Calhoun: The NPS Institutional Archive DSpace Repository Theses and Dissertations 1. Thesis and Dissertation Collection, all items 2003-09 Correlation of identity and interest in foreign policy : implications for Mongolia Dorjjugder, Munkh-Ochir. Monterey, California. Naval Postgraduate School http://hdl.handle.net/10945/856 Downloaded from NPS Archive: Calhoun MONTEREY, CALIFORNIA THESIS CORRELATION OF IDENTITY AND INTEREST IN FOREIGN POLICY: IMPLICATIONS FOR MONGOLIA by Munkh-Ochir Dorjjugder September 2003 Thesis Co-Advisors: Edward A. Olsen Jeffrey Knopf Approved for public release; distribution unlimited THIS PAGE INTENTIONALLY LEFT BLANK REPORT DOCUMENTATION PAGE Form Approved OMB No. 0704-0188 Public reporting burden for this collection of information is estimated to average 1 hour per response, including the time for reviewing instruction, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to Washington headquarters Services, Directorate for Information Operations and Reports, 1215 Jefferson Davis Highway, Suite 1204, Arlington, VA 22202-4302, and to the Office of Management and Budget, Paperwork Reduction Project (0704-0188) Washington DC 20503. 1. AGENCY USE ONLY (Leave blank) 2. REPORT DATE 3. REPORT TYPE AND DATES COVERED September 2003 Master’s Thesis 4. TITLE AND SUBTITLE: Correlation of Identity and Interest in 5. FUNDING NUMBERS Foreign Policy: Implications for Mongolia 6. AUTHOR(S) Munkh-Ochir Dorjjugder 7. PERFORMING ORGANIZATION NAME(S) AND ADDRESS(ES) 8. PERFORMING ORGANIZATION Naval Postgraduate School REPORT NUMBER Monterey, CA 93943-5000 9. SPONSORING /MONITORING AGENCY NAME(S) AND ADDRESS(ES) 10. SPONSORING/MONITORING N/A AGENCY REPORT NUMBER 11. SUPPLEMENTARY NOTES The views expressed in this thesis are those of the author and do not reflect the official policy or position of the Department of Defense or the U.S. Government. 12a. DISTRIBUTION / AVAILABILITY STATEMENT 12b. DISTRIBUTION CODE Approved for public release; distribution unlimited 13. ABSTRACT (maximum 200 words) Since the collapse of the Communist bloc, Mongolia has pursued the independent foreign policy with balanced relations attached to the two great neighbors – Russia and China. Meanwhile, the search for a “third neighbor” (the United States, Japan and/or the collective community of democracies) has been seen as the alternative approach to the existing “neighbor-oriented” policy. The thesis argues that both approaches are not mutually exclusive schools of foreign policy, but rather constitute the common approach that is described within this research as “bufferism.” To present an alternative vision of the nation’s foreign policy orientation, the thesis covers the major schools of international relations and identifies the two major causes of policy: identity (based on constructivism) and interest (based on realism). As a nation, Mongolia faces the identity trilemma and the security dilemma, without much preference given to any of these options during the last decade. Hence appears the nation’s ambiguity in identity, security and economic development. The thesis puts the argument that without prioritizing one option, Mongolia faces the risk of degrading into a failing state isolated from the global affairs. Thus, the reconciliation of its identity and interest, as well as of its aspirations must lead to a rational choice of a Sino-centric East Asian policy dimension over any other. 14. SUBJECT TERMS 15. NUMBER OF PAGES Foreign policy, Foreign policy factors, Foreign policy equilibrium, Identity, 162 Interest, Small states, Mongolia, Buffer, Russia, China, United States, Globalization, East Asia, Central Asia, Eurasia, Southeast Asia, Northeast 16. PRICE CODE Asia, and Regionalism. 17. SECURITY 18. SECURITY CLASSIFICATION 19. SECURITY 20. LIMITATION OF CLASSIFICATION OF REPORT OF THIS PAGE CLASSIFICATION OF ABSTRACT Unclassified Unclassified ABSTRACT Unclassified UL NSN 7540-01-280-5500 Standard Form 298 (Rev. 2-89) Prescribed by ANSI Std. 239-18 i THIS PAGE INTENTIONALLY LEFT BLANK ii Approved for public release; distribution unlimited CORRELATION OF IDENTITY AND INTEREST IN FOREIGN POLICY: IMPLICATIONS FOR MONGOLIA Munkh-Ochir Dorjjugder Civilian, Mongolian Ministry of Defense B.A., National University of Mongolia, 1996 M.A., National University of Mongolia, 1999 Submitted in partial fulfillment of the requirements for the degree of MASTER OF ARTS IN NATIONAL SECURITY AFFAIRS from the NAVAL POSTGRADUATE SCHOOL September 2003 Author: Munkh-Ochir Dorjjugder Approved by: Edward A. Olsen Thesis Co-Advisor Jeffrey Knopf Thesis Co-Advisor James J. Wirtz Chairman, Department of National Security Affairs iii THIS