasis! was! put! on! the! importance! of!

migrants!to!the!EU!economy,!which!could!result! in!brain!drain!for!the!EU!Member!States!to!

benefit!and!not!to!support!the!people!in!need!of!international!protection,!which!is!far!from!the!

normative! approach! that! is! needed.! The! emphasis! was! instead! put! on! attracting! qualified!

migrants! to! the! EU!workHforce,! as! highlighted,! “In% the% longer% term,% the%agenda% recommends%

working%with%member%states%to%develop%a%system%that%would%create%an%EU,wide%pool%of%qualified%

migrants%that%employers%could%select%from%prior%to%migration%taking%place.”%(Siegfried%2015;%12%

May).!The!establishment!of! a!multiHpurpose!centre! in!Niger!also! looked! like!a! step! towards!

assistance!in!thirdHcountries.!However,!“Such%centres%in%countries%of%origin%or%transit%will%help%

to% provide% a% realistic% picture% of% the% likely% success% of% migrants'% journeys,% and% offer% assisted%

! 77!

voluntary% return% options% for% irregular% migrants”% (EC% 2015b;% 5).% This! statement! seems! to!

overlook!the!need!for!protection!of!people!in!the!displacement!crisis.!A!thirdHcountry!centre!

should!not!seek!to!dissuade!migrants!from!seeking!international!protection,!but!instead!help!

determine!the!protection!needs.!%

The!concept!of!utilising!externalization!of!asylum!emerged!in!the!1990s,!but!received!a!lot!of!

criticism,!as! this!would!require!a!stable!regime!to!host! the!camp!and!could!easily!become!a!

target!for!terrorists.!A!crucial!factor,!for!protection!in!these!camps,!would!be!to!deploy!EASO!

liaison!officers!at!all!times,!and!secure!that!the!chosen!thirdHcountry!is!party!to!all!the!relevant!

international!conventions,!inter!alia,!the!1951!Refugee!Convention.!The!idea!is!controversial,!

but!given!the!contemporary!crisis,!it!could!be!the!best!option!to!secure!migrants!lives.!When!

asked! about! the! prospects! for! such! a! development,!Mark! Camilleri! expressed! his! concerns!

about! the! level! of! support! from! the! Member! States! to! such! a! scheme,! “it% has% not% been%

supported%by%Member%States%and%as%these%levels%still,%but%it,%there%hasn’t%been%much%support%for%

that%idea%and%in%fact,%it%has%been,%I%don’t%know%if%it%has%been%completely%discarded,%but%it%has%been%

definitely% not% welcomed”% (Personal% communication,% March% 13,% 2015).% It! could! be! difficult! to!

establish! Member! State! support,! in! the! current! intergovernmental! discussions,! as! this!

implementation!would!include!an!increase!of!the!resettlement!quota,!which!has!shown!to!be!

an!unpopular!approach.!!

It!is!crucial!that!extraterritorialization,!is!not!conflated!with!a!nonHentrée!position,!and!should!

not!be!used!for!the!Member!States!to!pick!specific!refugees!based!on!their!profiles.!It!should!

instead,!optimistically!be!discouraging!irregular!migration!in!order!to!decrease!the!number!of!

deaths!at!sea!and!secure!protection!for!the!people!in!need!of!asylum.!However,!logically,!this!

is!hard!to!implement.!But,!in!order!for!the!EU!to!minimize!the!human!suffering!at!its!borders,!

there! is! a! need! to! bank! on!mobility,!which!would! ultimately! result! in!migrants! using! legal!

entry!channels.!For!this!to!happen,!the!Member!States!should!accept!that!one!way!or!another!

migrants! will! be! arriving! and! as! previously! shown,! border! control! do! not! discourage!

migration.!!

The!duality! and!moral! complexity!of! the! asylum!policies,!makes! the!question!a! contentious!

topic!and!before!approaching!such!a!scheme,!a!proper!CEAS!and!normHbased!burdenHsharing!

need! to! be! reached.! All! international! conventions! and! EU! standards! should! be! applied!

! 78!

extraterritorially! and! cooperation! with! relevant! international! organisations! is! therefore!

crucial.! Previously,! intergovernmental! agreements! with! thirdHcountries! have! been!

characterized! by! a! lack! of! transparency,! which! has! to! be! avoided,! in! order! to! secure! the!

conditions!and!standards.!It!is!important!that!this!approach!doesn’t!become!a!channel!for!the!

Member! States! to! circumvent! international! obligations! through! policy! offshoring.! If! due!

regard!is!not!paid!to!these!facts,!it!is!possible!that!this!approach!could!become!a!new!area!of!

sensitiveHsovereignty,!as!the!high!seas,!allowing!for!responsibility!shifting.!Furthermore,!this!

should!not!undermine!the!protection!of!the!migrants!that!physically!make!it! to!the!EU,!who!

should!still!have!the!right!to!seek!asylum,!in!accordance!with!Article!18!of!the!EU!Charter!of!

Fundamental!Rights.!!

Despite! these! controversies,! this! approach! would! be! worth! considering,! when! seen! in! the!

context!of!the!broader!geopolitical!situation!and!an!effective!answer!has!to!be!found,!through!

a!strengthened!collective!EU!approach.!A!harmonisation!of!a!protected!entry!procedure!could!

be! the!method! to! do! so,! and! a! start!would! be! to! increase! the! number! of! resettlements,! as!

proposed! in! the! Agenda.! For! this! to! happen! the! Member! States! have! to! comprehend! the!

severity!of! the!situation!and! the! implications! their!decisions!may!have! for! the!protection!of!

human!lives,!in!order!to!promote!a!solidarity!approach!instead!of!closeHminded!negotiations,!

which! have! hindered! any! actions! in! the! past.! For! this! to! be! successfully! implemented,! the!

states!have!to!transfer!the!sovereignty!of!border!control!to!the!supranational!institutions.!As!

emphasised! by! Riccardo! Clerici,! “there% is%no%quick% fix,% there% is%not,% it% is% complex%because% you%

need% to%add%you%know,%different% legal% frameworks,% refugee% law,% law%of% the%Sea,% the%EU%acquit,%

economic% interests,% political% considerations% and% you% know,% difficult% unfolding% all% the% common%

European%Asylum%System”%(Personal%communication,%March%13,%2015).% !

! 79!

9.&Conclusion&The! research! of! this! paper,! has! dealt! with! the! contemporary! humanitarian! crisis! in! the!

Mediterranean!and!the!policy!responses!that!have!been!debated!and!implemented!at!the!EU!

level.!Due!to!the!contemporary!nature!of!this!crisis,!no!mechanism!has!yet!been!implemented,!

as! the! policy! negotiations! are! currently! unfolding,! within! an! intergovernmentally! divided!

Europe.!This!divide!has!lasted!two!years!and!resulted!in!an!unnecessarily!protracted!situation!

at!the!European!external!borders,!with!the!migrants!caught!between!international!obligations!

and!the!national!interests!of!the!states.!These!factors!have!ultimately!led!to!a!collective!action!

failure! and! revealed! some! fundamental! limitations! of! the! current! migration! policies.! The!

Dublin!System!has!been!found!to!be!counterproductive!in!nature,!leading!to!the!dissuasion!of!

the! frontline!states! to! fully! comply!with! the!obligations,! thus! resulting! in!deflections.!These!

disincentives!for!compliance!have!been!seen,!when!encountering!migrants!in!distress!at!high!

sea.!This!sovereignHsensitive!zone,!has!been!used!for!responsibility!shifting’s,!revealing!a!gap!

in! the! maritime! legal! frameworks,! which! have! allowed! the! Member! States! to! circumvent!

obligations! in!distress!situations.!There! is!a!need! for!a!new!maritime! legal! structure,!which!

more!appropriately!will!answer!to!the!current!situation!and!firmly!delineate!the!key!concepts!

of! disembarkation! and! distress! at! sea.! Furthermore,! the! coastal! states! should! only! be!

appointed!a!SAR!zone,!answering!to!the!capacity!of!the!state,!in!order!to!assure!that!the!SAR!

obligations!will! be! uphold.! The! high! sea,! despite! its! sensitive! nature,! should! not! serve! as! a!

legal! void! for! the! Member! States! to! circumvent! international! obligations! and! a! solidarity!

approach!is!needed,!in!order!to!avoid!the!disincentives!to!carry!out!timely!rescue!operations.!!

The!EU!responses!have!predominantly!focused!on!the!home!affairs!driven!approach,!however!

there! is! a! need! to! move! away! from! the! deterrence! and! security! policies.! More! creative!

solutions!are!needed!to!address!the!situation,! leading!away!from!the!minimalist!approaches!

that!have!been!implemented!so!far.!The!Agenda!was!presented!as!a!big!step!for!EU!collective!

action,!however,!it!did!not!present!a!comprehensive!solution!to!the!crisis.!The!blueprint!once!

again!limited!the!overall!approach!to!security!and!detaining!and!operation!EU!NAVFOR!Med.!

will! only! serve! to! further! endanger! the! lives! of! the! migrants! in! the! Mediterranean! and!

ultimately!result! in!containment.!This!proposal,!should!merit!considerable!scepticism,!but! it!

was! easily! agreed! upon! between! the! Member! States.! However,! when! approaching! the!

humanitarian!perspective!of!relocation!and!resettlement,!the!states!are!intergovernmentally!

! 80!

divided.!This!has!revealed!the!need!for!a!comprehensive!change!of!perception!within!the!EU,!

if!any!durable!solutions!should!be! found.!This!could!happen!through!courageous! leadership!

and!an!enhanced!supranational!approach,!as!it!seems!unlikely!that!the!states!will!be!able!to!

reach! a! rapid! agreement,! in! a! situation!where! action! is! needed!now.!The! idea! of! triggering!

Article!78(3)!serves!as!a!needed!mechanism,!for!prompt!reactions.!However,!this!will!only!be!

implemented! for! the! relocation,! but! is! also! urgently! needed! in! resettlement,! to! avoid! the!

dangerous! maritime! crossings.! The! proposals! regarding! resettlement! and! relocation! are!

ultimately!moving!in!the!right!direction,!however!gravely!inadequate!in!numbers.!!

There!is!a!dire!need!to!situate!the!Mediterranean!humanitarian!crisis!in!the!broader!context!

of!the!global!displacement!crisis,!with!almost!60!million!people!displaced!around!the!world,!

according!to!the!latest!data!gathered!by!UNHCR!(UN!2015;!18!June).!UNHCR!concluded!that!

one! in! every! 122! person! is! a! refugee,! asylumHseeker! or! an! IDP! (Ibid.).! The! next! steps!

implemented! by! the! EU,! will! mirror! the! European! identity! in! such! a! wideHspread! crisis,!

especially!since!previous!initiatives!have!been!an!account!of!European!indifference.!This!will!

remain! a! collective! action! failure,! as! long! as! the! migrants! are! correlated! to! the! security!

directives,!which!calls!for!less!repression!of!migrants!and!for!the!EU!to!bank!on!mobility,!by!

implementing!safe!and!regular!routes!to!Europe.!A!first!step!to!comprehensively!address!the!

situation! would! be! to! increase! the! number! of! resettlements,! as! 20,000! over! 2! years! is! a!

disappointing!number,!when!seen!in!the!light!of!the!global!crisis.!!

These! findings! all! substantiate! the! claim,! which! was! made! in! the! introductory! chapter,!

regarding! the! inability! of! the! EU! to! adequately! respond! to! the! crisis! and! the!migrants! are!

ultimately! paying! the! highest! price.! Italy! unilaterally! attempted! to! answer! the! immediate!

needs! when! deploying! OMN,! which! quickly! showed! to! be! unsustainable.! The! subsequent!

choice! to! terminate! OMN,! without! being! substituted! with! another! search! and! rescue!

operation,! had! high! consequences.! As! Betts! stated,! “the% cause% of% the% deaths% can% be% directly%

linked% to% Europe’s% decision% to% end% the% Italian% search% and% rescue% operation% Mare% Nostrum% in%

November% 2014% and% replace% it%with% the% inadequately% funded%EU,run%Operation%Triton”% (Betts%

2015b;%24%April).%The!weak!argumentation!against!deploying!Triton!with!a!search!and!rescue!

mandate,!to!avoid!it!serving!as!a!pullHfactor,!has!quickly!been!discredited!and!left!Triton!with!

an! inadequate!mandate! to! fully! respond! to! the! severity! of! the! crises.! The!most! immediate!

! 81!

action! needed! is! an! implementation! of! a! supranational! led! search! and! rescue! operation,! to!

secure!the!lives!of!the!migrants!at!sea.!However,!a!search!and!rescue!operation!will!only!serve!

to!secure! the! lives!of! the!migrants!on! the!Mediterranean,!and!more!comprehensive!work! is!

needed,! to! foster! durable! longHterm! solutions.! Until! the! EU! states! agree! to! reform! the!

migration!and!asylum!policies,!no!real!changes!will!be!made.!

!

9.1.&Key&recommendations:&

• To!implement!a!new!search!and!rescue!operation!!

• Strengthen!accountability!of!activities!on!the!high!seas!!

• Fully!implement!a!Common!European!Asylum!System!

• Increase!the!number!of!resettlements!significantly!!

• Provide!more!legal!and!safe!channels!for!asylum!applications!

!

! !

! 82!

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idUSKBN0ON08520150607!!

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shelterHsyrianHrefugees.html?_r=0!!

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theHdrowningsHinHtheHmediterraneanHbeHstopped/!!

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!

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goneHdisastrouslyHwrongHeuropesHboatHpeople!!

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outcomeHwillHbeHwoefully!!

!

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euHnavalHmissionHsplashHbravado!!

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ConventionHonHMaritimeHSearchHandHRescueH%28SAR%29.aspx!!

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!

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E!!

!

The!United!Nations!Human!Rights!(OHCHR)!(2015,!15!May).!“EU’s%resettlement%proposal%is%a%good%start%but%remains%woefully%inadequate”.%Geneva:!OHCHR!Press!release,!accessed!on!25.05.2015!

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E!!

!

The!United!Nations!(UN)!News!Centre.!(2015,!18!June).!UN!warns!of!‘record!high’!60!million!

displaced!amid!expanding!global!conflicts,!accessed%on%June%18,%http://www.un.org/apps/news/story.asp?NewsID=51185#.VYL0NBPtmko!!

Traynor,!I.!(2015a,!10!May).!EU%plans%migrant%quotas%forcing%states%to%‘share’%burden.%In:!The!Guardian,!accessed!on!14.05.2015!

http://www.theguardian.com/world/2015/may/10/europeanHcommissionHmigrantHquotaH

planHmediterraneanHcrisis!!!

!

Traynor,!I.!(2015b,!10!May).!Immigration%to%become%more%poisonous%issue%as%EU%backs%quote%system.%In:!The!Guardian,!accessed!on!14.05.2015!http://www.theguardian.com/world/2015/may/10/immigrationHtoHgetHmoreHpoisonousHasH

euHbacksHquotaHsystem!!

!

! 97!

Williams,!D.!T.!(2015,!17!February).!ISIS%in%Libya:%Overrun%Europe%with%Immigrants%and%‘Turn%it%into%Hell’%In:!Breibart!London,!accessed!03.03.2015!http://www.breitbart.com/nationalHsecurity/2015/02/17/isisHinHlibyaHoverrunHeuropeHwithHimmigrantsHandHturnHitHintoHhell/!! !

! 98!

