PLCY-702 Module 3 Annotated Bibliogrpahy

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LIBERTY UNIVERSITY HELMS SCHOOL OF GOVERNMENT An Annotated Bibliography for the Purpose of Familiarizing Students with Formatting and ProQuest’s RefWorks Submitted to Dr. Troy Gibson in partial fulfillment of the requirements for the completion of PLCY-702 Founding Era and the Constitution by XX April X, XX

1 Annotated Bibliography In 2019 the United States provided $47 billion dollars in foreign assistance to 233 countries/regions in an effort to address policy needs. These funds were expended by executing over thirteen thousand activities. 1 Unfortunately, determining policy efficacy or the return on investment of policy aimed at currying favor, strengthening international relationships, or building partner capacity is nearly impossible. While in some cases these inabilities can be attributed to government inefficiencies or politically motivated goals, it is my opinion that the primary obstacle is the sheer size of the program. The policy goal I would most like to see accomplished is a consolidation and restructuring of these programs with an increased effort towards accountability for expenditures and results. With regard to the subject matter discussed in PLCY 702, the framers’ political beliefs and cultural attitudes were focused on treaties 2 , commerce 3 , international conflict requiring resolution by war 4 , and the Supremacy Clause of Article VI. The clause gave the national government of the times, authority to coordinate internationally on behalf of all states, negating the confusion that would come with each state coordinating its own foreign policy. The resources detailed below aim to bridge the gap from the aforementioned attitudes to the effectiveness of the myriad of programs in use today, aimed at achieving national strategic objectives. Baldwin, David. “Success and Failure in Foreign Policy: (2000) Annual Review of Political Science: Annual Reviews.” Institute of War & Peace Studies, Annual Reviews, v3, pp 167-182, Columbia University, New York . 1 Department of State and USAID 2021, https://www.foreignassistance.gov/ 2 Constitution Article II, Section 2 3 Ibid, Article I, Section 8 4 Ibid

2 Mr. Baldwin highlights a well-known dilemma in the foreign affairs arena and his importance in this author’s research is paramount. For those tasked with justifying the significant investment of public monies into efforts to develop global partners and alliances, it is nearly impossible to quantify a positive return on investment. The author provides that foreign policy analysis lacks a mechanism to accurately or definitively facilitate comparison of alternative policy options. Would this comparison be possible, future investments could be directed to yield greater gains in US statecraft. However, general agreement is lacking as is common understanding of what is meant by success. The author addresses questions on how effective a policy instrument is likely to be, with respect to which goals and targets, at what cost, and in comparison, with what other policy instruments, and argues effectively that failure to address each question may lead to serious policy mistakes. He proceeds further along in the article to discuss the difficulties in estimating success, the concepts regarding different types of success, and provides numerous recipes for success. Foreign policy decisions often have very serious consequences and too often they are made by subjective methods of analysis of what may have worked in another part of the world. Providing foreign policy makers with the knowledge and tools to choose the most rational instruments of statecraft deserves higher priority among scholars than it has received according to Baldwin. Bearce, D. H., & Tirone, D. C. (2010). Foreign Aid Effectiveness and the Strategic Goals of Donor Governments. The Journal of Politics , 72 (3), 837–851. https://doi.org/10.1017/s0022381610000204

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3 This article adds another wrinkle to the efforts to measure the effectiveness of aid in the strategic goals of the donor government. Bearce and Tirone confirm that foreign aid can promote economic growth in recipient countries by facilitating economic reform, but add a caveat the size of strategic benefit directly influences the aids success. They state that when the strategic benefits associated with providing aid are small for donor governments its easier for the recipient government to assist /comply. When the strategic benefits are large, foreign aid becomes ineffective because Western governments cannot credibly enforce their conditions for economic reform. The article provides evidence for both the cause and effect of their argument. Based on the understanding that Western aid was driven by strategic factors during the Cold War era (post-Cold War era), it shows that aid has been positively associated with economic reform, but only after 1990 when Western governments could more credibly threaten to curtail their aid if such reform was not forthcoming. It also shows that aid has promoted economic growth, but only after 1990 when the strategic benefits associated with aid provision declined for most Western donors. This article affords the opportunity to further study impacts more than thirty years later, and details the necessity for increased scrutiny on assistance programs Brainard, Lael. “Foreign Assistance Reform: Successes, Failures, and Next Steps.” Brookings Institute (2007) , https://www.brookings.edu/testimonies/foreign-assistance-reform- successes-failures-and-next-steps/ As a member of the Board of Governors of the Federal Reserve System, the author details the bipartisan Task Force on Transforming Foreign Assistance for the 21 st Century recommendations for a number of principles for effective foreign assistance reform that provide useful benchmarks to assess progress to date. According to this assessment framework, the State/F process has been successful on one important criterion

