EVSb2016

Statehood, Identity and Foreign Policy in the Western Balkans

FINAL EXAM STUDY GUIDE

Sessions 2 – 11 | Key Terms, Concepts & Background

This guide covers all sessions from the course with key terms, background context, and important
arguments. Use the headings below to navigate by session.

SESSION 2: Definition & Characteristics of Western Balkans

Historical & Political Context
The term 'Balkan' has historically been used pejoratively to connote violence, ethnic and religious
conflicts, and instability. The concept of 'Balkanization' emerged to describe a fragmented, war-
damaged territory. After the wars of Yugoslav dissolution, a new political term emerged: 'Western
Balkans.'

Origins of the Term 'Western Balkans'

• Vienna European Council (1998): First official EU definition of the region (point 101 of
Conclusions)
• Helsinki European Council (1999): Called for a common strategy for the Balkans (point 57)
• Santa Maria de Feira Council (2000): Declared WB states as potential EU candidates (section
D)
• Term reflects 'center-periphery' and 'more advanced vs. less advanced' logic

Key Terms
Western Balkans (WB) Political term coined by the EU in the late 1990s. Refers to Albania, Bosnia and
Herzegovina, Croatia, North Macedonia, Montenegro, Kosovo, and Serbia.
Defined as countries from the Balkan Peninsula seeking EU membership, lying
west of Greece and south of Slovenia.

Balkanization Process or policy of fragmenting a region into smaller, hostile units — used
negatively to describe war-damaged, ethnically divided territories.

SAP (Stabilization and EU framework for WB integration. Aimed at stabilizing the region and then

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 Association Process) associating it with the EU. Central instrument: the Stabilization and Association
Agreement (SAA).

SAA (Stabilization and High-level cooperation agreement between the EU and potential WB candidate
Association Agreement) countries. Equivalent to 'Europe Agreements' used in Central and Eastern Europe
(CEE). Includes rule of law, regional cooperation, and anti-corruption provisions.

Copenhagen Criteria Conditions for EU membership: stable democracy and rule of law, functioning
market economy, and ability to adopt EU law (acquis communautaire).

Conditionality Central principle of SAP: detailed and graduated requirements countries must
fulfill to progress toward EU membership. Includes rule of law, ICTY cooperation,
refugee return, democratic elections, and regional relations.

Country Profiles
Montenegro
• Independence referendum: 21 May 2006 (55.5% in favor, 85% turnout)
• Parliamentary democratic Republic; foreign policy: EU and NATO integration

Serbia
• Parliamentary Republic; SAA signed 2009; EU candidate 2012; accession negotiations 2014
• EC projects accession by 2035; military neutral (resolution Dec 2007)

Bosnia and Herzegovina (BiH)

• Parliamentary representative democracy; structured by the Dayton Agreement (1995)
• Republika Srpska (49%), Federation of BiH (51%), District Brcko (neutral)
• Multi-ethnic: Bosniaks (Muslim), Serbs (Orthodox), Croats (Catholic)

Kosovo
• Declared independence from Serbia on 17 February 2008
• Recognized by 93+ UN member states, NOT by Serbia, Russia, China, Spain, Argentina, Brazil,
etc.
• Member of IMF, World Bank, Regional Cooperation Council — but NOT UN, OSCE, CoE,
NATO
• Foreign policy priority: EU and NATO integration

North Macedonia
• Parliamentary democracy; Ohrid Agreement (2002) ended 2001 conflict
• Ohrid Agreement gave autonomy and cultural recognition to Albanian minority

Socioeconomic Context
• Upper middle-income countries (World Bank Atlas method)
• Montenegro: richest (GDP per capita ~5,800 EUR); Kosovo: poorest (~3,100 EUR)
• Challenges: poverty, income inequality, high youth unemployment, outward migration, weak
governance, corruption

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SESSION 3: Socialist Yugoslavia During Titoism
Josip Broz Tito (1892-1980)
Tito was the founding figure of Socialist Federal Republic of Yugoslavia (SFRY). He served as Prime
Minister (1943-1963), President (1953-1980), and General Secretary of the Communist Party (1939-
1980). His rule combined repression, a unique socialist model, and a distinct foreign policy stance.

Key Terms
SFRY Socialist Federative Republic of Yugoslavia — Tito's state, proclaimed 29
November 1945 as 'People's Republic'. Federation of six republics and two
autonomous provinces.

Brotherhood and Unity Tito's central ideological concept to suppress diverging national aspirations and
build a unified Yugoslav identity across ethnic lines.

Third Way to Socialism Yugoslav model of socialism: a distinct path between Soviet communism and
Western capitalism. Basis of Tito's independent foreign and domestic policy.

Self-Management Central economic and political concept introduced after the Tito-Stalin split.
Workers and communities managed their own enterprises, not the central state.
Basis for Yugoslav identity alternative to Soviet socialism.

