The Roles of Non-Nuclear-Weapon States In
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The Roles of Non-Nuclear-Weapon States in Advancing Nuclear Disarmament from 2007 to 2013: Ideal Type Role Concepts as well as Germany’s Role Conception and Role Performance Universität Hamburg Fakultät Wirtschafts‐ und Sozialwissenschaften Dissertation Zur Erlangung der Würde eines Doktors der Wirtschafts‐ und Sozialwissenschaften „Dr. phil.“ (gemäß der PromO vom 24. August 2010) vorgelegt von Sascha Knöpfel aus Uttershausen Uttershausen, den 12.04.2019 Prüfungskommission Vorsitzender: Prof. Dr. Cord Jakobeit Erstgutachter: Prof. Dr. Michael Brzoska Zweitgutachterin: Prof. Dr. Ursula Schröder Weiteres Mitglied: Prof. Dr. Götz Neuneck Datum der Disputation: 27.11.2019 Erklärung Hiermit erkläre ich, Sascha Knöpfel, dass ich keine kommerzielle Promotionsberatung in Anspruch genommen habe. Die Arbeit wurde nicht schon einmal in einem früheren Promotionsverfahren angenommen oder als ungenügend beurteilt. __________________________ _______________________________ Ort/Datum Unterschrift Doktorand/in *********************************************** Eidesstattliche Versicherung: Ich, Sascha Knöpfel, versichere an Eides statt, dass ich die Dissertation mit dem Titel: „The Roles of Non‐Nuclear‐Weapon States in Advancing Nuclear Disarmament from 2007 to 2013: Ideal Type Role Concepts as well as Germany‘s Role Conception and Role Performance” selbst und bei einer Zusammenarbeit mit anderen Wissenschaftlerinnen oder Wissenschaftlern gemäß den beigefügten Darlegungen nach §6 Abs. 3 der Promotionsordnung der Fakultät Wirtschafts‐ und Sozialwissenschaften vom 24. August 2010 verfasst habe. Andere als die angegebenen Hilfsmittel habe ich nicht benutzt. __________________________ ____________________________________ Ort/Datum Unterschrift Doktorand/in ______________________________ Unterschrift der Verwaltung Dedication To science Acknowledgements My greatest gratitude goes to everyone and everything for paving the way towards acquiring the scholarly and professional skills symbolised by this work. I would like to thank the Friedrich Ebert Foundation for their financial and ideational support from the very start of this project. The two educational institutions King´s College London and University of Hamburg deserve my thanks for granting me a way to pursue a PhD, while the same appreciation goes to the German Council on Foreign Relations and the Staatsbibliothek zu Berlin for providing the grounds to actually walk the walk. My supervisors Dr. Andrea Ellner and Dr. Matthew Moran (King´s College London) as well as Prof. Dr. Michael Brzoska and Prof. Dr. Götz Neuneck (University of Hamburg) took me on as a student. A personal thank‐you for this. Finally, I would like to thank Lindsay Jane Munro for polishing my English as well as her and Bhante Nyanabodhi for the encouragements in the final stages of this project. Contents List of Abbreviations ....................................................................................................... ix List of Tables .................................................................................................................... x List of Appendices ........................................................................................................... xi 1.) Introduction ............................................................................................................. 12 1.1.) Research Questions, Analytical Framework and Benefits ................................ 14 1.2.) Central Definitions ............................................................................................ 17 1.3.) Structure ........................................................................................................... 19 2.) Sampling, Methods and Approach .......................................................................... 21 2.1.) Sampling ........................................................................................................... 21 2.2.) Methods ............................................................................................................ 27 2.3.) Approach ........................................................................................................... 38 3.) Literature Review .................................................................................................... 41 3.1.) Role Theory ....................................................................................................... 41 3.2.) NNWS and the Advancement of Nuclear Disarmament .................................. 46 3.3.) Germany and the Advancement of Nuclear Disarmament .............................. 56 4.) Role Theory and Ideal Type ..................................................................................... 61 4.1.) Role Theory ....................................................................................................... 61 4.2.) Ideal Type .......................................................................................................... 69 5.) Roles of NNWS in Advancing Nuclear Disarmament .............................................. 74 5.1.) Rationale ........................................................................................................... 74 5.1.1.) NPT and Distribution of Functions ............................................................. 74 5.1.2.) Responsibilities .......................................................................................... 77 5.1.3.) Requirements ............................................................................................. 87 5.1.4.) Potentials ................................................................................................... 89 5.2.) Context .............................................................................................................. 91 5.3.) Concepts ......................................................................................................... 101 5.3.1.) Meta Aspects ............................................................................................ 102 5.3.2.) Characteristics .......................................................................................... 105 5.3.3.) Ideal Types ............................................................................................... 132 6.) Role of Germany in Advancing Nuclear Disarmament .......................................... 136 6.1.) Context ............................................................................................................ 136 6.2.) Conception ...................................................................................................... 148 6.2.1.) Meta Aspects ............................................................................................ 149 6.2.2.) Characteristics .......................................................................................... 151 6.2.3.) Ideal Types ............................................................................................... 193 6.3.) Performance ................................................................................................... 196 6.3.1.) Meta Aspects ............................................................................................ 197 6.3.2.) Characteristics .......................................................................................... 200 6.3.3.) Ideal Types ............................................................................................... 244 7.) Conclusion ............................................................................................................. 246 7.1) Findings ............................................................................................................ 246 7.2.) Validity ............................................................................................................ 256 7.3.) Contributions .................................................................................................. 259 7.4.) Limitations and Further Research................................................................... 263 Appendices .................................................................................................................. 272 Bibliography ................................................................................................................ 302 List of Abbreviations Comprehensive Nuclear Test Ban Treaty CTBT Comprehensive Nuclear Test Ban Treaty Organization CTBTO Conference on Disarmament CD Democratic People's Republic of Korea DPRK European Union EU Fissile Material Cut‐Off Treaty FMCT Foreign Policy (academic discipline of) FP International Relations (academic discipline of) IR International Atomic Energy Agency IAEA New Strategic Arms Reduction Treaty NSTART No‐First‐Use NFU Nuclear Non‐proliferation Treaty NPT Nuclear‐Armed State(s) NAS Nuclear‐Weapon‐Free World NWFW Nuclear‐Weapon‐Free Zone NWFZ Nuclear‐Weapon State(s) NWS Non‐Aligned Movement NAM Non‐Governmental Organisation NGO Non‐Nuclear‐Weapon State(s) NNWS Non‐Proliferation and Disarmament Initiative NPDI North Atlantic Treaty Organization NATO Negative Security Assurance NSA Preparatory Committee for the NPT Review Conference PrepCom NPT Review Conference RevCon Role Theory (academic discipline of) RT Treaty on the Prohibition of Nuclear Weapons TPNW United Nations UN United States (of America) US ix List of Tables Table I: Role Concepts ..................................................................................................... 130‐131 Table II: Ideal Type Role