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Complex Interdependence Theory and Trans
Complex Interdependence Theory and Trans
Complex Interdependence Theory and Trans
May 2011
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For if a true survey be taken of counselors and statesmen, there may be found
(though rarely) those which can make a small state great, and yet cannot fiddle; as
on the other side, there will be found a great many that can fiddle very cunningly,
but yet are so far from being able to make a small state great, as their gift lieth the
other way; to bring a great and flourishing estate to ruin and decay. (Bacon)
In echoing the words attributed to Themistocles, Sir Francis Bacon gives voice to what
many have felt intuitively but have not been able to articulate. Stability operations in
both Iraq and Afghanistan have enjoyed costly and limited success. Coalition presence
institutions) are mitigated by civilian and military personnel’s rotation in and out of
theatres has been on the wane for some time, giving momentum to the current
Despite the billions of dollars, millions of man-hours, and thousands of lives lost, Iraq
(IO), more widely recognized as marketing, routinely reach a far wider audience and with
a much greater ‘stickiness’ than Coalition IO efforts. Western public perception is that
fat-cat contractors, pompous and petulant government officials and rough-edged military
participants slow the process of stabilization instead of speeding it along. The Arab
heretical meddling. The situation could realistically be described as bleak. The casual
observer might well conclude, as did Pogo, that we have met the enemy, and they are us.
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Are they? Writing on the theory of Complex Interdependence (CI), Robert Keohane and
Joseph Nye posit that ‘military force is not used by governments towards other
governments within the region (of cooperation), or on the issues, when complex
interdependence prevails’(Keohane and Nye). Taken further, with the decline of military
presence, states will move toward other forms of interdependence. Additionally, the
absence of military action creates space, increasing state and institutional cooperation.
Seen inversely, military presence can potentially hinder interdependence and cooperation.
The thesis of this effort is that Complex Interdependence Theory (CI) can be used as a
lens through which to focus interagency transitional energies to create conditions that
Expressed in two words: responsible disengagement. Nowhere is this desire more clearly
Our strategy moving forward is to achieve our objectives through three core
elements: a military effort to create the conditions for a transition, a civilian surge
that reinforces positive action, and an effective partnership with Pakistan. (U.S.
Department of Defense)
civilian sector (creating conditions), multiple actors with differing agendas (the civilian
Keohane and Nye parse CI into three sections: multiple channels of communication,
absence of hierarchy among issues, and the minor role of military force. As a lens
through which to view the United States’ involvement in Afghanistan the three parts of
Multiple Channels
Military jargon lends itself to the description of multiple channels. Strategic, operational
and tactical channels are many. On another plane, diplomatic, informational and
economic avenues enable a further widening of contact between opposing entities. Taken
together these six channels of contact produce nine possible combinations impacting the
outcome of any decision. The number of individual actors involved with each decision
deepens these nine channels. If only three actors are involved within each of the nine
channels the result is twenty-seven possible levels of variance for each decision. But the
equation is not finished: there is a mirror-set of variables on the other side of the issue
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under consideration and, in the case of Afghanistan, usually a second language and the
Even the most minimalist application of this method results in seven hundred twenty-nine
variances of impact on one issue. Said another way, on any particular issue between two
opposing sides, given three levels of action and three areas of focus (strategic, operational
and tactical; diplomatic, informational and economic), there are seven hundred and
potential to impart friction to the decision-making process. But multiple channels are
Competing agendas and non-state actors, absent any organizing principle, do not. By its
very nature the Department of Defense is currently engaged in an asymmetric fight with
quite-friendly fellow travelers. This is not to say that other agencies and NGOs do not
possess structure; far from it. But to speak of DoD and an NGO as having the same level
under which all parties (the licit ones) unite. The temptation to deconstruct this third of
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the triad is great: one could argue that the Millennium Development Goals are the
unifying principle (The United Nations), or that the U.S. Department of State wraps up
Afghan goals within the fascia of policy exported from Washington (U.S. Department of
State). Or, perhaps, the Taliban provides another source for the way forward for the
people of Afghanistan.