Non-Aligned Movement International movement of states not formally aligned with either NATO (West)
(NAM) or Warsaw Pact (East). Tito was a co-founder alongside Egypt's Nasser and India's
Nehru. First summit of 23 states in Belgrade, 1961.

Cominform Successor to Comintern (renamed 1947); Soviet-dominated organ to control

Communist parties. Yugoslavia was expelled on 28 June 1948.

Goli Otok (Naked Island) Yugoslav prison island where Cominformists (pro-Soviet Communists) were sent
after the 1948 split. More than 16,288 arrested or sentenced.

Balkan Pact (1953) Agreement of friendship and cooperation signed 28 February 1953 between
Yugoslavia, Greece, and Turkey. Collapsed in the 1960s over Greek border claims
and the Cyprus issue.

Belgrade Declaration Agreement between Yugoslavia and USSR restoring relations: recognized 'mutual
(1955) sovereignty, independence, integrity and equality' and 'peaceful coexistence'.

Total National Defense Defense concept introduced after the Prague Spring, recognizing the Soviet
(1968) threat. Emphasized armed resistance by the entire population, not just the army.

Gastarbeiter Yugoslav guest-workers abroad (especially West Germany, ~400,000 employed).

Symbol of Yugoslavia's open borders policy and economic liberalization.

Key Phases of Yugoslav-Soviet Relations

Closest Ally (1945-1948)
• Treaty of friendship signed 11 April 1945
• Yugoslavia copied Soviet political-economic model: collectivization, five-year plan (1947),
elimination of opposition
• Yugoslav Constitution (1946) modeled on Soviet Constitution (1936)

Yugoslav-Soviet Split (1948-1953)

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 • Tito's project for a Balkan federation (including Bulgaria, Albania) angered Stalin
• Yugoslavia expelled from Cominform on 28 June 1948
• Economic blockade by Eastern bloc; Cominformists imprisoned on Goli Otok
• Yugoslavia turned West: received $600M economic aid and $1.2B military support from US
(1951-1955)

Non-Aligned Movement (1950s-1980)

• After Bandung (Indonesia), Yugoslavia became a driving force of NAM
• Tito: most-traveled non-aligned leader — visited UK, Vatican, US, Cuba
• NAM had no Charter; Tito's personal cult was central to its functioning

Economic Liberalization & Collapse (1970-1980)

• Constitution of 1974: strengthened republic powers, defined them as 'states'
• Economic opening: foreign loans reached $16.5B by 1973, rising to $19.5B by 1981
• Tito died 4 May 1980; funeral attended by representatives from 122 countries
• By 1985, foreign debt exceeded $20 billion — economic crisis followed

SESSION 4: Relations Between EEC and Yugoslavia

Background
The EEC (European Economic Community) was established by the Treaty of Rome on 25 March 1957.
It aimed at customs union, common policies (agriculture, transport, trade), and potential
enlargement. It became part of the EU's First Pillar with the Maastricht Treaty (1993).

Key Terms
EEC (European Economic Regional integration organization established by Treaty of Rome (1957). Aimed at
Community) customs union, common market, and common policies. Integrated into EU under
Maastricht Treaty (1993).

Most-Favoured-Nation Trade principle: each party grants the other the same trade advantages as given
Treatment to its 'most favored' trading partner. Basis of the 1970-1973 Non-Preferential
Agreement between EEC and SFRY.

EIB (European Investment EU lending institution. Granted loans to Yugoslavia for infrastructure: 1976
Bank) ($50M), 1977 ($25M electricity), 1978 ($25M highways).

Group of 77 Coalition of developing nations in the UN. Yugoslavia was defined in the 1980
agreement as a member of G77, recognizing its dual role as European and
developing country.

Non-Aligned Policy Yugoslavia's foreign policy stance that represented a 'puzzle' for the EEC — it was
neither fully Western nor Eastern, making integration ambiguous.

Joint Parliamentary Proposed arena for EEC-Yugoslav political dialogue under the 1980 agreement.
Committee Part of efforts to institutionalize cooperation beyond trade.

Chronology of EEC-SFRY Relations

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Early Phase (1965-1973)
• 1965: Expert negotiations on economic cooperation
• 1967: 'Declaration of relations between SFRY and EEC'
• 1969: Permanent SFRY mission to EEC established; formal trade negotiations begin
• 1970-1973: Non-Preferential Agreement — most-favoured-nation treatment, no preferential
tariffs

Expansion (1974-1980)
• 1974: Ministerial-level meetings, Joint Committee established
• EIB loans for electricity (1977) and highways (1978)
• 2 April 1980: Economic and Financial Cooperation Agreement — only of its kind for a non-
aligned state
• First 5-year financial protocol (1980-1985): $200M loans for road/rail modernization

Cooling of Relations (1980-1990)

• Second 5-year financial protocol (1985-1991): $550M for transport
• EEC could suspend agreements if Yugoslav exports threatened the European market
• Yugoslav leadership re-confirmed East as most important trading partner
• EEC never seriously considered SFRY membership: suspicious of Yugoslav orientations, Non-
Aligned policy was a puzzle

Why Yugoslavia was never seriously considered for EEC membership

• EEC's decision for membership based on economic potential
• Fear that SFRY might opt for greater cooperation with Eastern bloc
• Non-Aligned policy created uncertainty about future orientation
• EEC was suspicious of Yugoslavia's dual identity

SESSION 5: Factors of Yugoslav Dissolution

Central Argument
No single factor explains Yugoslavia's collapse. Different authors emphasize different causes:
economic, ethnic, nationalist, cultural, international, personality-driven, or institutional. Jovic argues
that the collapse was primarily ideological — the failure of elite ideological consensus around self-
management socialism.

