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IRAQ’S DE-BA`THIFICATION: RATIONALES AND IMPLEMENTATION OF A CONTESTED TRANSITIONAL JUSTICE MECHANISM A dissertation submitted to Kent State University in partial fulfillment of the requirements for the degree of Doctor of Philosophy by Aysegul Keskin Zeren January 2014 Dissertation written by Aysegul Keskin Zeren B.A., Istanbul Bilgi University, 2005 M.A., Sabanci University, 2007 Ph.D., Kent State University, 2014 Approved by Patrick G. Coy, Co-Chair, Doctoral Dissertation Committee Landon E. Hancock, Co-Chair, Doctoral Dissertation Committee Andrew Barnes, Committee Member Pete W. Moore, Outside Committee Member C. Lockwood Reynolds, Graduate Faculty Member Accepted by Andrew Barnes, Chair, Department of Political Science Raymond Craig, Associate Dean, College of Arts and Sciences ii TABLE OF CONTENTS DEDICATION ............................................................................................................... VIII ACKNOWLEDGEMENTS .............................................................................................. IX CHAPTER 1 INTRODUCTION ...................................................................................... 12 1.1 Research Question and Argument ........................................................................... 12 1.2 Transitional Justice .................................................................................................. 17 1.3 The Case: De-Ba`thification .................................................................................... 22 1.4 Structure of the Dissertation .................................................................................... 28 CHAPTER 2 LITERATURE REVIEW AND THEORETICAL FRAMEWORK .......... 30 2.1 Introduction ............................................................................................................. 30 2.2 Terminology ............................................................................................................ 31 2.2.1 The Origins of Lustration .............................................................................. 32 2.2.2 Contemporary Meanings and De-Ba`thification ........................................... 34 2.3 Understanding how countries deal with the past ..................................................... 45 2.3.1 Transitional justice in general ....................................................................... 45 2.3.2 Lustration in particular .................................................................................. 49 2.4 Rationale(s) ............................................................................................................. 54 2.5 Design and Implementation .................................................................................... 57 2.6 Conclusion ............................................................................................................... 60 CHAPTER 3 METHODOLOGY ..................................................................................... 62 3.1 Introduction ............................................................................................................. 62 3.2 Methodology and Case Selection ............................................................................ 63 iii 3.3 Data Gathering ........................................................................................................ 65 3.3.1 Interviews ...................................................................................................... 67 3.3.2 Archival Research ......................................................................................... 77 3.4 Observations and Reflections .................................................................................. 79 3.5 Data Analysis .......................................................................................................... 86 3.6 Conclusion ............................................................................................................... 88 CHAPTER 4 RATIONALES FOR ENGAGING IN DE-BA`THIFICATION ............... 90 4.1 Introduction ............................................................................................................. 90 4.2 Ba`thification: Brainwashing, Fear, and Purges ...................................................... 91 4.3 The Origins and Evolution of the De-Ba`thification Idea ..................................... 101 4.4 Literature on Rationales for Disqualification ........................................................ 111 4.5 Rationales for De-Ba`thification ........................................................................... 122 4.5.1 U.S. Administration..................................................................................... 122 4.5.2 Iraqi Elite: The Architects and Directors of De-Ba`thification ................... 134 4.5.3 Iraqi Public Opinion .................................................................................... 144 4.6 Conclusion ............................................................................................................. 148 CHAPTER 5 THE DESIGN AND IMPLEMENTATION OF DE- BA`THIFICATION ............................................................................................................................. 153 5.1 Introduction ........................................................................................................... 153 5.2 Design and Implementation Frameworks ............................................................. 154 5.3 Design and Implementation of De-Ba`thification ................................................. 167 5.3.1 Who Should be De-Ba`thified and Why? ................................................... 167 iv 5.3.2 First the Occupier, Then the Politicized Commissions ............................... 181 5.3.3 Dismissals, Exemptions, Reinstatements, Appeal, and Pensions ............... 190 5.3.4 When to Begin; When to End ..................................................................... 201 5.3.5 De-Ba`thification and the Iraqi High Tribunal ............................................ 207 5.4 Consequences: “It was a necessary surgery, but the patient died.” ....................... 209 5.5 Conclusion ............................................................................................................. 218 CHAPTER 6 CONCLUSION......................................................................................... 220 6.1 Main Arguments and Findings .............................................................................. 220 6.2 Lessons Learned .................................................................................................... 222 6.2.1 Policy-Makers ............................................................................................. 222 6.2.2 Arab Spring Governments ........................................................................... 224 6.3 Research Contribution and Future Direction ........................................................ 229 APPENDIX A COALITION PROVISIONAL AUTHORITY ORDER NUMBER 1 DE-BA`THIFICATION OF IRAQI SOCIETY.................................................. 231 APPENDIX B COALITION PROVISIONAL AUTHORITY ORDER NUMBER 2 DISSOLUTION OF ENTITIES ......................................................................... 233 APPENDIX C INTERVIEW PROTOCOLS.................................................................. 238 APPENDIX D INTERVIEWEE LIST ........................................................................... 242 APPENDIX E ABBREVIATIONS/LIST OF FREQUENCY USED ............................ 246 REFERENCES ............................................................................................................... 248 v LIST OF FIGURES Figure 1-1. Transitional Justice Strategies ........................................................................ 18 Figure 1-2. Transitional Justice Spectrum ........................................................................ 19 Figure 4-1. Ba`th Party Membership Hierarchy. .............................................................. 98 vi LIST OF TABLES Table 2.1. Disqualification Efforts.................................................................................... 43 Table 3.1. Official CPA Documents. ................................................................................ 78 Table 4.1. Rationales and Criticisms .............................................................................. 149 Table 5.1. Range of Collaborative Activity in Occupied Europe DuringWorld War II . 155 vii DEDICATION To my son, Berk Zeren, who is my source of motivation and inspiration… viii ACKNOWLEDGEMENTS This dissertation would not have been possible without the support of many people especially my dissertation committee members. I am greatly indebted to the chairs of my committee, Patrick Coy and Landon Hancock for spending countless hours reading and commenting on the many drafts I submitted. Their support has been essential to the progress of this study. I owe a special debt of gratitude to Dr. Coy. It was in his graduate seminar that I first developed an interest in transitional justice. His kind personality and wisdom has mainly shaped my academic perspective. I am grateful to Dr. Hancock for his many insights on this dissertation and his intellectual guidance throughout my time at Kent State. I am also thankful to Andrew Barnes for helpful insights and suggestions that improved my dissertation considerably. I want to extend my special thanks to Pete Moore who generously