Although operating illicitly, the opposition Taliban actors certainly qualify as possessing
their own set of issues, along with an agenda, which do not coincide with other parties’
issues or anticipated outcomes. So from only one point of view there are organizing
principles, issues and agendas. The trouble is, the organizing principles are disparate
and, to date, not reconcilable. It is this lack of a central organizing principle that allows
disparate issues to flourish and receive inordinate attention, drawing resources away from
States belonging to supra-statal organizations tend to use military force less often than
states outside the group (Keohane and Nye). Conversely, those states outside the aegis of
cooperative diplomatic, economic and political organizations range from the Roman
Empire through NATO, the USSR and NAFTA. Although disagreement over the
morality of state behavior may give pause to some, Niccoló would probably just smile
knowingly. His advice to princes reinforces the control measures employed by both
states:
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‘…love (of the prince) is preserved by the link of obligation which, owing to the
baseness of men, is broken at every opportunity for their advantage; but fear preserves
you by a dread of punishment which never fails’ (Machiavelli Ch. 17)
The four examples in the earlier paragraph are prime examples of supra-statal
Rome, with it’s territorial expansion, unified disparate states under it’s military force, or
threat of force, to be sure. The more insidious and enduring unifiers of Roman rule are
the same shared by NATO, the USSR and trade/treaty groups like the North American
Standards of trade such as weights, measures and coinage are one variety. Legal, moral
and ethical codes are another. On their own these sticks in the bundle are weak;
sheathed in the fascia of state power such as Rome the bundle of sticks becomes
formidably strong. Newly conquered states under Roman rule faced a choice: conform
and adhere to the standards or face the Legion’s fist and phalanx. Conformity, over time,
led to greater prosperity for the conquered states and eventual assimilation. Rome’s
standards, enforced through the constant presence of military garrisons, served as a supra-
statal framework. Although technically part of the Roman Empire, conquered states
continued to find their own way along the various parts of existence, including social,
But a state’s assimilation was influenced far more deeply by two significant and often
soldiers with the local populace. Here we see a lesson in stability operations that is less-
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effort in terms of time and resources. Further, serious deviations from Rome’s example
abound with regard to military operations in Afghanistan. Among these are doctrines of
extreme tolerance for religious and cultural aberrations that are anathema to stability,
Attempting to learn Pashto for a nine-month rotation is a stretch, when local actors have a
nine or ten-year head start on English as a second language. Other examples of this type
of operational friction are doubtless familiar to the audience, and they could be addressed
through a more martial strategic and operational mindset. These examples of the supra-
statal military organization attempting to conform operations to local codes, mores and
customs are exactly what CI theory says is wrong with excessive military involvement
with regard to stability operations. Again, we hear Machiavelli’s words across the
centuries:
For it must be noted that men must either be caressed or else destroyed, because
they will revenge themselves for small injuries, but cannot do so for serious ones.
This, the injury done to a man must be such that there is no need to fear his
vengeance. But by keeping troops there instead of colonists, one will spend a
great deal more, being obliged to consume all the revenues of the state in order to
guard it, so that the acquisition turns into a loss, and much greater harm is done,
since the entire state is injured by the army’s having to move its quarters from
place to place. This inconvenience is felt by all, and everyone becomes an
enemy, and these are enemies who can do harm, because, though beaten, they
remain in their own homes. In every way, then, a garrison is as useless as
colonies are useful. (Machiavelli 12) (Italics added)
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Rome’s longevity and the short-lived tenure of the Soviet Union provide us with
bookends here. The force of Roman economic, diplomatic and political efforts provided
conquered territories with attractive supra-statal organizing principles. On the other end
of the bookshelf the Soviet model looked to the now-discredited Hegelian dialectic, in a
vain effort to sacrifice the good (long-term stability at nominal cost) in favor of the
perfect (synthesis).
Distance, both physical and cultural, reduces the quality of the image and information
sought. A neighbor of the same religion and language family far better appreciates
Afghanistan’s issues than an observer 9,000 miles away; the finer distinctions are only
appreciated through proximity and affinity, leading to understanding. Keohane and Nye
recognize this when they say ‘States belonging to supra-statal organizations tend to use
military force less often than states outside the group’ (ibid). And these supra-statal
regional stability.
NGO (non-governmental organization) actors. These actors are (or are-not) subordinate
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to various supra-statal entities such as the World Bank, the United Nations and NATO.
