Devising a Grand Strategy Diagnostic Process for Policymakers
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Improving Thinking About Grand Strategy: Devising a Grand Strategy Diagnostic Process for Policymakers Peter Layton A thesis in fulfilment of the requirements for the degree of Doctor of Philosophy School of Humanities and Social Sciences 24 October 2014 PLEASE TYPE THE UNIVERSITY OF NEW SOUTH WALES Thesis/Dissertation Sheet Surname or Family name: Layton First name: Peter Other name/s: Abbreviation for degree given in the University calendar: PhD School: HASS Faculty: Title: Improving Thinking About Grand Strategy: Devising a Grand Strategy Diagnostic Process for Policymakers Abstract 350 words maximum: (PLEASE TYPE) Improving Thinking About Grand Strategy This thesis develops a diagnostic process for policymakers to use when thinking about grand strategy. Drawing upon Alexander George’s work about how International Relations (IR) theories could best assist policymakers, the thesis proposes a two-part process that incorporates IR theories into a structured, logical and useful policy analysis framework. There are some daunting practical difficulties in implementing George’s proposed approach. This thesis suggests overcoming these by stepping up to a higher level of abstraction to generate three broad types of grand strategy: denial, engagement and reform. This approach makes George’s desired policy-relevant knowledge both more feasible to build and more useable by busy policymakers. The thesis has a four-part structure: a thematic review, a cognitive frame development section, a case study section, and a final evaluation section. A critical review determines that the principal function of grand strategy from a policymaking perspective is to create purposeful change and to build the power needed for implementation. An evaluation concerning ‘how policymakers think’ suggests that the poliheuristic choice decision-making architecture is the preferred policymaking approach. Using this foundation, a grand strategy typology is developed and offensive realism, new liberalism and agentic constructivism operationalized into three schemas suitable to guide policymaking. The schemas are then assessed through an empirical examination of nine case studies. George’s general appeal to ‘bridge the gap’ between theory and practice in policymaking is realised through the populating of a poliheuristic choice model with optimized grand strategy schemas. In this way, George’s seminal work in the field has been extended through the development of a diagnostic process that can help policymakers’ structure their initial thinking about grand strategy alternatives. The case study analysis demonstrates that the process is applicable to real-world examples; reveals the scope of the three grand strategy types, their dynamics and outcomes; has utility for greater and lesser powers, and non-state actors; and meets George’s specifications for a diagnostic process. In this, the thesis cautions against formulating grand strategies using historical analogies or some combination of theoretical perspectives devised using analytical eclecticism. Declaration relating to disposition of project thesis/dissertation I hereby grant to the University of New South Wales or its agents the right to archive and to make available my thesis or dissertation in whole or in part in the University libraries in all forms of media, now or here after known, subject to the provisions of the Copyright Act 1968. I retain all property rights, such as patent rights. I also retain the right to use in future works (such as articles or books) all or part of this thesis or dissertation. I also authorise University Microfilms to use the 350 word abstract of my thesis in Dissertation Abstracts International (this is applicable to doctoral theses only). The University recognises that there may be exceptional circumstances requiring restrictions on copying or conditions on use. Requests for restriction for a period of up to 2 years must be made in writing. Requests for a longer period of restriction may be considered in exceptional circumstances and require the approval of the Dean of Graduate Research. FOR OFFICE USE ONLY Date of completion of requirements for Award: THIS SHEET IS TO BE GLUED TO THE INSIDE FRONT COVER OF THE THESIS [email protected] i IMPROVING THINKING ABOUT GRAND STRATEGY: DEVISING A GRAND STRATEGY DIAGNOSTIC PROCESS FOR POLICYMAKERS TABLE OF CONTENTS List Of Figures And Tables iii Originality Statement iv Copyright Statement v Authenticity Statement v Thesis Abstract vi CHAPTER 1: INTRODUCTION 1 The Research Task And Why It Is Important 1 Bounding Grand Strategy 9 Current Assistance To Policymakers Thinking About Grand Strategies 13 BUILDING A GRAND STRATEGY DIAGNOSTIC PROCESS 17 Methodology and Case Study Approach 25 Appraisal Criteria 31 Structure 33 PART ONE: THEMATIC REVIEW 38 CHAPTER 2: THE IDEA OF GRAND STRATEGY 39 WHAT MAKES STRATEGY GRAND? 