4 but has not made progress on several others: Tracking resources against objectives by country, stakeholder ownership, transparency, elevating development, achieving policy coherence, and rationalizing agencies and clarifying missions. This article, although not officially peer-reviewed, is crafted by an extremely credible organization with minimal hidden public affair agendas. The Brookings institute is open about its objectives and the problem areas identified within the article are identical to what the author of this bibliography experienced while a key member of 3 separate US country teams abroad. Brainard is a highly credentialed fiscal expert in the public sector and provides lessons for fundamental reforms aimed at assisting the quantification of impact resources invested in political objectives. What is not frequently discussed in the article is the lack of long-term focus in US objectives for potential partner countries or how US aid allocation is a little too automatic and do not reflect the level of cooperations between the subject nations. This material is effective in providing a time line of efforts to reform foreign assistance, and the efforts themselves validate that a difficulty in quantifying success exists. The findings were published by Brookings in Security by Other Means: foreign Assistance, Global Poverty and American Leadership. https://www.brookings.edu/press/books/securitybyothermeans.htm Dobbins , James and Tarini , Gabrielle. “The Lost Generation in American Foreign Policy” Rand Blog , (2020) https://www.rand.org/blog/2020/09/the-lost-generation-in-american-foreign- policy.html In the 76 years following War II, U.S. administrations have generally proven successful in major foreign policy initiatives. Since 2001 the pace of foreign policy achievement has fallen significantly and the result is a lost generation in American foreign policy. Dobbins states that there is nearly universal agreement on the decline of international American

5 focus, but cites a variety of explanations as the cause. The author attempts to shed light on causal factors, and does a good job at clearly summarizing pat policy lessons learned. James Dobbins is a senior fellow and distinguished chair in diplomacy and security and Gabrielle Tarini is a policy analyst at the nonprofit, nonpartisan RAND Corporation and this commentary originally appeared on The Hill on September 14, 2020. The commentary gave RAND researchers a platform to convey insights based on their professional expertise and often on their peer-reviewed research and analysis. The information provided by Dobbins and Tarini provides effective examples of policy wins and loses and highlights the negative impact of establishing policy without dedicated efforts. Early, Bryan R., and Amira Jadoon. “Using the Carrot as the Stick: US Foreign Aid and the Effectiveness of Sanctions Threats” 15, no. 3. F. Policy Analysis 15 (2019): 350–369. http://ezproxy.liberty.edu/login?qurl=https%3A%2F%2Fwww.proquest.com %2Fscholarly-journals%2Fusing-carrot-as-stick-us-foreign-aid%2Fdocview %2F2364221672%2Fse-2%3Faccountid%3D12085 Early and Jadoon present compelling evidence to justify their theory that foreign aid relationships influence both the effectiveness of economic sanctions threats and the aggressiveness of senders in imposing sanctions. The authors juxtapose the impacts of aid and commercial sanctions citing that aid sanctions are generally far less costly for senders than imposing commercially oriented sanctions but may still be utilized as an effective tool because of their significant impact on those sanctioned. The ability to disrupt aid as a result of an ignored warning enhances sender states credibility in future political spats. It is logical to conclude that the greater the foreign aid a sender provides to a target state, the more successful its sanctions threats should be; and the more aggressive the authors expect the sender country be in imposing sanctions if the target resists. Early and Jadoon

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6 use what they describe as a competing risks analysis of ongoing, politically motivated sanctions threats issued by the United States from 1960-2010, and present the results as justification for their assertions. They conclude that the analyses support their theory that the United States can indeed impose a certain degree of political will on a potential partner state by providing increased aid. The study also reveals that the greater the aid, the more secure the United States feels in its impacts. This sense of security emboldens United States policy makers to more aggressively threaten imposing sanctions. Ingram, George. “W hat Every American Should Know about U.S. Foreign Aid ”, The Ripon Forum vol 53, no. 4, (2019) , https://riponsociety.org/article/what-every-american-should- know-about-u-s-foreign-aid/ This article successfully establishes the author’s bona fides as senior fellow in the Global Economy and Development program at the Brookings Institution, Chair emeritus of the U.S. Global Leadership Coalition, and co-chair of the Modernizing Foreign Assistance Network. With his bona-fides set, Mr. Ingram addresses several myths surrounding US foreign aid, and more import to this plcy 702 student’s research provides concrete examples of US foreign aid policy’s successful global impacts. In the same manner, the article defines what qualifies as foreign aid, and its purposes. It breaks out conceptual and past assistance into one of three categories: humanitarian assistance for life-saving relief from natural and manmade disasters; development assistance that promotes the economic, social, and political development of countries and communities; and security assistance, which helps strengthen the military and security forces in countries allied with the United States. The article details allocations: humanitarian assistance accounts for a bit less than one-third of the foreign aid budget, development assistance a bit more than a third, and security assistance about a third and the effectively puts the amounts in