The multiplicity of actors, agendas, languages and cultures creates a corporate cognitive
In this dissonant environment, issues rise and fall on the strength the voice, and not
always a certain logic of argument. The quantity of actors and their oft-times competing
agendas further reduces efficacy. Although certainly not all-inclusive, a short list of
actors on the Afghan stability stage includes the United States Departments of State,
Defense, Agriculture and Homeland Security; the Drug Enforcement Agency, and several
intelligence organizations. International actors include the NATO member states and
their various military and non-military organs, the United Nations and it’s several
needs. And this list is exclusive of the fractured and fractious Afghan socio-political
reality.
By and large these actors espouse cooperation, but to ask the Afghan government for any
suspend disbelief. Given this set of multiple actors, competing agendas and external
military force, any hope for a cogent, national, agreed-upon response from the Afghan
people is unrealistic. There are, quite simply, too many sidebar conversations on the
Moreover, states that spring up quickly, like all other things in nature which, after
being born, grow rapidly, cannot develop roots and all their branchings, so that
the first bad weather destroys them, unless, as has been said, those who have
become princes have such great ability (virtue) that they are able straightway to
prepare themselves to preserve what Fortune has throw in their laps and afterward
to lay those foundations that others made before becoming princes. (Machiavelli
28)
Jared Diamond’s work1 on why societies weaken and fail is instructive (Diamond). In his
research, Diamond identifies five key parts of a framework on the topic of societal death.
Although certainly not dead, current conditions in Afghanistan fit neatly into his model:
2. Climate change
As a result of the confluence of these five variables, Diamond holds that societies (the
Maya in Mexico and Central America and the USSR, to name two) rapidly collapse after
a societal peak. This rapid collapse, he holds, occurs at the point of a mismatch between
current unstable conditions (in an observed society such as Afghanistan) should not be
looking the value of the resources or population of the society (the mathematical
1
The majority of the work in the following section is taken directly from Diamond’s talk
on www.ted.com.
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function), but at the first and second derivatives of it. The real trouble occurs further
along, at the point of the mismatch between needs and resources. For stability to self-
International involvement in Afghanistan runs wide and deep: ten years from 2001 to
date and contributions in excess of 2/3rds of the Afghan budget2. The mismatch, then,
between available resources (external assistance) and needs (increasing birth rates and
lowered rates of infant mortality) becomes clear: at some point in the future there will be
a reckoning of accounts in Afghanistan and the populace will suffer out of proportion to
it’s baseline existence pre-2001. Why, then, doesn’t Afghan society realize this and
Diamond asked the same question: Why do these societies fail to solve their own
problems? His answers resonate with CI theory and Afghan society in particular:
• In societies where there is a conflict of interest of the decision making elites and
the society as a whole, especially when the elites are insulated from the
consequences of those decisions, the elites are allowed to advance their own self-
nepotism)
conflict involving strongly held values that are good in many circumstances but
2
In fact: ‘Currently, weak revenue collection prolongs Afghan dependence on donors.
Collected revenues cover only one-third of the core budget.’ Ronna Afghan Web,
"Afghanistan's National Budget," 2010, 21 December 2010 <https://ronna-
afghan.harmonieweb.org/.../Afghanistan%20National%20Budget.doc>.
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are poor in others, specifically where there is a shared commitment to religion and
social cohesion (the theocratic nature of Islam and the strong tribal unit)
• He further points out the difficulty in making course changes where the things
that get you in trouble are also the source of your strength
If we can agree that the above is valid, we certainly must consider the second and third
order effects of stability operations in Afghanistan and re-evaluate and perhaps re-
prioritize our efforts. In order to chart the course to Afghan stability, here is a brief look
at the how the current Lines of Effort3 relate with Professor Diamond’s framework:
3
Coalition lines of effort (LOEs) in Afghanistan as of May 2011: Governance,
development, information operations, security, agriculture, and negative influencers.
LOE’s are prioritized differently for different operational units; for example, a battle
space owners’ highest priority might be security, while a Provincial Reconstruction Team
will take the lead on governance and development.
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Oft quoted and equally often used to guide civil military operations, Maslow’s hierarchy
of needs is superimposed here over the previous graphic.
This graphic represents the focus in Afghanistan as it relates to Maslow’s hierarchy and
the coalition lines of effort. What it reveals is the inequity between effort spent on
Agriculture, Security and Negative Influencers, and the realization of greater self-
sustainment through a hybridization of Diamond’s five areas and established lines of
effort.
