Criminals at the border?
People Smuggling, Asylum and
the European Union
I. INTRODUCTION
Thesis Title:
Criminals at the Border? People Smuggling, Asylum and the EU
Research Question/Statement:
This thesis examines the responses made by the EU to the arrival of
African asylum seekers in Porto Empedocle in 2004 via people smuggling,
and compares these responses to those made by the EU in 1998, when a
group of Kosovar asylum seekers assisted by people smugglers illegally
entered the UK via Dover. It will examine whether the inclusion of
Declaration 17 in the 1999 Amsterdam Treaty, which fostered an EUUNHCR partnership, has led to a higher degree of involvement for the
UNHCR in EU asylum affairs, and a higher degree of EU compliance to
the 1951 Geneva Convention.
Thesis Objectives: (Exploratory & Comparative)

To highlight the humanitarian aspect of people smuggling from a
refugee rights perspective

To examine the involvement of the UNHCR in the EU’s reception
procedures for smuggled asylum seekers, and determine whether
the inclusion of Declaration 17 in the 1999 Amsterdam Treaty has
led to a strengthened and more interactive EU-INHCR partnership
in the field of refugee protection, and the insertion of refugee
concerns in the EU’s border control agenda
IMPORTANCE & NOVELTY OF RESEARCH

People smuggling an area of contention in the EU at present

Existing literature treats people smuggling as a business or
criminal activity: lack of theoretical constructions treating
smuggling as a response to humanitarian requirements

Lack of literature in regard to EU-UNHCR relationship, and the
UNHCR’s activities in the EU

Existing literature on the EU’s responses to smuggling and
asylum is largely results-oriented; thesis takes a procedural focus
DUAL IMPERATIVE OF REFUGEE RESEARCH
1.
Contribution to embryonic literature of people smuggling as a
humanitarian exercise (theoretical impact); and
2.
Using knowledge and information generated by the research for
policy recommendations (practical impact).
II. SUB-QUESTIONS
1.
What is ‘people smuggling’ and what is its role in the international
refugee protection system?
2.
How did the EU respond to the illegal entry of asylum seekers into its
territory in 1998 and 2004 respectively?
3.
How did the inclusion of Declaration 17 in the 1999 Amsterdam Treaty
foster an EU-UNHCR partnership in the area of refugee protection?
4.
What changes were introduced by Declaration 17 to the UNHCR’s role
and activities in the EU?
5.
What were the changes introduced by Declaration 17 to the reception
procedures and conditions for smuggled asylum seekers in the EU?
6.
In what ways has Declaration 17 affected the EU’s border control agenda?
INTERVENING VARIABLE
Reasons EU is preferred destination by smuggled asylum seekers
INDEPENDENT VARIABLE
DEPENDENT VARIABLE
Strengthened EU-UNHCR partnership
velopments in EU asylum and border control policies Working relationship between the EU and UNHCR
MODERATOR VARIABLE
Inclusion of Declaration 17 in Amsterdam Treaty
CONTROLING
VARIABLE
Illegal entry of Kosovar
refugees in
Dover in 1998; African refugees in
Italy in 2004
III. THEORETICAL FRAMEWORK
1.
‘People smuggling’ as a humanitarian activity (Refugee Perspective)
-
Developing nascent ideas of smuggling as humanitarian;
Applying concept of humanitarianism to refugee protection
2.
EU “actorness” in refugee rights and border control
Bretherton & Vogler (1999): EU as “several” international actors
3.
EU decision-making process in asylum and border control
Moravcsik and Liberal Intergovernmentalism – CEAS, Schengen,
Dublin
Title IV vs Title VI of TEU
IV. DEFINITION OF KEY CONCEPTS & TERMS

Definitions of “smuggling”, “refugee” as prescribed by international
conventions and protocols to be used
SMUGGLING, not Trafficking
the procurement […] of the illegal entry of a person into a State Party of
which the person is not a national or a permanent resident [in order to
obtain, directly or indirectly, a financial or other material benefit] (Art
3(a) Smuggling Protocol)
REFUGEE, not Economic Migrant
[…] owing to a well-founded fear of being persecuted for reasons of race,
religion, nationality, membership of a particular social group or political
opinion, is outside the country of his nationality, and is unable, or owing
to such fear, is unwilling to avail himself of the protection of that country.
(Art 1A (2) 1951 Convention)
Development of a definition of “people smuggling” reflecting its
humanitarian aspect (WORK IN PROGRESS!).
Factors to consider:
1.
2.
3.
4.
5.
6.
7.
Process of transporting people beyond the reach of persecution
and bringing people before the law
People being smuggled unarmed
International law – right to claim asylum regardless of method of
entry
Endorsement by EU (and the West) of creation of refugee camps
outside country of origin
Applicability of Principles of Humanitarian Action (impartiality,
neutrality, independence)
Applicability of law of armed conflict
Reference to history – smuggling acceptable in WWII in Europe
V. METHODOLOGY

Qualitative (EU Policy Analysis) and Quantitative Approach
(Refugee statistics)

Data Collection Methods:
1)
2)
3)
Archival Method – examination of documents, materials
Case Study - comparing 1998 and 2004 entry of asylum
seekers via smuggling
Interviews (semi-structured)- UNHCR, European
Parliament, Commission, NGOs, local border control
authorities, refugee communities (via Snowball technique)
SOURCES OF DATA
1)
1998 arrival of Kosovar asylum seekers in Dover: reception conditions
and procedures taken for determination of asylum claims
Sources of data:

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


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
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UNHCR London Office
Periodicals
Local authorities (Dover)
UK Home Office
NGOs
EU COM Reports
Interviews (Semi-structured) with members of Kosovar community
(snowball technique)
Interviews with UNHCR (Semi-structured)
ECJ
2)
2004 arrival of African asylum seekers via Cap Anamur in Italy: reception
conditions and procedures for determination of asylum claims
Sources of data:

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




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UNHCR Brussels Office
Cap Anamur (German charitable organisation)
European Parliament LIBE Committee
EU COM Reports
African community in Italy (could be problematic)
Interpol/Europol (problematic)
NGOs
ECJ jurisprudence
VI. DIFFICULTIES & LIMITATIONS
1.
Nature of refugee research – methodological and ethical
considerations
2.
Geographical limitations – question of funding
3.
Work-Information exchange – internship necessary?
VII. INTENDED RESULTS?
1.
Publication of chapters?
2.
Publication of Literature Review as a Working Paper?
3.
Policy recommendations?