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Dependent state formation and Third World militarization*

Published online by Cambridge University Press:  26 October 2009

Alexander Wendt  and
Michael Barnett
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Extract

The relationship between militarization and state formation in the West has been the subject of considerable scholarship,1 and there is thus some temptation to simply transfer concepts and arguments from that domain to the study of Third World militarization. Yet state formation dynamics in the two contexts were and are quite different, with important implications for the nature of national security threats. In the West threats tended to be external, rooted in anarchical competition between relatively equal states possessing domestic legitimacy, which meant that militarization could be understood primarily in terms of the political realist focus on security dilemmas and action-reaction dynamics. In contrast, Third World state formation has occurred in a largely dependent context in which relative external security contrasts with domestic insecurity.2 In this case the external environment, rather than being a source of threat, becomes a source of opportunities for elites lacking domestic legitimacy to gain support against internal security threats. In short, national security problems look very different in the First and Third Worlds because of different trajectories and contexts of state formation. Very different mechanisms may therefore account for militarization, suggesting the need for concepts and theories different than those that dominate security studies in the West.

Type
Research Article
Information
Review of International Studies , Volume 19 , Issue 4 , October 1993 , pp. 321 - 347
Copyright
Copyright © British International Studies Association 1993

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References

1 See, for example, Hintze, Otto, ‘Military Organization and the Organization of the State’, in Gilbert, Felix (ed.), The Historical Essays of Otto Hintze (Oxford, 1975), pp. 178–215Google Scholar; Tilly, Charles (ed.), The Formation of National States in Western Europe (Princeton, 1975)Google Scholar; and Tilly, Charles, Coercion, Capital, and European Stales (Oxford, 1990).Google Scholar

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4 The distinction is due to Wulf, Herbert, ‘Dependent Militarism in the Periphery and Possible Alternative Concepts’, in Neuman, Stephanie and Harkavy, Robert (eds.), Arms Transfers in the Modern World (New York, 1979), pp. 246–263Google Scholar.

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13 The term is Roberts ‘ in Nation in Arms.

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17 On the reliability problems of Third World military expenditure data, see Ball, Nicole, Security and Economy in the Third World (Princeton, 1988)Google Scholar, chapter 3.

18 See Brzoska, Michael and Ohlson, Thomas (eds.), Arms Production in the Third World (London, 1986)Google Scholar.

19 We define such weapons as main battle tanks, light tanks, armoured reconnaissance and mechanized infantry combat vehicles with at least a 20mm cannon, combat aircraft, combat helicopters, and major surface warships. Our primary data source on these weapons and on manpower is Institute of Strategic Studies, The Military Balance (London, 1986Google Scholar and 1987).

20 ‘Reserve’ manpower needs to be counted because it may be an essential element in a labour-intensive military strategy.

21 This assumption is also made by Smith et al., in ‘Capital-Labour Substitution in Defence Provision’.

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26 We adopt this conventional typology because the three do not seem easily reducible to one underlying structure. We doubt such a reduction is possible, but before it could occur it seems that theory should first work to identify distinct mechanisms on the assumption that they are relatively autonomous, and then try to assess their underlying coherence. For similar arguments to this effect, see Rapkin, David, ‘The Inadequacy of a Single Logic: Integrating Political and Material Approaches to the World System’, in Thompson, William (ed.), Contending Approaches to World System Analysis (Beverly Hills, 1983), pp. 241–268Google Scholar, andMouzelis, Nicos, ‘Political Transitions in Greece and Argentina: Toward a Reorientation of Marxist Political Theory’, Comparative Political Studies, 21 (1989), pp. 443–466CrossRefGoogle Scholar.

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31 See Enloe, Cynthia, Ethnic Soldiers: State Security in Divided Societies (Athens, 1980)Google Scholar.

32 Although this by no means guaranteed the elimination of internal security threats, since the boundaries inherited from colonial powers often contained antagonisti c ethnic groups. The role of the states system in upholding these boundaries can be seen as an external empowerment of Third World states; see Jackson, Robert and Rosberg, Carl, ‘Why Africa's Weak States Persist’, World Politics, 35 (1982), pp. 1–24CrossRefGoogle Scholar, and Herbst, Jeffrey, ‘War and the State in Africa’, International Security, 14 (1990), pp. 117–139CrossRefGoogle Scholar. Insofar as this process empowers Third World states against the security of societal or ethnic groups under their control, however, the institution of sovereignty can also be seen as a fourth, ‘heteronomous’ dominance structure in the international system; see Onuf, Nicholas, World of Our Making (Columbia, 1989).Google Scholar