7 perspective with the US budget and GDP. Finally, it discusses partisanship in foreign aid. As a researcher focused on national security strategic objectives, Ingram’s inputs provide valuable research to potential dissertations and research projects. Lawson, Marian L. & Morgenstern, Emily M. “Foreign Aid: An Introduction to U.S. Programs and Policy.” Congressional Research Service doc no. R40213 (2019) , https://sgp.fas.org/crs/row/R40213.pdf This report provides an overview of the U.S. foreign assistance program by answering frequently asked questions on the subject. It is intended to provide a broad view of foreign assistance over time, and is updated periodically. It contains a list of U.S. foreign aid programs and policy priorities. The report lists rationales and objectives of U.S. Foreign Assistance and assistance serving both development and special political/strategic purposes. Mareite, Thomas. “‘An Unlawful and Contemptible Adventure’: The Ducoudray-Holstein Expedition and US Foreign Policy in the Early 1820s Caribbean” 20, no. 1. Atlantic studies (Abingdon, England) 20 (2023): pp. 58–86 Articles detailing early American colonists’ viewpoints on foreign policy are not numerous. This article is extremely valuable in that it details the evolution of from the defense based foreign policy of the late 1700s to attempts at power projection in the Caribbean. This article explores how the involvement of US citizens in projects of political revolution across the Caribbean threatened the geostrategic and economic interests of the United States in the region. Mareite walks the reader through the 1822 revolutionary expedition led by Henri Louis Villaume de Ducoudray-Holstein, to overthrow Spanish rule in Puerto Rico and establish the so-called Republic of Boricua. The geopolitical power moves not only failed to develop into a republican utopia, but exacerbated tensions between the US and the Spanish Monarchy. Mareite also discusses

8 the predicament of US officials, both in the United States and across the Caribbean, who sought to defend US geostrategic goals and the Union’s maritime trade, even while policing US participation to illicit activities in the Revolutionary Caribbean. While this endeavor was unsuccessful, the United States had to remain steadfast in its efforts to reduce European influence in the hemisphere and went on to recognize independent former Spanish colonies across the Americas like Mexico, Peru, Colombia, Chile and Buenos Aires. Morgan, Pippa. "Can China’s Economic Statecraft Win Soft Power in Africa? Unpacking Trade, Investment and Aid." Journal of Chinese Political Science 24, no. 3 (09, 2019): 387-409, https://go.openathens.net/redirector/liberty.edu ? This article reiterates the importance of soft power in statecraft and provides examples of Chinese strategic actions to validate the concept. Morgan asserts that China is experiencing great success in geopolitical initiatives on the continent of Africa, however, when measuring opinions on a local level, the results are less conclusive. The author believes that in order to truly measure the People’s Republic of China’s success further analysis is required. As traditional international partners continue to overlook Africa, China has numerous investments in developing what the Asian juggernaut considers to be fair and equal partnerships. The Africans are appreciative of both the influx of currency and the attention of the world leader. But African’s are far from a consensus on the benefits of the partnership. Skeptics to the blitz democracy efforts by the Chinese Communist Party cite a potential shift away from traditional markets with eventual harm coming to local economies. Morgan uses a very creative metric call the Afrobarometer Round 6 survey (2016) to delve further into the worries and excitement of the various people polled. The survey measures three of China’s tools of economic statecraft: trade,

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9 foreign direct investment, and aid. Morgan discusses each in detail and measures their impact on the Chinese objectives on the continent. Sumer, Gultekin. “The Roots of American Foreign Policy and the American Foreign Political Culture”, International Relations, Fall 2008, Vol. 5 Issue 19, p119-144. 26p. Sumer offers a valuable view opinion leveraging cultural biases inherent in foreigners. The authors views allow a counterbalance for researchers born and raised in the United States. The author claims that “foreign political cultures occupy a substantial position in the analyses of the foreign policies of major powers that have long traditions of foreign relations.” Sumer proceeds to address the Unites States, “the most powerful actor in the international system” and claims its political culture derives from its foreign policy traditions. Mr. Sumer, a Turk, introduces a fresh set of opinions regarding the ideology of Manifest Destiny in the mid-nineteenth century and its impact on a what the author an appetite for expansion “as a natural right of the United States.” The author ushers the reader from one foreign policy traditions of the nation, to the other: Progressive Imperialism, Liberal Internationalism, Neo-Realist etc. Sumer does a good job traversing the United States political transformations and as an ‘outsider’ claim that one cannot “understand the realities of American foreign political culture with one approach.” In this peer-reviewed journal article, the author also takes times to point out what he believes is good about US foreign policy and cites particular aide such as AIDS research and other quality of life issues. In analyzing these areas considered a success, US foreign policy creators are offered a view of what soft powers could be effective to attain its Strategic goals in a region that has left many lost for direction. Unger, N. (2010). Capacity for Change: Reforming U.S. Assistance Efforts in Poor and Fragile Countries . Washington: The Brookings Institution. Retrieved from ProQuest Central; Social Science Premium Collection https://go.openathens.net/redirector/liberty.edu?