Annex&

Annex&1&–&The&Mediterranean&Maritime&Routes&&

&!

Source:!The!Economist!(2015,!25!April)!Europe’s%boat%people% %

! 99!

Annex&2&–&IOM&Missing&Migrations&Project&&!

!

Source:!(IOM!2015;!9!June)! !

! 100!

Annex&3&–&The&European&Commissions&Ten&Point&Action&Plan&&!

!

!

Source:!European!Commission!2015!(EC!2015a)! !

! 101!

Annex&4&–&The&European&Commissions&Resettlement&and&Relocation&plan&!

!

Source:!European!Commission!2015!(EC!2015b)! !

! 102!

Annex&5&–&Resettlement&and&Relocation&Key&!

!

Source:%(EC%2015b;%Annex)%

!

!

! !

Relocation&

Member&State& Key&Austria! 2,62%!

Belgium! 2,91%!

Bulgaria! 1,25%!

Croatia! 1,73%!

Cyprus! 0,39%!

Czech!Republic! 2,98%!

Estonia! 1,76%!

Finland! 1,72%!

France! 14,17%!

Germany! 18,42%!

Greece! 1,90%!

Hungary! 1,79%!

Italy! 11,84%!

Latvia! 1,21%!

Lithuania! 1,16%!

Luxembourg! 0,85%!

Malta! 0,69%!

Netherlands! 4,35%!

Poland! 5,64%!

Portugal! 3,89%!

Romania! 3,75%!

Slovakia! 1,78%!

Slovenia! 1,15%!

Spain! 9,10%!

Sweden! 2,92%!

Resettlement&

Member&State& Key&Total&allocation&based&on&20.000&

persons&Austria! 2,22%! 444!

Belgium! 2,45%! 490!

Bulgaria! 1,08%! 216!

Croatia! 1,58%! 315!

Cyprus! 0,34%! 69!

Czech!Republic! 2,63%! 525!

Denmark! 1,73%! 345!Estonia! 1,63%! 326!

Finland! 1,46%! 293!

France! 11,87%! 2375!

Germany! 15,43%! 3086!

Greece! 1,61%! 323!

Hungary! 1,53%! 307!

Ireland! 1,36%! 272!Italy! 9,94%! 1989!

Latvia! 1,10%! 220!

Lithuania! 1,03%! 207!

Luxembourg! 0,74%! 147!

Malta! 0,60%! 121!

Netherlands! 3,66%! 732!

Poland! 4,81%! 962!

Portugal! 3,52%! 704!

Romania! 3,29%! 657!

Slovakia! 1,60%! 319!

Slovenia! 1,03%! 207!

Spain! 7,75%! 1549!

Sweden! 2,46%! 491!

United%Kingdom! 11,54%! 2309!

! 103!

Annex&6&–&Interview&with&Martin&Xuereb&–&Migration&Offshore&Aid&Station&(MOAS)&&!

Interview55%–%Migration%Offshore%Aid% Station% (MOAS)% 23% February% 2015,%Director%Brig.% (Ret’d)%Martin%Xuereb%(MX)%%MX:!I!mean!we!set!sail!last!year,!and!showed!that!it!can!be!done,!really,!at!the!moment!we!are!in!the!process!of!trying!to!get!enough!funds!to!sail!this!year!as!well,!this!year!our!plan!is!to!sail!

for!6!month!and!not!for!2!month,!so!from!May!until!October.!

!

Naja%Kofoed%(NK):%When%working%on%the%Mediterranean,%which%search%and%rescue%zones%and%safe%ports%of%disembarkation,%are%you%mandated%to%follow?!!

MX:!Well!am,!what!I!can!tell!you!is!what!happened!last!year.!Last!year!we!were!working!in!the!Libyan! search! and! rescue! region,! so! south! of! the! Maltese! search! and! rescue! region,! every!

rescue!we! did,! we! coordinated!with! the! Rome!Maritime! Search! and! Rescue! Region,! so! we!

were!being!tasked!by!Rome!to!provide!assistance,!and!they!were!the!entity!telling!us!where!to!

disembark.!So!in!the!majority!of!the!instances!we!disembarked!on!Mare!Nostrum!boats,!so!on!

Italian!state!ships,!in!a!few!occasions,!we!disembarked!on!Italian!main!land,!in!Sicily,!twice!in!

Pozzallo!and!once!in!Port!Galla.!!

!

NK:%How%do%you,% in% your%organisation% interpret% the% concept%of%distress%at% sea,%when%countries%have%different%definitions?%%!

MX:&Well! the! fact! is,! that,! it!needs! to!be!determined!on!a! case!by!case!basis,! I!mean! for!us,!distress!at!sea! is!when,!you!have!an! imminent!danger!of! loss!of! life,! that! for!us! is,!a!boat! in!

distress.!Now!when!you!have!a!12!meter!boat!with!270!people!on!board,!that! is! for!us!very!

clearly! a! situation! of! distress.! Obviously! the! situation! needs! to! be! taken! on! a! case! by! case!

basis,!depending!on!many!factors,!including!the!state!of!the!people!on!board,!the!state!of!the!

vessel,! the!weather,!whether! these!people!all!have! life! jacket,!whether! the!boat! is! taking! in!

water.!So!a!definition!of!distress! is!something! that! the!captain!of! the!boat!have! to!do,! there!

and! then,! on! a! case! by! case! basis.! On! our! case,! we! coordinate! wholly! with! the! rescue!

coordination!centre,!we!provide! them!with!photos,!we!provide! them!with!updates,!and! last!

year,!we!were!conducting!a!rescue!operation!under!their!direct!request.!!

!

NK:%Have%you%experienced%any%(if%within%your%mandate)%legal%disputes%with%the%burden%sharing%and%asylum%system%between%the%countries?%%!

MX:&No,!we!did!not,!because!our!focus!is!on!search!and!rescue,!what!we!do!is,!once!the!rescue!coordination!centre!calls!on!us!to!disembark,!we!just!go!there,!disembark,!and!then!hand!over!

to! the! relevant! authorities.! Last! year! we! didn’t! have! any! problems! in! any! of! our! rescue!

operations,!because!we!were!under!the!direction,!we!were!being!coordinated!by!Rome,!they!

would!tell!us,!they!would!get!a!call!about!a!boat!in!distress,!and!then!they!would!call!us!to!go!

there! and! help! them,! and! see! if! we! can! offer! assistance! and! give! us! feedback! on!what! the!

situation!is,!and!then!the!decisions!were!taken!on!a!case!by!case!basis.!

!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! !!!!!!!!!!!!!!!!!!!!!55!Phone!interview,!recorded!and!transcribed!

! 104!

NK:%So,% regarding%Operation%Mare%Nostrum,%why%do%you%believe% that% the%operation%have%been%deemed% more% successful% than% the% previously% deployed% search% and% rescue% operations% in% the%Mediterranean?%%!

MX:!Well,! I!mean,! I! think! for!more! than!one!reason,!but!one!reason! is! the!amount!of!assets!taking!part!in!Mare!Nostrum,!its!area!of!operations,!because!it!was!operating!pretty!far!south,!

so!the!boats!in!distress!were!being!given!assistance!in!the!first!12!hours!from!their!departure!

from!Libya,!and!really! for! the!simple!reason! that! it!was!an!humanitarian!search!and!rescue!

operation,!rather!than!a!border!control!operation.!!

!

NK:%I’ve%seen%on%your%website%that%you%have%an%opinion%on%this,%but%I%want%to%ask%anyway,%do%you%perceive%these%search%and%rescue%operations%as%having%a%pull%effect%on%the%arrivals?%!

MX:!Well!I!will!like!to!answer!that!question!with!another!question,!I!mean!Mare!Nostrum!and!MOAS!were!accused!by!some!of!acting!as!a!pull!factor,!at!the!moment!this!year,!there!was!no!

Mare!Nostrum!and!no!MOAS!still,!despite!the!fact!that!it!is!winter,!despite!the!fact!that!the!see!

is! very! rough,!we! have! had! people! leaving!North!Africa! anyway,! so,! they! know! there! is! no!

Mare!Nostrum,!they!know!the!dangers!are!very!very!big! in!winter,!and!people!still! leave,!so!

clearly!what!was! attracting! them!were! neither!Mare!Nostrum!nor!MOAS,!when!we! answer!

that!question!we!need!to!consider!the!push!factors!rather!than!the!pull!factors,!and!we!think!

that!no!matter!what,!these!people!feel!compelled!to!cross,!they!feel!they!have!no!other!option,!

so!no!matter!if!there!is!a!Mare!Nostrum!or!not,!they!would!still!leave!North!Africa.!Yes!that’s!it,!

and!60%!in!the!first!couple!of!months,!but!now,!no!one!can!say!that!this!tide!is!due!to!Mare!

Nostrum,!because!there!is!no!Mare!Nostrum.!

!

NK:% So,% Mare% Nostrum% was% substituted% by% Operation% Triton% from% Frontex,% European% funded.%What%do%you%foresee%as%upcoming%problems?%%!

MX:!Well,!the!thing!is,!I!think,!to!be!fair,!Frontex!has!always!strictly!many!times!said,!Triton!is!not!replacing!Mare!Nostrum.!For!me,! it!does!not!replace! it,!on! two!accounts,! firstly! it! is! the!

size! of! the! operation,! one! is! much! larger! than! the! other.! More! importantly! is! the! area! of!

operation,!where!Mare!Nostrum!was!operating!30!miles!North!of!Libya,!Triton!is!operating!30!

miles!South!of! the!European!border,!so,! in!my!mind! it! is!very!clear! that!one!can!never!ever!

replace!the!other,!unless!there!is!a!shift!in!the!area!of!operation.!

!

NK:%What%is%your%professional%view%on%Frontex%as%an%agency?%%MX:&Well,!I!don’t!think!Frontex!have!ever!done!any,!so!I!think!in!that!case!we’ll!safe.!The!issue!is!however,!it!can!operate!only!within!Frontex!regulation,!which!was!agreed!to!and!set!up,!by!

the!EU!Member!States,!so!if!we!want!the!mandate!of!Frontex!to!move!beyond!a!border!control!

and!to!include!other!things,!then!we!need!to!assess!the!mandate!of,!and!the!regulation,!not!the!

mandate,! the! regulation! setting! of! Frontex,! because! Frontex! is! clearly! a! border! control!

operation,!you!cant!expect!Frontex!to!conduct!search!and!rescue!operations!if!this!is!outside!

its!mandate,!outside!its!regulations!setting!it!out,!if!we!want!Frontex!to!operate!otherwise,!the!

Member!States!should!come!together!and!maybe!revise!this!Frontex!regulation.!

!

! 105!

MX:!Yes,!what!I!am!saying!is!that,!we!couldn’t!expect,!Frontex!or!Frontex!missions!will!always!provide! assistance! to! boats! in! ´distress! because! that! is! an! overarching! law,! overarching!

international! law,! that!any!boat!out! there!which!comes!across,!or!are!aware!of!any!boats! in!

distress!needs!to!assist,!however,!Frontex!does!not!conduct!humanitarian!search!and!rescue!

operations.!It!conducts!border!control!operations,!and!the!two!are!very!different.! !

! 106!

Annex&7&–&Interview&with&Mark&Camilleri&–&European&Asylum&Support&Office&(EASO)&!

Interview 56 %–% European% Asylum% Support% Office% (EASO)% 13% March% 2015,% Policy% and%Interinstitutional%Relations%Coordinator,%Executive%Office,%Mark%Camilleri%(MC)%!

NK:%What%do%you%believe,%could% foster%more%durable%solutions% for%the%most%vulnerable%Member%States,%as%an%alternative%to%the%Dublin%System?%!!

MC:& That’s! and! interesting! question,! because! well,! the! Dublin! System! was! an! instrument!conceived!some!time!ago,!with!very!specific!intentions!and!it!does!now!a!days,!in!my!view,!it!

does!not!really!address!the!issues!appropriately,!the!challenges!the!Member!States!are!facing!

now!in!a!common!system,!because! it!made!sense!to!some!extent!when!you!didn’t!have!that!

common!system,!but!we!have!a!common!European!Asylum!System!where!you!should!get!the!

same!type!of!protection!in!the!same!way,!wherever!you!apply!in!the!EU!and!also,!we!have!a!

borderless,!really,!a!borderless!Union!with!free!movement.!Then!it!does!not!really;!the!current!

Dublin! instrument! is!not! the!best!one! that!you!can!think!of.!But!of!course,! indeed!there!are!

Member! States! at! the! borders! that! the! perception! is! that! they! do! suffer!more! than! others.!

However! the! statistics! don’t! always! confirm! those! perceptions.! Because! as! you! don’t! see!

countries!getting!most,!the!biggest!number!of!asylum!seekers!are!not!those!at!the!borders,!but!

actually!those!who!are!inside!like!Germany!or!Sweden.!So!it!is!not!really!true!that!most,!that!

the! Member! States! at! the! borders! get! the! most! asylum! seekers.! Maybe! they! get! the! most!

arrivals,!but!that!doesn’t!mean!that!they!stay.!So!the!matter!of!fact!is,!the!most!important,!that!

the!matter!of!fact!is!not!on!them!but!other!Member!States!and!of!course,!if!you!want!to!have!a!

credible! European! system,! then! all! Member! States! must! pick! up! their! responsibilities! and!

follow!the!rules!that!are!established!in!the!common!system!and!currently!of!course,!that!is!not!

always!the!case.!We!have!an!imbalance!in!type!of!people!and!of!course,!when!a!Member!State!

does!not!fulfil!its!obligation!properly!actually,!this!could!act!as!a!pull!factor!for!migrants!to!go!

to!that!country!instead!of!having!the!opposite!effect.!!

&NK:%They%have,%at%the%moment,%the%Italian%immigration%law,%Bossi,Fini%I%think%it%is%called,%do%you%think%that%is%the%right%instrument%to%deal%with%the%asylum%applicants%in%Italy?%%&MC:&Well!I’m,!personally!not!an!expert!on!the!Italian!migrant!system,!but!well!I!think!it!is!not,!the! problem! with! Italy! as! such,! is! not! actually! the! legal! system,! it’s! the! problem! with!

registration! is! the! main! issue! in! Italy.! You! have! a! number! of! persons! arriving! in! multiple!

numbers!and!some!of! them!disappear! sometimes!even!before!actually,!not!all! the! time,!but!

most!of!the!times!before!they!are!registered.!That!is!a!current!problem!in!the!Italian!system,!of!

course!they!are!actively!trying!to!address!that!issue,!but!it!is!one!of!the!main!problems.&&&NK:%When%you%say%register,%do%you%mean%to%Eurodac?%&MC:&Yes!I!mean,! ideally,!every!person!who!is!apprehended!as!a! irregular! lets!say,!should!be!registered! through! that.! If! this! is! not! happening! then! you! have! migrants! entering! your!

country,!without!you!actually!knowing!that!they!are!there.!Not!having!a!trace!has!been!a!big!

problem!that!Italy!is!facing!right!now.&&

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! !!!!!!!!!!!!!!!!!!!!!56!Phone!interview,!recorded!and!transcribed!

! 107!

&NK:% I% can% see% on% your%website,% that% you% in%2013% signed%a% special% support% for% Italy,%which%was%supposed%to%end%in%the%end%of%2014.%Taking%into%account%that%the%first%two%months%of%2015%there%has%been%an%increase%of%60%%of%the%arrivals,%are%you%still%present%in%Italy?%!