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36 Cf. Chase-Dunn, Christopher, ‘Interstate System and Capitalist World-Economy: One Logic or Two?’, International Studies Quarterly, 25 (1981), pp. 19–42CrossRefGoogle Scholar. Our own emphasis on the relative autonomy of the states system within the world-system is indebted to Zolberg, Aristide, ‘Origins of the Modern World-System: A Missing Link’, World Politics, 33 (1981), pp. 253–281CrossRefGoogle Scholar, and Rapkin, ‘The Inadequacy of a Single Logic’.

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38 On informal empire, see Doyle, Michael, Empires (Ithaca, 1986)Google Scholar, and Robinson, ‘The Excentric Idea of Imperialism’; the following discussion is elaborated more fully in Alexander Wendt, ‘The States System and Global Militarization’, unpublished PhD dissertation (Minneapolis, 1989).

39 On spheres of influence, see Keal, Paul, Unspoken Rules and Superpower Dominance (New York, 1983)CrossRefGoogle Scholar, and Triska, Jan (ed.), Dominant Powers and Subordinate States (Durham, 1986)Google Scholar; on patron-client relations in world politics, see Handel, Michael, ‘Does the Dog Wag the Tail or Vice-Versa? Patron-Client Relations’, Jerusalem Journal of International Relations, 6 (1982), pp. 24–35Google Scholar, and Shoemaker, Christopher and Spanier, John, Patron-Client Relationships: Multilateral Crises in the Nuclear Age (New York, 1984)Google Scholar. We prefer ‘informal empire’ because it emphasizes what we believe is a central aspect of such systems that is downplayed in other formulations, namely that the relationship between dominant and subordinate states is one of authority (see below).

40 Note that not all military and economic aid constitutes ‘security assistance’ in this sense, despite the fact that it may ultimately have similar effects. Security assistance is defined by its relationship o t Great Power influence over state formation and national security; Swedish arms sales to India are not part of such influence and thus fall outside our argument here.

41 Arguments of various types to this effect include Wolpin, Miles, Military Aid and Counterrevolution in the Third World (Lexington, 1972)Google Scholar, Fitch, J. Samuel, ‘The Political Impact of U.S. Military Aid t o Latin America’, Armed Forces and Society, 5 (1979), pp. 360–386CrossRefGoogle Scholar, Klare, Michael and Arnson, Cynthia, ‘Exporting Repression: U.S. Support for Authoritarianism in Latin America’, in Fagen, Richard (ed.), Capitalism and the State in U.S.-Latin American Relations (Stanford, 1979), pp. 138–368Google Scholar, Asbjorn Eide, ‘Militarisation with a Global Reach’, in Eide and Thee (eds.), Problems of Contemporary Militarism, pp. 299–322, and Condoleeza Rice, The Military as an Instrument of Influence and Control’, in Triska (ed.), Dominant Powers and Subordinate States, pp. 239–60.

42 For overviews of US military and security influences on Latin American state formation, see Rouquie, Alain, The Military and the State in Latin America (Berkeley, 1987), pp. 117–150Google Scholar, and Pion-Berlin, David, ‘Latin American National Security Doctrines: Hard- and Softline Themes’, Armed Forces and Society, 15 (1989), pp. 411–429CrossRefGoogle Scholar; for contrasts between this case and that of Eastern Europe, see Triska (ed.) Dominant Powers and Subordinate States, and, on the French West African case, Chipman, John, French Power in Africa (Oxford, 1989)Google Scholar.

43 Compare Galtung, ‘A Structural Theory of Imperialism’, and Onuf, Nicholas and Klink, Frank, ‘Anarchy, Authority, Rule’, International Studies Quarterly, 33 (1989), pp. 149–173CrossRefGoogle Scholar; for discussion of Weber's types of authority, see Bendix, Reinhard, Max Weber (Garden City, 1962)Google Scholar, and Blau, Peter, ‘Critical Remarks on Weber's Theory of Authority’, American Political Science Review, 57 (1963), pp. 305–316CrossRefGoogle Scholar.

44 On this latter point, see Andrew Ross, ‘Arms Acquisition and National Security: The Irony of Military Strength’, in Azar and Moon (eds.), National Security in the Third World, pp. 152–87.

