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Chung, Kyung Yung, Doctor of Philosophy, 2005

Dissertation directed by: Professor George H. Quester

Department of Government and Politics This study explores the feasibility and design of a military security cooperation regime in Northeast Asia consisting of the U.S., China, Japan, Russia and the two Koreas. The author undertook this research for two primary reasons: first, to determine why key actors in Northeast Asia have not yet developed regional security arrangements like Europe has demonstrated in the Organization for Security Cooperation in Europe, the North Atlantic Treaty Organization, and the European Security and Defense Policy. Second, based on personal experiences and observations as a policy maker in the military security cooperation area over the ten years, which has included extensive contacts with foreign colleagues, the author is confident that Northeast Asia has the potential to institutionalize a new military security regime in the region. To create such a regime, key regional actors must develop a joint strategy to implement the concept.

To develop a theoretical framework for a regional security regime in Northeast Asia, the study examines some prevalent theories of international relations, notably realism and liberalism. Research findings confirm that neoliberal institutionalism is the approach most compatible with the goal of building a regional security regime. The study argues that realism—the theory which posits that the purpose of international relations is to maximize state power—has inherent weakness in terms of resolving potential regional conflicts. In contrast to realism, neoliberal institutionalism could overcome the vulnerabilities and strains built into the Cold War structure which still prevail in Northeast Asia. Neoliberalism institutionalism holds out the promise of reconciliation and cooperation by inculcating commonly accepted norms, principles, rules, and decision-making procedures.

The study identifies four conditions necessary to the formation of a security regime in Northeast Asia: the evolution of existing security arrangements; regional economic interdependence with spill over security cooperation; transnational threats as a set of commonly perceived threats; and support of key actors for a new security regime.

First, existing security cooperation arrangements, which may serve as the basis for a new regional security regime including ASEAN Regional Forum, the Council for Security Cooperation in Asia-Pacific, the Northeast Asia Cooperation Dialogue, and the Six Party Talks on North Korea’s nuclear program, have already made great strides in terms of accumulating the habits of dialogue among regional powers.

Second, the dynamics of economic interdependence have encouraged the states of the Northeast Asia region to integrate and cooperate with one another. Sustained economic development via trade and investment, co-development of Siberia’s oil and gas, economic cooperation between the two Koreas, has positively spilled over into regional security cooperation.

Third, transnational threats, which call for cooperative security policies, include terrorism, international crime, infectious diseases, unregulated population movements, natural disasters, and environment degradation, pose greater challenges than do traditional, conventional threats because they cannot be mastered by states acting individually but should be resolved in a multilateral framework.

Finally, in the 1990s the key actors in Northeast Asia tended to perceive multinational security cooperation as detrimental to both regional stability and their national interests. In the post-post Cold War era, however, particularly after the 9.11, a new spirit has arisen in the region in favor of multilateral cooperation to resolve security issues such as terrorism and North Korea’s nuclear weapons program.

The findings of the current study indicate that security cooperation is a more effective, less costly solution to regional conflicts in Northeast Asia than either unilateral approach or arms races and bilateral alliances.

The final section of the study analyzes the practical measures needed to construct a new Northeast Asia Military Security Cooperation Regime. The concept of a security regime in Northeast Asia can be implemented along three basic lines of strategy. First, to create a more favorable security cooperative environment is the most important area for the success of the security regime building. A multinational epistemic community consisting of security policy makers, lawmakers, and scholars must be cultivated as the basis of a new regional consensus as well as a domestic consensus.

As a multi-tier network among opinion leaders in the region emerges, misunderstanding, miscalculation, and misinterpretation will be ameliorated and the chances of regional conflict reduced. Second, on the military level key actors should systematically expand bilateral and multilateral security and military exchanges and cooperative programs. Such cooperative programs should include defense minister talks and the establishment of a regional multinational headquarters with a rotating command structure. Third, no movement toward a new security system in Northeast Asia can be made without strong leadership. In this regard, the Six Party Talks on North Korea’s nuclear program could form the backbone of new regional security architecture. The Six Party Talks, then, are an essential test of whether key actors in the region can deal with security issues on a multilateral basis.