MC:&Yes,! in! fact,!yes!you!were!right! in!saying!that!a!special!support,! in! fact,!yesterday!EASO!signed!another!one,!support!phase!2,!which!would!cover!another!year!starting!in!April!until!

April!next!year.!With!a!number!of!measures!are!forcing!capacity!building,!in!particular!within!

the! territorial! commissions! and! capacity! building! on! Country! of! Origin! information,! so! a!

couple!of!measures!to!support!the!Italian!system.!Yes,!I!mean!the!concentrated!EU!effort!they!

are! contributing! and! of! course! others! are! also! contributing! to! support! the! Italian!methods,!

tasks!that!they!have!to!undertake.&&&NK;%During%2014,%the%biggest%measure%was%Operation%Mare%Nostrum,%did%you%see%any%effects%on,%for%example%Malta,%when%Mare%Nostrum%was%deployed?%%&MC:& I!think,!in!Malta!and!of!course!in!Libya,!it!is!stated!that!both!Mare!Nostrum!but!also!the!EU!Triton!action!has!had!an!effect!on!the!arrivals!at!the!borders.!It!is!not,!I!mean!at!least!the!

Media! is! not! attributed! to! the! fact! that! there! was! these! measures,! but! also! agreements!

between! the! two!countries!and!also!what! to!do!what! the! Italian!also!called!Common!Sense.!

When! you!have! big! boatloads! arriving,! sending! them! to!Malta!might! not!make!much! sense!

considering!the!capacity!of!Malta!to!absorb!such!numbers.!!I!think,!it!did,!it!did!have!an!effect!

yes.!I!mean!there!were!fewer!arrivals!in!Malta!in!the!past!months!and!a!year!I!would!say.&&NK:% Do% you% know% of% any% disputes% between%Malta% and% Italy,% for% example%with% the% Search% and%Rescue%Zones%overlapping,%asylum%seekers%coming%there?%&MC:& I!mean!well! of! course,!EASO!doesn’t! get! into! this,! because! it! is!more!Frontex!but!well,!what! I!can! tell!you! is!what!we!hear! in! the!media,!and!there!has!been!some! incidents!which!

have!been!very!well!reported!in!the!media!as!well!I!mean,!with!people!having!been!stranded!

for!days!and!weeks!on!going…&!

MC:&Well!as! such,!are,!people!are!stranded! like! that! in! the!middle!of! the!sea,! some!of! them!might!asylum!seekers!of!course,!no!one!before!you!assess!and!I!am!sure!that!some!of! those!

people!were!asylum!seekers!as!well,!but!well,!yeah!of!course!that!is!not!something!that!we!can!

assess! from!our!point!of!view,!as! it! is!a!preHstage!before!we!know!whether!they!are!asylum!

seekers!or!not.!But!it!is,!there!has!been!some!incidents!yes,!that!were!reported!in!the!media!

and!I!guess!after.!As!I!said,!since!Mare!Nostrum!and!Triton!and!also!what!I!call!Common!Sense!

I!think!these!incidents!have!been!steady!declining.&&&NK:%Yeah%actually,%I%agree%on%the%Mare%Nostrum,%but%with%Triton,%their%mandate%only%go%12%miles%outside%the%Italian%shore,%so%they%wont%be%able%to%assist%Malta%like%that%any%more.%%!

MC:&Yeah!exactly,!but!I!mean,!we!are!talking!about!a!period!now,!where!Triton!came!on!board!is!winter,! so!we!have! to! see! the! effect! now! that! the!weather! conditions! are! improving! and!

then!you!will!be!able!to!assess!whether!it!is!or!not.&&&

! 108!

NK:%Yes,%but%my%research%indicates%that%the%numbers%haven’t%actually%declined%even%though%it%has%been%of%season?%!

MC:&Yeah,!I!mean,!of!course,!there!is,!the!situation!in!Libya!is!clear!now,!it!has!becoming!worse!by!the!day!and!of!course!people!continue! fleeing!and!the! fact!now,! that! they!are!using!both!

ships!and!remedies!to!transport!more!people,!but!this!so!far,!there!has!not!been!any!reports!of!

big!arrivals!in!Malta!so!it!is!still!the!same!situation!so!far,!as!it!was!before.&!

MC:& For! example! we! do! publish! statistics,! from! statistics! you! would! see! a! certain! trend,!certain!information!about!countries!of!origin,!where!flows!are!coming!from!the!characteristics!

of!cases,!the!flows.!That! is! in!a!way!our!way!of! informing.!There!is!also!organized!meetings,!

might!be!country!specific!automatic!meetings,!where!issues!are!then!put!into!technical!level,!

at! expert! level.! That! in! a!way,!we! don’t! normally! issue! any! formal! instructions! to!Member!

States! of! how! they! should!do! things! in! certain! situations,! but!we!do!publish! these! types! of!

reports.!For!example!we!have!a!report!on!Western!bookings!and!a!number!of!COI!reports,!so!

we!do!it!in!that!way,!but!we!don’t!as!such!say!that!this!is!what!we!advice!Member!States!to!do,!

at!least!we!haven’t!done!that!yet.!More!evidence!based!input!that!we!give,!we!tell!them;!this!is!

the!effect,!these!are!the!trends,!this!is!how!the!situation!looks!like!and!then!the!Member!States!

of!course!decide!how!to!tackle.&!

MC:&What!we!have! is! the!quarterly! report,! the!statistical! reports!which!are!on!our!website.!But!we!don’t!have!specific!reports!on!that!are!available.!WE!might!have!some!specific!reports!

that!are!internal!but!we!don’t!have!publications!on!Italy.&&&NK:%But%the%numbers%can%be%found%in%the%quarterly%report.%Rounding%up,%I%just%have%two%questions%left.%There%has%been%talking%in%the%EU,%about%externalizing%the%asylum%process,%do%you%see%this%as%the%next%step%for%a%common%EU%practice?%%!

MC:&Well,! its!been!presented!as!an!idea,!but!in!the!Council!it!was!not!so!much!supported!by!Member!States.!It!is!indeed!a!theoretically!something!that!one!can!think!as!a!coming!solution,!

but!it,!actually,!it!is!even!difficult!in!terms!of!the!acquit!to!be!able!to!do!it!in!practice,!because!

the! acquits! talks! about! presence! on! the! hostHterritory! and! that! is,! if! such! a! thing! has! to!

happen,!it!has!to!change!the!entire!vision!on!the!acquits!on!asylum.!But!in!many!cases!there!

are! situations,! where! resettlement! is! pretty! much! similar! to! what! you! have! mentioned.!

Resettlement! is! taking!people! from!outside!and!brining!them!into!the!EU!and!offering!them!

protection,! but! it! is! not! exactly! the! same! as! a! legal! entry! channel! as! I! have!mentioned! or!

protected! entry! procedures,! but! it! is! not! something! that! has! been! very,! it! has! not! been!

supported!by!Member!States!and!as!these!levels!still,!but!it,!there!hasn’t!been!much!support!

for!that!idea!and!in!fact,!it!has!been,!I!don’t!know!if!it!has!been!completely!discarded,!but!it!has!

been!definitely!not!welcomed!much.!!

&NK:%Frontex%director%said%that%500,000%migrants%were%waiting%to%cross%the%Mediterranean%from%Libya,%so%what%is%the%prospects%for%European%asylum%processes%with%this%influx%coming?!!!

MC:&Well!I!mean,!the!Frontex!director!gave!that!figure,!but!I!mean,!one!would!have!to,!there!could!be,! if! you!know! that! there! is! so!many!people!waiting! to! cross,! that! is! one! thing,! they!

have!to!cross!and!it’s,!well!I!mean,!it!is!not!a!fact,!it!is!a!possibility.!It!could!be,!but!of!course!

! 109!

one!would!have!to!assess!the!situation.!Well,!I!mean!even!in!the!past!years!there!could!have!

been!that!number!of!people!waiting!to!cross,!it!is!not,!it!doesn’t!mean!that!tomorrow!all!these!

people!will…!

&NK:% I%know%that,%but% the%Member%States% still%have% to%have% the%capacity% to% take% in% the%arriving%number%of%migrants.%&MC:! Indeed,! indeed! they! need! to! be! prepared! for! this.! In! fact! there! are! now! a! number! of!measures! and!discussions!of! contentious!planning!on!measures! that! could!be! taken! in! case!

there!are!influxes!of!that!type,! I!mean,!you!know!there!is!also!a! legal! instrument!that!hasn’t!

been!used!so!far,!that!is!the!temporary!protection!directives,!in!case!there!are!such!influxes.!

But!I!mean,!so!far,!in!any!case,!a!number!of!Member!States!are!already!in!a!situation!of!crisis!

with! the! flows! that! they! are! receiving! and! we! have! seen! also! a! change! in! mentality! in! a!

number!of!Member!States!as!well!and!there!is!more!lets!say,!more!clouds!on!working!together!

and!in!fact!one!of!the!pilot!projects!we!are!running!under!the!task!force!in!the!Mediterranean!

are! joint! processing! pilots,! where! you! get! a! number! of! Member! States! experts! working!

together!on!preparing!cases!and!looking!into!cases.!This!has!caught!on!very!much!and!then!a!

number! of! Pilots! onHgoing! now! in! the! EU,!with!Member! States!working! together! on! cases,!

which!before!was!unheard!of!and!a!year!ago!this!was!a!starter!and!it!is!actually!working!now!

because!the!Member!States!are!also!faced!with!posterity!measures!at!the!same!time!and!the!

thing!is!that!some!Member!States!have,!well!most!of!them!have!resources!shortages!but!some!

others,!tradition!lets!say,!traditional!asylum!countries!have!slight!over!capacity!right!now,!as!

they! might! not! have! as! many! applications! as! before! this! sharing! of! recourses,! is! being!

entertained!more!than!before,!they!are!more!willing!to!send!experts!to!support!other!Member!

States,!even!on!cases.!There!is!a!change!in!mentality,!I!mean,!I!am!not!saying!that!the!world!

has!changed!but!there!are!positive!steps,!lets!say,!into!recourse!sharing!as!well!and!to!doing!

more!things!together.!I!mean!EASO!has!had!this!quite!a!lot,!because!through!our!work!we!get!

Member!States!to!work!together!and!we!send!Member!States!experts!from!different!parts!of!

Europe!for!example!to!help!Italy,!to!help!Greece,!to!help!Sweden!wherever!the!problem!is.! I!

mean,!they!are!used!to!working!with!each!other!now,!they!are!familiar!with!each!other.!Also!

through!our!normal!work,!through!training,!through!productions!of!reports.!So!slowly,!slowly!

this!is!becoming!a!community!of!experts!working!together,!so!as!before,!it!was!unheard!of!that!

a!Dutch!expert!would!cooperate!with!Cypriot!expert,!now!a!day!have!become!more!practiced,!

baby!steps!in!the!right!direction.&&&NTK:%That%was%actually%all,% thank%you%very%much,% it% is%a%complex%area% I%am%working%on,% so%all%help%is%appreciated.%%!

MC:&It!does!help,!I!mean!there!is!a!lot!to!be!done!still!and!especially!in!the!context!of!what!was!constituted! for! the! task! force! of! the! Mediterranean.! I! advice! you! to! have! a! look! at! that!

document,! it! is! a! communication! from! the!Commission! that!was!drafted! in! the!wake!of! the!

Lampedusa!crisis,!I!mean!tragedy!2013,!so!there!is!a!document!there,!you!can!look!it!up:!Task!

Force! Mediterranean! communication,! and! there! is! an! action! plan! with! it! as! well,! which!

foresees!a!number!of!actions!that!Member!States!and!institutions!should!undertake!to!address!

the! situation! in! the!Mediterranean..&Well! they! should,!but!a!number!of! them!have!not!been!implemented,! so,! it! is! also! a! contentious! point,! because! the! Commission! has! been! insisting!

quit!a! lot!that!Member!States!must!respect!what!they!have!promised,! I!mean,!of!course! it! is!

! 110!

not!legally!binding!but!it!is!a!process.!There!are!a!number!of!interesting!proposals,!which!you!

should!have!a!look!at!and!you!will!find!what!I!mentioned,!the!joint!processing!pilots!from!us!

and!also!this!pilot!project!on!facilitation!as!well,!which!is!interesting.! !

! 111!

Annex&8&–&Interview&with&Riccardo&Clerici&–&UNHCR&&Interview 57 %–% United% Nations% High% Commissioner% for% Refugees% (UNHCR)% 13% March% 2015,%Protection%Associate%UNHCR%Rome,%Riccardo%Clerici%(RC)%%&NK:%What%is%UNHCRs%involvement%and%capacity%in%Sicily/Italy%right%now?%%&RC:&Well,!UNHCR!has!been! involved! in! the! field! in! Italy! since!2006,!with! the!project! called!Præsidium,!I!don’t!know!if!you!heard!about!it,!and!I!can!send!you!a!link,!we!published,!I!think!

in!2010!a!booklet!with!recommendations!and!best!practices,! the!project!consist!basically! in!

two! core! activities,! information! upon! arrival,! so!UNHCR! together!with,! the! project! partner,!

IOM,!Save!the!Children!and!Italian!Red!Cross,! informs!migrants!upon!arrival,!when!they!are!

disembarked! in! the! ports! of! Sicily,! Calabria! and! Puglia,! then! we! support! authorities,! local!

authorities,! health! authorities,! prefectiures! and! police! in! the! identification! of! vulnerable!

groups,!or!persons!with!special!needs.!Using!the!wording!of!European!directives.!This!is!what!

we!do!upon!arrival,!more!or!less!to!be!very!brief.!The!second!core!component!is!monitoring,!

we!carry!out,!monitoring!activities,!both!upon!arrival!in!a!first!line!reception!facilities!or!at!the!

border! so! where,! to! check! whether! basic! needs! of! migrants! are! being! catered! for! by!

authorities!and!then!we!carry!out!the!more!structural!monitoring!in!governments!centers!in!

Sicily! there! are! a! couple! but! also! in! all! the! other! regions.! Plus!we! also!monitor! temporary!

facilities,! meaning! facilities! that! have! been! opened! especially! in! 2014! and! 2011! to!

accommodate! the!massive! arrivals! from! North! Africa.! This! is! more! or! less! Præsidium! and!

now,!as!your!question!refers!to!the!operational!capacity!we!have,!one!to!three!teams!in!Sicily,!

based! in! Siracusa,! Agrigento! and! Lampedusa,! usually! comprise! of! a! legal! officer,! legal!

associate!and!a!cultural!mediator!and!this!is!more!or!less!the!same!for!Præsidium!parties,!they!

do!more!or!less!in!the!same!locations,!legal!associates!and!cultural!mediators.!&&NK:%Okay,%thank%you.%I%just%had%a%few%questions,%my%first%one%was%regarding%the%nature%of%mixed%flows.%What%do%you%believe%can%be%done,%to%ensure%the%rights%of%the%most%vulnerable%of%the%mixed%flows?%!