45 Cuba and Nicaragua are instructive cases in point. The Batista and Somoza regimes had external bases of support that constituted the principal security threat as internal, whereas the Castro and Sandinista regimes had greater popular legitimacy and saw the US as the principal security threat; the former pair relied on conventional armies, the latter on mass mobilization to deal with these differing threats.

46 See Wendt, ‘Anarchy is What States Make of It’.

47 Braun, Ottmar and Wicklund, Robert, ‘Psychological Antecedents of Conspicuous Consumption’, Journal of Economic Psychology, 10 (1989), pp. 161–187CrossRefGoogle Scholar. For an excellent discussion of the role of material goods in sustaining social identities, see Dittmar, Helga, The Social Psychology of Material Possessions (New York, 1992).Google Scholar

48 Our discussion of the systemic cultural determinants of militarization draws on Walker, R. B. J., ‘Contemporary Militarism and the Discourse of Dissent’, Alternatives, 9 (1983), pp. 345–364CrossRefGoogle Scholar, and Walker, , ‘Culture, Discourse, Insecurity’, Alternatives, 11 (1986), pp. 485–504CrossRefGoogle Scholar; Luckham, Robin, ‘Of Arms and Culture’, Current Research in Peace and Violence, 7 (1984), pp. 1–64Google Scholar; Kolodziej, ‘National Security and Modernization’; and Kaldor, Mary, ‘The Atlantic Technology Culture’, in Kaldor, Mary and Falk, Richard (eds.), Dealignment: A New Foreign Policy Perspective (Oxford, 1987), pp. 143–162Google Scholar. For an argument stressing the domestic cultural sources of militarization, see Payne, James, Why Nations Arm (Oxford, 1989).Google Scholar

49 On the relative autonomy of cultural forms, see Williams, Raymond, The Sociology of Culture (New York, 1982)Google Scholar. Our conception of the role of ideas in social life is based on Durkheim, Emile, ‘Individual and Collective Representations’, in Pocock, D. (trans.), Sociology and Philosophy (Glencoe, 1953), pp. 1–34Google Scholar, and Berger, Peter and Luckmann, Thomas, The Social Construction of Reality (New York, 1966).Google Scholar

50 Luckham, ‘Of Arms and Culture’, p. 32.

51 See, for example, Johnson, J. (ed.), The Role of the Military in Underdeveloped Societies (Princeton, 1962)CrossRefGoogle Scholar, and Huntington, Samuel, Political Order in Changing Societies (New Haven, 1968)Google Scholar. For a more recent discussion, see Harries-Jenkins, Gwyn, ‘The Concept of Military Professionalism’, Defense Analysis, 6 (1990), pp. 117–130CrossRefGoogle Scholar.

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53 For a good discussion of the African case, see Killingray, David, ‘The Idea of a British Imperial African Army’, Journal of African History, 20 (1979), pp. 421–436CrossRefGoogle Scholar.

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55 See Price, Robert, ‘A Theoretical Approach to Military Rule in New States: Reference Group Theory and the Ghanaian Case’, World Politics, 23 (1971), pp. 399–429CrossRefGoogle Scholar. For a critique of the tendency to treat Third World military elites as ‘modernizers’, see Mazrui, Ali, ‘Soldiers as Traditionalizers: Military Rule and the re-Africanization of Africa’, in Mazrui, (ed.), The Warrior Tradition in Modern Africa (Leiden, 1977), pp. 236–258Google Scholar.

56 On the transition from colonial to postcolonial armies, see Mullins, A. F., Born Arming (Stanford, 1987).Google Scholar

57 See Luckham, ‘Of Arms and Culture’, p. 241; Hagelin, Bjorn, ‘Military Dependency: Thailand and the Philippines’, Journal of Peace Research, 25 (1988), p. 441CrossRefGoogle Scholar; and Shafer, Michael, Deadly Paradigms: The Failure of U.S. Counlerinsurgency Policy (Princeton, 1988), pp. 93–95Google Scholar. Such programmes have a long history; see Nunn, Frederick, Yesterday's Soldiers (Lincoln, 1983)Google Scholar. For a general discussion of their effects, see Wolpin, Miles, ‘External Political Socialization as a Source of Conservative Military Behavior in the Third World’, in Fidel, K. (ed.), Militarism in Developing Countries (New Brunswick, 1975), pp. 259–282Google Scholar.

58 Robin Luckham, ‘Militarism: Force, Class, and International Conflict’, in Kaldor and Eide (eds.), The World Military Order, p. 239.