The study concludes that an approach of neoliberal institutionalism and security cooperation is practicable and will entail the most benefits for Northeast Asia.

Although the European model of security cooperation offers relevant lessons and insights, Northeast Asia’s distinct historical heritage, cultural aspirations, and economic dynamics call for an approach to cooperative security that is responsive to the unique dynamics of the area.

In conclusion, the Northeast Asia Military Security Cooperation Regime is feasible and has a bright future. The U.S.-Japan-South Korea trilateral Strategic Talks have already initiated in building a regional security regime. During the era of the Cold War and even today, the security environment of Northeast Asia has been characterized by conflict, animosity, Great Power dominance, and contradictory interests. In the early twenty-first century, leaders in the region must transform the region into a new security order exemplified by reconciliation, mutual respect, power sharing, and complementary interests. A realistic strategy to achieve the goal is to build a security regime.

Building A Military Security Cooperation Regime in Northeast Asia: Feasibility and Design

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Advisory Committee Professor George H. Quester, Chair Professor Warren C. Phillips Professor Dennis C. Pirages Professor Miranda A. Schreurs Professor Keith W. Olson © Copyright 2005 Chung, Kyung Yung Note * Concepts, opinions, and policy recommendations discussed in this research are solely those of the author, and do not necessarily represent the views of the Korea National Defense University, the Ministry of National Defense, or the Republic of Korea government.

* The surnames of the author and other persons mentioned in this dissertation are positioned according to country practice.

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and sacrifices of many persons – academic mentors, colleagues, fatherland, and family.

Several people deserve special acknowledgements for the contributions they have made to my study, they have my most sincere gratitude.

Professor George H. Quester, Chair, Professor Warren C. Phillips, Professor Dennis C. Pirages, Professor Miranda A. Schreurs, and Professor Keith W. Olson, who are my advisory committee members, first readers and editors in the value and validity of the concept underlying the study. Professor Earnest Wilson, the Director of Center for International Development and Conflict Management (CIDCM) located at the University of Maryland, College Park (UMCP), when I was assigned to the CIDCM as a research fellow in 1997-1998, Professor Soltan, graduate advisor of the Government and Politics Department, and Ambassador James Lilley enabled me to realize the powerful dynamics of the U.S. I could not have taken courses in the Ph.D.

program without their special consideration and warm hospitality.

Professor Lee Dong Hee, late Professor Choi Chang Yoon and Professor Park Yong Ok who have been my academic mentors since I was a cadet at the Korea Military Academy, have constantly encouraged me to never stop studying. Dr. Lee Sang Kap and Dr. Shim Sang Sun have immensely helped me to develop the framework of the research and enrich the quality of the study. Brigadier General Hong Sung Ik and

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resolve difficult administration due to the geographical distance.

It was truly my privilege to receive the thoughtful comments of Professor Yoon Young Kwan, former Minister of Foreign Affairs, and Professor Shin Sung Ho at the Seoul National University, Professor Lee Soong Hee and Professor Han Yong Sup, former and current director, Research Institute on National Security Affairs, Korea National Defense University, Professor Choi Jong Chul, Professor Hwang Byung Moo, Professor Lee Suk Ho, Professor Yoon Jong Ho, Dr. Shin Kwan Keun, Professor Chung Byung Ho, Professor Kim Young Ho, Dr. Do Jae Sook, and Dr. Park Kyun Yul at the Korea National Defense University, Professor Lee Min Yong at the Korea Military Academy, Professor Lee Sur Hang at the Institute of Foreign Affairs and National Security, Dr. Lee Tae Hwan at Sejong Institute, and Dr. Park Jong Chul at the Korea Institute for National Unification on my dissertation manuscript. Their comments were immensely valuable to my research. Dr. Park Sun Sup, Dr. Chung Choon Il, and Dr. Shim Kyung Wook’s significant information was much appreciated.