RC:&Well! this! is! a! very! big! question,! because! you! know,!when! you! are! talking! about!mixed!flows,!we!mean! person!with! different! needs! and! different! rights! and! duties! also,! economic!

migrants,! asylum! seeker,! refugees,! potential! victims! of! trafficking,! medical! cases,!

unaccompanied!and!separated!children!and!a!few!other!groups,!let!me!say,!victims!of!torture!

and!so!forth.!Along!the!lines!of!speaking!about!vulnerable!of!the!reception!directives,!so!you!

have!all!these!groups!and!the!needs!are!different!so!you!need!to!address!them!differently,!they!

have,! they!differ!also,! along! the!different!phases!of!migratory! flows,!meaning!during! rescue!

operations! there! are! certain! needs! upon! disembarkation! you! need! to! look! for! some! other!

priorities,!then!this!person!are!transferred!internally!to!the!most!appropriate!administrative!

procedure,!whether!it!is!asylum,!return,!social!protection,!protection!for!victims!of!trafficking!

it! depends,! and! there! you! have! different! needs! of,! let! me! say,! first! line! or! second! line!

reception,!meaning!the!procedure!for!asylum!seeker!and!we!can!elaborate!there!is!a!lot!there!

and!finally!we!have,!talking!about!asylum!seekers,!if!and!when!they!are!recognized!refugees,!

the!most!important!I!would!say,!the!most!challenging!part! is! integration.!What!can!be!done,!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! !!!!!!!!!!!!!!!!!!!!!57!Phone!interview,!recorded!and!transcribed!

! 112!

depends! on! each! phase! and! each! group,! so! I! don’t! know! what! kind! of! analysis! you! will!

undertake! in!your!dissertation!and!what! level!of!details!you!are! looking! for,!and! it! is!better!

that! you! read! some! documents,! because! you! can! look! at! it! from! the! policy! level,! which! is!

usually!I!would!say,!the!news,!very!important!now!in!discussing,!best!practice,!it!depends!on!

you!know,!how!you!want!to!frame!it,!and!how!you!want!to!develop!the!dissertation.!

&NK:%My% focus%will% be%mainly%on% the%policy% level,% on%EU% capacity%and%burden% sharing,% and%how%these%migrants%are%kind%of%left%adrift%now%with%the%Dublin%Regulation,%generally%the%policy…%!

RC:&Okay,!the!policy!level!there!is!obviously!a!lot,!and!I!am!forwarding!now!to!you,!let!me!see,!Guterres,! the! UNHCR!High! Commissioner,! this! is! it,! yes,! wrote! a! few! days! ago! to! the! High!

representative!Mogherini,!Commissioner!Avramopoulos! I!don’t!know!if!you!read!about! this,!

and! the! vice! president! of! the! European! Commissioner! Mr.! Timmermans,! and! so! the! High!

Commissioner!wrote!and!then!the!letter!was!leaked!to!the!press!so!now,!what!I!am!sending!

you,!you!know!is!the!official!UNHCR!press!release!in!which!UNHCR!outlines!some!of!the!policy!

proposals!to!address!the!current!migratory!pressure!which!is!effecting!Italy!and!the!EU,!which!

more! or! less! is! a! further! development! of! an! earlier! proposal! called! CMSI! The! Central!

Mediterranean! Sea! Initiative,! which! was! published! last! year,! and! I! think! you! will! find! it!

interlinked!in!the!document!I!just!send!you,!with!a!lot!of!actions!which!should!be!undertaken!

in!Transit!countries!and!also!countries!of!departure!and! in!Member!States!and! in! the!EU!at!

large,!measures!which!are!short,!medium!and!longer!term,!obviously.!So!it!is!a!whole!range!of!

policy! options,! some! different! stage! of! development,! discussion! and! negotiations.! The! one!

which! were! picked! by! the! media! recently,! which! doesn’t! mean! that! they! are! the! most!

important!or!the!most!likely!to!go!through,!are!relocation!within!the!EU,!there!has!been!a!lot!

of!discussion,!especially! from! Italy!minister!of! interior!about!external!processing,! there! is!a!

better!use!of!the!Dublin!III!Regulation!in!terms!of,!as!a!solidarity!tool,!but!I!would!say!that!the!

topic! is,! better! to! be! discussed!under! the! heading;! legal! channels! to! entry! into! the!EU,! and!

there! you! have,! we!mentioned! external! processing,! resettlement,! you! have! work! visa,! you!

have!humanitarian! corridors,! you!have! family! renunciation,! you! ! have! a! lot! of! areas!where!

UNHCR!and! I! think! all! relevant! stakeholders!have! looked!at,! and! are! interested! in!bringing!

forward! the! issues,!what! I! always! try! to! say! in!public! is! that,! and! it! is! an!advice!on!how! to!

approach!your!dissertation,!is!that!finding!a!solution!is!not!easy,!there!is!no!quick!fix,!there!is!

not,!it!is!complex!because!you!need!to!add!you!know,!different!legal!frameworks,!refugee!law,!

law! of! the! Sea,! the! EU! acquit,! economic! interests,! political! considerations! and! you! know,!

difficult!unfolding!all!the!common!European!Asylum!System,!a!lot!of!issues!which!needs!to!be!

considered,!so!it!is!not!easy,!something!that!I!usually!say,!and!I!am!giving!you!just!obviously!

more!of!a!opinion!on!this!policy!opportunity!more!than!the!feasibility,!which!would!take!quit!a!

long!discussion,!is!that!you!need!to!look!at!the!size!of!the!migratory!pressure.!It!is!not!a!few!

thousand!resettlement!cases!that!you!can!address.!This!kind!of!migratory!flow,!we!are!talking!

about!demographics!in!Africa,!we!are!talking!about!the!highest!number!of!displaced!refugees!

in!2014!and!we!are!talking!about!crisis,!which!are!not!really!about!to!end,!from!Syria!to!the!

Horn! of! Africa.! So,! the! framework! is! quit! complex! and! you! need! to! look! at! the! size! of! this!

movement.!!

&NK:%Now%that%you%mention%the%size,%last%week,%Frontex%director%stated%that,%was%it%500,000%or%1%million%migrants%are%supposedly%waiting%to%cross%the%Mediterranean%from%Libya,%do%you%believe%this%number%to%be%true?%%

! 113!

!

RC:&Don’t!make!the!same!mistake!like!the!press.!Yes!numbers!are!important,!but!we!should!not! linger! on! 100,000!more,! 100,000! less.!What!Mr.! Leggeri! said,! is! something!which! have!

been!written!about!in!the!last!years,!especially!I!would!advice!you!to!look!at!this!Altai!report,!I!

might! be! able! to! send! you! the! link,! but! you! know,! even!when! Gaddafi! failed,!more! than! 1!

million!in!Syria,!in!Libya,!inflows!into!Libya,!continuing!even!during!most!critical!time!in!the!

civil!war! and! even!now! there! are! reports! of!migrants,! especially! SubHSaharan! flowing! in! to!

Libya,!even!though!the!Security!situation!is!very!difficult.!So,!whether!it!is!300,000!or!500,000,!

the!real!policy!long!term!vision!should!be!about!the!big!demographic!of!this!crisis!and!I!would!

say!the!economic!motivated!migration!where!environmental!factors!are!playing!an!increasing!

role,! and! it! just! mean! a! growing! definition! of! environmental! refugees.! Now! this! is! the!

framework,!if!you!want!to!talk!how!many!will!arrive!on!the!Italian!shore!the!next!year,!it!will!

be! difficult! to! say,! what! I! always! invite! observers! and! analytics! to! consider! is! the!

organizational!capacity!of!smugglers.!How!many!boats!can!leave!in!one!month?!Last!year!for!4!

month,!there!were!more!than!20!thousands!departures,!and!again!we!ended!up!with!170,000!

persons! arriving! in! Italy,! 140,000! departing! from! Libya.! If! we! increase! that,! not! double,!

looking!at!January!and!February,!when!the!arrivals!already!have!increased!compared!to!2014,!

our!best!guess!would!be!that,!yes,!in!theory!could!reach!240,000,!but!you!know,!this!estimate!

are!important!for!planning!purposes,!the!5!we!were!talking!about!is!more!important,!and!the!

two!are!connected,!but!really!for!the!broad!policy!implications,!not!that!if!150!come!this!year,!

it!is!over.!What!is!the!trend,!what!are!we!looking!at!–!So!I!invite!you!to!look!at!two!different!

levels,! the! planning! down! to! the! ground,! planning! assumption! and! the! medium! term!

geopolitical!and!demographic!scenarios!which!are!quit!different.!

&NK:%Operation%Mare%Nostrum,%I’ve%seen%UNHCR%have%generally%spoken%really%highly%of%this,%why%do% you% believe% that% this% has% been%more% successful% than% previously% deployed% operations% in% the%Mediterranean?%%!

RC:&More! successful,! I! would! translate! your!more! successful! as!more! effective! in! rescuing!persons.!But!when!we!say!more!effective!in!rescuing!persons,!we!need!to!put!that!into!context!

and!I!am!going!to!explain.!Before!the!2013!tragedy!of!the!coast!of!Lampedusa,!we!had!already!

quite!a!number!of!deaths!at!sea!and!that!told!you,!for!a!number!of!reasons,!especially!in!2011,!

because! of! some! I! would! say! relevant! gaps! in! the! rescue! capacity! in! the! Mediterranean.!

Basically,!mostly! by! Italian! coast! guard,! even! the,! to! or! the! lack! of! response! by! the! Libyan!

authorities,!I!don’t!know!if!you!know!the!RCCs.!The!Regional!Coordination!Centre,!foreseen!by!

the!SAR!convention!and!you!know!the!I!don’t!want!to!comment!on!that,!because!it!would!take!

to! long,! the!role!of!Malta,!which!have! the!biggest!SAR!zone!of! the!Mediterranean.!Then!you!

know,!there!were!issues!of!interpretation!of!the!legal!provision,!place!of!safety,!when!a!boat!is!

considered! to! be! in! distress.! For! all! these! logistical,! legal,! political! disagreements,! many!

people! lost! their! lives.!Mid!2013!we!observed!already!an! increase! in! the!arrivals!and!quit!a!

remarkable!increase.!So!Mare!Nostrum!stepped!in!and!if!you!compare!the!number!of!persons!

who!died,!there!were!roughly!3,500,!with!the!number!saved,!you!already!see!that!the!ratio!is!

quit!below!of!what!it!used!to!be!in!the!past.!But!the!question!is!not,!as!I!am!always!obliged!to!

reply!during!conferences,!so!many!people!died!anyway,!so!Mare!Nostrum!is!not!effective,!no!

this! is!not! the!question!and!not!even! the!answer.!The!question! is,!with!Libya! in!a!situation,!

which! allows! for!1,000s!of! departures,! how!many!would!have!died!without!Mare!Nostrum.!

Way!more!!So!Mare!Nostrum!minimized!the!risk.!Having!praised!Mare!Nostrum,!doesn’t!mean!

! 114!

that! UNHCR! has! never! said! that!Mare! Nostrum! is! the! solution.! Mare! Nostrum!was! a! good!

measure!to!address!the!very!shortHterm!priority,!which!was,!and!still!is,!saving!lives.!But!there!

is!still!a!lot!to!do!at!the!policy!level!and!now!you!can!see,!departures!continue,!only!because!

guards!intervene!with!a!lot!of!difficulties,!because!they!need!to!go!close!to!the!Libyan!shore,!

because!the!SAR!system!in!Libya!doesn’t!work!and!these!unseaworthy!dingies!–!boats!leave,!

really,!in!appalling!conditions,!really.!Smugglers!are!in!trade,!the!way!to!organize!the!crossing,!

say,!there!is!no!Mare!Nostrum!any!more,! lets!give!these!persons!a! little!bit!more!chances!to!

get!a! life!on! the!other!side,! they!don’t.! So! the!boats!are!really!horrible.!They!don’t!have! life!

jackets,!they!don’t!have!satellite!phones!and!Italian!authorities!are!struggling!to!safe!persons.!

So!the!UNHCR!has!called!for!another!rescue!operation!in!the!Mediterranean!by!the!European!

Union,!whether! it! can! be! a! reinforcement! of! Triton! or!whatever! else.! But! if,! you! know! the!

short!term!prioritize,!and!something!that!now!has!been!said!a!little!bit!more!loudly!is!that!the!

first!two!months!of!2015,!there!were!more!arrivals!than!in!the!same!period!of!2014,!

&NK:%Yes,%60%%I%believe?%!

RC:&Yes,!so!how!do!you!translate!that,!somebody!could!say!that,!maybe!Mare!Nostrum!did!not!have! the!pull,! it!was!not! a! pull! factor! if! 2015,!without!Mare!Nostrum,!we!have! a! double! of!

number!of!persons!coming!to!Italy.!!

&NK:%So%you%don’t%believe,%that%Mare%Nostrum%act%as%pull%factor,%like%that%has%been%argued?%!

RC:&No!no,!it!is!not!that!a!factor!of!believing!or!not,!I!am!asking!you!if!in!2015,!with!no!Mare!Nostrum!the!number!doubled,!what!do!you!think!about!this?&!

NK:%The%Pull%factors,%because%some%of%the%European%Governments%have%argued%that,%they%are%not%going%to%contribute%to%any%search%and%rescue…%!

RC:&Yes,!and!if!you!look!at!the!numbers,! that! is! the!answer,!with!no!Mare!Nostrum,!there! is!more!arrivals.!It!is!very!simple!there,!you!don’t!need!to!have!an!opinion,!you!just!need!to!look!

at! the! numbers.& The! real! issue! is! not! only! obviously! crisis,! the! role! of! the! international!community,!countries!of!departures,!Eritrea!and!Syria,! transit!countries!and!the!situation! in!

Libya.!&&NK:%So%only%the%push%factors?%!

RC:&Yes,!very!important.!Many!and!very!powerful,!Syrian!crisis,!it!was!anniversary!yesterday,!you!can!see!that!nothing!has!change,!and!Syria!is!darker!than!it!was!4!years!ago!as!you!can!see!

from!the!New!York!Times!pictures.&&&NK:%Thank%you,%I%just%have%one%last%question,%just%to%round%up,%you%mentioned%the%externalization%of% the% asylum% process% earlier,% what% do% you% believe% could% be% the% consequence% if% EU% choose% to%externalize%their%asylum%processes?%%!

RC:&The!external!processing! is!an!open!discussion!and!there!are!so!many! legal!and!political!considerations,!which!cannot!be!simplified!at!this!point!in!time,!also!because,!UNHCR!has!not!

taken,! as! we! usually! do,! an! official! position,! an! official! document.! It! is! being! discussed,!

! 115!

safeguards!should!be!present,!you!know,!Member!States!and!possible!transit!countries!should!

agree! on! a! framework,! but! how!would! it! be! implemented,! you! know,! resettlement! like! or!

some!other!forms,!what!would!it!entail,!what!kind!of!distribution,!how!many!people!would!be!

involved,! is! all! open! to! discussion.!What! obviously! we! have! said! publicly! is! that! it! is! now!

starter!to!think!about!processing!centers!in!Libya!that!is!very!clear.!The!discussion!now!even!

from!some!governments,!even!Germany!is!about!Sudan,!Egypt!or!Nigeria.!But!it!is!really!at!the!

early!stages.!!

&NK:%Yes,%but%now%it%is%changing,%I%guess%it%is%because%of%the%tragedies’%on%the%Mediterranean%and…%!

RC:&Yes!that!was!the!trigger!maybe!to!change.!I!don’t!know!if!deaths!in!Italy,!the!position!of!humanitarian! organizations! or! also! you! know,! stakeholders.! But! definitely! it! resumed! the!

discussion!with!a!little,!much!more,!not!only!of!emotional!and!tragedies!of!the!deaths!at!sea,!

but!also!as!you!said!before,!with! these!much!broader!geopolitical!considerations!you!know.!

