CRANFIELD UNIVERSITY DEPARTMENT OF DEFENCE AND SECURITY PhD Thesis Academic Year 2016 Ava Patricia Avila - Goldman DEFENCE ‘AND’ DEVELOPMENT: A CASE STUDY OF THE PHILIPPINES Supervisor: Professor Ron Matthews August 2016 ©Cranfield University, 2016. All rights reserved. No part of this publication may be reproduced without the written permission of the copyright holder. ABSTRACT In the security spectrum, there is a blurring line between defence and development. In both traditional and non-traditional security situations, such as counterinsurgency and natural disasters, the armed forces has been called to respond in ways other than their mandate of physical protection in order to attend to human development needs. How and when this transition of roles happens has been studied and debated. As the main security institution of a country, militaries around the world have performed duties outside of their defence functions. Their tasks have expanded from maintaining peace and order to including nation-building, economic development, the provision of disaster relief, and engaging in efforts to conserve natural resources. Looking at these extra functions, the Philippines armed forces are no different in performing non-traditional roles. The Armed Forces of the Philippines (AFP) is one of the key institutions, which has been at the forefront of the campaign in tackling these domestic challenges. To a certain extent, the mixture of economic activities with combat operations has characterised the military’s different campaigns such as counter-terrorism and counter- insurgency. Involvement in economic functions has been justified on the grounds that it is critical to ‘winning the hearts and minds’ of those living on the front lines, supporting the military’s role in nation-building. The aim of this study is to employ pre-determined metrics to evaluate the contribution of the Philippine defence sector to national development, and, in turn, comprehensive security. Whilst the conventional view is that defence is a burden on development, the question this study poses is whether, by contrast, in the Philippine context, there is a positive relationship between defence and development; that is, that defence expenditure contributes to development outputs such as employment, skill-generation and even infrastructural investment. The study framework is anchored to the following policies: AFP Modernisation Act of 1995, and its subsequent revision, AFP Modernisation Act of 2010, the Internal Peace and Security Plan (IPSP), and the National Security Plan 2011-2016. The framework highlights the important security goals of defence industrialisation, internal security, and non-traditional security. These data were further substantiated and consolidated via archival sources, such as government and company reports, as well as secondary data (e.g. books, journals, etc.). i The mission thrusts of the AFP demonstrate the organisation’s multiple objectives to carry out a mandate to protect the state and the people. The Philippines has a very modest defence industry with few companies manufacturing small arms and ammunitions. Its goal is to be self-reliant, however, issues within the Procurement Law prevents this. Meanwhile, the conduct of counter-insurgency efforts through the IPSP allows the AFP unified commands and field units to support government units and agencies in their peace and development programmes. Furthermore, the geographic deployment of military personnel and equipment across the archipelago allows the armed forces to respond in times of disasters. Overall, the armed forces has contributes positively to the national development of the Philippines. To this end, and based on the research finding, a number of important policy recommendations are advanced to raise the effectiveness of the Philippines’ security policies. ii ACKNOWLEDGMENTS This doctoral study would not have been possible without the invaluable spiritual, academic, psychological, financial, and emotional support afforded to me. A huge heartfelt thanks to my supervisor, Professor Ron Matthews, who has always gone out of his way to ensure that I continue to grow in the academic world, who painstakingly provided guidance and insightful comments at different stages of this research, patiently waited for me to respond to emails, and whose generosity of time and knowledge has been exemplary. At a personal level, I value Ron for his wise counsel, his views on life, his positive disposition, and his unique brand of humour. Truly, that first meeting at the office pantry was a pivotal moment! My gratitude goes to Cranfield University for giving me this wonderful opportunity. I would like to acknowledge the indispensable help the Barrington Library provided through its offsite