Oceans Apart: Ideologies of Extraterritorial Foreign Policy in Northern Europe and the USA Hans Olav Stensli Dissertation for the Dr.polit.-degree, University of Bergen, Norway 2006 Oceans Apart: Ideologies of Extraterritorial Foreign Policy in Northern Europe and the USA Hans Olav Stensli Dissertation for the partial fulfilment of the Dr.polit.-degree, Department of comparative politics University of Bergen, Norway February 2006 ACKNOWLEDGEMENTS I would like to express sincere gratitude to my supervisor Professor Frank Aarebrot at the department of comparative politics, University of Bergen. He has been a source of motivation throughout my studies of politics and in fact was a chief reason why I developed an interest in macro theory, in the first place. I am indebted to Pål Bakka and Terje Knutsen for reading a draft of the thesis in its entirety, and for their very valuable comments. Former colleagues at the department of defence studies at the Royal Norwegian Naval Academy were great commentators to drafts of individual chapters. Unfortunately, this department ceased to exist as a consequence of the reorganisation of the armed forces in the years 2004-2006. Especially, I enjoyed the seminars with Michael Prince, Hans J. Wiborg and Jan Tore Nilsen. Michael Prince in particular helped through suggestions to the prose in chapter 1. Bjørn Terjesen and Karl Rommetveit were also great colleagues and generously let me participate at the Norwegian forum for the study of naval history. A number of librarians were very supportive of the effort. In addition to Pål Bakka at the University of Bergen, I remain indebted to Ragnvald Høgh and Thomas Brevik at the Naval Academy, and Hans Christian Bjerg at the Danish Defence Archive. The research project on the Conditions for Democracy in Europe provided me with a great arena to discuss some of the earliest drafts of the first chapters of the thesis. In particular, I would like to thank Professor Sten Berglund at Humboldt-Universität zu Berlin, and Henri Vogt at the Finnish Institute of International Affairs. The department of comparative politics at the University of Bergen was very helpful throughout the process. Sincerely thanks to heads of the department during this time, professors Stein Kuhnle, Lars Svåsand and associate professor Nina Raaum, who let me use an office at the department during the last years of the project. 1 Introduction-theme and theory Table of contents: 1 Introduction-theme and theory ..........................................................................................................7 1.1 HOW STATES MADE INTERNATIONAL INSTITUTIONS, AND VICE VERSA.................................................27 1.2 THE ISSUE OF DESIGN IN COMPARATIVE HISTORICAL SOCIOLOGY; SOME METHODOLOGICAL CONSIDERATIONS WITH BEARING ON THIS ANALYSIS...............................................................................31 1.3 THE CHALLENGE OF EXPLAINING MACRO-CHANGE IN INTERNATIONAL RELATIONS ...............................39 1.4 OPENING THE "BLACK BOX" OF IR THEORY: TWO COMPETING GROUPS OF APPROACHES ON DOMESTIC ACTORS AND INSTITUTIONS IN FOREIGN POLICY .....................................................................55 1.4.1 Rational actors ...................................................................................................................55 1.4.2 What rational Choice cannot explain .................................................................................61 1.4.3 Historical institutionalism – an alternative framework........................................................63 2 Extraterritorial Sovereignty – Idealtypes and the Selection of Cases .........................................69 2.1 Ideology; Two ideal types of views on sovereignty at sea and how the process of state building shaped institutions and preferences.....................................................................74 2.2 EXTRATERRITORIAL STATE INTERESTS – UNITS AND HYPOTHESES ..................................................105 2.2.1 State principles and preferences .....................................................................................105 2.2.2 Selection of the units based on hypotheses ....................................................................109 3 States and Navies 1600-1856; Institutionalisation and Ideology................................................135 The Hansa in Norway and Iceland............................................................................................138 The Hansa, Sweden and Finland..............................................................................................142 The Hanseatic League, England, Ireland, and the Rise of Dutch power..................................145 Denmark and the Hanseatic League ........................................................................................148 The fall of the Hanseatic League as a major regional Power ...................................................151 3.1 NAVAL TECHNOLOGY, PERSONNEL AND ORGANISATION ................................................................159 3.2 THE BALANCE OF SEA POWER AND EXTRATERRITORIAL SOVEREIGNTY...........................................167 The Dutch Republic - An International Liberalist? ....................................................................168 England as a naval hegemon ...................................................................................................177 The USA-an emerging Naval Power.........................................................................................199 Sweden .....................................................................................................................................208 Denmark-Norway and Germany ...............................................................................................215 3.3 MONOPOLIES OF VIOLENCE? THE PRACTISES OF PIRACY AND PRIZE-TAKING AND NORTHERN EUROPE UNTIL 1856..........................................................................................................................219 3.4 STATES AND NAVIES - A COMPARATIVE OVERVIEW ........................................................................223 4 Extraterritorial violence in the Industrial age, 1856-1945............................................................225 4.1 FROM PAX BRITANNICA TO A WEAKENED MARITIME EMPIRE: BRITAIN AND THE INTERNATIONAL HIERARCHY 1856-1945.............................................................................................228 4.2 THE RISE AND FALL OF A CONTINENTAL SEA POWER; GERMANY ......................................................253 4.2.1 Early developments in German naval thought.................................................................254 4.2.2 The Influence of Mahan upon German History................................................................262 4.2.3 German navalism 1895- 1918..........................................................................................266 4.3 THE ASCENT OF A MARITIME HEGEMON; THE US ...........................................................................281 4.3.1 US state formation and a modest Naval Power: The US NAVY 1845-1890 ...................284 4.3.2 The dog that never really barked; The USA as a regional Imperial power......................292 4.3.3 Isolationism, Internationalism and the attempt at establishing world order through international institutions ...............................................................................................311 4.4 FROM PAX BRITANNICA TO WWII: HEGEMONIC STABILITY VS INSTABILITY AND THE PERIPHERIES OF NORTHERN EUROPE AND THE NETHERLANDS ............................................................331 4.4.1 The Nordic states.............................................................................................................332 4.4.2 The Netherlands-still liberal after all these years.............................................................357 4.5 CONCLUSION; ARMS RACES, GLOBALISATION AND MARITIME POLITICS IN THE INDUSTRIAL AGE..........363 5 An American Empire? The US and liberal International Institutions, 1945-2001......................367 5.1 FORWARD DEPLOYMENT AND THE TRANSLATION OF THE NEW DEAL TO THE INTERNATIONAL SCENE; THE US AND THE POST-WAR INTERNATIONAL INSTITUTIONS .....................................................369 2 Introduction-theme and theory 5.2 THE EVOLUTION OF INTERNATIONAL MARITIME COOPERATION ........................................................ 383 5.3 AFTER EMPIRE; THE UK 1945-2001 ............................................................................................ 409 5.4 ENJOYING AND CRITICIZING PAX AMERICA? THE NORDIC COUNTRIES AND THE NETHERLANDS, 1945-2001............................................................................................................... 421 5.5 NAVIES IN A UNIPOLAR WORLD ORDER; THE US AND NORTH EUROPEAN NAVAL STRENGTH ............ 445 5.6 THE PAST AS THE FUTURE IN THE ATLANTIC EMPIRE? OVERSEAS OCCUPATIONS, TERRORISM AND PIRACY ...................................................................................................................................... 453 6 Conclusions .................................................................................................................................... 479 6.1 EMPIRICAL CONCLUSIONS ............................................................................................................ 479 LOCALLY VALID IDEAL-TYPES ............................................................................................................