The!Syrian!crisis!is!big,!it!is!really!big!compared!to!when!Tony!Blair!proposed!external!asylum!

processing!and!it!is!not!going!to!end!soon,!so!I!see!now!that!there!is!much!pressure!to!develop!

the!proposal,!but!I!think!that!the!remarks,!doubts!that!were!discussed!when!it!came!out!are!

still!more!or! less! there! and! they!would!need! to!be! addressed,! but! you!know,! I! don’t! know,!

maybe!through!some!pilot!projects,!there!could!be!some!attempts!to!see!if!it!can!work!or!not.& &

! 116!

Annex&9&–&Interview&–&Asilo&in&Europa&&Interview58%–%26%April%2015,%Asilo%in%Europa,%Alessandro%Fiorini%&Questions:%- In%your%professional%opinion;%%- Do%you%find%the%Dublin%System%to%enhance%a%lack%of%burden%sharing%between%the%Member%

States?%- Why%do%you%believe%that%the%Member%States%placed%at%the%European%borders,%continue%to%

accept%legislations%such%as%the%Dublin%System?%%!

Answer:&H!The!Dublin!system!was!not!designed!as!a!mechanism!of!burden!sharing!between!Member!

States! insofar! as! it! had! other! objectives! (avoiding! asylum! shopping! and! asylum! seekers! in!

orbit).!We!can!see!that!the!application!of!the!Dublin!system!has!the!effect!to!enhance!a!lack!of!

burden!sharing!among!Member!States:!

!

H!Hierarchy!of!criteria!for!the!allocation!of!responsibility.!!!

Although! the! Dublin! III! regulation! gives! more! importance! to! family! connections! and! visa!

histories,!the!most!frequently!applied!criterion!is!still!the!irregular!entry!or!stay.!This!rule!has!

shifted! a! disproportionate! share! of! the! burden! to! the! States! that! find! themselves! under!

particular! migratory! pressures! because! of! their! geographical! location,! in! particular! those!

having!borders!coinciding!with!EU!external!borders,!especially!Greece,!Italy,!Malta,!Bulgaria;!

moreover!they!often!have! limited!reception!and!absorption!capacities.!For!example! in!2013!

Italy!received!nearly!oneHquarter!of!all!requests!to!take!charge!or!take!back!and!nearly!30%!of!

total! transfers.! In! 2013! transfers! to! Italy! represented! 17%! of! asylum! applications! in! Italy.!

However,!the!impact!of!the!Dublin!system!so!far!has!been!less!strong!as!it!should!have!been!

because! of! the! low! rate! of! effective! transfers! and! the! problems! in! fingerprinting! asylum!

applicants.!!

!

H!No!mutual!recognition!of!positive!decision.!

The!lack!of!burdenHsharing!in!the!allocation!of!asylum!claims!is!worsened!by!the!obligation!of!

mutual!recognition!of!asylum!claims!only! in!respect!to!negative!decisions!and!excluding!the!

positive!ones.!This!entails!that!the!beneficiary!of!the!protection!will!be!allowed!to!settle!in!a!

Member!State!other!than!that! identified!by!the!Dublin!mechanism!only!when!he!or!she!gets!

the!status!of!long!term!resident.!!

!

H! The! Dublin! Convention! represented! the! cost! for! guaranteeing! the! free! movement! in! the!

Schengen!area.!In!addition!there!was!no!real!awareness!of!the!possible!impact!of!the!Dublin!

system!and!for!Italy!asylum!was!a!relative!new!issue!since!in!the!past!it!was!mainly!a!sending!

country! of! migration! and! only! recently! Hin! comparison! with,! for! example,! Germany! and!

FranceH,!became!a!destination!country!of!migrants!and!asylum!seekers.!Nowadays! Italy!and!

the! other! external! border!Member! States! continue! to! accept! the! Dublin! System! because! it!

became!a!political!instrument!on!the!table!of!the!negotiations!at!the!European!level.!In!fact!the!

burden! shifted! on! these! Member! States! by! the! functioning! of! the! Dublin! System! is!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! !!!!!!!!!!!!!!!!!!!!!58!Email!correspondence!!

! 117!

counterbalanced!by! financial!support!and!other! incentives!as,! for!example,! the!assistance!of!

the!EASO.&!

!

Questions:$%- What% have,% in% your% professional% opinion,% contributed% to% this% evolution% in% the% European%

Asylum%System?%- To%further%EU%shared%asylum%policies,%what%do%you%see%as%alternatives%to%the%Dublin%System,%

fostering%more%durable%solutions%for%all%Member%States?%$&Answer:&!1.!The!Dublin! II!Regulation!was!adopted!to!replace!an! international!Convention!(the!Dublin!Convention)!which!entered!into!force!on!1!September!1997!for!the!first!twelve!signatory!State!

(among!which! Italy).!At! that! time,! such!a!mechanism!was! considered!necessary! in!order! to!

counterbalance!the! lifting!of! the!controls!at! the! internal!borders!and!determine!which!State!

was!responsible!for!handling!an!asylum!claim.!In!2003,!the!adoption!of!Dublin!II!Regulation!

pursued!the!same!objective.!However,!right!after,!its!inherent!flaw!(i.e.!the!imbalanced!burden!

sharing)!became!evident!and!nonHsustainable!in!itself.!Indeed,!changes!were!needed!to!better!

address! situations! of! particular! pressure! on! first! entrance!Member! States'! asylum! systems.!

Accordingly,! in! 2013,! the! EU! Legislators! approved! the! Dublin! III! Regulation,! aiming! to!

improve!the!overall!efficiency!of!the!Dublin!system.!

!

2.!The!Common!European!Asylum!System!lies!on!the!principle!of!mutual!trust!among!Member!States.! Therefore,! a! Regulation! which! provides! for! a! cooperation! mechanism,! establishing!

agreed! criteria! on! the!management! of! asylum! claims! is! an! unique! element! of! this! System.!

However! such! a! mechanism! shall! function! properly.! ! In! other! words,! a! system! for! the!

allocation!of!responsibility!among!the!Member!States!cannot!be!avoided,!but!rather!it!should!

be!ameliorated!further.!Amendments!on!the!criteria!based!on!family!considerations!could!be!

envisaged,!for!example!by!extending!the!persons!covered!by!the!term!“family”.!Moreover,!the!

early!warning,!preparedness!and!crisis!management!mechanism!shall!be!triggered,!in!order!to!

promptly! support!any!State!under! serious!pressure.!On! the!other!hand,! the!amelioration!of!

the!Dublin!system!shall!be!flanked!by!concrete!actions!on!relocation,!taken!by!both!the!EU!and!

the!Member!States.!Indeed,!equal!burden!sharing!depends!very!much!on!States'!will!to!take!on!

their!international!responsibility.!And!the!EU!shall!be!there!to!remind!its!Members!about!such!

responsibilities.!

&&Questions:$%- Why%do%you%believe%that%the%Operation%Mare%Nostrum%has%been%successful?%%- Do%you%perceive%Operations%as%Mare%Nostrum,%as%having%a%pull%effect%on%arrivals?%%- Which%were%the%main%strengths%and%weaknesses%of%the%mandate%of%Operation%Mare%Nostrum?!!!

Answer:&The!Operation!Mare!Nostrum!was!more!effective! in!rescuing!operations,!when!compared!to!

previous! coastguard! activities,! because! of! the! large! capacity! and! the! SAR!mandate.! Several!

navy! ships,! helicopters! and! vessels! have! been! deployed! in! international! waters! (For! the!

details!of!the!operation!please!see!here).!The!aims!were!twoHfold:!combating!smugglers!and!

! 118!

traffickers,!and!conducting!SAR!operations,!also! in! international!waters.!Mare!Nostrum!was!

not! a! pull! factor,! and! this! is! shown! by! the! increase! in! sea! arrivals! after! the! operation!was!

ended.! The! number! of! boat! people! disembarked! on! the! Italian! coast! has! sharply! increased!

(See!in!Italian!here).!The!root!causes!of!forced!migration,!along!with!the!Libyan!crisis!are!the!

reasons!underlying!the!increase!of!departures!and!arrivals,!not!rescuing!operations.!

!

Asilo! in! Europa! believes! that! Mare! Nostrum!was! a! great! response! to! the! large! number! of!

arrivals!when!it!comes!about!SAR!operations,!because!of!the!great!capacity!deployed.!We!have!

drafted!our!position!as!regards!Mare!Nostrum,!its!strengths!and!weaknesses!in!two!positions!

(here!and!here).!We!are!still!of! the! idea!that!a!more!structured!plan!is!needed,!and!that!the!

emergency! response! is! not! a! farHsighted! approach.! Asilo! in! Europa! considers! of! utmost!

importance! deploying! a! wellHresource! operation! mandated! of! rescuing! at! sea! migrants! in!

distress,!while!at!same!time!boosting! its!reception!capacity,!adapting! it! to! the!high! influx!of!

migrants!and!asylum!seekers.&&!

Questions:%- What% is% your% opinion% on% the% capacity% of% Operation% Triton,% and% what% do% you% foresee% as%

upcoming%problems,%when%“substituting”%Mare%Nostrum?%%- What%is%your%professional%view%on%the%capacity%of%Frontex%as%an%agency;%in%compliance%with%

inter%alia,%human%rights%and%other%international%laws?%%%Answer:&!The!capacity!of!Triton!is!oneHthird,!in!terms!of!resources!allocated,!and!even!less!in!terms!of!

ships!deployed.!The!mandate!of!Mare!Nostrum!broadly!differs!from!Triton.!While!the!former!

was!mandated!of!searching!and!rescuing!boats!in!distress,!while!at!the!same!time!combating!

trafficking,!the!latter’s!first!objective!is!contrasting!irregular!migration!and!patrolling!borders.!

Triton! ships! engage! in! SAR!operations! only!when! requested! by! the! Italian! SAR! authorities,!

like!all! the!other!vessels!at! sea.!Since! the!main!goal!of!Triton! is!border!surveillance,! the!EU!

deployed!mission!does!not!reach!international!waters.!Triton!ships!do!not!operate!beyond!30!

miles,!unless!they!are!instructed!to!do!so,!by!the!SAR!Coordination!centre.!Mare!Nostrum!on!

the! other! hand! went! as! far! as! 100! miles,! operating! in! international! waters,! making! more!

effective!SAR!operations.!!

!

Frontex!mandate! is! regulated!by!EU! law!(see!Frontex!Regulation).! Its!mandate! is! limited! to!

coordination,!assistance,!training,!and!its!scope!relates!to!the!EU!external!border.!Recently!the!

Council!has!announced!that!the!budget!and!the!capacity!of!Triton!will!be!tripled.!We!welcome!

this! development,! and! at! the! same! time! we! stress! that! if! the! mandate! remains! border!

surveillance! the! capacity! of! Triton! in! terms! of! SAR! will! still! be! limited! compared! to! Mare!

Nostrum.!To!what!extent!Frontex!respects!or!not!international!human!rights!is!not!an!easy!to!

say.! What! we! can! say! is! that! when! operating! at! sea,! Frontex! operations! are! bound! by!

Regulation! (EU)!No! 656/2014! of! 15!May! 2014.! The! regulation! seems! a! little! contradictory!

when! reading! article! 4! (Protection! of! fundamental! rights! and! the! principle! of! nonH

refoulement)!in!conjunction!with!article!10,!providing!that!“disembarkation!may!take!place!in!

the!third!country!from!which!the!vessel!is!assumed!to!have!departed”.!We!find!no!reports!of!

pushHbacks!and!violations!of!the!nonHrefoulement!principle!in!the!Triton!operation,!however!

we!do!not!find!in!line!with!the!principle!of!nonHrefoulement!this!provision.! !

! 119!

Annex&10&–&Interview&with&Borderline&Sicilia&Onlus&!

Interview59%–%18%May%2015,%Borderline%Sicilia%Onlus%–%Judith%Gleitze%%!

Questions:%- In%your%professional%opinion;%%- Do%you%find%the%Dublin%System%to%enhance%a%lack%of%burden%sharing%between%the%Member%

States?%- Why%do%you%believe%that%the%Member%States%placed%at%the%European%borders,%continue%to%

accept%legislations%such%as%the%Dublin%System?%%%Answer:%,%See%below%point%2%&!

Questions:$%- What% have,% in% your% professional% opinion,% contributed% to% this% evolution% in% the% European%

Asylum%System?%- To%further%EU%shared%asylum%policies,%what%do%you%see%as%alternatives%to%the%Dublin%System,%

fostering%more%durable%solutions%for%all%Member%States?%$&Answer:&&The!member!States!in!midHEurope!and!northern!Europe!wanted!to!close!the!borders!and!with!

the!Dublin!Regulation!they!hold!the!European!external!Border!States!responsible!for!closing!

the!borders.!Malta,!Cyprus,!Greece!and!Italy!some!years!ago!tried!to!change!DUBLIN,!but!they!

had!no! success! because! of! the!principal! of! consensus! in! the!EU.!Nobody!wants! to! have! the!

work!of!the!external!Border!States!!

%It!is!right!that!the!external!Border!States!have!now!all!the!work!to!close!the!frontier!–!but!we!

see!that!it!does!not!work:!in!Germany!for!example!we!have!much!more!asylum!requests!than!

in! Italy.! A! lot! of! people! cannot! be! send! back! to! the! first! state! of! entrance.! So! the! Dublin!

regulation!is!lapsed!because!migrants,!refugees!are!not!goods!but!human!beings!and!they!try!

to!go!where!they!have!relatives,!friends,!communities.!!

%Last!but!not!least!it!might!be!a!question!of!money,!funds,!support:!the!bigger!and!the!stronger!

EU!member!States!will!oblige!small!member!States!in!terms!of:!if!you!do!not!say!yes!you!will!

not!get.!

!

The!Dublin!system!must!be!abolished!because!it!is!inhuman.!It!is!not!our!task!to!think!about!

financial!solutions!instead!of!a!system!created!at!the!writing!table.!There!are!a!lot!of!theories!

to!share!the!so!called!burden!and!every!theory!must!be!studied!well.!For!example!there!are!

theories!who!are!talking!about!the!willingness!to!share!the!financial!burden!in!a!solidary!way!

on!the!basis!on!quotas!that!has!been!accepted!as!fair.!(see:!!Europäische&Flüchtlingspolitik&:&Wege&zu&einer&fairen&Lastenteilung& ,&Steffen!Angenendt!/!Marcus!Engler!/!Jan!Schneider!–!European!Migration!Policy:!The!way!for!a!fair!burden!sharing)!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! !!!!!!!!!!!!!!!!!!!!!59!Email!correspondence!!!

! 120!

!

We!don’t!know! if! this! theory!would!be!a! solution,!but! till! the! standards!of! accommodation,!

asylum! procedures,! living! standard,! possibility! of! work,! possibility! of! education! etc! are! so!

unequal!in!the!EU!member!States!we!think!it!will!be!really!difficult!to!find!a!solution!that!will!

be!supported!by!all!member!States.!Those!member!States!who!are!not!taking!refugees!have!to!

contribute! in! another!way.! So!we! thing!unfortunately! the! actual!DUBLIN! regulation! is! very!

comfortable!for!a!closed!border!regime!like!the!EU.!

!

!

