The Iraqi Federation: Origin, Operation and Significance PhD thesis in International Relations School of Politics and International Relations University of Kent Farah Shakir 2014 Abstract The study is about federalism in Iraq. It examines Iraq as a federation not just as a post-conflict state, as much of the existing literature does. The thesis investigates the origin and formation of the Iraqi federation, as one of the new federal models, and analyses how the process of formation impacts on the operation of the Iraqi federal system. It argues that both the process of formation of the federal state and its operation are of crucial theoretical and empirical significance. The originality of this thesis lies in the fact that it is the first study to link this new federal model to classic federal theory as regards the origins and formation of federations, focusing on the new approach in the formation of federations and the deficiency of classic federal theory in general to explain the origins and formation of the new federal models of which Iraq is the most recent. This thesis considers the different approaches that have been taken by various theorists in the past and in particular bargain theory as put forward by William H. Riker. I argue that although in some respects Riker’s bargain theory can be applied to the formation of the Iraqi federation, in others it is deficient to explain it completely. New literature designed to expose the need to revise the classic federal theory, and the bargain theory in light of formation of the new federal models has only just begun to emerge. Therefore, this thesis contributes to the scholarship by updating and refining classic federal theory in general and the bargain theory in particular. Moreover, by drawing on elite interviews with contemporary political players in Iraq this thesis adds to our understanding of how one of the newest federal states operates in a practical sense. It concludes by looking at the empirical significance of the Iraqi federal model in the context of some comparative perspectives. 2 Acknowledgments As an Iraqi citizen anxious about how to find a better future for Iraqi children and how I can assist in healing the wounds of my homeland, my concerns have focused mainly on political science as the most important approach that could find answers to my questions. From this standpoint, the creation of a federal system in Iraq in 2005 raised many questions for me about this new political system and its long-term survival. Federalism is a new beginning for Iraq; it is a deviation from its past, which has been characterised by authoritarian government, brutality and war, therefore, there is a need to utilize this form of new political experiment. Bearing these ideas in mind, I started to examine this new political experiment. As a child of war, a teenager of war and a youth and a mother of war, my concern was how to live peacefully and how to build a stable and prosperous Iraq. Therefore, I have spent the last twenty years focusing on studying politics with the aim of finding answers to Iraq’s problem. In 2005, when Iraq became officially federal, my earlier concerns led me to explore federalism because of the hope that it would build a stable prosperous Iraq. If there is any other purpose beyond a concern about politics and Iraq that drives this thesis, it is to demonstrate to myself and Iraqis that our grave miseries should not prevent us from dreaming of a better future. Life continues and it is up to us how it continues. I owe a special debt to my mother who decided to change her life in order to support me in my study. Special appreciation and thanks are due to my first supervisor Professor Michael Burgess with whom I have discovered federalism and recognised its uniqueness. I have learned so much with him and it has been an honour for me to be his student. I would like also to thank my second supervisor Dr. Ersun Kurtulus for his perceptive insights and suggestions as to how to enrich this thesis. Among the other people that I would like to thank for their great support and help are Dr. Louise Askew and her husband Dr. Russell Whiting who were the first people knocking on my door and welcoming me in Southwick and who did a lot in supporting me in finishing this thesis. Deep gratitude also goes to Professor Mustafa Al-Hiti and my 3 sister Ghada Shakir for their efforts in helping me with my interviews in Jordan and Iraq. Special thanks are due to Marie–Louise Burgess who has been among the few special people that I have met in my life. I also owe thanks to the James Madison Trust for their partial funding to support my work. This thesis is dedicated to my own children and all Iraqi children in the hope that they will live in a stable democratic Iraq and in better circumstances than my generation has. 4 List of Maps and Tables Map 1 The Ethnic, Religious and Sectarian Division of Iraq’s Population 52 Map 2 The Administrative Structure of Iraq 59 Map 3 The Military Coalition Division of Iraq 96 Table 1 The Structure of the Constitutional Committee 145 Table 2 The Evolution of the Constitutional Process: The Evolution of the State 167 Table 3 Administrative Structure of Iraq 193 5 Table of Contents Abstract .......................................................................................................................... 1 Acknowledgments...................................................................................................... 3 List of Maps and Tables ............................................................................................. 5 Introduction to the Thesis .......................................................................................... 9 Chapter One ................................................................................................................. 15 Iraq: Imperial and Historical Legacies ......................................................................... 15 Introduction .............................................................................................................. 15 1.1 Iraq and Ottoman Rule ....................................................................................... 16 1.2 Iraq and British Rule .......................................................................................... 18 Conclusion ............................................................................................................... 25 Chapter Two................................................................................................................. 27 The Origins of Federations .......................................................................................... 27 Introduction .............................................................................................................. 27 2.1 William P. Maddox ............................................................................................ 28 2.2 Kenneth C. Wheare ............................................................................................ 31 2.3 Ronald L. Watts ................................................................................................. 36 2.4 William H. Riker ................................................................................................ 39 Conclusion ............................................................................................................... 42 Chapter Three............................................................................................................... 45 Justification for the Adoption of Federalism in Iraq .................................................... 45 Introduction .............................................................................................................. 45 3.1 The Classic Factors ............................................................................................ 46 3.1.1 Social and Cultural Diversity .......................................................................... 47 3.1.2. The Hope for Economic Advantage .............................................................. 52 3.1.3 The Prospect of Independence (The Kurdish Issue) ....................................... 54 3.1.3.1 An External Element. ................................................................................... 56 3.1.3.2 The Internal Instability and Authoritarian Regimes. ................................... 57 3.1.3.3 A Strong Sense of National Identity and the Role of the Kurdish Leadership. ................................................................................................................... 57 3.1.4 The Historical and Territorial Factors ............................................................. 59 3.1.5 The Role of the Political Leadership .............................................................. 61 3.1.5.1 Religious Projects ........................................................................................ 61 3.1.5.2 The Secular Project: ..................................................................................... 62 3.1.5.3 Ethnic Projects: ............................................................................................ 63 6 3.2 The Novel Factors .............................................................................................. 64 3.2.1 The Democratic Factor ................................................................................... 65 3.2.2 The Role of the United States ........................................................................