Old Dominion University ODU Digital Commons Graduate Program in International Studies Theses & Graduate Program in International Studies Dissertations Winter 2010 The aleT of Two Narratives: NATO as a Collective Defense and a Collective Security Institution Anna M. Rulska Old Dominion University Follow this and additional works at: https://digitalcommons.odu.edu/gpis_etds Part of the Defense and Security Studies Commons, and the International Relations Commons Recommended Citation Rulska, Anna M.. "The aleT of Two Narratives: NATO as a Collective Defense and a Collective Security Institution" (2010). Doctor of Philosophy (PhD), dissertation, International Studies, Old Dominion University, DOI: 10.25777/7xvp-q348 https://digitalcommons.odu.edu/gpis_etds/92 This Dissertation is brought to you for free and open access by the Graduate Program in International Studies at ODU Digital Commons. It has been accepted for inclusion in Graduate Program in International Studies Theses & Dissertations by an authorized administrator of ODU Digital Commons. For more information, please contact [email protected]. THE TALE OF TWO NARRATIVES: NATO AS A COLLECTIVE DEFENSE AND A COLLECTIVE SECURITY INSTITUTION by Anna M. Rulska B.A May 1999, Lyon College M.A. August 2003, Bowling Green State University A Dissertation Submitted to the Faculty of Old Dominion University in Partial Fulfillment of the Requirements for the Degree of DOCTOR OF PHILOSOPHY INTERNATIONAL STUDIES OLD DOMINION UNIVERSITY December 2010 Approved by: David Earnest (Member) Frederick Lubich (Member) ABSTRACT THE TALE OF TWO NARRATIVES: NATO AS A COLLECTIVE DEFENSE AND A COLLECTIVE SECURITY INSTITUTION Anna M. Rulska Old Dominion University, 2010 Director: Dr. Regina Karp The goal of this project is to determine NATO's present and future roles as a collective security organization and as a security alliance. In the past, NATO has dealt with both objectives under different and changing conditions. This paper argues that throughout the entirety of its history, NATO worked as both collective security and collective defense organization. The theoretical assumptions made within the paper are supported by the analysis of the past behavior of the Alliance in respect to the relationship between the narrative of collective security and that of collective defense, and changes within that relationship. Four specific periods will be taken into account: the creation ofNATO, the Cold War, post-Cold War to September 1 1th, 2001, and post- 9/1 1 in an effort to draw applicable lessons for the future of the North Atlantic Alliance. NATO traditionally and historically has been described as and considered to be an alliance. This project shows, however, that contrary to the common perception, the story ofNATO is that of two narratives: of an alliance and a collective security arrangement. While conceptually and theoretically separate, in the case of the North Atlantic Alliance those two narratives are linked together. Through most ofNATO's history, those two narratives reinforced each other to such an extent that neither would have been possible and durable without the other. The combination ofthose two narratives has been dependent on the structure of the international environment. In the past twenty years, with the change of the international structure following the end of the Cold War, the relationship between the two narratives changed as well. For the past two decades, the narrative of collective security has been dominating the collective defense nature ofNATO. Ultimately, the future ofNATO is based on both features, intertwined: collective security and collective defense. As the organization has managed to carry out both characteristics in the past, it now must find political will and commitment among its members to continue effectively and successfully its role as a collective security arrangement and a collective defense organization. V Marno, dziejcujç, ze otworzylas mi drzwi na swiat To Jamie, for her unconditional love and friendship To Daniel, the love and joy of my life Vl ACKNOWLEDGEMENTS The guiding light and direction for this project came from Dr. Regina Karp, the Committee Chair, and Drs. David Earnest and Frederick Lubich, the Committee Members. I thank them for their patience, wisdom, support, and most importantly, for teaching me how to ask the right questions, look for, and find the answers. On my journey to academic maturity, paving the way to this project, I learned to be endlessly curious, value and support my own arguments, be accepting of and benefit from constructive criticism, and have fun while learning. I thank Dr. Regina Karp, Dr. Simon Serfaty (who always kept me on my toes), Dr. Kurt Taylor Gaubatz, Dr. Steve Yetiv, Dr. Peter Schulman, and Dr. David