Questions:$%- Why%do%you%believe%that%the%Operation%Mare%Nostrum%has%been%successful?%%- Do%you%perceive%Operations%as%Mare%Nostrum,%as%having%a%pull%effect%on%arrivals?%%- Which%were%the%main%strengths%and%weaknesses%of%the%mandate%of%Operation%Mare%Nostrum?!!!

Answer:&We!do!not!believe!that!Mare!Nostrum!has!been!more!successful!–!they!had!only!more!vessels!

and!after!a!certain!moment!they!could!not!go!on!with!the!original!purpose!to!push!back!and!to!

discourage!migrants!detaining!so!called!traffickers.!Mare!Nostrum!has!been!more!successful!

in!numbers,!but!only!in!this!direction!you!can!talk!about!a!success.!!

!

Mare! Nostrum! had! no! pull! effect,! in! the! meantime! all! observers! are! confirming! that! this!

pretension! is! not! true! because! we! see! that! without! Mare! Nostrum! are! arriving! a! lot! of!

migrants,!in!January/February!2015!even!more!than!in!the!same!period!in!2014!WITH!Mare!

Nostrum.!!

!

Mare!Nostrum!cannot!be!a!substitution!for!a!real!European!border!policy!–!it!will!be!–!and!it!

wasH!only!a!so!called!drop!in!the!ocean.!What!we!need!is!not!an!emergency!scenario!but!an!

open!welcome!policy,!legal!entrances!in!the!European!Union!and!afterwards!decisions!about!

asylum! requests! etc.! So!Mare!Nostrum!was! a! good! emergency! support! for! a!work! that! the!

Search!&!Rescue!MUST!do!anyway;!but!it!was!no!political!solution.!!

!

!

Questions:%- What% is% your% opinion% on% the% capacity% of% Operation% Triton,% and% what% do% you% foresee% as%

upcoming%problems,%when%“substituting”%Mare%Nostrum?%%- What%is%your%professional%view%on%the%capacity%of%Frontex%as%an%agency;%in%compliance%with%

inter%alia,%human%rights%and%other%international%laws?%%!

Answer:&&TRITON!is!not!substituting!Mare!Nostrum,!Triton!has!a!totally!other!objective:!to!save!borders!

because! it! is! an!border!Agency.!Mare!Nostrum! firstly! tried! to!detain! as!much! as! traffickers!

they! “found”,! but! in! the! end! they! had! to! run! after! the! rescues.! So! we! do! not! support! the!

discussion!“better!Mare!Nostrum!or!better!Triton”!–!we!are!demanding!urgently!for!another!

policy!in!the!European!Union!(legal!entrances,!so!called!“humanitarian!corridors”…)!

!

Frontex!as!a!border!security!agency!has!online!one!objective:! to!close!the!borders.!This!has!

nothing!to!do!with!human!rights.!The!nonHrefoulement!obligation!is!ignored,!the!international!

! 121!

rescue!conventions!are! ignored!when!they!are!pushing!back! in! the!greekHturkish!border,!or!

from!the!Mediterranean!to!Libya!(what!a!lot!of!politicians!want!to!do!even!if!the!situation!in!

Libya!is!unsafe!and!lifeHthreatening.!There!are!existing!studies!about!the!compatibility!of!sea!

conventions,!human!rights!conventions!and!Frontex!–!they!are!not!compatible." "

! 122!

Annex&11&–&Interview&with&Consiglio&Italiano&Per&Rifugiati&Onus&(CIR)&–&Original&&&Interview60%–%26%February%2015,%CIR%Consiglio% Italiano%Per%Rifugiati%Onus,%Fondazione%Verga%–%Valeria%Carlini%,%Original%%!

Roma&26&febbraio&2015!&!Comunicato&stampa!CIR:&SISTEMA&DUBLINO&INEFFICACE&E&INUMANO.&NECESSARIO&SUPERARLO.!&!L’Italia! è! ormai! il! più! importante! punto! di! ingresso! di! migranti! in! Europa,! nel! 2014!! sono!

arrivati!via!mare!170.000!richiedenti!asilo,!rifugiati!e!migranti!e!gli!arrivi!all'inizio!del!2015!si!

sono!intensificati.!La!situazione!in!Libia!fa!presagire!un!flusso!sempre!maggiore:!nessun!altro!

Stato! membro! ha! mai! affrontato! un! tale! numero! di! persone! che! attraversano! in! modo!

irregolare! le! frontiere!esterne!dell’Unione.!!Molte!di!queste!persone!sono!rifugiati:! lo!scorso!

anno! l’Italia! ha! ricevuto! 64.000! domande! d’asilo! e! ben! il! 60%! di! persone! ha! ricevuto! una!

forma!di!protezione.!

!!

Non! solo! siamo! gli! indiscussi! campioni! del! salvataggio! in! mare,! ma! abbiamo! una! sempre!

crescente!responsabilità!nei!confronti!di!richiedenti!asilo.!Basti!pensare!che!nel!2013!il!70%!

dei!richiedenti!asilo!si!è!concentrata!in!appena!cinque!Stati:!Germania,!Svezia,!Italia,!Francia!e!

Regno!Unito.!E!nei!primi!nei!primi!9!mesi!del!2014!questa!tendenza!continua:!!4!paesi!hanno!

ricevuto! il! 60%! delle! domande! di! asilo! presentate! in! tutta! Europa! H! Germania! 100.572!

(28,1%)! ,! Italia! 42.375!! (11,8%),! Svezia! 55.615! (15,5%),! Svizzera! 16.800! (4,7%).!! Questo!

nonostante! l’Articolo! 80! del! Trattato! sul! Funzionamento! dell’Unione! Europea! stabilisca! il!

principio!di!solidarietà!tra!gli!Stati!membri!dell’Unione!in!materia!di!controllo!delle!frontiere,!

asilo! e! immigrazione:! un! principio! che! deve! governare! le! azioni! dell’Unione! Europea! e! dei!

singoli!Stati.!

!!

“La!posizione!geografica!e!geopolitica!dell’Italia!pone!il!nostro!Paese!di!fronte!a!sfide!sempre!

più!ardue!ed!è!necessario!che! l’Unione!Europea!dimostri!solidarietà!nel!portare!soccorso! in!

mare! e! nel! dare! accoglienza! ai! rifugiati.! L’Italia! insieme! con! gli! altri! Stati! del! Sud!Europa! è!

sicuramente!tra!i!Paesi!maggiormente!interessati!a!promuovere!a!livello!europeo!un!profondo!

ripensamento!che!esca!dalla!logica!perversa!per!cui!il!Paese!che!salva!una!vita!in!mare,!dovrà!

poi!essere!il!Paese!che!dovrà!dare!accoglienza!a!quella!persona.!Vogliamo!che!il!principio!di!

solidarietà!che!deve!regolare!le!normative!comunitarie!in!materia!di!migrazione!e!asilo!venga!

tradiotto!in!Politiche!e!in!leggi”!dichiara!Roberto!Zaccaria!Presidente!del!CIR.!

!!

Il! Sistema! Dublino,! oltre! ad! essere! inumano,! è! anche! inefficace:! i! dati! relativi! al! Sistema!

Dublino,!che!ha!un!pesantissimo!impatto!sia!sulla!vita!delle!persone!nonchè!sui!costi!che!gli!

Stati!debbono!sostenere,!ha!un!impatto!numerico!veramente!molto!limitato.!Nel!2013!a!fronte!

di!435.000!domande!d’asilo!è!stato!richiesto!il!trasferimento!di!16.014!persone!ovvero!il!3.7%!

dei! richiedenti! asilo! in! tutta! Europa! (dati! Eurostat).! Questo! vuol! dire! che! mentre! il!

Regolamento!impedisce!al!100%!di!tutti!i!richiedenti!asilo!e!rifugiati!di!scegliere!il!Paese!in!cui!

vivere,!limitando!fortemente!la!loro!libertà!personale!e!conseguentemente!tutti!i!loro!diritti,!si!

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! 123!

applica!nella!pratica!al!solo!3.7%.!!Inoltre!se!guardiamo!ai!saldi!di!alcuni!Paesi!ci!accorgiamo!

ad!esempio!che!verso! la!Francia!viene!chiesto! il! trasferimento!di!834!persone;!ma! lo!stesso!

Paese!richiede!il!trasferimento!verso!altri!Paesi!di!645!persone,!con!un!saldo!di!meno!di!200!

persone.! In! Gran! Bretagna! questo! saldo! è! inferiore! a! 500! persone.! Ci! sembrano! cifre!

francamente!ridicole.!!

!!

“Ci! sembra!che! tutto! il!braccio!di! ferro! fatto! intorno!al!Regolamento!Dublino!sia!veramente!

strumentale!e!fine!a!se!stesso:!si!vuole!più!ribadire!un!principio!che!dare!risposte!concrete!ai!

problemi!dei! rifugiati! e!degli! stati! europei.!E’! evidente! che! l’attuale! sistema!d’asilo!Europeo!

non!funziona.!Questo!vale!tanto!dal!punto!di!vista!dei!governi!come!da!quello!dei!richiedenti!

asilo! e! rifugiati.! C’è! ormai! la! consapevolezza! che! bisogna! trovare! approcci! radicalmente!

diversi!e!tali!approcci!devono!partire!dal!principio!di!solidarietà!con!chi!è!costretto!alla!fuga.!

Siamo! parte! di! un’Europa! che! fa! circolare! liberamente! le!merci! senza! pagare! dazi,! ma! che!

continua!a!legare!a!un!paese!le!persone!che!hanno!bisogno!di!protezione,!senza!prendere!in!

minima! considerazione! la! loro! volontà! e! i! loro! legami.! Vogliamo! che! finalmente! sia!

riconosciuto! da! tutti! gli! Stati! europei! il! valore! della! protezione! internazionale! rilasciata! da!

ogni!Paese!membro.!Un!rifugiato!riconosciuto!dall’Italia!deve!essere!un!rifugiato!anche!per!la!

Germania:!deve!avere!diritto!come!ogni!cittadino!europeo!di!muoversi!liberamente.”!dichiara!

Christopher!Hein!Direttore!del!CIR.!

!!

Per!superare!Dublino,!crediamo!sia!fondamentale!cominciare!a!superarne!gli!effetti.!Ad!oggi!

una!persona!la!cui!protezione!internazionale!è!riconosciuta!da!un!Paese!è!costretta!a!vivere!in!

quel!Paese:!può!circolare!per!3!mesi!all’interno!dell’Unione!Europea,!ma!non!si!può!trasferire!

in!nessun!altro!Stato!per!lavorare,!studiare!o!vivere!stabilmente.!Questo!nonostante!dal!1999!

l’Unione!europea!è!impegnata!a!creare!un!sistema!europeo!comune!di!asilo!basato!su!sistemi!

e!standard!comuni.!“Affinché!lo!status!sia!veramente!valido!in!tutta!l’Unione,!un!beneficiario!

di!protezione! internazionale!dovrebbe!vedersi! riconosciuti! i!diritti!e! le! libertà!connesse!alla!

sua!presenza! sul! territorio!europeo.! Il!principio!del!mutuo! riconoscimento!è!un! importante!

strumento! affinché! i! beneficiari! di! protezione! internazionale! possano! fruire! effettivamente!

della!libertà!di!stabilirsi!entro!i!confini!europei!fruendo!di!tutti!i!diritti!(lavoro!e!diritti!sociali!

in! primis)! garantiti! dal! loro! status.! Peraltro! tale! libertà! di! stabilirsi! faciliterebbe! il!

ricongiungimento!familiare!dentro!lo!spazio!dell’Unione”!conclude!Hein.!

!!

!!

Nota&Statistica!!

Arrivi&in&Europa!Nel!2014!circa!278.000!rifugiati,!richiedenti!asilo!e!migranti!sono!arrivati!in!modo!irregolare!

in! Europa,! quasi! il! 160%! in! più! rispetto! al! 2013! (107.000).! Un! dato! che! segna! un! record!

assoluto!di!arrivi!alla!frontiera!europea,!pari!a!quasi!al!doppio!dei!141.000!ingressi!registrati!

nel!2011,!durante!le!primavere!arabe.!Questi!dati!sono!riferibili!solamente,!chiaramente,!agli!

arrivi!irregolari!intercettati!dalle!forze!dell’ordine!(dati!Frontex).!

!!

Arrivi&in&Italia!Sono!170.100!le!persone!arrivate!in!Italia!via!mare!nel!2014,!attraverso!1.111!sbarchi.!Le!tre!

regioni! che! hanno! visto! un! maggior! numero! di! arrivi! sono! la! Sicilia! (120.239),! la! Puglia!

(17.565)!e! la!Calabria! (22.673).!La!nazionalità!prevalente!è! siriana! (42.323,! circa! il!25%),!a!

! 124!

seguire!l’Eritrea!(34.329,!20!%),!il!Mali!(9.908,!circa!il!6%)!e!la!Nigeria!(9.000,!il!5,3%)(Dati!

del!Ministero!dell’Interno!rielaborati!dalla!Fondazione!ISMU).!

!!

Domande&d’asilo!2014!Alla! fine! di! settembre! 2014! (la! cifra! totale! per! il! 2014! non! è! ancora! pubblica)! le! richieste!

d’asilo!registrate!in!tutti!i!paesi!dell’UE!sono!state!357.855.!

!!

Nei!primi!9!mesi!4!paesi!H!Germania!100.572!(28,1%)!,!Italia!42.375!!(11,8%),!Svezia!55.615!

(15,5%),!Svizzera!16.800!(4,7%)!H!raggiungono!il!60%!delle!richieste!di!asilo!presentate!nei!

28!Stati!Membri!UE.!

!!

2013!Secondo!i!dati!Eurostat!nel!2013!sono!state!presentate!un!totale!di!435.000!domande!d’asilo!

negli! Stati!Membri!UE! e! 5! Paesi! H! la!Germania! (127.000,! pari! al! 29%!del! totale),! la! Francia!

(65.000,!il!15%)!la!Svezia!(54.000,!il!13%),!la!Gran!Bretagna!(30.000,!il!7%)!e!l’Italia!(28.000,!

pari!al!6%)!–!hanno!raggruppato!il!70%!di!tutte!le!richieste!d’asilo!presentate.!

!!

Dublino!Trasferimenti&dai&seguenti&Paesi&(2008R2013)&con&il&Sistema&Dublino&(dati&Eurostat).!&!GEO/TIME! 2008! 2009! 2010! 2011! 2012! 2013!

Germany! 2.122! 2.932! 2.380! 2.754! 3.062! 4.316!

France! 783! 1.010! 883! 487! 598! 645!

Italy! 112! 41! 62! 14! 5! 5!

Poland! 70! 10! 28! 39! 93! 61!

Sweden! :! 1.086! 1.146! 1.045! 1.741! 2.869!

United!Kingdom! 1.217! 995! 995! :! 714! :!

Norway! :! 1.130! 716! 792! 706! 945!

Switzerland! 0! 1.904! 2.553! 3.620! 4.637! 4.165!

Totale!paesi!UE! 7.527! 13.840! 13.574! 12.722! 14.409! 16.014!

&!Trasferimenti& verso& i& seguenti& Paesi& (2008R2013)& con& il& Sistema& Dublino& (dati&

Eurostat).!&!GEO/TIME! 2008! 2009! 2010! 2011! 2012! 2013!

Germany! 1.270! 1.258! 964! 1.083! 1.371! 1.702!

France! 989! 820! 827! 1.046! 923! 834!

Italy! 996! 1.800! 1.041! 1.801! 1.639! 3.460!