The Republic of Korea (ROK), my fatherland, and the ROK Armed Forces, which I have served for more than thirty years, have strongly awakened me a desire to do something toward a more enduring, stable security environment on the Korean Peninsula. Despite leading the life of a professional soldier, I have fortunately had unique educational experiences at various civilian and military educational institutions, including an unusual stay of six years at the Korea Military Academy due to my physical constraints, two years of coursework for my Master of Science Systems Management at Yongsan branch Graduate School from the University of

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Army Command and General Staff College, and eight years for a Ph.D. in International Relations at the Graduate School, UMCP. The Ph.D. coursework and dissertation were demanding due to my one short year tour at the UMCP as a research fellow and my professional career assignments including as Division Artillery Regiment Commander along the Eastern Frontline of the DMZ and East Coastline and policy maker at the foreign military cooperation area, J-5, ROK Joint Chiefs of Staff.

I will never forget my respected mentors including BG(R) Hwang Kyu Man, GEN(R) Doctor Kim Jae Chang, BG(R) Lee Bu Jik, GEN(R) Kim Dong Shin, former Minister of National Defense, GEN(R) Lee Nam Shin and GEN(R) Kim Jong Hwan, former Chairmen, JCS, GEN Lee Sang Hee, CJCS, MG(R) Doctor An Kwang Chan, Deputy Minister for Policy, MND, LTG Kwon An Do, J-5, JCS, GEN Kim Kwan Jin, CG, TROKA, Rear Admiral Jung Byung Chil, MG(R) and Doctor An Choong Joon, MG(R) Kim Sun Kyu, MG(R) and Doctor Kim Kook Hun and MG Han Min Koo.

They have constantly taught me to become a thinker as well as a policymaker.

I also would like to retain my memorable associations with our most reliable ally, the U.S. including LTG(R) Henry E. Emerson, then U.S. 2nd Division commander, and GEN(R) Richard G. Stilwell, then UNC Commander, who were interviewed during period as a cadet at the Korea Military Academy; GEN(R) Louis C. Menetrey and LTG(R) James E. Moore, Jr. then Combined Field Army Commanders for whom I used to be their aide de camp, and COL(R) Clark Grimsley, my colleague. I especially appreciate COL David Maxwell, LTC Mark Troutman, and LTC Stephen Gransback for their academic insights and faithful friendship. Thanks to the U.S., I have enjoyed

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College including BG John C. Adams and MG Izumi. The personal relationship with these professional soldiers could contribute to the quality of my dissertation. I individually and collectively enjoyed discussing regional and European multilateral security cooperation issues with policy makers and defense attachés in Seoul, Washington, D.C., Hawaii, Tokyo, Paris and Bonn including Mr. Lawless, Undersecretary for Asia-Pacific Affairs, U.S. DOD, LTC Michael Finnegan, COL Rick Bloss, Deputy Chief, Plans Division, PACOM, COL Steven F. Beal, U.S.

defense attaché, MG Yang Suk Ryun and Senior Colonel Sohn Yun Pung, former and current China defense attaché, Captain Ellchi Funada, Deputy Director for Policies, JJoint staff Office, Japan Defense Agency, COL Yoshinobu Dahara, Japan defense attaché, Rear Admiral Alexander Nikolaevich, Deputy Chief, International Relations Department, Ministry of Defense of the Russian Federation, COL Victor M.

Nikikorov, Russia defense attaché, COL Loic Frouart, France defense attaché, and COL Bernd Gibner, German defense attaché. My unique experiences as a policy maker in the field of foreign military cooperation at ROK JCS and Army Chief of Staff Office helped me immensely in developing my research.

I owe special thanks to the ROK Army Chief of Staff Office, Pastor Kim Man Poong and members of Hymn Chorus, Global Mission Church in Maryland, and Chunju Senior High School alumni for their permission, prayers and financial support.

In particular, Dr. Kim Whee Kook encouraged me to finalize my research. I have special thanks to Mr. and Mrs. Yoo Sun Young, and CEO Ahn Mi Young and Her Husband Lawyer Richard J. Russin in terms of their humanistic love and warm hospitality whenever I visited Washington D.C.

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me to maintain my will to follow my passion and motivate my strong curiosity to learn to achieve my mission with prayer and financial support.

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