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U.S. Foreign Policy and the Baltic States Calhoun: The NPS Institutional Archive Theses and Dissertations Thesis Collection 1996-03 U.S. foreign policy and the Baltic states Shuey, Karin A. Monterey, California. Naval Postgraduate School http://hdl.handle.net/10945/32202 NAVAL POSTGRADUATE SCHOOL Monterey, California THESIS U. S. FOREIGN POLICY AND THE BALTIC STATES by Karin A. Shuey March 1996 Thesis Advisors: Rodney Minott Bertrand Patenaude Approved for public release; distribution is unlimited. • Form Approved REPORTc DOCUMENTATION PAGE OMS No. 0704-0188 Pubhc repo~1ng burden for this collection of infe<mat10n IS est1mated to a•erage 1 hour per response. 1ncluding the time for rev1ew1ng_ instructions •. searching exrst1ng data sources. gathering and mainta1n1ng the data needed, and completing and rev1ew1ng the collectiOn of 1nformat1on. Send comments r~ard1ng th1s bur~n estrmate or any other aspect of this collectron of information. 1nclud1ng suggestions for reducing th1s burden. to Wash1ngton HeadQua~ers Services. Directorate or InformatiOn Operations and Reports. 1215 Jefferson oavrs Highway. Suite 1204. Arlington. VA 22202-4302. and to the Office of Management and Budget. Paperwork Reduction Project (0704-0188). Wash1ngton. DC 20503. 1. AGENCY USE ONLY (Leave blank) 12. REPORT DATE 13. REPORT TYPE AND OATES COVERED March 1996 "... 1 The,;i!':· 4. TITLE AND SUBTITLE 5. FUNDING NUMBERS U.S. Foreign Policy· and the Balli..: States 6. AUTHOR(S) - Lt. KarinA Shuey, USN 7. PERFORMING ORGANIZATION NAME(S) AND ADDRESS(ES) 8. PERFORMING ORGANIZATION REPORT NUMBER Naval Postgraduate School, Codt 38 Montere~·, CA 93943-5000 9. SPONSORING I MONITORING AGENCY NAME(S) AND ADORESS(ES) 10. SPONSORING I MONITORING AGENCY REPORT NUMBER 11. SUPPLEMENTARY NOTES The views expressed in this thesis are those of the author and do not reflecte the official policy or position of the Depmment of Defense or the U.S. Government. 12a. DISTRIBUTION I AVAILABILITY STATEMENT 12b. DISTRIBUTION CODE Appro\·e tor public release; disuibution is unlimited. 13. ABSTRACT (Maximum 200 words) This thesis examines L: S. foreign policy toward the Baltic states from 1918 to 1991 to determine if the U.S. has been realistic in its dealings with small nations. An analysis of U.S. policy indicates that the United States acts h:-pocritically b:· accepting comrromises on the very moral principals to which it claims to be the protectorate of, \\'hen domestic political costs art high. The sacritice of national values degrades the credibility of the moral high g:round necessary tor U.S. policy This study re\'iews the events that occurred during the three major periods in U.S.-Baltic relations: The initial period of Baltic independence following World War I; the Soviet annexation ofthe Baltics during World War IL and linally the beginning oftht second period of Baltic independence during the breakup of the So,·iet Union. In all three cases, U.S. policy was unclem· and contradictory. The Baltic case provides a good example of the tendency tor U.S. policy to be paradoxical and ineffective. This study concludes that despite the U.S. policy of nonrecognition of the Soviet annexation of the Baltic states during the Cold War, the l'nited States failed to adhere to its principals when given the opportunity. In the process. it also neglected problems within its borders that required attention perhaps more urgently than those outside. The tendency for U.S. pvlicy to ignore the issues that actually threaten its security internally and placing a higher priority on extemal matters that do not haYe a real impact on its standing could likely lead to its inadYertent downt:111. 14. SUBJECT TERMS 15. NUMBER OF PAGES 68 l3alll<.: States. U.S. Foreign Polic. 16. PRICE CODE 17. SECURITY CLASSIFICATION 18. SECURITY CLASSIFICATION 19. SECURITY CLASSIFICATION 20. LIMITATION OF ABSTRACT OF REPORT OF THIS PAGE OF ABSTRACT !INC! .\SSIF!J.'f) JJNCTASST'FTFD l!N('T A:-i:-ilt-- 11- UL NSN 7540-01-280-5500 Standard Form 298 (Rev 2-89) Pr<'\Cr•b<'CI bv ANSI St,j Z39·18 11 Approved for public release; distribution is unlimited. U. S. FOREIGN POLICY AND THE BALTIC STATES Karin A. Shuey Lieutenant, United States Navy B.A., University ofWashington, 1987 Submitted in partial fulfillment of the requirements for the degree of MASTER OF ARTS IN NATIONAL SECURITY AFFAIRS from the NAVAL POSTGRADUATE SCHOOL M<llrPh 1996 Author: Approved by: Department ofNational Security Affairs ll1 IV ABSTRACT This thesis examines U.S. foreign policy toward the Baltic states from 1918 to 1991 to determine if the U.S. has been realistic in its dealings with small nations. An analysis of U.S. policy indicates that the United States acts hypocritically by accepting compromises on the very moral principals to which it claims to be the protectorate of, when domestic political costs are high. The sacrifice of national values degrades the credibility of the moral high ground necessary for U.S. policy. This study reviews the events that occurred during the three major periods in U.S.