Poland! :! 960! 907! 581! 768! 2.442!

Sweden! :! :! 0! 0! 0! 0!

United!Kingdom! 403! 368! 268! 271! 262! :!

Norway! :! 0! 0! 0! 0! 0!

Switzerland! 0! 195! 452! 482! 574! 751!

Totale!paesi!UE! 6.048! 10.447! 8.987! 9.301! 9.437! 14.248!

! 125!

Annex&12!–!Interview&with&Consiglio&Italiano&Per&Rifugiati&Onus&(CIR)&–&Translation&&&Interview61%–%26%February%2015,%CIR%Consiglio% Italiano%Per%Rifugiati%Onus,%Fondazione%Verga%–%Valeria%Carlini%–%Translation%&CIR:&THE&DUBLIN& SYSTEM& IS& INEFFECTIVE&AND& INHUMANE.&WE&HAVE&TO&OVERCOME&THIS&SYSTEM.&!

Italy! is!currently! the!most! important!entry!point! for! immigrants!coming! to!Europe,! in!2014!

arrived! 170.000! people! by! sea! asking! for! asylum,! refugees! and! immigrants.! Moreover,! the!

arrivals!at!the!beginning!of!2015!have!been!intensified.!

!

The!worrying!situation!in!Libya!portends!an!increasing!flow!of!immigrants;!no!other!Member!

State! has! ever! faced! such! a! number! of! people! trying! to! illegally! cross! the! European! Union!

frontiers.! Among! these! people,! many! of! them! are! refugees:! last! year! Italy! received! 64.000!

asylum!requests,!more!than!60%!of!these!people!received!a!form!of!protection.!!

!

Italy! is! not! only! the! undisputed! champion! of! rescue! at! sea,! but! we! have! a! growing!

responsibility! towards! the! asylum! seekers.! Only! in! 2013! 70%! of! the! asylum! seekers! was!

concentrated! in! just! five!countries:!Germany,!Sweden,! Italy,!France!and!UK.! In! the! first!nine!

months! of! 2014! this! trend! continues:! four! countries! received! 60%! of! the! total! asylum!

requests! all! over! Europe,! Germany! 100.572! (28,1%),! Italy! 42.375! (11,8%),! Sweden! 55.615!

(15,5%)!Switzerland!16.800!(4,7%).!This!is!happening!even!if!article!80!of!the!Treaty!on!the!

Functioning! of! the! European!Union! establishes! the! principle! of! Solidarity! among! European!

Member!States!in!the!field!of!border!control,!asylum!and!immigration.!This!is!a!principle!that!

should!lead!the!actions!of!the!European!Union!and!of!the!single!member!states.!!

!

The!geographical!and!geopolitical!situation!of!Italy!puts!our!country!in!the!face!of!increasingly!

difficult! challenges! and! it! is! necessary! that! the! European! Union! show! solidarity! both! in!

rescuing! operations! at! sea! and! in! giving! hospitality! to! refugees.! Italy,! along!with! the! other!

Southern!European!States,!is!the!state!that!is!more!interested!in!promoting,!at!the!European!

level,!a!deep!reform!that!leaves!the!perverse!logic!that!the!country!that!saves!lives!at!sea,!will!

then!be! the!country! that!have! to!welcome! the!people! saved.! “We!want! that! the!principle!of!

solidarity! has! to! regulate! the! European! norms! in! terms! of! immigration! and! asylum!will! be!

applied!in!policies!and!national!laws”!said!Roberto!Zaccaria!president!of!CIR.!!

!

The!Dublin!system,!in!addition!to!being!inhumane,!is!also!ineffective:!the!data!relating!to!the!

Dublin!system,!which!has!a!heavy! impact!both!on!people's! lives!as!well!as!on!the!costs! that!

states!must!uphold,!has!a!very!limited!numerical!impact.!

!

In!2013! in! the! face!of!435.000!asylum!applications,! the! transfer!of!16.014!people!has!been!

requested,! that! means! 3.7%! of! asylum! seekers! in! all! of! Europe.! This! means! that! the!

Convention!prevents!100%!of!asylum!seekers! to!choose! the!State!where! they!would! like! to!

live,!severely!restricting!their!own!personal!freedom!and!their!own!rights,!this!Convention!is!

only!applied!to!3.7%!of!them.!!

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! !!!!!!!!!!!!!!!!!!!!!61!Translation!of!email!correspondence!!

! 126!

!

Moreover! if! we! look! at! the! balances! of! some! Countries!we! can! see! how,! for! example,! 834!

people! have! requested! to! transfer! to! France,! but! at! the! same! time! France! requested! the!

transfer! of! 645! people! to! other! countries,! with! a! balance! of!minus! 200! people.! In! UK! this!

balance!is!less!than!500!people,!which!seem!frankly!ridiculous.!!

!

It!seems!that!the!tug!of!war!around!the!Dublin!Convention!is!truly!instrumental!and!an!end!in!

itself.!It!is!more!protecting!and!reaffirming!a!principle!rather!than!giving!concrete!answers!to!

the! refugees’! problems! and! to! the! European!member! states.! It! is! simple! to! notice! that! the!

current!European!asylum!system!doesn’t!work.!This!is!a!fact!both!from!a!government!point!of!

view! and! from! a! refugees’! point! of! view.! There! is! now! an! awareness! that!we! need! to! find!

radically! different! approaches! and! these! approaches! must! start! from! the! principle! of!

solidarity!with! those! people! that! are! forced! to! escape.! Nowadays!we! are! part! of! a! Europe!

where! goods! circulates! freely!without! paying! duties,! but! that! continues! to! bind! the! people!

who! need! protection! to! a! Country,! without! taking! into! consideration! their! will! and! their!

relations.!!

!

We!want!that!the!value!(principle)!of!international!protection!has!to!be!recognized!by!all!the!

European! Member! states,! “A! refugee! recognized! by! Italy! has! to! be! a! refugee! even! for!

Germany:!he!has!to!have!the!right!like!other!European!citizens!of!freely!move!around!Europe”.!

Said!Christopher!Hein!Director!of!CIR.!

!

In! order! to! overcome! the! Dublin! Convention,! we! believe! that! it! is! fundamental! starting! to!

overcome!the!effects!of!this!Convention.!The!current!system!implies!that,!every!person!that!is!

recognized! for! international! protection! from! a! European! Country! is! forced! to! live! in! that!

country:!he!can!circulate!for!three!months!inside!the!European!Union,!but!he!cannot!transfer!

himself!to!other!States,!either!to!work!or!study!or!live!permanently.!!

!

This! is! happening! in! spite! of! the! fact! that! since! 1999! the! European! Union! is! working! on!

creating!a!Common!European!Asylum!System!based!on!systems!and!common!standards.!"In!

order!for!the!status!to!become!really!valid!throughout!the!Union,!a!beneficiary!of!international!

protection!should!be!given!all!the!rights!and!freedoms!related!to!its!presence!on!the!European!

territory.! The! principle! of! mutual! recognition! is! an! important! instrument! that! allows!

beneficiaries!of!international!protection!to!have!effective!freedom!of!establishing!themselves!

within! the! European! borders,! especially! enjoying! all! their! rights! (labor! and! social! rights)!

guaranteed!by! their! status.!Moreover,! that! freedom!of!establishment!would! facilitate! family!

reunification!within!the!Union!"concludes!Hein.!

!

!

Statistical&Note&Arrivals&in&Europe&In! 2014! approximately! 278,000! refugees,! asylum! seekers! and! immigrants! have! arrived!

irregularly!in!Europe,!almost!160%!more!than!in!2013!(107,000).!This!figure!marks!a!record!

number!of!arrivals!at!the!European!border,!amounting!to!almost!double!the!141,000!entries!

recorded!in!2011,!during!the!Arab!spring.!These!data!relate!only,!clearly,!to!irregular!arrivals!

intercepted!by!the!police!(data!Frontex).!

!

! 127!

Arrivals&in&Italy&In!2014!170!100!people!arrived!by!sea,!through!1,111!landings.!The!three!regions!that!have!

seen!an!increased!number!of!arrivals!are!Sicily!(120!239),!Puglia!(17!565)!and!Calabria!(22!

673).!The!Syrian!nationality! is!prevalent! (42!323,!about!25%),! followed!by!Eritrea!(34!329,!

20%),!Mali!(9908,!about!6%)!and!Nigeria!(9000,!5.3%)!(Data!Interior!Ministry!reworked!by!

the!Foundation!ISMU).!

!!

!

Asylum&requests&(applications)!2014&At!the!end!of!September!2014!(the!total!figure!for!2014!is!not!yet!public)!asylum!applications!

registered!in!all!EU!countries!were!357!855.!In!the!first!9!months!4!countries!H!Germany!100!

572! (28.1%),! Italy! 42! 375! (11.8%),! Sweden! 55! 615! (15.5%),! Switzerland! 16,800! (4.7%)! H!

reach!60%!of!requests!for!asylum!in!the!28!EU!Member!States.!

!

2013&According!to!Eurostat!data!2013!were!presented!a!total!of!435,000!asylum!applications!in!the!

EU!member!states.!The!top!5!countries!were!H!Germany!(127,000,!29%!of! the!total),!France!

(65,000,!15%),!Sweden!(54,000,!13%),!Britain!(30,000,!7%)!and!Italy!(28,000,!or!6%)!H!have!

gathered!70%!of!all!requests!for!asylum.!

!

!

Dublin&System&Transfers&from&the&following&countries&(2008R2013)&with&the&Dublin&System&(Eurostat).&GEO/TIME! 2008! 2009! 2010! 2011! 2012! 2013!

Germany! 2.122! 2.932! 2.380! 2.754! 3.062! 4.316!

France! 783! 1.010! 883! 487! 598! 645!

Italy! 112! 41! 62! 14! 5! 5!

Poland! 70! 10! 28! 39! 93! 61!

Sweden! :! 1.086! 1.146! 1.045! 1.741! 2.869!

United!Kingdom! 1.217! 995! 995! :! 714! :!

Norway! :! 1.130! 716! 792! 706! 945!

Switzerland! 0! 1.904! 2.553! 3.620! 4.637! 4.165!

Total&EU&Countries& 7.527& 13.840& 13.574& 12.722& 14.409& 16.014&&!Transfers&to&the&following&countries&(2008R2013)&with&the&Dublin&System&(Eurostat).&&GEO/TIME! 2008! 2009! 2010! 2011! 2012! 2013!

Germany! 1.270! 1.258! 964! 1.083! 1.371! 1.702!

France! 989! 820! 827! 1.046! 923! 834!

Italy! 996! 1.800! 1.041! 1.801! 1.639! 3.460!

Poland! :! 960! 907! 581! 768! 2.442!

Sweden! :! :! 0! 0! 0! 0!

United!Kingdom! 403! 368! 268! 271! 262! :!

Norway! :! 0! 0! 0! 0! 0!

Switzerland! 0! 195! 452! 482! 574! 751!

Total!EU!Countries! 6.048& 10.447& 8.987& 9.301& 9.437& 14.248&

! 128!

Annex&13&–&Frontex&PressRpack&on&JO&Triton&!

Email%response%from%Frontex%–%Press,pack%on%the%Triton%Operation,%Paulina%Bakula%%!

PRESS& PACK& ON& THE& SITUATION& IN& CENTRAL&MEDITERRANEAN&AND&OPERATION&TRITON&

(Updated!February!1st!2015)!

• About!Frontex!

• Operation!Triton!

• Migratory!situation!at!all!external!borders!of!the!European!Union!

• Migratory!flows!from!Libya!and!Tunisia!(Central!Mediterranean!route)!

• Smuggling!networks!on!the!route!from!Libya!

• Migratory!flows!from!Turkey!and!Egypt!(Apulia!and!Calabria!route)!

• New!phenomenon!–!use!of!cargo!ships!from!Turkey!!

Increasing!arrivals!in!Central!Med!

Types!of!vessels!used!and!journey!price!

Reasons!for!influx!and!use!of!large!cargo!ships!

Financial!profits!from!migrants’!smuggling!from!Turkey!

&

About&Frontex&&Frontex! is! a! European! Agency! which! coordinates! the! deployment! of! technical! equipment!

(vessels,! helicopters! and!boats)! and! specialized!border! guards! to! those!EU! countries!which!

face! an! increased!migratory! pressure.! In! 2014! Frontex! coordinated! a! number! of! maritime!

operations! H! in! Spain,! Italy! and! Greece,! but! also! at! various! external! land! borders! including!

Bulgaria,! Greece,! Hungary,! Romania,! Poland,! Slovakia! and! many! others.! Frontex! is! also!

present!at!tens!of!various!international!airports!all!across!the!EU.!!

Frontex! has! been! assisting! Italy! operationally! since! 2006.! On! the! territory! of! this! country!

Frontex! has! been! coordinating! a! number! of! operations! –! initially! Nautilus,! then! Hermes!covering! the! southern! coasts! of! Sicily! and! the! pelagic! islands! and! Operation!Aeneas! which!covered!the!southern!coasts!of!Puglia!and!Calabria.!While!in!Italy!FrontexHdeployed!officers,!

as!well! as! the! technical! equipment! deployed! by! the! agency,! operate! under! the! control! and!

command!of!the!Italian!authorities.!

It! is! important! to! stress! that!Frontex!does& not! have! its!own!equipment!but! it! relies!on! the!latter! provided! by! various! EU!member! states.! Frontex! reimburses! the! costs! of! petrol! basic!

maintenance!of!such!equipment!for!the!period!of!its!deployment.!!

While!operations!are!the!most!visible!part!of!Frontex’s!activities,!the!agency!also!covers!other!

areas!including:!risk!analysis!H!analysing!trends!in!unauthorised!border!crossings!and!various!

forms! of! crossHborder! crime;! rapid! response! H! coordinating! the! shortHterm! deployment! of!

European!Border!Guard!Teams!at!the!request!of!Member!States;!research!and!development!H!

linking! border! control! authorities! with! research! and! industry;! training! H! !developing!

! 129!

harmonised!curricula!and! training!standards! for!border!guards! in!all!28!EU!countries;! joint!

returns! H! coordinating! joint! repatriation! flights!of! third! country!nationals!between!member!

countries;! and!via! information! sharing! H! enabling! swift! and! reliable!data! exchange!between!

border!authorities.!

!

Operation&Triton&&

Frontex!launched!Operation!Triton!on!November!1st!2014.!With!a!monthly!budget!of!EUR!2,9!

million!the!agency!coordinates!the!monthly!deployment!of!three!open!sea!patrol!vessels,!two!

coastal!patrol!vessels,!two!coastal!patrol!boats,!two!aircraft,!and!one!helicopter!in!the!Central!

Mediterranean!area.!

Frontex! also! deploys! five! debriefing! teams! to! support! the! Italian! authorities! in! collecting!

intelligence!on!the!peopleHsmuggling!networks!operating!in!the!countries!of!origin!and!transit!

of!the!migrants!as!well!as!two!screening!teams.!!

All!assets!deployed!within!the!framework!of!operation!Triton!operate!under!the!command!of!

the!Italian!Ministry!of!Interior,! in!cooperation!with!Guardia!di!Finanza,!as!well!as!the!Italian!

Coast!Guard.!This!is!why!on!board!of!every!patrol!vessel,!boat!or!aircraft!a!representative!of!

Guardia!di!Finanza! is!always!present.!His!role! is! to!ensure!swift!coordination!with! the! local!

authorities.!