Although not available at the time of publication, a data set showing coalition spending to
include the real cost of DoD lethal operations on negative influencers and security would
be revealing. This chart is offered as a starting point for future discussion. The utility of
such a study could lead to a re-prioritization of efforts as they apply to long-term
sustainability, as opposed to the moving target of stability.
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The temptation to idealize one theory over another is as great here as it was for the
Soviets vis-à-vis the Hegelian dialectic. CI theory is only one way to make sense of
events, and does not replace the Realist view. Power brokers and observers are tempted
Realism holds that in an anarchic world, power is the most sought-after commodity and,
in some sense, the view is not incorrect. The difference here is that with the rise of
multiple actors and their competing agendas anarchy is reduced, and those actors and
agendas create dissonance and produce friction in much greater volume than in the past.
Instantaneous communication of events also conveys views and opinions that drive
of agenda-setters, creating conditions for multiple and changing end states or goals.
Lastly, the span of time from 2001 (the beginning of the most recent intervention in
Afghanistan) and current operations in some ways holds practitioners hostage to their
own recent past. This long time-span engenders in some the tendency to view our
this more clearly demonstrated than in the use of money as a weapons system
(MAAWS). The concept, begun in previous conflict and formalized in Iraq in 2006-2009
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holds that injecting capital (and it’s concomitant capital improvements) serves as an
The combination of over a decade of good intentions in Afghanistan, coupled with the
bandwagon mentality of U.S. military officers and congressmen has solidified the
MAAWS doctrine at the ground level through the Commander’s Emergency Response
Program (CERP)4. Through the CERP program, governed by MAAWS, battle space
owner’s and PRT’s leverage their proximity and affinity for local conditions into
significant gains in governance, development and other lines of effort. The ability to
measureable results on local conditions. CERP and the MAAWS doctrine are a critical
seductive. Realism and it’s doppelganger, Realpolitik, views events and behaviors as
power-based5; CI theory acknowledges that power and refines it, identifying other players
the system and, in the parlance of our time, says, ‘it is what it is’. Liberalism looks at the
4
Formalized early in the U.S. involvement in Iraq, CERP provides cash to U.S. ground
forces commanders to support five of the six lines of effort: governance, development,
negative influencers (bad actors), information operations, and agriculture. The sixth,
security, is not within the scope of CERP.
5
For an excellent treatise on power politics see John Mearsheimer’s book, The Tragedy
of Great Power Politics (New York: W.W. Norton and Company, 2001).
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system and says, ‘it should be what it could be’; CI theory expands the view and gains
granularity, acknowledging previously ignored outliers. Keohane and Nye broke ground
on this distinction forty years ago, and showed us the distinction in this simple format:
Instruments of State Policy Military force will be most Power resources specific to issue areas will be most
effective, although economic relevant. Manipulation of interdependence, inter-
and other instruments will national organizations, and transnational actors
be used. will be major instruments.
Agenda formation Potential shifts in the balance Agenda will be affected by changes in the
of power and security threats distribution of power resources within issue
will set the agenda in high areas; the status of international regimes;
politics, and will strongly changes in the importance of transnational
influence other agendas. actors; linkages from other issues and
politicization as a result of rising sensitivity
interdependence.
Linkages of Issues Linkages will reduce differences Linkages by strong states will be more difficult to
In outcomes among issue areas make since force will be ineffective. Linkages by
reinforcing international weak states through international organizations will
hierarchy. erode rather than reinforce hierarchy.
Roles of international Roles are minor, limited by Organizations will set agendas, induce coalitions and
organizations the importance of military force act as arenas for political action by weak states.
Ability to choose the organizational forum for an
issue and to mobilize votes will be an important
political resource. (Keohane and Nye)
Complex interdependence theory does not replace realism; in fact, Mearsheimer’s five
…1) states are the key actors in world politics and they operate in an anarchic
system, 2) great powers invariably have some offensive military capability, 3)
states can never be certain whether other states have hostile intentions toward
them, 4) great powers place a high premium on survival, and 5) states are rational
actors who are reasonably effective at designing strategies that maximize their
chances of survival.(Mearsheimer 363-363)
Applying this set of assumptions to Afghanistan merely requires one to replace the word
‘states’ with ‘Afghans’ and ‘great powers’ with ‘tribes’. Were Afghanistan to be left to
it’s own devices, absent external (extra-regional) influence, power politics would play out
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according to Realist theory. There are, however, other actors involved in Afghanistan,
and they bring another set of assumptions (and friction) to the problem set. CI theory
begins with Realism and acknowledges the impact and friction of these extra-regional
‘You go to war with the assumptions you’ve got’.6 Organizational skills and institutional
memory are only as deep and wide as the experience of their members’. Casual
observation of DoS, DoD and interagency activities reveals basic assumptions with
6
With apologies to Donald Rumsfeld.