Key Terms & Arguments

Ancient Ethnic Hatred Popular but academically rejected explanation. Argues pre-existing ethnic
Argument hatreds caused dissolution. Scholars counter that hatred was a RESULT of
breakup, not its cause.

Self-Management Concept Central to Yugoslav socialist identity. Its collapse (as an ideology) left a vacuum
that nationalism filled. For Jovic, this ideological failure was the root cause of
dissolution.

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 Clash of Civilizations Theory used by some to justify the breakup along religious/civilizational lines
(Huntington) (Catholic Croatia/Slovenia, Orthodox Serbia, Muslim Bosnia/Kosovo).
Academically contested — Yugoslavia functioned for 45 years despite cultural
diversity.

Withering Away of the Marxist concept embedded in Yugoslav ideology — the state should gradually
State diminish as self-management advanced. Jovic argues this ideological goal
undermined the state's capacity to survive crisis.

Consolidation of Non- Description of WB states post-1989: formal democratic institutions exist but
Consolidated Democracy democratic norms are not genuinely internalized.

'It's the Economy, Stupid' Woodward (1996): economic crisis triggered constitutional conflict in Yugoslavia.
argument Widening gap between developed (Slovenia, Croatia) and underdeveloped
(Kosovo) regions fueled demands for independence.

Blueprint for Secession Criticism of the 1974 Yugoslav Constitution — it gave republics such strong rights
that it effectively enabled and legitimized secession.

Major Arguments for Dissolution

1. Economic Factors (Woodward)
• Widening development gap: Slovenia/Croatia vs. Kosovo
• Rising foreign debt, inflation, economic inefficiency
• Economic crisis triggered constitutional conflict
• But: economic factors played no role in the final phase of negotiations

2. Ideological Failure (Jovic)

• Self-management was the central Yugoslav identity — its collapse created a vacuum
• Elite ideological consensus failed
• Dissolution was a logical consequence of ideology of 'withering away of the state'
• Other factors (ethnic, economic) emerged as consequences of ideology's weakness

3. Nationalism
• Alternative ideology adopted by intellectual elites when socialism failed
• 1974 Constitution unintentionally promoted nationalism by strengthening republics
• Weakening of the state made nationalist demands for strong republic-states plausible

4. International Politics
• Cold War's bipolar system gave Yugoslavia strategic value — its end removed that
• Western states did NOT want Yugoslavia to disintegrate — offered PHARE (1 Nov 1990)
• Yugoslavia had no external enemies until July 1991

5. Role of Leaders
• Tito: became the state itself; personal embodiment of Yugoslavia
• Milosevic: disturbed the Yugoslav balance and engaged in intra-elite conflict
• Leaders were both 'products' and 'initiators of political trends'

6. Constitutional/Institutional Factors
• 1974 Constitution: complicated, impractical, called a 'blueprint for secession'

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 • Republic-level elections before federal elections gave democratic legitimacy to republics, not
the federation

SESSION 6: Collapse of Yugoslavia — Emergence of New

States
Background: Road to Collapse
Federal PM Ante Markovic's 'shock therapy' program (Dec 1989) reduced inflation dramatically
(from 2,714% in 1989 to 0% by May 1990). But political challenges undermined it: Croatia demanded
elections, Slovenia asserted sovereignty, Kosovo faced martial law. The League of Communists held
its last congress in January 1990.

Key Terms
Shock Therapy Economic reform program by PM Ante Markovic: convertibility of the dinar, end
of hyperinflation. Annual inflation dropped from 2,714% (1989) to 0% (May
1990). Politically undermined by nationalist pressures.

DEMOS (Democratic Slovenian opposition coalition that won the 1990 elections and declared
Opposition of Slovenia) independence.

Confederation of States Model proposed by Slovenia and Croatia after the 1990 elections — rejected by
Serbia as too loose.

Republic of Serbian Krajina Breakaway Serb entity in Croatia. Held its own referendum (12 May 1991).
Existed 1991-1995; ended by Croatian Operations Flash and Storm.

Operations Flash and Croatian military operations: Flash (1-3 May 1995) and Storm (4-7 August 1995).
Storm (1995) Retook territory from Serb forces; ~200,000 Serbs expelled or fled.