The! operational! area! of! Triton! covers! the! territorial!waters! of! Italy! as!well! as! parts! of! the!

search!and!rescue!(SAR)!zones!of!Italy!and!Malta.!!

A! total! of! 19! EU! countries! take! part! in! this! operation:! Austria,! Belgium,! Estonia,! Finland,!

France,! Germany,! Iceland,! Latvia,! Malta,! Netherlands,! Poland,! Portugal,! Romania,! Sweden,!

Switzerland,!Slovenia,!Spain,!United!Kingdom.!

While!the!primary!focus!of!Operation!Triton!is!on!border!control!and!surveillance,!saving!lives!

remains! an! absolute! priority! for! Frontex.! Since! the! beginning! of! the! operation,! on! many!

occasions!Frontex!vessels!and!aircrafts!were! redirected!by! the! Italian!Coast!Guard! to!assist!

migrants! in! distress! in! areas! very! far! away! from! the! operational! area! of! Triton.! Since! the!

operation!was!launched!on!November!1st!2014,!a!total!of!151!boats!arrived!in!Italy!carrying!

19,182!migrants.!Out!of!these,!129!boats!(17,999!persons)!required!Search!and!Rescue.!Of!this!

number! 36! boats!with! 5,894! persons! on! board!were! saved! by!means! deployed! by! Frontex!

(data!for!27!January!2015).!!

! 130!

Migratory& situation& at& the& external& borders& of& the&European&Union&&

!

!

Italy!is!affected!by!two!migratory!routes!as!indicated!in!the!map!above.!!

Migratory& flows& from& Libya& (Central& Mediterranean&route)&

For! several! years!most!migrants! entering! the!European!Union! via! sea!departed! from!Libya!

which!acts!as!nexus!point!where!migrants!from!the!Horn!of!Africa!and!Western!African!routes!

meet!before!embarking!on!their!journey!towards!the!EU.!!

People!smugglers!put!the!migrants!heading!for!Italy!on!old,!unseaworthy!fishing!boats!which!

are! heavily! overcrowded! and! thus! prone! to! capsizing,! equipped! with! poor! engines! and!

navigation!systems!and!often!even!have! insufficient! fuel! to!reach!Europe!–!all! factors!which!

put!migrants’!lives!at!serious!risk.!!

Since!Frontex!started!collecting!data!8!years!ago,!the!highest!migratory!peak!was!registered!in!

2014!when!some!170!000!migrants!arrived!at!the!coasts!of!Italy!mainly!from!Libya.!Syrians!

and!Eritreans!are!the!two!main!nationalities!followed!by!nationals!of!SubHSaharan!countries.!

! 131!

The!situation!of!a!deHfacto!failed!state!in!Libya,!where!law!enforcement!is!virtually!absent!has!

created!favorable!conditions!for!the!peopleHsmuggling!networks!to!flourish!and!operate!with!

impunity.!!

Illegal%border%crossings%on%the%Central%Mediterranean%route%(including%Apulia%and%Calabria)%in%numbers.!

!

For!more!information!on!this!and!other!migratory!routes,!see!Frontex!Risk!Analysis!reports.!

Smuggling&networks&on&the&route&from&Libya&

According!to!Frontex!analysts!the!level!of!professionalism!of!the!smugglers!is!something!new,!

and!a!direct!result!of!the!vast!profits!to!be!made.!!

! 132!

The!migrants!are!charged!between!1,000!H!2,000!Euros!for!a!place!aboard.!The!average!value!

to!the!smugglers!of!one!recently!intercepted!boat,!which!contained!450!people,!was!calculated!

at!1m!Euros.! In!order! to! increase!profits,! the!migrants!are!generally!packed! in!as! tightly!as!

possible,!which!naturally!leads!to!overloading!and!a!greatly!increased!risk!of!capsize.!

Testimony!gathered!by!Frontex!debriefers,!who!interview!arriving!migrants!in!order!to!gain!

intelligence! about! the! smugglers,! points! to! great! suffering! aboard! the! boats.! To! maintain!

order!on!unstable!vessels,!passengers!moving!about!without!permission!are!typically!beaten!

or,!in!one!case!in!July,!stabbed!to!death.!Others!have!simply!been!thrown!overboard.!There!are!

seldom!any!lifejackets!as!these!are!bulky,!and!take!up!space!that!would!otherwise!be!occupied!

by!paying!customers.!

Migrants! from! the! subHSahara! are! treated!worst! of! all.! In! a! disturbing! echo! of! practices! on!

19th!century!slaving!ships,!black!Africans!are!routinely!locked!down!on!the!very!bottom!deck,!

with! few! exceptions! made! for! women,! children! or! the! elderly.! Cases! of! asphyxiation! by!

exhaust!fumes!have!been!recorded.!

The!absence!of!the!rule!of!law!in!Libya!since!the!fall!of!Gaddafi!appears!to!have!created!nearH

perfect! operating! conditions! for! the! criminal! gangs.! This! is!where!most!migrants! departed!

from!before!2011.!As!a!comparatively!rich!Muslim!nation,!Libya!was!a!destination!country!in!

its!own!right!for!workers!from!around!the!world.!Many!of!these,!still!resident!in!Libya,!have!

found! new!work! as! ‘recruiters,’! liaising! between! the! LibyanHcontrolled! criminal! gangs! and!

wouldHbe!migrants!pouring!in!to!the!city.!

The!journeys!of!the!migrants!can!be!epic.!Some!take!as!long!as!two!years!to!reach!the!Libyan!

coast,!working! their! passage! for! a! pittance,! often!walking! for! large!parts! of!way.!Groups! of!

corpses! have! been! discovered! far! out! in! the! Sahara,! in!mute! and! grisly! illustration! of! their!

desperation!and!determination!to!reach!Europe.!

The! tentacles! of! the! gangs! stretch! deep! into! the! Libyan! interior.! Frontex! analysts! have!

identified! two! principle! overland! routes! to! Tripoli.! The! eastern! one,! leading! from! Somalia,!

Ethiopia,!Eritrea!and!Sudan!towards!Al!Kufrah!in!the!eastern!Libyan!Desert,!is!the!most!highly!

organized.! The! western! route,! from! Mali,! Nigeria! and! Niger! up! to! Tripoli! via! Qatrun! and!

Sabha,! is!more! informal.! In! both! cases,! however,! the! Libyan! leg! of! the! journey! is! jealously!

controlled! by! local! militiamen,! whose! ranks! have! been! swollen! by! former! soldiers! in! the!

Gaddafi!regime.!

Migratory& flows& from& Turkey& and& Egypt& (Apulia& and&Calabria&route)&&

General&characteristics&

This!route!refers!to!irregular!migration!coming!from!Turkey!and!Egypt!and!also!includes!the!

migratory! movements! between! Greece! and! Italy.! Most! of! the! migrants! using! this! route!

initially!entered!the!Schengen!area!by!crossing!the!land!border!between!Turkey!and!Greece.!

Increasing!numbers!of!migrants,!usually!from!Asia,!claim!to!have!been!living!in!Greece!for!a!

! 133!

number!of! years!before!deciding! to! leave! for!other!EU!Member!States!due! to! the!economic!

crisis!in!this!country.!

The!types!of!the!vessels!detected!in!the!Ionian!Sea!are!different!from!the!ones!used!on!other!

maritime!borders!–!the!smugglers!tend!to!use!yachts!rather!than!fishing!boats.!The!smugglers!

on! board! the! sailing! boats! are! the! only! people! visible!while! navigating! and! are! sometimes!

accompanied!by!women!in!order!to!avoid!attracting!the!attention!of!the!patrolling!authorities.!

All! migrants! tend! to! be! hidden! below! deck! in! overcrowded! conditions! with! insufficient!

ventilation.! In! some! cases,! the! internal! structure! of! the! boat! and! the! compartments! are!

modified!in!order!to!add!wooden!bunkHbeds!to!maximise!capacity.!

Smuggling! networks! from! Egypt,! on! the! other! hand,! typically! make! use! of! larger! ‘mother!

ships.’! Rather! than! setting! off! from! Egypt! in! fishing! boats,! this!method! sees! bigger! vessels!

carrying! larger! numbers! of!migrants,! towing! fishing! boats! behind! them.! These! larger! ships!

leave!from!Egypt,!collect!additional!passengers!from!Greek!islands!including!Crete,!and!then!

proceed!towards!Italy.!Once!close!enough!to!shore,!the!migrants!are!transferred!to!the!fishing!

boats! for! the! remainder! of! the! journey! while! the! mother! ship! returns! to! port.! The! main!

nationalities!using!this!route!include!Afghans,!Pakistanis,!Bangladeshis!and!Egyptians.!There!

are!also!increasing!numbers!of!Syrians!using!this!routIllegal%border%crossings%on%the%Apulia%and%Calabria%route%in%numbers.!

!

Please%note%,%as%of%October%2014,%the%data%for%the%route%to%Apulia%and%Calabria%have%been%included%in%the%Central% Mediterranean% route.% Indeed,% many% migrants% are% disembarked% in% Apulia% and% Calabria% even%though% they% have% been% detected% in% the% Central% Mediterranean% area.% However,% the% current% reporting%mechanism%does%not%break%down%by%areas%of%detections,%but%by%areas%of%disembarkation,%thus%a%distinction%of%detections%between%these%two%routes%is%not%available.%%

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For!more!information!on!this!and!other!migratory!routes,!see!Frontex!Risk!Analysis!reports.!

New&phenomenon&–&use&of&cargo&ships&from&Turkey&&

Increasing&arrivals&in&the&Central&Mediterranean&of&cargo&vessels&from&Turkey&!During!most!winter! periods,! the!number! of! detected! vessels! arriving! in! the!EU! from!North!

Africa! or! Turkey! tends! to! decrease! in! response! to! poor! weather! conditions! which! inhibit!

maritime! travel! especially! on! small! vessels! typical! of! irregular! journeys.! In! contrast! to! the!

expected! decline,! during! the! last! few!months! of! 2014! there! was! a!marked! increase! in! the!

number! of! vessels! arriving! in! the! Central! Mediterranean! from! Turkey.! Such! increased!

pressure!from!the!Turkish!maritime!border!at!this!time!of!year!is!not!only!a!divergence!from!

expected! seasonal! declines! but! also! contrasts! with! arrivals! in! the! Central! Mediterranean!

earlier!in!the!year!which!were!almost!exclusively!from!Libya.!!

!

Specifically,! in! August! and! especially! in! September! 2014! the! number! of! irregular!migrants!

arriving!in!the!Central!Mediterranean!from!Turkey!sharply!increased!compared!to!earlier!in!

the!year!and!to!the!same!period!in!2013.!This!sharp!increase!was!directly!related!to!the!use!of!

cargo!ships!to!facilitate!migrants!and!asylum!seekers!from!Turkey!to!Italy.!!

!

ToHdate,!Mersin!has!been! the!place!where! those!wishing! to! travel! to! the!EU! in! an! irregular!

fashion!have!made!contact!with!the!smuggling!networks,!while!wooden!boats!have!departed!

from!various!points!along!southeastern!Turkish!coast! such!as! the!Mersin,!Adana!and!Hatay!

provinces!to!reach!cargo!vessels!waiting!off!shore.!!

Arrivals!of!migrants!on!boats!from!Libya!have!declined!seasonally,!but!arrivals!from!Turkey!

continue!to!increase!throughout!the!winter!!

&&

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Types&of&Vessels&used&from&Turkey&to&Italy&and&journey&price&!

Mersin! is!not!the!only!place!of!departure!of!boats!heading!to!Italy.! In!addition!to!the!modus%operandi!related!to!cargo!vessels!a!significant!number!of!migrants!have!reached!Italy!having!departed!from!Izmir!and!Bodrum.!The!types!of!boats!used!by!migrants!departing!from!Turkey!

towards!Italy!varies!depending!on!the!place!of!departure!include!a)!Cargo&ships!(steel!cargo!ships! ranging! between! 50H100!metres! in! length)!and& big& fishing& boats! are! used! to! travel!from!Mersin!to!Italy.!In!several!cases,!the!cargo!vessels!were!bought!as!wreck!vessels!and!then!

used! for! one!more! trip.! In! some! cases! however,! wooden! fishing! boats! that! initially! depart!

from!Mersin!also!collect!migrants!from!Syria!(Latakia!and!Tartus)!and!then!continue!towards!

Italy.!It!should!be!noted!that!wooden&fishing&boats&and&yachts&are!also!used!to!travel!short!distances,! usually! from! the!Aegean! Sea! (Izmir! and!Bodrum)! to! Italy.!Many!of! the! latter! are!

reported!as!stolen.!

&

Reasons&for&influx&and&use&of&large&cargo&ships&&There!are!three!main!reasons!for!the!increase!in!the!number!of!cargo!vessels!departing!from!

Turkey!towards!Italy.!!

Inclement!winter!weather! in!the!Central!Mediterranean!unsurprisingly!reduced!the!number!

of!vessels!departing! from!Libya.!However,! large!vessels!such!as! those!recently!arrived! from!

Turkey,! are! able! to! travel! in! the! poorest! of! weather! conditions.! Hence,! switching! to! using!

larger! vessels! is! one! way! for! smugglers! to! maintain! the! flow! of! migrants! towards! the! EU!

throughout!the!entire!winter.!!

First! Egypt! and! now! Algeria! have! implemented! visa! requirements! for! Syrian! nationals! so!

these! countries! are! no! longer! practical! transit! countries! on! the! way! to! Libya,! the! typical!

departure!point!in!2014.!Turkey!has!no!such!visa!requirements!for!Syrian!nationals!and!this!

country!may!now!become!the!main!country!of!departure.!!

Many!of!the!passengers!are!Syrian!middleHclass!families!who!prefer!safer!means!of!transport!

offered!by!the!larger!cargo!vessels!and!also!Turkey!is!a!safer!country!of!departure!than!Libya.&

Financial&profits&from&migrants’&smuggling&by&sea&from&Turkey&Smuggling!migrants! from!Turkey! on! board! large! cargo! vessels! is! extremely! profitable,! and!

such! funds! are! likely! to! be! an! important! source! of! income! for! smuggling! networks! also!

engaged!in!other!criminal!activities.!This!means!that!the!criminal!networks!might!be!financing!

other! criminal! activities! by! exploiting! and! putting! at! risk! vulnerable! groups! of! displaced!

families!from!Syria.!!

!

Specifically,!the!cargo!ships,!which!are!often!bought!as!scrap,!tend!to!cost!between!EUR!!

150!000!and!400!000.!There!are!often!as!many!as!200–800!migrants!on!board,!each!paying!

between!4!500!and!EUR!6!000!each!for!the!trip,!either!in!cash!a!few!days!before!the!departure!

or! by!Hawala! payment! after! reaching! the! Italian! coast.! The! cost! is! high!because! the!modus%operandi%is!viewed!as!being!safe!and!has!been!demonstrated!as!successful.!!!

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Hence,! the! gross! income! for! a! single! journey! can! be! as! high! as! EUR! 2.5! or! even! 4!million!

depending!on!the!size!of!the!vessel!and!the!number!of!migrants!on!board.!In!some!cases,!the!

profit!is!likely!to!be!between!EUR!1.5!and!3!million!once!other!overheads!such!as!recruiters,!

safe!houses,!shuttle!vessels,!crew!and!fuel!have!been!taken!into!account.!

"