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London School of Economics and Political Science FROM REBELLION TO DE FACTO STATEHOOD: INTERNATIONAL AND TRANSNATIONAL SOURCES OF THE TRANSFORMATION OF THE KURDISH NATIONAL LIBERATION MOVEMENT IN IRAQ INTO THE KURDISTAN REGIONAL GOVERNMENT Yaniv Voller A thesis submitted to the Department of International Relations of the London School of Economics for the degree of Doctor of Philosophy, London, June 2012 Declaration I certify that the thesis I have presented for examination for the MPhil/PhD degree of the London School of Economics and Political Science is solely my own work other than where I have clearly indicated that it is the work of others (in which case the extent of any work carried out jointly by me and any other person is clearly identified in it). The copyright of this thesis rests with the author. Quotation from it is permitted, provided that full acknowledgement is made. This thesis may not be reproduced without my prior written consent. I warrant that this authorisation does not, to the best of my belief, infringe the rights of any third party. I declare that my thesis consists of 93,566 words. Statement of use of third party for editorial help I can confirm that my thesis was copy edited for conventions of language, spelling and grammar by Mrs Jennifer Abel. Abstract In 1991, following its defeat in the first Gulf War and out of fear of a humanitarian catastrophe, the Iraqi army and state-apparatus were forced to withdraw from the three Kurdish-population governorates in Northern Iraq. This left an administrative vacuum that was filled by the leadership of the Kurdish fragmented guerrilla movement – now a de facto Kurdish state in Northern Iraq, known as the Kurdistan Regional Government (KRG). Instead of achieving their goal of an autonomous (and in the long-term even independent) Kurdistan through insurgency or guerrilla warfare, the Kurdish leadership came to see state- and institution-building as the most efficient path. De facto statehood has had a significant impact on the development of the KRG, its state-building, its interaction with the international community, and its policies. As demonstrated in the growing literature on de facto states, the pursuit of international legitimacy often plays a key role in shaping their conduct and identity, paving the way toward substantial, though fragile, achievements in state-building. The purpose of this research is to contribute to the study of de facto states by exploring the case of the KRG. It argues that the pursuit of legitimacy is essential for the understanding of de facto states, mainly due to its potential to generate interaction between the de facto state and different segments of the international community. Transnational advocacy is found to be particularly significant, including diaspora activism for conveying ideas and encouraging interaction. By examining the evolution of the Kurdish national liberation movement from 1958 to 2010, this research aims to better explain the dynamics that shape de facto states in general, and to contribute to the study of the KRG as a de facto state in particular, including its development, and its domestic and foreign policies. Contents Abbreviations iv Acknowledgements v 1. Introduction 1 1.1. Defining the Problem and the Research Question 1 1.2. A note on Terminology and the Use of the Term ‘De Facto State’ 11 1.3. Theoretical Framework and Methodology: Social Constructivism in 14 IR 1.4. Structure of the Research 26 2. De Facto States: Earned Sovereignty and the Pursuit of Legitimacy 30 2.1. Crises of Legitimacy and its Pursuit: Defining the Cause of 31 Changes 2.1.1. The Constitution of International Legitimacy and its Impact 31 on Actors Aspiring for Legitimacy 2.1.2. International Legitimacy in the Post-Cold War Era: 41 Democratisation, Human Rights and Statehood 2.1.3. Identifying the Agents Of Change: Transnational Actors 52 and the Conveyance of New Ideas to the De Facto States 2.2. The De Facto State: Contested Sovereignty and the Pursuit of 57 Legitimacy 2.2.1. Defining the De Facto State: the Paradoxes of Sovereignty 57 and Recognition 2.2.2. Putting the De Facto State in the Centre 66 2.2.3. Crises of Legitimacy and its Pursuit: Toward a Better 78 Understanding of De Facto States 2.3. Conclusion 90 3. The Emergence of the Kurdish Nationalist Struggle in Iraq: 92 Decolonisation and the Moral Legitimacy of a Minority, 1958-1991 3.1. The Emergence of the Kurdish Nationalist Movement in the Early 93 Twentieth Century i 3.2. The Kurdish Nationalist Movement in the Interwar Era and the Idea 97 of National Self-Determination 3.3. Post-War Era: Further Claims for Self-Determination, the Rise of 102 Decolonisation and the Mahabad Republic 3.4. The Kurdish Uprising of 1961 and the Roots of the Kurdish De 109 Facto State in Iraq 3.5. The 1970s: The