Dayton Peace Agreement Signed 14 December 1995. Ended the Bosnian War. Structured BiH as two
(1995) entities: Republika Srpska (49%) and Federation of BiH (51%), plus District Brcko.

UNPROFOR UN Protection Force: authorized 8 June 1992 to take control of Sarajevo Airport.
Widely criticized for inability to protect civilians.

Operation Deliberate NATO air strikes on Bosnian Serb positions, 30 August – 20 September 1995. Led
Force (1995) directly to the Dayton negotiations.

Srebrenica Genocide Massacre of approximately 7,000 Bosniak men and boys by Bosnian Serb forces
in July 1995. Recognized internationally as genocide.

Right to Self- Principle invoked by Slovenian and Croatian republics to justify independence.
Determination Created a legal dilemma: did 'peoples' (nations) or 'republics' hold this right?
Critical for BiH and Kosovo.

Vance-Owen Plan Peace proposal for BiH presented at the London Conference (August 1992). Not
implemented.

Multiparty Elections 1990 — Critical Turning Point

• Slovenia: April 8 and 22, 1990 (17 parties)

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 • Croatia: April 22-23 and May 6-7, 1990 (33 parties) — Tudjman's HDZ wins
• Serbia: December 9 and 23, 1990 (43 parties) — Milosevic wins
• Montenegro: December 9 and 23, 1990 (14 parties)
• BiH: November-December 1990 (41 parties) — Ethnic parties dominate
• Macedonia: November 1990 (20 parties)

Independence Declarations
• Slovenia: Referendum 23 Dec 1990 (88.5% in favor); Independence 25 June 1991; 10-day
war ends 7 July 1991
• Croatia: Referendum 19 May 1991 (79% in favor); Independence 25 June 1991; War 1991-
1995
• Macedonia: Referendum 8 Sept 1991 (96.4% in favor); Independence 18 September 1991
• BiH: Referendum 29 Feb-1 Mar 1992 (62.7% in favor, Serbs boycott); Independence 3 March
1992; War April 1992 – December 1995
• FRY: Serbia and Montenegro proclaimed Federal Republic of Yugoslavia (27 April 1992)

Problem of National Self-Determination

• Did 'peoples of republics' or constituent 'nations' hold the right to self-determination?
• BiH particularly problematic: Constitution did not recognize a 'Bosnian nation'
• Distinction between republics and nations created legal-political crisis

SESSION 7: EU Conditionality & National Identity — The

Croatia Case
Why Croatia as a Unique Case?
Croatia was the first post-conflict, limited-statehood country to join the EU. It broke precedent:
previous enlargements (CEE, Bulgaria and Romania) did not involve active conflict zones, war crimes
tribunals, or interstate territorial disputes. Croatian accession became the new template —
'strengthened conditionality' — for all subsequent WB enlargements.

Key Terms
HDZ (Croatian Democratic Croatian nationalist party led by Franjo Tudjman. Won the 1990 elections; led
Union) Croatia to independence. Ruled until 1999 under authoritarian tendencies.

ICTY (International UN war crimes tribunal for crimes committed during Yugoslav wars. Cooperation
Criminal Tribunal for the with ICTY was a central conditionality requirement for all WB countries in the
Former Yugoslavia) SAP.

Gotovina Case Key test of Croatia's EU conditionality: General Ante Gotovina, commander of the
1995 offensive, was indicted by ICTY for war crimes. Croatia officially could not
locate him. Arrested by Spanish police in Tenerife on 7 December 2005. His
arrest unblocked EU negotiations. Found guilty (24 years) in 2011, acquitted by
Appeals Court in 2012 — triggering mass celebrations in Croatia.

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 Freyburg & Richter 'If a state's national identity contradicts the conditions linked to the benefit of an
Hypothesis (2010) external incentive, even only partially, the state will not or only inconsistently
comply — independently of any cost-benefit calculation.' Explains Croatia's
selective compliance with ICTY cooperation.

Bay of Piran Dispute Border dispute between Croatia and Slovenia over a bay in the Adriatic. Slovenia
blocked Croatia's EU accession negotiations over 10 chapters from August 2008
to September 2009.

Strengthened New enlargement methodology applied to Croatia and subsequent WB states.

Conditionality Stricter benchmarks, more explicit requirements on rule of law and war crimes
cooperation, compared to CEE enlargement.

SAP (applied to Croatia) Croatia started SAA negotiations November 2000 (second WB country after
Macedonia); SAA signed October 2001; applied for membership February 2003;
received candidate status June 2004.

Limited Statehood Concept applied to Croatia 1995-1999: formal state existed but democratic
institutions were weak, media was controlled, minority rights limited, opposition
isolated.