7
‘As of April 1, 2010, U.S. civilian presence in the field outside of Kabul has more than
quadrupled, from 67 to over 350’. U.S. Department of Defense, Report on Progress
Toward Security and Stability in Afghanistan , Periodic, United States Congress
(Washington: US GPO, 210).
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cultural situation in Afghanistan. The first, that ‘the military is the best game in town’, is
a misstatement; better said, at present, the military is the ‘only’ game in town. 8
Increasing interagency presence in Afghanistan might be a reality on the large bases like
Baghram, Kabul and Kandahar, but the hinterlands suffer from a dearth of talented DoS
staffing (Kinder). Coupled with recent funding constraints9, the inadequate staffing of
stability practitioners denies battle space owners the coin of COIN.10
Application of CI to Afghanistan/COIN
In the following section I address some of the issues surrounding COIN as practiced in
functional corruption, and the role of Pakistan and India vis-à-vis United States foreign
As part of an analysis of oil-rich states, Karl (Humphreys, Sachs and Stiglitz) posit that
They are ‘rentier states’ par excellence-states that rely to an unusually great extent
on externally generated revenues. This has two broad developmental effects. On
the one hand, the exceptional value of their leading commodity has meant
unusually high levels of external intervention in shaping their affairs and
capturing their resources by dominant states and foreign private interests. On the
other hand, petro-states are even less subject to the types of internal
countervailing pressures that helped to produce bureaucratically efficacious,
8
For a cogent discussion of what stability operations could be, see Thomas Barnett,
www.ted.com, June 2007, 1 November 2009
<http://www.ted.com/talks/lang/eng/thomas_barnett_draws_a_new_map_for_peace.html
>.
9
As of 01MAY2011, the obligation of funds under CERP in Afghanistan was stopped,
awaiting Congress’ passage of the budget continuation act.
10
The ratio of DoS staffers to Afghans as of April 2010 was 0.35:29,000. The same ratio
of DoS staffers in Paris to total Frenchmen was 1.060:66,000, making France the better
ratio of DoS staffers (data extrapolated from www.dos.gov, based on 53 offices in France
with an estimated average of 10 staffers per office. The number is likely far higher.
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Humphreys, et al. are speaking here of the affect of unexpectedly large revenues from
extracted resources: specifically, the discovery of oil. In the case of Afghanistan, the
rents paid to the state take shape in the form of foreign aid. The net effect is the same. In
fact, Coalition spending makes up the majority of Afghan revenues (Special Inspector
spending and activity from 2007-2009. Paul Collier11 illustrates this phenomenon vis-à-
vis the deleterious affect that occurs when instable states discover previously hidden
natural resources. In speaking of a State Minister’s efforts to manage the sudden wealth
that accrues from these large capital inputs, Collier says they (contracts for extracted
resources) are ‘…good for the country, and quite often very good for the minister’
capital (not unlike Coalition spending in Afghanistan) follow a curve, with the first few
years’ cash inputs are more beneficial, and the following years’ tend to consolidate in the
hands of a few insiders. The corollary to Diamond’s statement that ‘…when the elites are
11
Taken together, Collier’s two latest books are indispensable in gaining a greater
understanding of the net negative effect of large capital inputs on instable states. Paul
Collier, The Bottom Billion: Why the Poorest Countries Are Failing and What Can Be
Done About It (Oxford: Oxford University Press, 2007), Paul Collier, Wars, Guns and
Votes (New York: Harper Collins, 2009). Collier is the former Chief Economist at the
International Monetary Fund.
12
After the discovery of oil in the North Sea, the Dutch economy spiked for the years
immediately following the discovery, and then fell for many more years as a result of an
initial increase of dependence on the oil revenues.