Rise Of Saddam Hussein, the Algiers Agreement 118 and the Fall and Resurrection of the Kurdish National-Liberation Movement in Northern Iraq 3.6. The Path to De Facto Statehood: the Iran-Iraq War, the Anfal 129 Campaign and the Creation of the Kurdistan Front 3.7. Conclusion 135 4. The First Decade of Kurdish De Facto Statehood In Northern Iraq: The 136 Democratic Experience, Its Collapse and Steps toward Revival, 1991-2001 4.1. The Emergence of a De Facto State: the Gulf War, Uprising and 136 Operation Provide Comfort 4.2. De Facto Autonomy and New Identity: the Establishment of the 141 KRG and the Democratic Experiment 4.3. Initial Steps of State- and Institution-Building 152 4.4. Constructing Alternative Legitimacy: the Democratic Experiment 158 and the International Community 4.5. The Descent into a Civil War and the Demise of the Experiment in 164 Democracy 4.6. The OFFP and The KRG: International Aid and the Consolidation 171 of Autonomy in Kurdistan 4.7. Conclusion 181 5. The Second De Facto State: The Second Decade of Autonomy and 183 the Reunification of the KRG, 2001-2010 5.1. Setting the Context: From the WOT to the Establishment of a New 184 Government in Baghdad 5.2. Kurdish National-Liberation and The New Iraq 187 ii 5.3. Legalising Kurdish Autonomy: the KRG in the New Iraqi 191 Constitution 5.4. Confrontation and the New Nature of Erbil-Baghdad Relations: 198 from Civil War to Border Skirmishes 5.5. The Formal End of the Civil War: Reunification of the 201 Administration and Its Impact on State-Building in The KR 5.6. The KRG’s Counterinsurgency Campaign and the Global War on 215 Terror: Old Threats and New Opportunities 5.7. The KRG’s Unilateralism with regard to Oil Reserves in the 222 Kurdistan Region: Proving Economic Viability 5.8. The KRG and Turkey Post-2003: another Perspective on 230 Legitimation 5.9. Conclusion 238 6. The Pursuit of International Legitimacy and the Process of State-Building: 240 Explaining Domestic Developments within the KRG 6.1. The Context of Domestic Transformation: the Changing Nature of 241 Interaction and Intervention and the KRG’s Domestic Structure 6.2. The Pursuit of International Legitimacy and the Democratisation of 248 The KRG 6.3. The Transnational Struggle Against Violence Against Women in the 259 Kurdistan Region: Pursuit of Legitimacy and New Opportunities 6.4. Conclusion 284 7. Conclusion 285 7.1. The KRG and Pursuit of Legitimacy as a Factor in De Facto States’ 289 Policy-Making processes 7.2. The De Facto State, International Politics and IR Theory 290 7.3. Further Study of the KRG: The Concept of De Facto Statehood as a 292 Platform for Further Research Bibliography 302 iii ABBREVIATIONS AI – Amnesty International AKP – Justice and Development Party (in Turkish Adelet ve Kalkınma Partisi) CPA – Coalition Provisional Authority HBV – Honour-based violence HRR – Human Rights Report (UNAMI publication) IGC – Iraqi Governing Council INC – Iraqi National Council IRI – International Republican Institute ITF – Iraqi Turkoman Front IWO – Independent Women’s Organisation KA – Kurdistan Alliance KDP – Kurdistan Democratic Party KF – Kurdistan Front KIE - Kurdistan Institute for Elections KNA – Kurdistan National Assembly KP – Kurdistan Parliament KRG – Kurdistan Regional Government in IR KRM – Kurdistan Referendum Movement NDI – National Democratic Institute NED – National Endowment for Democracy OFFP – Oil for Food Programme PKK – Kurdish Workers Party (in Kurdish Partiya Karkerên Kurdistan) PUK – Patriotic Union of Kurdistan SBS – Standards Before Status (Kosovo) TAL - Transitional Administrative Law UNAMI – United Nation Assistance Mission in Iraq UNSCR – UN Security Council Resolution USAID – US Agency for International Development iv ACKNOWLEDGEMENTS This project could not have been completed without the generous support of numerous people, to whom I owe a great debt. First and foremost I would like to thank my supervisor, Katerina Dalacoura, for her support throughout the process of writing this dissertation. Her guidance, insights and comments, as well as her dedication and openness have been crucial in turning my, thoughts and findings into this thesis. I would also like to thank the members of my panel, Peter Wilson and Roy Allison for their valuable contributions to the development of this project. The Middle East workshop, run by Fawaz Gerges, provided me with an intellectual environment in which I could share my ideas with other students of the region, as well as discuss the exciting developments which took place in the region during the writing of this dissertation. I also thank Sa’ad Jawad and Toby Dodge for their help. And I am particularly grateful Jennifer Abel for proofreading this work. The LSE Middle East Centre has provided me with generous financial support in the form of the Emirates Scholarship which allowed me to focus on my writing.