Croatia's EU Accession Timeline

• November 2000: Croatia starts SAA negotiations (2nd WB country)
• October 2001: SAA signed
• February 2003: Membership application submitted
• June 2004: Candidate status received
• April 2005: Negotiations postponed due to non-cooperation with ICTY (Gotovina)
• December 7, 2005: Gotovina arrested in Tenerife
• October 2005: ICTY confirms full cooperation; negotiations start
• 2005-2008: 22 of 35 chapters opened, 6 closed
• August 2008-September 2009: Slovenia blocks 10 chapters (Bay of Piran)
• June 2011: Negotiations completed
• January 2012: Accession referendum — 67% YES (44% turnout)
• July 1, 2013: Croatia joins the EU

Key Issues Making Croatia's Case 'Breaking Point'

• Limited statehood (Tudjman era, 1995-1999)
• War crimes reconciliation (Gotovina case)
• Treatment of Serb minority
• Interstate disputes (Croatian-Slovenian border)
• National identity conflicting with EU conditionality requirements

SESSION 9: Authoritarianism in the Western Balkans

Central Argument

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Western Balkans states are classified as 'defective democracies' or 'hybrid regimes.' They have
formal democratic institutions but exhibit systematic democratic backsliding toward
authoritarianism. The EU's support for stability ('stabilitocracy') has paradoxically enabled semi-
authoritarian leaders to remain in power.

Key Terms
Democratic Backsliding 'Movement of a regime with democratic features away from democracy towards
greater authoritarianism' (Bieber, 2020). Gradual erosion of democratic norms
while maintaining formal institutions.

Hybrid Regime Regime with formal democratic institutions and regular elections, but with
systematic subversion of democratic functioning to maintain autocratic control
(Dolonec; Levitsky & Way; Kmezic 2020).

Semi-Authoritarian Per Ottaway (2003): 'Systems that combine rhetorical acceptance of liberal
Regime democracy, some formal democratic institutions, limited civil/political liberties
with essentially illiberal traits.' Deliberately maintains appearance of democracy
without real competition.

Stabilitocracy Concept describing how the West (EU and US) supports semi-authoritarian
Balkan leaders in exchange for regional stability, migration control, and security
cooperation. Allows autocrats to combine authoritarian tools with nominal EU
integration support.

State Capture Process by which political elites use decision-making and governance
prerogatives for private/clientelistic interests rather than public good.
Characteristic of non-consolidated democracies in WB.

State-Sponsored Populism Per Dzankic & Keil (2017), applied to Montenegro: not pure populism, but use of
populist mechanisms to preserve societal dominance. Features: confrontation
with 'enemies,' cult of personality, spreading fear, chameleon-like ideology.

Flawed Democracy Classification from Democracy Index and Nations in Transit reports applied to
most WB states: elections exist but media freedom, civil liberties, and
governance are significantly compromised.

CSO (Civil Society NGOs, activist groups, etc. In WB context: labeled as 'foreign agents,' face smear
Organizations) campaigns, limited public funding, and police violence at protests.

Two Types of Authoritarian Regimes in the Balkans

Type 1: Euro-Atlantic Autocrats
• Link autocratic governance with declaratory commitment to EU accession
• Reputation as 'pragmatic reformists'
• Change ideological profiles and foreign policy perspectives when needed
• Example: Montenegro under Milo Djukanovic

Type 2: Nationalist Autocrats

• Do not possess external (Western) legitimacy
• Use nationalist discourse to consolidate or maintain power

Mechanisms of Authoritarianism

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 • Use of political crises: manufacturing crises against the government, inter-ethnic tensions,
bilateral disputes, snap elections
• State capture and weak institutions: corruption, clientelism, misuse of governance
prerogatives
• Weak opposition and CSO: NGOs labeled foreign agents, activists targeted, limited funding
• Strongmen: charismatic, ruthless, adaptive leaders (e.g., Djukanovic in Montenegro)
• Nationalism as discourse: used to delegitimize opposition and consolidate power

Why Does the EU Support Authoritarian Regimes in the WB?

• Promotion of geopolitical stability
• Control of migration flows
• Economic relationships and interests
• Fear of rising anti-EU sentiment in the region
• Lack of consensus among EU member states on policy

Consequences
• 'Stateness problem': WB states have limited capacity and willingness to comply with EU
requirements
• EU offered membership perspective to overcome weak statehood — but limited statehood
undermined compliance
• Problem of effective implementation of EU rules and norms remains unsolved

SESSION 10: Europe and the Post-Yugoslav Space — EU

Integration
EU Failure During Yugoslav Wars
During the Yugoslav breakup (1991-1999), the EU and international organizations intervened in
multiple ways but largely failed to prevent or stop the wars. This was described as 'a bleak chapter of
the ECFP (European Common Foreign Policy).'

Key Terms
SAP (Stabilization and EU's main integration tool for WB. Two-fold: first stabilize, then associate.
Association Process) Combined enlargement tool with state-building and post-conflict stabilization.

Acquis Communautaire The entire body of EU law and regulation that candidate countries must adopt.
Criticized for lacking clear criteria applicable to state-building in WB context.

Enlargement Fatigue EU internal reluctance to continue enlargement after the large 2004 and 2007
waves. Reflects tension between 'widening' (adding members) and 'deepening'
(integrating existing members more closely).