Earnest for giving me such a wide scope of tools and teaching me how to use them. No learning process would be complete and successful without friends to provide support, company for much needed coffee or ice cream breaks, topics for heated debates, and opportunities for silliness and adventure. I thank Cindy Miller, Bill Eliason, Vessela Chakarova, Curt Corey, Britta Rinehard, Matt Hall, Vlad Galushko, Jack Covarrubias, Matus Dobsovic, Molly McKnight, and Leslie Harlson for their colorful presence. Finally, I would like to extend special thanks to Dr. Regina Karp, for her continuous professional and personal guidance, and tough love, for the past six years. Her advice, patience, and care helped me get through some of the most difficult times of my life. Her personal and professional characters have given me a remarkable model to strive for. Dr. Karp: my accomplishments would not be possible or complete without you. I thank you with all my heart for your wisdom and generosity. Vil TABLE OF CONTENTS Chapter Page I. INTRODUCTION 1 INTERNATIONAL SECURITY AND NATO 1 NATO: DUAL NARRATIVE OF ALLIANCE AND COLLECTIVE SECURITY 2 OPERATIONALIZATION OF THE CONCEPTS 6 PERIODS OF ANALYSIS 6 STRUCTUREANDPURPOSE 8 II. THEORY OF COLLECTIVE SECURITY AND COLLECTIVE DEFENSERECONSIDERED 19 INTRODUCTION 19 ALLIANCES AND COLLECTIVE SECURITY 21 THE FRAMEWORK OF ALLIANCES 26 THE FRAMEWORK OF COLLECTIVE SECURITY 40 COLLECTIVE DEFENSE AND COLLECTIVE SECURITY: MUTUALLYEXCLUSIVE? 58 SECURITY COMMUNITIES AND THEIR APPLICATION TONATO 71 CONCLUSIONS 81 III. NATO IN THE 1945 TO 1950 PERIOD 88 INTRODUCTION 88 EUROPEANS AND THE TREATY OF BRUSSELS 92 AMERICANS AND THE EUROPEAN DEFENSE 98 THE NATURE OF COLLECTIVE SECURITY AND COLLECTIVE DEFENSE AT NATO'S CONCEPTION 100 THE NORTH ATLANTIC TREATY: CONVERSATIONS ON STRUCTURE AND DESIGN 104 CONCLUSIONS 107 IV. NATO IN THE 1950 TO 1991 PERIOD 109 INTRODUCTION 109 INTERNATIONAL STAGE: THE KOREAN WAR 113 WEST GERMANY'S ACCESSION INTO NATO 116 NATO'S ROUGH ROAD TO NUCLEAR POLICY 122 DIVERGENCE OF AMERICAN, FRENCH, BRITISH, AND GERMAN POLICIES 136 COLLABORATION AFTER DISCORD 143 Vili Chapter Page CONCLUSIONS 145 V. NATO IN THE 1991 TO 2001 PERIOD 150 INTRODUCTION 150 COLLECTIVE SECURITY AND COLLECTIVE DEFENSE IN THE CONTEXT OF NATO ENLARGEMENT 154 SECURITY ENVIRONMENT IN THE POST-COLD WAR EUROPE 159 ENLARGEMENT PROCESS IN A NUTSHELL 162 NORMATIVE EFFECTS OF NATO ENLARGEMENT 172 COLLECTIVE SECURITY AND COLLECTIVE DEFENSE: CONTRADICTION OR REINFORCEMENT? 180 CONCLUSIONS 188 VI. NATO IN THE POST-2001 PERIOD 190 INTRODUCTION 190 NATO'S ROAD TO AFGHANISTAN 193 EUROPEAN AND AMERICAN DISAGREEMENTS: ALLIANCEINJEOPARDY? 203 CONCLUSIONS: AFGHANISTAN AS A TEST CASE FOR NATO? 210 VII. CONCLUSIONS: NATO'S YELLOW BRICKROAD? 219 INTRODUCTION 219 SUMMARY OF MAIN POINTS 222 NOW WHAT: NATO AS A 'COLLECTIVE SECURITY ALLIANCE'? 233 BIBLIOGRAPHY 244 VITA 261 1 CHAPTER I INTRODUCTION INTERNATIONAL SECURITY AND NATO Security is one of the basic human needs. From the beginning, people sought to create groups to maximize three factors necessary for survival: sustenance, shelter, and security. Security, therefore, serves as one ofthe three basic variables pushing all levels of actors—individuals, groups, states, institutions—to cooperate in some fashion or another. In response to this trend, the body of literature focusing on security organizations, be it alliances, coalitions, treaties, or loose institutions, is plentiful. Scholars have looked at the reasons why states create security organizations; how they are managed; what sort ofbehavior they display during war and peace times; why those institutions fall apart; or under what circumstances and how they operate; what sort of norms they set or how the concept of security culture is established. However, in the vast body of literature on security organizations, the relationship between the alliances nature of such institutions and their role as collective security arrangements have not been directly addressed and analyzed. This project looks at the relationship between the internal and external security within a group of states, and between the functional and normative role of security organizations. The argument of the paper centers on NATO and its continuing, and highly controversial, transformation in an effort to adapt to the post-Cold War security environment. The goal of this project is to determine NATO's present and future role as a collective security organization and effectiveness as an alliance. In the past, NATO has 2 dealt with both objectives under different and changing conditions. The theoretical assumptions made within the paper will be supported by the analysis of the past behavior of the alliance in respect to the relationship between the narrative of collective