41 The Ends oF Grand Strategy 46 The Means oF Grand Strategy 51 Integrating Ends, Ways and Means 57 Making Grand Strategy 61 The LiFe Cycle oF a Grand Strategy 63 Multiple Grand Strategies 66 PROBLEMS WITH THE IDEA OF GRAND STRATEGY 68 Non-Grand Strategies 74 CONCLUSION 78 CHAPTER 3: THE MINDS OF POLICYMAKERS 81 POLIHEURISTIC CHOICE MODEL 98 PART TWO: DEVELOPING THE COGNITIVE FRAME 103 CHAPTER 4: CREATING CHANGE COGNITIVE FRAME 104 CREATING CHANGE IN INTERNATIONAL ORDER 106 Denial Grand Strategy Schema 119 Engagement Grand Strategy Schema 121 Reform Grand Strategy Schema 124 CREATING CHANGE COGNITIVE FRAME 126 CHAPTER 5: BUILDING POWER COGNITIVE FRAME 132 BUILDING POWER THROUGH TIME 134 WAYS TO BUILD POWER 138 BUILDING POWER SCHEMAS 143 ISSUES IN BUILDING POWER 146 Material Resource Allocation 149 BUILDING POWER COGNITIVE FRAME 150 [email protected] ii PART THREE: GRAND STRATEGY CASE STUDIES 155 CHAPTER 6: DENIAL GRAND STRATEGIES 156 U.S. IRAQ WAR GRAND STRATEGY 1991-1992 157 THE LTTE GRAND STRATEGY 1990-2002 167 THE USSR’S DÉTENTE GRAND STRATEGY 1965-1980 177 CONCLUSION 188 CHAPTER 7: ENGAGEMENT GRAND STRATEGIES 192 U.S. EUROPEAN RECOVERY PROGRAM GRAND STRATEGY 1947-1952 195 IRANIAN HEZBOLLAH GRAND STRATEGY 1982-2006 202 BRITISH APPEASEMENT GRAND STRATEGY 1934-1939 212 CONCLUSION 226 CHAPTER 8: REFORM GRAND STRATEGIES 229 BRITISH MALAYAN EMERGENCY GRAND STRATEGY 1948-1960 231 INTERNATIONAL CAMPAIGN TO BAN LANDMINES GRAND STRATEGY 1992-1999 245 U.S. IRAQ REGIME CHANGE GRAND STRATEGY 2001-2003 257 CONCLUSION 269 PART FOUR: EVALUATION 272 CHAPTER 9: DOES THE GRAND STRATEGY DIAGNOSTIC PROCESS WORK? 273 CASE STUDIES APPRAISAL AND REVIEW 274 Secondary Outcomes 280 COGNITIVE FRAME AND RESEARCH LIMITATIONS 281 Limitations of the Research 286 ALTERNATIVE THEORETICAL APPROACHES 290 CONCLUSION 297 CHAPTER 10: CONCLUSION 299 FURTHER APPLICATIONS 301 IMPLICATIONS AND FURTHER RESEARCH 304 ANNEX A: GRAND STRATEGY SCHEMAS 309 A DENIAL GRAND STRATEGY SCHEMA 310 Framing Today’s World - The Starting Point 310 Means – Instruments oF National Power 313 Ends – The Desired Order 316 AN ENGAGEMENT GRAND STRATEGY SCHEMA 318 Framing Today’s World - The Starting Point 318 Means – Instruments oF National Power 321 Ends – The Desired Order 323 A REFORM GRAND STRATEGY SCHEMA 325 Framing Today’s World - The Starting Point 325 Means – Instruments oF National Power 334 Ends – The Desired Order 337 ANNEX B: BUILDING POWER SCHEMAS 338 Near-Term Managerial Approach Schema 338 Long-Term Managerial Approach Schema 341 Near-Term Market Approach Schema 344 Long-Term Market Approach Schema 348 BIBLIOGRAPHY 352 [email protected] iii List Of Figures And Tables Title Page Figure 1. Creating Change Cognitive Frame 128 Figure 2. Grand Strategy Taxonomy 130 Table 1. Building Power Approaches 145 Figure 3. Building Power Cognitive Frame 152 Figure 4. Grand Strategy Cognitive Frame 301 [email protected] lV Originality Statement 'I hereby declare that this submission is my own work and to the best of my knowledge it contains no materials previously published or written by another person, or substantial proportions of material which have been accepted for the award of any other degree or diploma at UNSW or any other educational institution, except where due acknowledgement is made in the thesis. Any contribution made to the research by others, with whom I have worked at UNSW or elsewhere, is explicitly acknowledged in the thesis. I also declare that the intellectual content of this thesis is the product of my own work, except to the extent that assistance from others in the project's design and conception or in style, presentation and linguistic expression is acknowledged.' Signed .. .... ~........... .-::. .. .... .. ........................ Date ........... \.J! ... ~.1.... .i::t:. ................................ [email protected] .edu.au v Copyright Statement 'I hereby grant the University of New South Wales or i agents the right to archive and to make available my thesis or disse ation in whole or part in the University libraries in all forms of medi , now or here after known, subject Lo the provisions of the Copyright A t 1968. I retain all proprietary rights, such as patent rights. I also retain the right to use in future works (such as articles or books) all or pa of this thesis or dissertation. I also authorise University Microfilms to use the 350 word abstr et of my thesis in Dissertation Abstract International (this is applicable t doctoral theses only). I have either used no substantial portions o f copyright materi I in my thesis or I have obtained permission to use copyright materi ~ l ; where permission