Carrot and Stick Policy EU's conditional external incentives strategy: 'carrots' (membership prospect,
funds, visa liberalization) and 'sticks' (sanctions, freezing negotiations,
withdrawal of benefits). Critics argue this undermines EU's credibility as a

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 normative power.

Opening/Closing/Interim Specific measurable conditions introduced by the EU that WB countries must

Benchmarks fulfill to open, provisionally close, or pass individual accession chapters.

Open-Ended Process Transformation of WB accession negotiations into a process without a clear

endpoint or guaranteed membership — reflecting EU's ambiguity toward WB.

ICTY (International UN war crimes tribunal. Cooperation with ICTY was a central SAP conditionality
Criminal Tribunal for requirement for all WB countries.
Former Yugoslavia)

Normative Power Concept of EU as a power that shapes international norms through example and
persuasion rather than coercion. Critics argue the 'carrot and stick' approach
undermines this identity.

Fake/Partial/Imposed Per Noutcheva (2009): three types of WB responses to EU conditionality. WB

Compliance states adopt formal requirements without genuine internalization, limiting
Europeanization to superficial change.

Structure of SAP Conditionality

• Rule of law requirements
• Strengthening regional cooperation
• Cooperation with ICTY
• Return of refugees and displaced persons
• Democratic reforms and free and fair elections

Why EU Integration Is More Difficult for WB than CEE

• WB faces more serious external and internal obstacles (contested statehood, unresolved
borders, ethnic tensions)
• 'Consolidation of non-consolidated democracy': formal institutions without genuine
democratic norms
• EU enlargement fatigue post-2004 and 2007 waves
• EU has proven not to be an effective state-building actor
• Acquis Communautaire lacks clear state-building criteria
• Highly asymmetrical, partly hierarchical EU-WB relationships
• EU credibility undermined by 'carrot and stick' approach

Other External Players in the Western Balkans

Russia
• Uses 'Turkish Stream' (gas/oil) for energy leverage
• UNSC veto (Kosovo case)
• Security-military cooperation: 'Slavic Brotherhood' exercises (Russia-Belarus-Serbia)
• Pan-Slavism via Orthodox Church ties and right-wing parties (Dveri, Zavetnici, etc.)
• 'Opportunistic spoiler': undermines EU/NATO values but offers no alternative

China
• Belt and Road Initiative: large infrastructure projects

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 • Provides loans, infrastructure (highways, bridges), energy (thermal plants), mining (Steel
factory Smederevo, Bor mining)
• Does not interfere in political affairs — highly appreciated by local elites
• Seen as both opportunity and risk; EU skeptical

SESSION 11: Foreign Policy of Post-Yugoslav States —

Kosovo
Kosovo's Status
Kosovo is a partially recognized state and disputed territory in Southeastern Europe. It declared
independence from Serbia on 17 February 2008. As of the course, it had gained recognition from 98
UN member states (including all its neighbors) but was opposed by Serbia, Russia, China, Spain,
Argentina, Brazil, Chile, India, Indonesia, Iran, and South Africa.

Key Terms
UNMIK (UN Interim Established by UN Security Council Resolution 1244 (1999). Administered Kosovo
Administration Mission in after the Kosovo War; vested all legislative and executive powers in the UN
Kosovo) Special Representative of the Secretary General.

EULEX EU Rule of Law Mission in Kosovo, deployed 2008. Operates 'under the general
framework of UN Security Council Resolution 1244'. Focuses on rule of law,
judiciary, police, and customs.

ICJ Advisory Opinion (July International Court of Justice ruled that Kosovo's declaration of independence
2010) was NOT in violation of international law. Strengthened Kosovo's international
position but did not resolve status dispute.

UNSC Resolution 1244 Placed Kosovo under UN administration after NATO bombing campaign.
(1999) Recognized Serbia's territorial integrity while establishing international
administration. Still technically in force, cited with asterisk in Kosovo's
international participation.

Community of Serb Agreed in Brussels Agreement (April 2013) to protect Serb communities in
Municipalities Kosovo with a degree of self-governance — one of the most contested elements
of the dialogue.

Brussels Agreement (19 'First Agreement of Principles Governing the Normalization of Relations' between
April 2013) Serbia and Kosovo, facilitated by the EU. Included dismantling of Serbian parallel
security structures, creation of new local institutions, and Community of Serb
Municipalities.

Kosovo Asterisk Kosovo participates in some regional forums with an asterisk noting: 'This
designation is without prejudice to status, and is in line with UNSC 1244 and ICJ
Opinion on the Kosovo Declaration of Independence.' Compromise allowing
participation without resolving status.

Belgrade-Pristina Dialogue EU-facilitated dialogue between Serbia and Kosovo since March 2011. 'Technical
dialogue' aimed at normalizing relations without requiring Serbia to recognize
Kosovo's independence.

