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Ann Arbor, MI 48106 NATIONAL ROLE CONCEPTIONS AND FOREIGN ASSISTANCE POLICY BEHAVIOR TOWARD A COGNITIVE MODEL DISSERTATION Presented in Partial Fulfillment of the Requirements for the Degree Doctor of Philosophy in the Graduate School of The Ohio State University By Marijke Breuning, B.A, M.A. ***** The Ohio State University 1992 Dissertation Committee: Approved by Donald A. Sylvan Anthony Mughan Advisety^ Richard K. Herrmann Department of Political Science ^ Copyright by Marijke Breuning 1992 To the memory of Geertje Van den Berg-de Fey ACKNOWLEDGMENTS This dissertation has been an exciting journey. Now that I have reached its end and reflect on the distance covered and the new horizons in front of me, the time has also come to recognize the many who made it possible for me to embark on the journey, and who in small and big ways facilitated the work. First and foremost I want to thank my adviser, Donald Sylvan, who gave generously of his time and attention. His critical comments helped me think more clearly and his encouragement kept me going at times I was not sure of my progress. He takes his role as mentor seriously and I have benefitted greatly. Anthony Mughan and Richard Herrmann, who rounded out my dissertation committee, are each valued advisers as well. In addition, a number of members of the Invisible College associated with the Mershon Center Research Training Group on the Role of Cognition in Collective Decision Making have provided helpful comments on parts of this dissertation. I specifically want to name Tom Ostrom and Stephen Walker, but I have benefitted from discussions with many others. The Mershon Center Research Training Group also was significant to this research in practical terms. It provided me with a fellowship out of its National Science Foundation grant (DIR-9113599) which allowed me to work on this dissertation full time. In addition. 1:1 my research was supported by a grant from the Graduate School and by the Harry and Esther Sonkin Family Scholarship for International Understanding and Peace. The Mershon Center Research Training Group provided fellowship in a more literal sense as well: it brought together a group of students at work on dissertations and gave us all a place to talk about our ideas or simply about the process of completing a dissertation. Except for the three months I spent in Europe collecting data, my parents. Max Breuning and Eva Breuning-Van den Berg, had to be content with encouraging me from afar. Despite the distance, they have never failed to provide support and encouragement when I needed it. In many ways, they deserve this work to be dedicated to them, although I know they’ll understand why I chose otherwise. There are many others who have contributed to the development of my ideas or made it possible for me to complete this research. Frances Hewins and Jo Van den Berg-Van Schelven deserve a very special ’thank you.’ Many persons remain unnamed, but they nevertheless deserve my gratitude. IV VITA October 12, 1957 .................................................. Bom - The Hague, The Netherlands 1980 .................................................................... Diploma, School voor de Jouraalistiek (School for Journalism), Utrecht, The Netherlands 1982 ................................................................... B. A., Department of Political Science, The Ohio State University, Columbus, Ohio 1983 ............................................................. M.A., School of Journalism, The Ohio State University, Columbus, Ohio FIELDS OF STUDY Major Field: Political Science Studies in Comparative Foreign Policy, Transnational Relations, Traditional Theory, Formal Models and Methods TABLE OF CONTENTS DEDICATION..........................................................................................................................ii ACKNOWLEDGMENTS......................................................................................................iii VITA ....................................................................................................................................... V LIST OF TABLES ............................................................................................................... ix LIST OF FIGURES.............................................................................................................xiii CHAPTER PAGE I. THE FOREIGN ASSISTANCE POLICY P U Z Z L E .............................................. 1 Introduction ................................................................................................. 1 Foreign Aid as a Public G o o d .......................................................................7 Donor Interests and Foreign Assistance ................................................. 12 The Puzzle ................................................................................................. 16 II. ROLE THEORY AND DECISION MAKER COGNITIONS .......................... 20 Introduction .............................................................................................. 20 The National Role Concept in the Study of International Relations . 22 Bounded Rationality and Frames ............................................................ 28 The Limitations of Structural Role Theory ........................................... 32 Role Theory and its Extentions .............................................................. 36 National Role Conceptions and Foreign Policy Behavior ...................... 43 III. OPERATIONALIZING NATIONAL ROLE CONCEPTIONS ........................ 50 Introduction ............................................................................ 50 Conceptualizing Role Conceptions for Foreign Assistance Decision Makii@ The Good Neighbor Role Define ............................................................ 55 The Social Engineer Role Defined ......................................................... 58 The Merchant Role Defined .................................................................... 60 The Power Broker Role Defined ........................................................... 61 vi Assessing Role Conceptions Empirically ..................................................... 64 How a Good Neighbor Role Manifests Itse lf ............................................ 64 What Social Engineers Talk About and D o ............................................... 65 The Merchant Role: The Bottom Line and P o licy ................................... 67 Power Broker Rhetoric and A c tio n .............................................................. 69 The Impact of Foreign Policy Decision Making Setting on Decision Makers ’Role Conceptions’ ........................................................................................... 72 Cases, Data, and Methods ............................................................................ 77 Connecting Rhetoric and Behavior .............................................................. 85 C onclusion ......................................................................................................... 88 IV. THE NETHERLANDS................................................................................................. 90 Introduction ...................................................................................................... 90 Ministers of Development Cooperation and their Role ......................................................................................................... 91 Historical Context ........................................................................................... 98 The D a t a ...............................................................................................................100 The Overall Picture .........................................................................................