1. What is a small state? Why does it matter?
Institut for Statskundskab
What is a small state? Why does it matter?
Anders Wivel
Associate Professor, PhD
Department of Political Science
University of Copenhagen

2. What has changed about small state security?
Institut for Statskundskab
Today’s Lecture
What is a small state?
What has changed about small state security?
How do we explain the behaviour of small EU member states?
What is the role of small states in EU security policy?

3. What is a small state?
Defined as states that are not great powers
Defined in terms of capabilities, i.e. the possession of power in absolute or relative terms
Defined by a combination of objective factors (the material, quantifiable aspects of power) and subjective factors (the perception of power)
Defined as the exercise of power in a specific spatio-temporal context (relational definition)

4. What is a small state?
On the one hand the concept is regularly used in public discourse and in scholarly analyses of European and international relations.
On the other hand, there is no consensus definition of small states and the borderlines between such categories as ‘micro state’, ‘small state’ and ‘middle power’ are usually blurred and arbitrary.

5. What is a small state?
The simplest way of defining small states is to see them as those states that are not great powers.
Traditionally, the roles of great powers and small states were very different in international relations.
Today, neither ‘great power’, nor ‘small state’ is self-evident. By characterising small states as ‘not great powers’, we would evade the question rather than answer it.

6. What is a small state?
Most attempts at defining small states have sought to answer the question in terms of capabilities, i.e. the possession of power resources in absolute or relative terms.
Defining small states using these criteria allows us to get a more clear-cut definition than when defining small states as ‘not great powers’.

7. What is a small state?
However, two problems follow from this definition if we are to use it as a starting point for analysing small states in the EU.
Without context power tells us little about the behaviour of small states or the challenges that they face.
The power possession definition is closely tied to the international relations of the old Europe – or more precisely the conditions for small state foreign policy in Europe in the 19th century, when the success of states was primarily measured in terms of their defence capacity and territorial foreign expansion.

8. What is a small state?
One potential solution to these problems would be to seek to combine objective factors (i.e. the material, quantifiable aspects of power) with subjective factors (i.e. the perception of power).
This solves the problem of a security policy bias, but still leaves the problem of arbitrariness.

9. What is a small state?
Alternatively, we might move to a relational definition of small states, i.e. shift the focus from the power that states possess to the power they exercise.
Being a small state is seen as tied to a specific spatio-temporal context, not a general characteristic of the state: a state may be weak in one relation, but simultaneously powerful in another.

10. What has changed about small state security?
In Europe, the context of small state security has changed in at least five ways since the end of the Cold War. This has created a ‘new’ security environment.

11. What has changed about small state security?
New in the sense ’Europeanized’
The European Union organize security on a European scale. This creates new expectations and responsibilities.

12. What has changed about small state security?
New in the sense ’globalized’
Global threats: terrorism, finance, climate
Coalitions of the willing
A new role for NATO

13. What has changed about small state security?
New in the sense ‘no threat of military conquest’
Europe may still be divided into small states and great powers but no small state needs to fear the military invasion of Germany, Russia or any other great power.
This is different from the past, but also different from the situation in other parts of the world, including regions very close to Europe (e.g. the Caucasus)

14. What has changed about small state security?
New in the sense ‘heavily institutionalized’
International institutions creates common rules for all the actors. This benefits the weaker actors, because it restricts the actions of the strong.
The rules at the very least necessitates an explanation, when states do not follow them.
Also, rules may give the weaker actors ‘voice-opportunities’.

15. What has changed about small state security?
New in the sense ‘more small states than ever able to pursue their interests as defined by domestic elites’
Today, small states in Europe have much more freedom of manoeuvre than has been the case throughout history.
This is because there is no threat of military conquest from the European great powers, and because of the opportunities provided by European institutions.

16. What has changed about small state security?
The development of the European Union over the past decade has dramatically altered the conditions for the external behaviour of small states in Europe.
Enlargements
Institutional reforms

17. What has changed about small state security?
Institutional developments of the EU:
Increased freedom of manoeuvre
Integration dilemma
Autonomy and influence

18. How do we explain the behaviour of small EU member states?
The central question is:
Why have small states reacted so differently to the process of European integration and the prospects of EU membership?

19. How do we explain the behaviour of small EU member states?
This is puzzling because:
international institutions subject all member states to the same rules, thereby reducing the importance of power
international institutions provide ‘voice’-opportunities for small states
regional economic integration allows small states to obtain benefits that are usually available only to large countries such as economies of scale and increased competition

20. How do we explain the behaviour of small EU member states?
The relational definition of small states suggests that different contexts favour different variables.
One way of exploring which variables may be relevant is to utilise the general insights of IR theory.