North Kosovo Northern part of Kosovo populated predominantly by Serbs. Not under the

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 effective control of Pristina. Parallel Serbian institutions operated here. Key issue
in Belgrade-Pristina dialogue.

Kosovo's Foreign Policy Challenges

• 1974-1989: Autonomous province within Yugoslavia — could conclude bilateral economic
agreements
• 1991: Kosovo declared independence (not internationally recognized at the time)
• 1999-2008: UNMIK administration under UNSC Resolution 1244
• 2008: EULEX deployed; independence declared

Kosovo's Foreign Policy Objectives

• Recognition of independence by as many states as possible
• Close and special relations with the US (main supporter)
• Strategic partnership with EU and NATO
• Membership in international organizations
• Good neighborly relations through bilateral and multilateral agreements

International Relations Context

• US: Main supporter; Kosovo adopts cautious approach toward 'anti-American' states (Iran,
Syria, Venezuela, Cuba, North Korea, Libya)
• EU: 'Neutral approach' — EU itself developed internally divided position (Spain, Romania,
Greece did not recognize)
• Albania: Natural ally — common ethnic and cultural ties, joint political interests
• Turkey: Multilevel ties (historic, political, religious, personal); supported Kosovo's institution-
building
• Member of: IMF, World Bank, Regional Cooperation Council, Venice Commission, EBRD
• NOT a member of: UN, OSCE, Council of Europe, NATO

MASTER GLOSSARY OF KEY TERMS

The following table consolidates the most important terms across all sessions for quick revision.
Acquis Communautaire The full body of EU law that candidate states must adopt. Criticized in WB
context for lacking clear state-building criteria.

Ancient Ethnic Hatred Rejected academic explanation for Yugoslav dissolution; argues pre-existing
hatreds caused the wars (hatred was actually a result, not cause).

Belgrade Declaration Soviet-Yugoslav normalization: recognized mutual sovereignty and peaceful

(1955) coexistence.

Belt and Road Initiative Chinese foreign policy infrastructure/investment project; significant Chinese
presence in WB via loans and construction.

Brotherhood and Unity Tito's central ideological concept to suppress national divisions in multinational
Yugoslavia.

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Brussels Agreement (2013) First normalization agreement between Serbia and Kosovo; EU-facilitated.

Carrot and Stick EU's WB integration strategy: membership incentives balanced with
conditionality threats.

Clash of Civilizations Huntington's theory; used (controversially) to explain Yugoslav wars along
religious lines.

Cominform Soviet-dominated organ controlling Communist parties; Yugoslavia expelled in

1948.

Conditionality Central SAP principle: candidates must fulfill specific political/legal conditions to
advance.

Copenhagen Criteria Basic EU membership requirements: stable democracy, market economy,

adoption of acquis.

Dayton Agreement (1995) Peace agreement ending the Bosnian War; structured BiH as two entities.

Democratic Backsliding Movement away from democracy toward authoritarianism while maintaining
formal institutions.

Enlargement Fatigue EU reluctance to continue enlargement after 2004/2007 waves; tension between
widening and deepening.

EULEX EU rule of law mission in Kosovo, deployed 2008.

Fake/Partial/Imposed Noutcheva's typology of WB responses to EU conditionality — formal adoption

Compliance without genuine internalization.

Freyburg & Richter National identity that contradicts EU conditions leads to selective/inconsistent
Hypothesis compliance regardless of cost-benefit.

Gastarbeiter Yugoslav guest-workers, especially in West Germany; symbol of Yugoslavia's

open borders.

Goli Otok Yugoslav prison island for Cominformists; over 16,000 imprisoned.

Gotovina Case Key test of Croatia's EU integration: war crimes general, arrested 2005, acquitted
2012.

HDZ Croatian Democratic Union; Tudjman's party; nationalist; led Croatia to

independence.

Hybrid Regime Formal democratic institutions + systematic autocratic subversion of their

functioning.

ICJ Opinion (2010) Kosovo's independence declaration not in violation of international law.

ICTY International Criminal Tribunal for Former Yugoslavia; cooperation required by

SAP conditionality.

Kosovo Asterisk Compromise formula: Kosovo participates internationally without prejudice to

status.

NAM (Non-Aligned International bloc outside NATO/Warsaw Pact; co-founded by Tito, Nasser,
Movement) Nehru; 1961 Belgrade summit.

Normative Power (EU) EU as shaper of international norms through example; critics say carrot-and-stick
undermines this.

North Kosovo Serb-majority area not under Pristina's effective control; key dispute in Belgrade-
Pristina dialogue.

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 Ohrid Agreement (2002) Ended North Macedonia's 2001 conflict; gave autonomy/cultural rights to
Albanian minority.

Operation Deliberate NATO air strikes ending the Bosnian War; led to Dayton.
Force (1995)

Operations Flash and Croatian military operations retaking Serb-held territory; ~200,000 Serbs
Storm (1995) expelled.

