View metadata, citation and similar papers at core.ac.uk brought to you by CORE provided by Scholarship@Western Western University Scholarship@Western Electronic Thesis and Dissertation Repository 6-24-2015 12:00 AM The Origins and Evolution of De Facto States: Implications for Iraqi Kurdistan Zheger Hassan The University of Western Ontario Supervisor Adam Harmes The University of Western Ontario Graduate Program in Political Science A thesis submitted in partial fulfillment of the equirr ements for the degree in Doctor of Philosophy © Zheger Hassan 2015 Follow this and additional works at: https://ir.lib.uwo.ca/etd Part of the Comparative Politics Commons, and the International Relations Commons Recommended Citation Hassan, Zheger, "The Origins and Evolution of De Facto States: Implications for Iraqi Kurdistan" (2015). Electronic Thesis and Dissertation Repository. 2918. https://ir.lib.uwo.ca/etd/2918 This Dissertation/Thesis is brought to you for free and open access by Scholarship@Western. It has been accepted for inclusion in Electronic Thesis and Dissertation Repository by an authorized administrator of Scholarship@Western. For more information, please contact [email protected]. The Origins and Evolution of De Facto States: Implications for Iraqi Kurdistan (Thesis format: Monograph) by Zheger Hassan Graduate Program in Political Science A thesis submitted in partial fulfillment of the requirements for the degree of Doctor of Philosophy The School of Graduate and Postdoctoral Studies The University of Western Ontario London, Ontario, Canada © Zheger Hassan 2015 Abstract De facto states, defined as entities that possess control over a defined territory, population, and government, but without recognition from other states, have become increasingly important over the past three decades. Although the universe of cases is small (there have been 24 de facto states since the 1960s), de facto states play an important role in regional security and stability. Despite this relevance, we still know little about why de facto states emerge, how their preferences are formed, and what shapes their behaviour and decision-making. Shedding light on these overlooked issues will allow us to better understand the role of de facto states in regional and international politics. The existing literature, although insightful, does not fully explain the behaviour of de facto states. In particular, the literature has fallen short in explaining the behaviour of Iraqi Kurdistan. In order to better understand the behaviour of de facto states, this thesis asks the following questions: What are the factors that shape and influence de facto state preferences and behaviour? What are the factors that determine if a de facto state will declare independence or preserve the status quo? More specifically, in terms of the cases under examination, why did Kosovo and South Sudan declare independence, while Iraqi Kurdistan has not? The goal of this dissertation is to identify the conditions under which a de facto state may declare independence and when it may preserve the status quo. To address these questions, this thesis employs international relations theories and adopts a comparative analysis method to explain the behaviour of Kosovo, South Sudan, and Iraqi Kurdistan. Following extensive fieldwork in Iraqi Kurdistan, the thesis argues that de facto states will forgo independence when the parent state furnishes the de facto state with autonomy and offers sufficient economic incentives. Other mitigating factors include the domestic environment of the de facto state and the parent state, the role of regional and international governments, and the presence or absence of the old regime of the parent state. The main point is that the preference for independence is neither fixed nor inevitable . Key Words : De facto states, Realism, Constructivism, Liberalism, Kosovo, South Sudan, Iraqi Kurdistan. i Acknowledgments My greatest debt of gratitude is to my family. In particular I would like to acknowledge my mother who, as a single parent, fled war-torn Iraq with five children to settle in Canada. Her strength and love gave my siblings and me a safe and happy life in Canada. My brother and three sisters have all provided me with encouragement and support for as long as I can remember. My grandparents, aunts, and uncles, both in Canada and abroad, have also supported me throughout my journey. A special and warm acknowledgment goes to Renas Jano, who literally took me by the hand and walked me into the offices of more than a dozen officials and academics in Iraqi Kurdistan. He generously dedicated two months of his time and resources to assist me during my first extended trip to Erbil, Iraqi Kurdistan. I cannot thank him enough. He’s become like a brother. My uncle, Ali Jamil Bamerni, provided me with a home during my stay in Dohuk, Iraqi Kurdistan. During my time in Iraq (or Kurdistan, lest I upset people), he explained the many intricacies of the social, religious, and political life of Iraqi Kurdistan and arranged more than several interviews with politicians and academics. Said Bamerni facilitated introductions and arranged interviews with the Governor of Dohuk and other officials and former peshmerga. He also generously offered his home and time to my thesis supervisor, Adam Harmes and me in April 2014. My deepest gratitude goes to Adam, who has been a constant source of scholarly guidance and support. He has been patient, helpful, supportive, and encouraging. Although my topic is not Adam’s area of research, he has taken a keen interest in my research and even joined me on a trip to Iraq in April 2014 to observe Iraq’s federal election and to learn more about the Kurdish region. Adam also graciously wrote countless reference letters on my behalf. Peter Ferguson introduced me to valuable methodological work in comparative politics when he provided me with supervision on a reading course and one section of the comparative politics comprehensive examination. He has also written countless reference letters. Beyond my immediate dissertation committee, I owe a great deal of gratitude to Bruce Morrison and Sam Clark. Bruce introduced me to classics of comparative politics and really pushed me on the readings during our discussions. Bruce also willingly supervised the second section of the comparative politics comprehensive examination. Sam Clark has been a source of guidance and support for about a decade. He took me on as a research assistant in 2006 and he has been a source of advice and encouragement ever since. I would like to thank the other two examiners, Tim Donais from Wilfrid Laurier University and Joanna Quinn for their feedback and willingness to be read my work. I would also like to thank the Department of Political Science at the University of Western Ontario for providing the resources and support necessary for completing this ii undertaking. Funding from Ontario Graduate Scholarship and Social Sciences and Humanities Research Council was also a great help. I want to thank the many people in Iraqi Kurdistan who, in one way or another, made my stay in the region much more comfortable. Mohammed Jano provided me with a home for two months during my time in Erbil and made my stay memorable by holding mini- concerts in Ainkawa. I want to recognize the following people for going out of their way to help me: Rebaz Bapiri, Shno Ayub Mohammedamin, Rezan Bamerni, Izzet Bamerni. I also want to thank all the officials and individuals who gave their time for interviews and patiently answered my questions. Susan Khazaeli, my partner, girlfriend, best friend, and source of inspiration, has been by my side for the better part of a decade. She has pushed and encouraged me to be better in every way. She is brilliant and I have been fortunate enough to have access to her sharp mind. She has spent countless hours editing, revising, and giving feedback on my work and ideas. ‘I could not have done it without you,’ Susan. iii Table of Contents ABSTRACT and KEY WORDS ................................................................................. i ACKNOWLEDGMENTS ........................................................................................... ii CHAPTER 1. Introduction .......................................................................................... 1 Background on De Facto States ................................................................. 4 Methodology .............................................................................................. 8 Outline of the Argument ............................................................................ 14 Scholarly Contribution ............................................................................... 20 CHAPTER 2. Theorizing De Facto States .................................................................. 23 Realism and Neorealism ............................................................................ 24 Realism and the Origins of De Facto States .............................................. 27 Realism and the Behaviour of De Facto States .......................................... 34 Constructivism ........................................................................................... 37 Constructivism and the Origins of De Facto States ................................... 39 Constructivism and the Behaviour of De Facto States .............................. 44 Summary of Findings ................................................................................. 46 Liberal Theory of International