-Baltic relations: The initial period of Baltic independence following World War I; the Soviet annexation of the Baltics during World War II; and finally the beginning of the second period of Baltic independence during the breakup of the Soviet Union. In all three cases, U.S. policy was unclear and contradictory. The Baltic case provides a good example of the tendency for U.S. policy to be paradoxical and ineffective. This study concludes that despite the U.S. policy of nonrecognition ofthe Soviet annexation of the Baltic states during the Cold War, the United States failed to adhere to its principals when given the opportunity. In the process, it also neglected problems within its borders that required attention perhaps more urgently than those outside. The tendency for U.S. policy to ignore the issues that actually threaten its security internally and placing a higher priority on external matters that do not have a real impact on its standing could likely lead to its inadvertent downfall. v VI TABLE OF CONTENTS I. INTRODUCTION ................................................................................................................. 1 II. U.S. POLICY AND THE BALTIC STATES, 1918-1923 ..................................................... 3 A. WILSON'S PRINCIPLES .......................................................................................... 3 B. U.S. POLICY AND RUSSIA. .................................................................................... 6 C. EVENTS IN THE BALTIC STATES ........................................................................ 8 D. U.S. BALTIC POLICY ............................................................................................ 10 III. SOVIET INCORPORATION OF THE BALTICS AND U.S. NONRECOGNITION, 1939-1988 ........................................................................................................................... 17 A. EVENTS IN THE BALTICS .................................................................................... 18 B. U.S. POLICY ............................................................................................................ 21 IV. THE ROLE OF BUSH'S POLICY IN THE BREAKUP OF THE SOVIET UNION .......... 29 A EVENTS IN THE BALTIC STATES ...................................................................... 31 B. U.S. POLICY AND THE BALTICS ........................................................................ 35 C. THE NUCLEARPRIORITY................................................................................... 41 V. CONCLUSIONS AND IMPLICATIONS FOR FUTURE U.S. POLICY BEYOND THE BALTICS ............................................................................................................................ 47 LIST OF REFERENCES ........................................................................................................... 55 INITIAL DISTRIBUTION LIST. .............................................................................................. 57 Vll Vlll EXECUTIVE SUMMARY This thesis examines U.S. foreign policy toward the Baltic states from 1918 to 1991 to determine ifthe U.S. has been realistic in its dealings with small nations. An analysis ofU.S. policy indicates that the United States acts hypocritically by accepting compromises on the very moral principals to which it claims to be the protectorate of when domestic political costs are high. The sacrifice of national values degrades the credibility of the moral high ground necessary for U.S. policy. This study reviews the events that occurred during the three major periods in U.S.-Baltic relations: The initial period ofBaltic independence following World War I; the Soviet annexation of the Baltics during World War II; and finally the beginning of the second period of Baltic independence during the breakup of the Soviet Union. In all three cases, U.S. policy was unclear and contradictory. U.S. dealings with the Baltic states provide a good example of the conflicting, ineffective tendencies in its foreign policies with small nations. Chapter I covers the period from 1918-1923 when the Baltics declared independence for the first time. President Wilson had declared his support for the right to self-determination for all nations, regardless of size in his Fourteen Points speech and several other forums. In the Baltic case however, his policy toward Russia directly contradicted his principles of freedom and democracy for all. His Russian policy took priority for the duration of his presidency even though by 1921 most ofthe rest
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