access feature. Special thanks to Dr Laura Cleary and Dr Roger Darby, both of whom were in my PhD Review Panel. They were always completely supportive of my research, providing constructive criticism, and ensuring that my research progressed in the right direction. I am profoundly thankful to my boss, Professor Tan Oon Seng, whose understanding while I juggle both work and study has been remarkable. I also would like to thank Associate Professor Low Ee Ling, who took me under her wing and showed me the same care and concern she gives to her staff. A big thank you to all research participants – Department of National Defence, Armed Forces of the Philippines, local government units of Negros Occidental and Compostela Valley provinces, other government agencies, universities, non-government organisations, defence firms, business establishments, and news agencies. Members of these organisations have generously shared their time and knowledge, and provided relevant data for this study. My sincerest appreciation to friends, who in one way or the other helped me survive this protracted PhD journey: Fitri Bintang, Curie Maharani, Fred Talaue, Diane Junio, Akanksha Mehta, Nona Maniez, Lenny, Stephane Cheung, Charmaine Misalucha-Willoughby, Jet iii Quindoy, Evita Mercado, Arcturus Diems, Kat Tolosa, Mars Pempena, Jay Neil Ancheta, Patricia Sarenas, Melot Balisalisa, Farrah Selda, Sham Ancajas, Tey Tana, Errol Merquita, Rosalie Hall, Stephen Cutler, Maria Ressa, Linda Sellou, Bhadhri Prasad, Chammika Udalagama, Cecile Corvera, Gail Ilagan, Ferdinand Cabrera, Celine Loyzaga, Shallu Sansanwal, and Criselda Yabes. Importantly, I am deeply grateful to my family, who has selflessly provided support, motivation, and encouragement throughout this process. To my husband and number one cheerleader, Justin, who has been nothing but reassuring that all will be well and whose dance moves never fail to boost me up especially during those pressing times. To my Dad, whose generosity of affections is unparalleled and who has always been encouraging of my adventures as long as he approves of them. To my Mom, my first teacher, who instilled in me the love for reading and allowed me to devour books to my heart’s content even it meant a dent in our finances. I miss you everyday Mom. To the rest of Team Avila (Lara, Ives, Marlon and Biboy), thank you for the funny jokes and lovely photos that are always a welcome reprieve from the demands of data analysis. To Team Goldman, whose prayers and uplifting emails and Facetime/Skype calls mean a lot to me. Above all, I want to thank God for His abiding presence and for being my major source of strength. Without Him, this journey would not have begun in the first place and be completed at all. iv LIST OF CONTENTS 1 EVALUATING THE CONTRIBUTION OF DEFENCE TO PHILIPPINE SECURITY AND DEVELOPMENT 1.1 Making the Case for the Study 1 1.2 Creation of Philippine Defence 1 1.3 From Defence to Development 4 1.4 Military Operations Other Than War and Peace Support Operations 8 1.5 Comprehensive Security 10 1.6 Comprehensive Security: The ASEAN Perspective 12 1.7 The Philippines Attempts to Define Comprehensive Security 14 1.8 Study Aim 16 1.8.1 Research Question 16 1.8.2 Enabling Objectives 17 1.9 Study Value: Contribution to Knowledge 17 1.10 Conceptual Framework 19 1.11 Choosing an Appropriate Research Method 24 1.11.1 Research Philosophy 26 1.11.2 Research Approaches 26 1.11.3 Research Strategies 27 1.11.4 Time Horizons 29 1.11.5 Data Collection Methods 30 1.11.6 Research Design 31 1.11.7 Selected Research Methodology 32 1.11.8 Data Analysis 35 1.11.9 Reliability and Validity 36 1.11.10 Ethical Considerations 37 1.11.11 Study Limitations 37 1.13 Study Structure 38 2 CONCEPTUAL ROOTS OF DEFENCE ‘AND’ DEVELOPMENT 2.1 Introduction 43 2.2` Scope and Evolution of Security 44 2.3 Development 46 2.3.1 The Development of ‘Development’ 46 2.3.2 Development Schools of Thought 47 2.3.3 Adam Smith: Champion of the Free Market 48 2.3.4 Modernisation Theory 49 2.3.5 Dependency Theory 51 2.3.6 World-Systems Theory 53 2.3.7 Globalisation Paradigm 54 2.4 Armed Forces and Society: The Process of Civil-Military Relations 55 2.5 Defence as a Drag on Growth and Development? 56 2.6 Defence: A Force to Facilitate Development? 59 2.7 Comprehensive Security in Asia Pacific 61 2.7.1 Singapore’s Total Defence 62 v 2.7.2 China’s Security Posture 65 2.7.3 Japan’s Integrated Security Framework 67 2.8 Blurring the Lines: Philippine Defence ‘and’ Development 70 2.9 Summary 72 3 EXAMINING GLOBAL TRENDS IN DEFENCE AND DEVELOPMENT 3.1 Scene Setting 80 3.2 Defence Industry 80 3.2.1 Hierarchy in Armaments Production 82 3.2.2 Impact of Defence Spending 83 3.2.3 International Arms Trade 85 3.2.4 Globalisation of Armaments Production 85 3.2.5 Technology