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insulated from the consequences of those decisions, the elites are allowed to advance
their own self-interests more easily’ is not lost on even the most casual of observers of
could never have prepared it for the capital inputs it has received since.
cousin to CI) Theotonio Dos Santos posited that developed states prey on less-developed
countries (LDCs) through resource extraction, hindering the ability of the LDC to
develop any part of itself. This is part and parcel of the dilemma: in order to develop,
LDCs must trade; because they are less developed, they first enter into trade from a
position of relative weakness. In Dos Santos’ view, exploitation of LDCs will continue
into the distant future unless changes in the inequity of relative gains can be made
(Ferraro).13 Again we see the friction caused by deficient capacity assumptions with
regard to stability operations in Afghanistan. Our own (U.S. Army) doctrine cautions us
thus:
A fuller appreciation of CI theory provides a much better ‘structure’ on which to hang the
‘texture’ of lethal and non-lethal operations. This increased appreciation could serve to
13
See also Theotonio Dos Santos, "The Structure of Dependence," in K.T. Fann and
Donald C. Hodges, eds., Readings in U.S. Imperialism. Boston: Porter Sargent, 1971, p.
226
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operations and, most importantly, their desired effects14. Understanding that Coalition
‘resource curse’ condition, will better position decision makers in future stability
operations.
At the writing of this paper the United States alone has spent over (number here with
citation) in an attempt to drag Afghanistan out of it’s past and position it as a stable
regional ally. Flashman, in Fraser’s work of the same name, lays bare the British position
in Afghanistan at the time and accurately describes the pickle we are in now. In Kabul,
President Karzai rules his desk with an iron pen and our money. His reach into the areas
outside Kabul is as long as the series of zeros in his country’s checkbook. Without
incomes taxes, in an environment where even the various United States entities recognize
were the zealous reformer we wish he were, his ability to raise revenues is subject to
14
Although ‘killed’ by GEN (RET) Mattis, the U.S. Army has retained the best parts of
Effects-Based Operations (EBO). J.N. Mattis, Assessment of Effects Based Operations,
Memorandum, U.S. Department of Defense (Norfolk: Joint Forces Command, 2008).
15
Sir William McNaghten, Envoy of the British government to Kabul. He held the
equivalent rank of ambassador.
16
Shaw Sujah, Afghan political leader of the time. He took control of Kabul on August
th
7 , 1839, with the help of the British army.
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constitutional limitation. Further, neither the Provinces nor Districts (states and counties)
have any constitutional authority to tax or spend. Any revenues sent to Kabul (and they
are few, mostly from recently transparentized border-revenue collection centers) are
retained in Kabul at the disposal (pun intended) of the various Ministries. Should a
Province request money for projects or initiatives, they are long in coming if they come at
MAAWS evolved from the CERP program in Iraq in an effort to codify spending by
ground commanders, aligning dollars spent with established LOE’s and keeping
the program and mainstreamed it from its earlier humble beginnings as just one tool in a
patronage coupled with a pervasive culture of functional corruption has skewed the local
and national economy (citation needed) to the point of chronic dependency on external
inputs of cash. This dependency occurs between Kabul and it’s benefactors, Karzai and
his Ministers and Provincial Governors, and Ministries and the supplicants for funds
Functional corruption
He who creates a tyranny and does not kill Brutus, and he who establishes a free
state and does not kill the sons of Brutus, will not last long. (Machiavelli 196)
The sons of Brutus are everywhere. They work in District Centers (the equivalent of a
U.S. county courthouse), issuing identification cards; they wear uniforms, in the role of
army recruit, border patroller or beat cop, paying back half their salary to their local
commander in exchange for keeping their jobs; they drive trucks and lay bricks for U.S.
construction projects. On the best of days they come to work on time and interact with
Coalition forces; on the worst of days, they watch as the convoy leaves, then follow our
tracks to plant bombs for us to encounter the next day as we return to monitor their
progress.
Although in an environment such as this hard data on corruption are hard to come by and
perhaps suspect, earning a ranking by Transparency International as just one notch above
Somalia in the Corrupt Practices Index lends credence to this hypothesis (Transparency
Although only one line of effort (LOE) among six, Governance is commonly assumed to
stability operations holds that transparency engenders public trust in governance, leading
then, are those that support of the desire of the demos. Effective measurement of the
processes.