59 The term is Robin Luckham's, although we use it somewhat differently than he; see his ‘Of Arms and Culture".

60 The following discussion draws particularly on Luckham, “Of Arms and Culture”, and Suchman, Mark and Eyre, Dana, ‘Military Procurement as Rational Myth: Notes on the Social Construction of Weapons Proliferation’, Sociological Forum, 1 (1992), pp. 137–161CrossRefGoogle Scholar.

61 In a fascinating study that belies the necessity of such cultural change, Noel Perrin shows how the Japanese ‘gave up the gun’ in the seventeenth and eighteenth centuries after having had Western firearms for 100 years. See his Giving Up the Gun: Japan's Reversion to the Sword, 1543–1879 (Boston, 1979).Google Scholar

62 Adas, Michael, Machines as a Measure of Men: Science, Technology, and Ideologies of Western Dominance (Ithaca, 1989), p. 160Google Scholar.

63 See Hill, Stephen, The Tragedy of Technology (London, 1988), p. 75Google Scholar.

64 Adas, Machines as a Measure of Men, pp. 221–30.

65 Janowitz, Morris, The Military in the Political Development of New Nations (Chicago, 1964), p. 27Google Scholar.

66 Ayoob, Mohammed, ‘The Third World in the System of States: Acute Schizophrenia or Growing Pains’, Internationa! Studies Quarterly, 33 (1989), p. 74Google Scholar.

67 A good example of the power of such symbolic attachments is the Israeli effort to develop the Lavi, a key motivation for which was its value as a symbol of military-industrial prowess; see Steinberg, Gerald, ‘Large-Scale National Projects as Symbols: The Israeli Case’, Comparative Politics, 19 (1987), pp. 331–346CrossRefGoogle Scholar.

68 This reflects a scientific realist conception of social inquiry; see Dessler, David, ‘Beyond Correlations: Toward a Causal Theory of War’, International Studies Quarterly, 35 (1991), pp. 337–355CrossRefGoogle Scholar, and Shapiro, Ian and Wendt, Alexander, ‘The Difference that Realism Makes: Social Science and the Politics of Consent’, Politics and Society, 230 (1992), pp. 197–223CrossRefGoogle Scholar.

69 See Putnam, Robert, ‘Diplomacy and Domestic Politics: The Logic of Two-Level Games’, International Organization, 42 (1988), pp. 427–460CrossRefGoogle Scholar.

70 See, for example, Huntington, Samuel, Political Order in Changing Societies (New Haven, 1968)Google Scholar.

71 See Aguero, Felipe, ‘Social Effects: Military Autonomy in Developing Countries’, Alternatives, 10 (1984), pp. 75–92CrossRefGoogle Scholar, Samuel Fitch, J., ‘Military Professionalism, National Security and Democracy: Lessons from the Latin American Experience’, Pacific Focus, 4 (1989), pp. 99–147CrossRefGoogle Scholar, McSherry, J. Patrice, ‘Military Power, Impunity, and State-Society Change in Latin America’, Canadian Journal of Political Science, 25 (1992), pp. 463–488CrossRefGoogle Scholar, and Pion-Berlin, David, ‘Military Autonomy and Emerging Democracies in South America’, Comparative Politics, 25 (1992), pp. 83–102CrossRefGoogle Scholar.

72 On the developmental costs of militarization, see Ball, Security and Economy in the Third World, and Bullock, Brad and Firebaugh, Glenn, ‘Guns and Butter? The Effect of Militarization on Economic and Social Development in the Third World’, Journal of Political and Military Sociology, 18 (1990), pp. 231–266Google Scholar.

73 For examples of this concern, see Devitt, D. (ed.), Nuclear Non-Proliferation and Global Security (New York, 1987)Google Scholar, Ross, ‘Arms Acquisition and National Security’, Knorr, Klaus, ‘Militar y Trends and Future World Order’, Jerusalem Journal of International Relations, 11 (1989), pp. 68–95Google Scholar, and Steinberg, Gerald, ‘Technological Transfer and the Future of the Center-Periphery System: A Realist Perspective’, Jerusalem Journal of International Relations, 11 (1989), pp. 96–117Google Scholar.

74 See Herrera, Luis, ‘The Military as a Link in the Domination Chain of Latin America’, Instant Research on Peace and Violence, 5 (1975), pp. 197–206Google Scholar.

75 For a thoughtful discussion of the tensions in this cooptation, see Mohammed Ayoob, ‘The Third World in the System of States’.