SAA (Stabilization and High-level EU-WB cooperation agreement; first step toward EU membership.
Association Agreement) Equivalent to Europe Agreements in CEE.

SAP (Stabilization and EU's WB integration framework: stabilize first, then associate. Two-fold
Association Process) enlargement and state-building tool.

Self-Management Yugoslav economic-political system; workers managed enterprises; central to

SFRY identity; collapse = ideological vacuum.

Semi-Authoritarian Ottaway (2003): deliberately maintains democracy's appearance while ensuring

Regime the political risks of real competition are avoided.

SFRY Socialist Federative Republic of Yugoslavia; Tito's federation 1945-1992.

Srebrenica Genocide July 1995: ~7,000 Bosniak men/boys killed by Bosnian Serb forces; recognized as
genocide.

Stabilitocracy Western support for semi-authoritarian Balkan leaders in exchange for stability;
enables autocrats to maintain power with EU nominal endorsement.

State Capture Political elites using governance for private/clientelistic gain; widespread in WB.

State-Sponsored Populism Use of populist mechanisms by the state to preserve dominance; Djukanovic's
Montenegro model.

Third Way to Socialism Yugoslavia's distinct path between Soviet communism and Western capitalism.

UNMIK UN Interim Administration Mission in Kosovo; administered Kosovo 1999-2008

under UNSC Resolution 1244.

UNSC Resolution 1244 Placed Kosovo under UN administration; recognized Serbian territorial integrity;
basis for UNMIK and EULEX.

Withering Away of the Marxist-Yugoslav ideological concept; Jovic argues it undermined SFRY's
State institutional survival capacity.

OPEN QUESTION EXAM PREPARATION

Likely Thematic Questions & How to Answer Them
1. Why did Yugoslavia dissolve?
• Do NOT rely on single-factor explanations
• Structure: Tito's death → economic crisis → ideological vacuum → nationalism as
replacement ideology → constitutional/institutional weaknesses → international context →
role of leaders
• Cite Jovic (ideological failure), Woodward (economics), Wachtel (cultural/Yugoslav idea),
Huntington (cultural — but be critical)

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 • Conclude: dissolution had many causes; ideological failure created the conditions, other
factors filled the vacuum

2. What is the Stabilization and Association Process and why has it struggled in WB?
• Define SAP, SAA, conditionality, Copenhagen criteria
• Compare to CEE enlargement: WB is more complex (contested statehood, post-conflict,
corruption, nationalism)
• Discuss: 'consolidation of non-consolidated democracy', Noutcheva's fake/partial/imposed
compliance
• EU problems: enlargement fatigue, no clear state-building criteria in acquis, carrot-and-stick
undermining normative power, 'open-ended process'
• External factors: Russia (opportunistic spoiler), China (Belt and Road)

3. Explain the role of national identity in Croatia's EU accession (Freyburg & Richter)
• State the hypothesis precisely
• Apply to Croatia: Gotovina celebrated as hero → national identity contradicted ICTY
cooperation requirement → selective compliance
• Explain what made Croatia's case unique: first post-conflict accession, ICTY conditionality,
interstate disputes (Slovenia), limited statehood under Tudjman
• Discuss the paradox: Gotovina acquitted in 2012 — national identity was vindicated after
accession

4. What is authoritarianism in the Western Balkans?

• Define: hybrid regimes, semi-authoritarianism (Ottaway), democratic backsliding (Bieber)
• Two types: Euro-Atlantic autocrats vs. nationalist autocrats
• Mechanisms: state capture, political crises, weak opposition/CSO, strongmen, nationalism
• Key concept: stabilitocracy — EU and West support autocrats for stability, migration control,
economic interests
• Examples: Montenegro (Djukanovic), Serbia (Vucic), North Macedonia

5. What is Kosovo's foreign policy situation?

• Explain partial recognition: 98 UN members recognize, key states do not (Serbia, Russia,
China, Spain etc.)
• Historical challenge: no FP platform, no international subjectivity for decades
• UNMIK → EULEX → independence 2008; ICJ advisory opinion (2010)
• Main FP objectives: recognition, US partnership, EU/NATO integration
• Belgrade-Pristina Dialogue: Brussels Agreement (2013), Community of Serb Municipalities,
Kosovo asterisk
• Key alliances: US (main supporter), Albania (natural ally), Turkey (multilevel ties)

6. What was Non-Aligned Yugoslavia's foreign policy?

• Explain NAM: co-founded with Nasser and Nehru; 1961 Belgrade summit; no Charter
• Connect to domestic politics: NAM opened access to Western loans while maintaining
socialism
• Tito's personal diplomacy: most-traveled non-aligned leader
• Economic benefits: $600M economic + $1.2B military aid from US (1951-1955)
• Long-term: Yugoslavia increasingly connected to capitalist West economically

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 • Decline: After Tito's death (1980), non-alignment continued formally until 1990 but lost
substance

Good luck on your exam!

Dr. Vladimir Vuckovic | EVSb2016 | Department of International Relations and European Studies

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