The organizing principle here is the democratic process. Inordinate and sometimes
heroic efforts have been made in support of the democratic solution, yet statistics
(International Institute for Democracy and Election Assistance) reflect a tepid response at
best to democracy. In speaking to the notion that democracy (as an exported product) is
With regard to Afghanistan and Iraq, these five statements are truly, as posited by
clear understanding of the desire of the demos, if demos there may be. Moving from
is amplified by one’s baseline: in the case of U.S. policy, democracy. The validity of
Carothers’ five arguments is more clearly realized when illustrated through his term,
‘assumption’.
Assumption One
Anyone who has a child under the age of twenty can relate to the non-desirability of
onions. Children, given an option of onions or hot dogs, will choose hot dogs. The
onions come much later in life, and no amount of suasion will engender a genuine desire
for onions.
than other types; it may be true that collective action by the demos will reduce and
advance thorny issues; it may by true that the art of compromise is the surest way to
advance agendas. But: in complex interdependence, agendas are many and varied; in
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interdependence, issues are not organized in hierarchical fashion and, as such, compete
for prominence in such a way as to sap the strength necessary to advance any of them.
Assumption Two
Democracy is acquired in three stages: the opening, the breakthrough, and consolidation.
U.S. history provides the casual observer with validation here. Democracy took root in
occurred in the glaring absence of any opposition: Britain was an ocean away and the
Further, the level of voter fraud in Afghanistan skews the data set so as to render it non-
Assumption Three
17
In recollecting his time as President, Harry Truman spoke of the damage done to the
American Indian: “We murdered as many as we could, and took their land away from
them. I have always felt that the Indians should have been allowed to maintain
themselves on the lands and improve their position, and eventually they would have
become friendly to us. They have the same sort of brains and body as we have, and they
are a brave people”. Harry S. Truman, Mr. Citizen (New York: Bernard Geis Associates,
1960).
18
Begun in 2007, Transparency International’s Corrupt Practices Index ranked
Afghanistan as follows: 2007:172/178; 2008: 176/179; 2009:179/180; 2010: 176/180.
Transparency International, "2009 Global Corruption Barometer," 2009, Publications, 30
June 2009 <http://www.transparency.org/publications/publications/gcb2009>.
Kinton 28
could assign a value to each percentage point, with zero signifying absence of democracy
and one hundred (percent voter turnout) being complete democracy. In modern terms,
then, the United States would be only slightly more “democratic” than Switzerland, and
democratic, owing to the fact that the democratically elected government of Australia
Assumption Four
To hold that
…the underlying conditions in transitional countries-their economic level,
political history, institutional legacies, ethnic makeup, socio-cultural
traditions, or other ‘structural’ features-will not be major factors in either
the onset or the outcome of the transition process (Carothers)
…is to believe that a fractured and fractious electorate, suffering from the lack of the
entity striving for a common good while putting aside their own individual identities. In
truth, these weak systems, lacking a long period of incremental movement away from
autocracy and towards democracy have little chance of achieving functional democratic
maturity.
Assumption Five
Kinton 29
baseline of governance that is receptive to being taken to the next step: democracy.
challenged this notion. Other Western (democratic) strictures put democracy to the test
with mixed results. World Bank funds are dependent on the requisite straightjacket of
public fiscal behavior (Friedman) and challenge the most resilient of democratic systems.
The fickle nature of economics in a globalized market punishes licit governments when
public policy fails to keep pace with economic reality. The urge, then, to protect the
demos from increasingly unsupportable rates of change is great (see: Argentina, Bolivia,
diplomatic or military, easily call a weak system into question. That the demos seek a
protector from the democratic nature of modern economics is telling, at times delivering a
Pyrrhic victory in the form of a return to more centralized forms of governance. Putin’s
Argentina, Bolivia and Venezuela all cast doubt on the notion that democratic
governance will take firm root in the soil of ‘coherent, functioning states’ (Ibid). 19
19
A recent news item lays bare the myth of the rising capitalist tide in Russia. In
speaking of a recent trip to Moscow after a fifteen-year absence, Rupert Wingfield Hayes
compares: ‘…(I)nstead, Russia has remained sullen and hostile, and re-embraced
autocratic leadership in the shape of Vladimir Putin-and we wonder why. What you
realize, when you live in Russia, is that so many of our assumptions are wrong. While
we were celebrating Russia’s release from Bolshevik tyranny, most Russians were being
plunged into poverty, unemployment and misery, as unbridled capitalism was let loose
Kinton 30
The expectation that a), there is a demos, and b), the demos will coalesce and c), man’s
baser needs will take a back seat to higher political goals is too much in many cases. To
continue moving towards the goal of democracy in these unready regions is to display a
blissful ignorance of history and to cling to the idea that expenditure of the right amounts
of blood and treasure will induce behavioral change, and negation of the various
Carothers’ observations ring harsh but true: adoption of and adaptation to the democratic
model of governance rest on five fragile assumptions. Close examination of these five
Afghanistan.
