Florida International University FIU Digital Commons FIU Electronic Theses and Dissertations University Graduate School 4-17-2006 Examining the process of regime change in the North Atlantic Treaty Organization : the divide between rhetoric and reality Barak Carlson Florida International University DOI: 10.25148/etd.FI14052576 Follow this and additional works at: https://digitalcommons.fiu.edu/etd Part of the International Relations Commons Recommended Citation Carlson, Barak, "Examining the process of regime change in the North Atlantic Treaty Organization : the divide between rhetoric and reality" (2006). FIU Electronic Theses and Dissertations. 2047. https://digitalcommons.fiu.edu/etd/2047 This work is brought to you for free and open access by the University Graduate School at FIU Digital Commons. It has been accepted for inclusion in FIU Electronic Theses and Dissertations by an authorized administrator of FIU Digital Commons. For more information, please contact [email protected]. FLORIDA INTERNATIONAL UNIVERSITY Miami, Florida EXAMINING THE PROCESS OF REGIME CHANGE IN THE NORTH ATLANTIC TREATY ORGANIZATION: THE DIVIDE BETWEEN RHETORIC AND REALITY A dissertation submitted in partial fulfillment of the requirements for the degree of DOCTOR OF PHILOSOPHY in INTERNATIONAL RELATIONS by Barak Carlson 2006 To: Interim Dean Mark D. Szuchman College of Arts and Sciences This dissertation, written by Barak Carlson, and entitled Examining the Process of Regime Change in the North Atlantic Treaty Organization: The Divide between Rhetoric and Reality, having been approved in respect to style and intellectual content, is referred to you for judgment. We have read this dissertation and recommend that it be approved. Elisabeth Prugl Mohaiddin Mesbahi Richard S. Olson Ralph S. Clem, Major Professor Date of Defense: April 17, 2006 The dissertation of Barak Carlson is approved. Interim Dean Mark D. Szuchman College of Arts and Sciences Interim Dean Stephan L. Mintz University Graduate School Florida International University, 2006 ii ACKNOWLEDGMENTS My interest in international regimes, including the role of the North Atlantic Treaty Organization, was initially piqued during my participation in a number of NATO Steering Groups while I was assigned as a project officer to the U.S. Department of Defense Joint Program Office for Unmanned Aerial Vehicles during the late 1990s. My experience with various NATO committees gave me an appreciation for the wide range of issues undergoing continuous scrutiny and coordination among Alliance member governments. Subsequent exchanges with my peers during numerous visits to Allied military installations gave me a greater appreciation for the unique role of the United States within NATO and the emerging differences in worldviews and capabilities among Alliance members. I later drew upon these experiences as an instructor at the Air Command and Staff College, where I was fortunate to be surrounded by top-notch academicians who offered further insights into the changing nature of the Alliance and of contemporary diplomacy in general. The writing of this dissertation has been among the most challenging and humbling experiences of my life and could not have been completed without the guidance and support of many people. I wish to thank the faculty and staff of the International Relations Department at Florida International University for their inspiration and support throughout my studies. This department is made up of excellent scholars who present a valuable and diverse curriculum while demonstrating a genuine interest in the success of their students. My committee was made up of exemplary professors from both the International Relations and Political Science departments that were not only able to provide me with valuable scholarly input, but also offered a consistent level of encouragement that exceeded my expectations. I would like recognize my major professor, Dr. Ralph Clem, for his ability to iii help me navigate through the many challenges presented by this research while retaining a positive outlook. The other members of my committee, Dr. Elisabeth Prugl, Dr. Mohiaddin Mesbahi, and Dr. Richard Olson, were each extraordinarily helpful in guiding my research and offering constructive feedback throughout the writing process. Finally, I would like to thank my wife, Christine, for her patient review of innumerable drafts and for all she continues to do to make me cherish her more each day. iv ABSTRACT OF THE DISSERTATION EXAMINING THE PROCESS OF REGIME CHANGE IN THE NORTH ATLANTIC TREATY ORGANIZATION: THE DIVIDE BETWEEN RHETORIC AND REALITY by Barak Carlson Florida International University, 2006 Miami, Florida Professor Ralph S. Clem, Major Professor The North Atlantic Treaty Organization (NATO) is a product of the Cold War through which its members organized their military forces for the purpose of collective defense against the common threat of Soviet-backed aggression. Employing the terminology of regime theory, the creation of NATO can be viewed as the introduction of an international security regime. Throughout the Cold War, NATO member states preserved their commitment to mutual defense while increasingly engaging in activities aimed at overcoming the division of Europe and promoting regional stability. The end of the Cold War has served as the catalyst for a new period of regime change as the Alliance introduced elements of a collective security regime by expanding its mandate to address new security challenges and reorganizing both its political and military organizational structures. This research involves an interpretive analysis of NATO's evolution applying ideal theoretical constructs associated with distinct approaches to regime analysis. The process of regime change is investigated over several periods throughout the history of the Alliance v in an effort to understand the Alliance's changing commitment to collective security. This research involves a review of regime theory literature, consisting of an examination of primary source documentation, including official documents and treaties, as well as a review of numerous secondary sources. This review is organized around a typology of power-based, organization-based, and norm-based approaches to regime analysis. This dissertation argues that the process of regime change within NATO is best understood by examining factors associated with multiple theoretical constructs. Relevant factors provide insights into the practice of collective security among NATO member states within Europe, while accounting for the inability of the NATO allies to build on the experience gained within Europe to play a more central role in operations outside of this region. This research contributes to a greater understanding of the nature of international regimes and the process of regime change, while offering recommendations aimed at increasing NATO's viability as a source of greater security and more meaningful international cooperation. vi TABLE OF CONTENTS CHAPTER PAGE I. OVERVIEW OF RESEARCH AND LITERATURE REVIEW ........... 1 General Statement of Problem Area.....................................................................1 R esearch Purpose... .. ......................................... .......................................... 2 Significance of Study............................................................................................4 M eth o do logy .................................................................................................... 5 Theoretical Perspective and Literature Review................................................8 Realism and Power-based Regime Analysis ........................................................ 14 Neoliberal Institutionalism and Organization-based Regime Analysis................29 Liberalism, Constructivism and Norm-based Regime Analysis............ 39 Distinguishing Collective Security and Collective Defense Regimes..............51 C o n clu sio n ....................................................................................................... 6 4 II. NATO DURING THE COLD WAR................................................................ 67 European Security After World War II............................................................. 68 Establishing the North Atlantic Treaty ............................................................. 76 Acceptance of West German Statehood and NATO Membership...................82 Increased Nonmilitary Cooperation.................................................................. 86 Balancing Defense and Detente....................................................................... 95 N ATO 's D ual-Track Strategy............................................................................ 99 European Integration During the Cold War..........................................................101 Regime Analysis: NATO During the Cold War...................................................104 Conclusion............................................................................................................112 III. PO ST-C O LD W AR N ATO .................................................................................. 113 Promoting East-West Cooperation ....................................................................... 114 NATO Interventions in the Balkans ..................................................................... 130 The G row ing "Capabilities G ap"..........................................................................147 The European Union