21. How do we explain the behaviour of small EU member states?
By doing this we can identify at least three clusters of variables that merit further investigation.
power politics (realism)
economic interests (liberalism)
identity construction (constructivism)

22. How do we explain the behaviour of small EU member states?
The literature systematically applying the assumptions IR theory to explain the behaviour of small states in regard to European integration and security is small, and we cannot say if any of the three clusters is more useful than the others.

23. How do we explain the behaviour of small EU member states?
So far, they have merely resulted in the construction of ‘first-cut theories’ presenting us with candidates solutions to the puzzle of heterogeneous small states behaviour towards the EU, but all three of them have proven useful in particular studies and therefore merit further investigation.

24. How do we explain the behaviour of small EU member states?
First, so-called realists points to the importance of power.
This was essential in traditional small state studies, which originally took their point of departure in the puzzle that small states continued to survive despite their lack of power.

25. How do we explain the behaviour of small EU member states?
Two types of explanations starting from realism:
The direct impact of power
The indirect impact of power

26. How do we explain the behaviour of small EU member states?
Second, liberal theory points to the importance of domestic interest groups and how their costs and benefits are affected by participation in the integration process.
Small states are expected to be more interested in developing regional institutions because they are more severely affected by the negative externalities of interdependence.

27. How do we explain the behaviour of small EU member states?
Two types of explanations starting from liberalism:
A country’s leading economic sectors
The economic interests of the population

28. How do we explain the behaviour of small EU member states?
Third, constructivists point to the importance of discourse.
In general, the constructivist EU literature allows us to understand why some states are consistently more reluctant or positive than others towards EU integration by pointing to the importance of compatibility of discourses at the national and the EU level.

29. How do we explain the behaviour of small EU member states?
The strength of the different types of explanations may be tied to issues areas:
power politics – traditional security policy
economic interests – financial and economic security
identity construction – sovereignty, national autonomy

30. How do we explain the behaviour of small EU member states?
These variables are not necessarily mutually exclusive and they have been combined in order to give a more comprehensive explanation of small state behaviour than one of them can give alone.

31. How do we explain the behaviour of small EU member states?
These studies have successfully produced new knowledge on the behaviour of small states, but they have left unanswered two challenges, which need to be met in the future.

32. How do we explain the behaviour of small EU member states?
First, while combining insights from different theoretical perspectives might be fruitful; this is easier said than done at least if the ambition is to conduct a logically coherent analysis.

33. How do we explain the behaviour of small EU member states?
Second, the EU’s gradual development into a genuine political system necessitates the inclusion of different types of actors at multiple levels in the analysis if we are to understand the actions of small states.

34. What is the role of small states in EU security policy?
Small states have played a marginal role in the development of the EU as a security actor.

35. What is the role of small states in EU security policy?
Agreement among two or more big EU member states has most often been a prerequisite for major initiatives and decisions in the development of a common European foreign, security and defence policy.

36. What is the role of small states in EU security policy?
Also, when initiatives have failed or the institutional development has stalled, the cause has most often been disagreement among the major powers.

37. What is the role of small states in EU security policy?
Traditional security interest:
institutionalization of security affairs.

38. What is the role of small states in EU security policy?
Traditional security identity:
multilateral and non-military approach to security policy based on ideals of conflict resolution, peaceful coexistence and a just world order.

39. What is the role of small states in EU security policy?
By the end of the Cold War, the European integration project emerged as an almost ideal security organisation for the region’s small states.

40. What is the role of small states in EU security policy?
In particular three developments have challenged the influence of small states:
New decision-making procedures
Specialization
Ad hoc cooperation among big member states

41. What is the role of small states in EU security policy?
What should small states do about it?
Substance
Tactics

42. What is the role of small states in EU security policy?
Substance:
Focus on the EU’s two vital security functions - to prevent a return to the military great power competition of the past and to mitigate instability in the European periphery.

43. What is the role of small states in EU security policy?
Tactics:
Small states should use their position as marginal players to influence selected issues rather than try to tie down the great powers or act as ‘great powers writ small’.

44. What is the role of small states in EU security policy?
Transatlantic relations are now moving away from the ‘either NATO or EU’ debate towards the more constructive ‘how should we combine NATO and the EU’.

45. What is the role of small states in EU security policy?
The most important challenges:
Small states will get less influence if they insist choosing between the EU and NATO.
Small states may be marginalized as the burden-sharing debate between Americans and Europeans re-surface.

46. What is the role of small states in EU security policy?
The most important opportunities:
Small state administrations are often more flexible and informal and can more easily adapt to new expectations.
More room for the policy initiatives of small states unable to follow the military technology development of the big.