10 url=https://www.proquest.com/reports/capacity-change-reforming-u-s-assistance- efforts/docview/1793207423/se-2 The Obama administration chose to amplify the efforts of predecessors by advancing preliminary steps taking by President Bush’s policy makers whose efforts were focused on the Afghan and Iraq wars. In 2010, the U.S. government found itself seriously reflecting on how to engage more effectively with developing countries. As the US proceeds to focus on social issues in place of traditional geopolitics aimed at leverage, a significant part of this reflection has to consider how best to reform foreign aid. There are few experts opposed to improvement, but defining the metrics for measuring success continually fail to reach consensus. This failure to tie efforts to a measure of merit results in aggressive policy swings depending on which party is currently occupying the White House and what special interests it must appease. At the time of this article’s publication, new legislation was introduced in the U.S. Congress. The White House, State Department, U.S. Agency for International Development, and other federal agencies were involved in the problem solving for this issue through Presidential Study Directive–7 on U.S. global development policy (PSD 7) and the first-ever Quadrennial Diplomacy and Development Review (QDDR). In relating this article to this author’s future dissertation regarding the efficacy of aide directed towards security assistance, Unger highlights U.S. efforts in poor and fragile countries, and how in recent years the U.S. military has expanded its responsibilities in countries and regions plagued by poverty and instability. In the opinions of many this practice is fraught with peril and cabinet members have emphasized the need for strengthened civilian capacity to address the challenge. US Agency for International Development (USAID) “U.S. Overseas Loans and Grants: Obligations and Loan Authorizations” (2019), https://foreignassistance.gov/reports

11 Effectively strips away biased opinions by providing raw United States Government foreign assistance data, both economic and military, from 1945 to the present on a country-by-country basis. The Greenbook is produced to fulfill a Congressionally- mandated requirement. The legislative authority for the report is the Foreign Assistance Act (FAA) of 1961 (P.L. 87-105), Section 634. The Greenbook print publication contains summary data of United States Government (USG) foreign assistance since 1945. US Department of State (2021). https://foreignassistance.gov/ ForeignAssistance.gov is the U.S. government’s flagship website for making U.S. foreign assistance data available to the public. It serves as the central resource for budgetary and financial data produced by U.S. government agencies that manage foreign assistance portfolios. In keeping with the U.S. government’s commitment to transparency, ForeignAssistance.gov presents a picture of U.S. foreign assistance in accurate and understandable terms. The website also includes links to associated strategies and evaluations for U.S. foreign assistance programs. Also includes information on funding phases and a country-by-country detailed list of activities with individual activity ID number for governmental and non-governmental agencies. US Department of State and U.S. AID. “Joint Strategic Plan - FY 2018-2022” The Department of State and U.S. AID (2021). https://www.state.gov/wp-content/uploads/2018/12/Joint- Strategic-Plan-FY-2018-2022.pdf The Department and USAID’s review to assess current environments, our partners’ capabilities and gaps, and ongoing U.S. and international programmatic and operational efforts to identify and achieve shared objectives. Evaluation findings, monitoring data,

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12 and other assessments measure how programs and projects benefit communities and groups; how changes in the contexts may affect the success of projects; and how interventions and diplomatic activities support host countries on their own journeys to build peace, self-reliance, and prosperity. This report sets forth the vision and direction for both organizations, and presents how the Department and USAID will implement U.S. foreign policy and development assistance. Walt, Stephen M. “The Secret to America’s Foreign-Policy Success (and Failure).” Is there a reason why U.S. policies worked with Cuba and Iran, but didn’t in Iraq or with Russia? Foreign policy. (2015 ) https://foreignpolicy.com/2015/07/27/the-secret-to-americas-foreign- policy-success-and-failure-iran-syria-obama/ Stephen Walt is a columnist at Foreign Policy and the Robert and Renée Belfer professor of international relations at Harvard University. Few analysts can dispute Mr. Walt’s expertise in the article’s subject areas. The author walks the reader through America’s recent Foreign Policy track record that consists of both failures and successes (though the former has been more numerous and more consequential), and discusses why that mixed record provides an opportunity for reflection. Transitioning from Cuba and Iran, the professor takes the reader to recent events surrounding 9/11 and Iraq. This report compares the two categories, discusses what it reveals, and what lessons the US should draw from both. The categories are broken down to compare similarities and differences of success and failures and the causal factors. The author provides insightful opinions on a way forward.