Abstract The thesis examines the process of state formation of the only surviving federal state in the Arab world: the United Arab Emirates (UAE). It tries to answer questions related to the historical circumstances leading to the federation; the respective role of the British officials and the local rulers in it; and the methods and strategies employed by the rulers of these Emirates during the negotiations leading to the formation of the federation to preserve their local status and power while bridging the gaps between them and establishing a viable state. It argues that, of the main sets of political players at the time (the British officials and the local rulers), it was the interaction among the rulers that led to the successful outcome of announcing the new state. Even during the successive negotiations to establish unions, the rulers of the Emirates did not differ over the forming of a larger state; however they did disagree on their influence over decision-making institutions within the new state. Therefore, it was the recognition by the rulers of each other‟s power and the value of their potential contribution to the future union that determined the issue of the negotiations and the inclusion or exclusion of a particular ruler from the union. The ambition of this research is to contribute to the literature on federal state formation in the post-colonial world, with a particular emphasis on the process, the forces, and the avenues leading to the merging of various components into one political entity. It relies on newly-released British official documents and the increasing availability of personal accounts (books, articles and memoirs) by individuals who participated in the negotiations, giving new tools to investigate various aspects of the social, economic and political factors associated with the formation of the state on the Coast of Oman. 2 Acknowledgement This dissertation would not have been completed without the contribution of many individuals and institutions both in the United Arab Emirates and in the United Kingdom. In the UAE I am indebted to members of my family: my father, Qassim Sultan, my mother, Rafi „a al-Hashimi, and my brothers Rashed, Ahmed, Jamal, Nawaf, Sultan and my sister Amal. They have assisted me in sending books and articles I requested as well as providing me with moral support while I was sick. This dissertation would not have reached its final destination without vital contributions of my supervisors, who agreed to carry the task at late stage: Dr. Marc Valeri, University of Exeter, and Prof. Abdulkhaliq Abdulla, United Arab Emirates University, who reviewed and commented on chapters of the thesis that improved it qualitatively. My earlier supervisor Dr. James Onley, who discontinued his task, assisted me with many comments as well. Ms. Lindy Ayubi transcended the role of editing chapters by critically reading them which saved me from many mistakes. In Exeter, my friends Dr. Khalid al-Muzaini, from the UAE, and Dr. Fahad al-Sharif, from Saudi Arabia, played crucial role in discussing many aspects of this thesis, which otherwise would not have appeared as such in its final form. Also the National Archives in Abu Dhabi supplied me with documents from the United Kingdom and the United States of America concerning the history of the Emirates. At the same time, the British Archives assisted me in searching for documents that I could not find in my home country. Also, a number of friends who provided me with documents requested not to be mentioned nominally. A number of friends, both in the UAE and the UK, provided me with moral and intellectual support when I needed it. In the UAE I would wish to acknowledge Mr. „Ali Darwish and Mr. Salah bin Za„als, who called me on a regular basis; in the UK, my gratitude extends to Ms. Layla bin Dismal and Mr. Abdulilah Tawfick in London, and Mr. Abdulla Kuzu and his Dinosaur Café in Exeter, where I used to spend times reading books or enjoying the company of my friends. In addition, Mr. Nabeel Fahim assisted me in bringing the chapters together in one body. Finally, hospitals both in the UAE and the UK played their role as well while I was sick; the medical staffs of the Rashid Hospital in Dubai, the Royal Exeter and Devon Hospital and the Chelsea and 3 Westminster Hospital played a crucial role in assisting me to recover from my unstable health. After leaving hospital, the staff of Cheval Harrington Court, where I have resided in London, made my life easier by providing me with assistance when necessary. Finally, it should be clear that all shortcomings in this thesis are mine, not the individuals‟ mentioned above. Although they helped me in all possible ways (morally and emotionally) and provided me with their opinions, it was entirely up to my decision to include or exclude these elements from the final work. 4 Table of Contents Abstract .......................................................................................................................... 2 Acknowledgement......................................................................................................... 3 List of Tables ................................................................................................................. 9 Chapter One ................................................................................................................. 10 Introduction ................................................................................................................. 10 1.1 The Name of the Area ........................................................................................... 11 1.2 Objectives of the Study and Research Questions .............................................. 13 1.3 Federalism in a Comparative Perspective ............................................................ 16 1.4 Methodology ........................................................................................................ 26 1.5 Review of Literature .......................................................................................... 32 1.6 Outline of the Study .......................................................................................... 40 Chapter Two ................................................................................................................ 43 Economic and Social History in the Coast of Oman, 1740-1971 ............................. 43 2.1 Introduction ...................................................................................................... 43 2.2 Topographic Conditions ................................................................................... 44 2.3 The Economic Sector ....................................................................................... 45 2.3.1 The Desert ................................................................................................. 46 2.3.2 The Oases ................................................................................................. 48 2.3.3 The Coast .................................................................................................. 50 2.4 The Social Structure ............................................................................................ 65 2.4.1 Tribal Groups ............................................................................................. 66 2.4.2 Class Grouping .......................................................................................... 70 2.4.3 Family ........................................................................................................ 76 5 2.4.4 Shared Culture .......................................................................................... 77 2.4.5 Formation of Intellectual Life ...................................................................... 81 2.5 Conclusion ....................................................................................................... 84 Chapter Three .............................................................................................................. 86 The Formation of City-States, 1750-1971 .................................................................. 86 3.1. Introduction ................................................................................................... 86 3.2 The Breakup of Oman ...................................................................................... 89 3.3 The Political Situation in the Coast of Oman .................................................... 94 3.3.1 The al-Qawassim Confederation ................................................................... 94 3.3.2 The Bani Yas Federation ............................................................................... 97 3.4 Factors Contributing to Political Realignment in the Coast of Oman .................... 99 3.4.1 Power Struggle between the al-Qawassim and the Bani Yas ...................... 100 3.4.2 The Seceding Tribes or Clans ..................................................................... 101 3.4.3 The British Role ........................................................................................... 102 3.4.4 The Role of al-Bu Sa‘id–al-Sa‘ud Rivalry ..................................................... 107 3.5 The Political Formation of City States ................................................................ 110 3.5.1 Secession .................................................................................................... 110 3.5.2 Constraints on the Rulers’ Power ...............................................................