PAGE INTENTIONALLY LEFT BLANK iv ABSTRACT Since the collapse of the Communist bloc, Mongolia has pursued the independent foreign policy with balanced relations attached to the two great neighbors – Russia and China. Meanwhile, the search for a “third neighbor” (the United States, Japan and/or the collective community of democracies) has been seen as the alternative approach to the existing “neighbor-oriented” policy. The thesis argues that both approaches are not mutually exclusive schools of foreign policy, but rather constitute the common approach that is described within this research as “bufferism.” To present an alternative vision of the nation’s foreign policy orientation, the thesis covers the major schools of international relations and identifies the two major causes of policy: identity (based on constructivism) and interest (based on realism). As a nation, Mongolia faces the identity trilemma and the security dilemma, without much preference given to any of these options during the last decade. Hence appears the nation’s ambiguity in identity, security and economic development. The thesis puts the argument that without prioritizing one option, Mongolia faces the risk of degrading into a failing state isolated from the global affairs. Thus, the reconciliation of its identity and interest, as well as of its aspirations must lead to a rational choice of a Sino- centric East Asian policy dimension over any other. v THIS PAGE INTENTIONALLY LEFT BLANK vi TABLE OF CONTENTS I. INTRODUCTION ............................................1 A. THESIS QUESTION ....................................2 B. CHAPTER SUMMARY ....................................3 II. ROLE OF IDENTITY AND INTEREST IN FOREIGN POLICY .........7 A. CHAPTER OVERVIEW ...................................7 B. IDENTITY AS A FACTOR IN FOREIGN POLICY .............7 1. Theoretical Framework ........................7 2. Typology of Identity .........................14 C. INTEREST AS A FACTOR IN FOREIGN POLICY ............23 1. Theoretical Framework........................23 2. Components of Interest .......................27 D. RECONCILIATION OF IDENTITY AND INTEREST ...........36 1. Dilemma Between Pragmatism and Idealism .....36 2. Identity and Interest of Small States .......41 E. CHAPTER FINDINGS ..................................45 III. MONGOLIA'S FOREIGN POLICY AS DEFINED BY IDENTITY AND INTEREST ...............................................49 A. CHAPTER OVERVIEW .................................49 B. IDENTITY AS A FACTOR IN MONGOLIA'S FOREIGN POLICY .50 1. Three Perceptions of Identity as Historical Legacy .......................................50 2. The "Identity Trilemma" ......................59 C. INTEREST AS A FACTOR IN MONGOLIA'S FOREIGN POLICY .61 1. Historical Patterns and Contemporary Perspectives .................................61 2. The "Security Dilemma" ......................75 3. The "Buffer" Mentality ...................... 76 vii D. CORRELATION OF IDENTITY AND INTEREST ..............78 1. Conflict of Identity and Interest: The Three Parameters ...................................78 2. Reconciliation of Identity and Interest: The Construction-Deconstruction Dichotomy ....85 E. CHAPTER FINDINGS ..................................88 IV. REGIONAL POLITICS THROUGH THE PRISM OF IDENTITY AND INTEREST ...............................................91 A. CHAPTER OVERVIEW ..................................91 B. CENTRAL ASIA: A WESTWARD SHIFTED BUFFER ...........92 1. Background ...................................92 2. Current Geopolitical Situation ...............94 C. EAST ASIA: A DYNAMIC SOUTH AND A RELUCTANT NORTH ..99 1. Intra-Regional Diversity .....................99 2. Southeast Asian Regionalism: An Exemplar Case ........................................101 3. Northeast Asian Interaction: A Distinct Pattern .....................................113 D. EAST ASIAN MONGOLIA: IDENTITY AND INTEREST RECONCILED .......................................125 1. Conceptualization of East Asia: Construction of Identity and Interest ....................125 2. Whither Mongolia?...........................127 E. CHAPTER FINDINGS .................................130 V. CONCLUSION ............................................133 A. THEORETICAL PROPOSITIONS .........................133 B. REGIONAL TRENDS ..................................135 C. POLICY IMPLICATIONS ..............................136 BIBLIOGRAPHY ...............................................141 INITIAL DISTRIBUTION LIST ..................................149 viii ACKNOWLEDGMENTS This piece of work is attributed to me, but it has consumed enormous efforts and generous assistance of