Adherents to the promotion of democracy in Afghanistan and Iraq point to the levels of
Maslow’s pyramid. Themistocles’ fiddlers at all levels intone policy and conduct
operations focusing on security, all the time unaware that the tip of one man’s pyramid is
not the same as the tip of another’s. Self-actualization is a moving target, based on a
plethora of variable conditions no organization can hope to set. Indeed, recent trends in
governance reflect the interdependent nature of a more fully globalized world in a pull
In the West and in the Americas we thus seem to face a choice between a flawed
free-market American model (of economic life) and a good old European one,
warts and all. Today, Europe looks a bit more attractive to many. But to many
more around the world, authoritarian statism looks ever more appealing.
(Orenstein)
The concept of the battle space owner in Afghanistan (U.S. military forces) being
forces the military into a role it is ill-prepared to assume. From the point of view of the
transparent as Afghan elections: everyone knows who is cheating, and no one can do
anything about it. While U.S. military forces are not cheating, per se, they are indeed
Theoretically placed on equal terms with both the U.S. Department of State and Afghan
action, results, and blame. Holding primary accountability, along with holding the
majority of lethal force and critical transportation assets puts U.S. commanders in the
Afghanistan as anywhere else: he who has the gold (and guns) makes the rules. As long
as the Afghans see a weak institution (GIRoA) propped up via American forces, they will
How can interagency and coalition actors responsibly disengage from stability
operations?
The military alone cannot solve all the problems faced in this environment.
Unified action-involving joint and multinational forces, and interagency,
Kinton 32
responsible disengagement.
Mattis’ memorandum (ibid) has slowed the accretion of EBO into the staff officers’
lexicon, the ‘effect’ of effects based thinking on operations in the Army has taken root.
Railing against the ‘long assessment cycle’ (ibid), Mattis goes on to say that ‘…system of
systems analysis has (sic) not delivered on their (sic) benefits’ (ibid).
Why discuss the demise of EBO in a paper on CI theory? Simply put, to use Mattis’ own
words, ‘…we will continue to emphasize the art of command, the importance of
Certainly we can agree with this last statement, in terms of harmonizing military and
operations must recognize the import of systems analysis. The interconnected nature
multiple (non-lethal) actors, differing agendas and (to the dismay of military planners
Analysis (SoSA).
There is no question that military planning processes and problem solving doctrine (the
military decision making process, MDMP20) reaches an ‘objective’. The problem is that
in the messy CI world (where folks don’t always play ball), the most desirable ‘objective’
GEN Mattis instructed in 2008, precludes operations personnel from considering the
Harmonizing military and political efforts in stability operations requires more than a
dismissal of a concept based on one documented bad experience21 or, to put it more
simply, because it’s too hard. If the United States continues to put the DoD into the role
of conducting stability operations, all the stakeholders should have a voice. Here, then, is
When DoD, with its assets and checkbook is in the lead role, whether by design or
chance, the voiceless are at a distinct disadvantage. One way towards harmonizing the
20
The MDMP has six parts and seventeen steps in one abbreviated version.
21
Mattis cites Israeli General Avi Kovar’s bad experience based on an over-reliance on
the concept of EBO during the 2006 Hezbollah-Israeli Conflict.
Kinton 34
cacophony of dissonance is to truly place other agencies on a more equal footing with
environment demand a broader ‘ear’ and a more fully empowered board of directors who
are co-equal at the table. Perhaps harmonization means a complete re-thinking of the
military’s role in stability operations; more of ‘enabler’ than ‘actor of first resort’23, for as
approximately 130:1) the resources and efforts will remain equally skewed in favor of the
DoD.
means, quite simply, to leave Afghanistan better off than when we began in 2001. CI
DoD/DoS, and allowing for the increased activity and natural progression of the acts of
From a historical point of view, all end-states fixed in time were arrived at naturally; in
other words, the fall of the Berlin Wall was a function of all activities preceding it; the
Although these historical end-states were a function of their aggregate inputs, they were
22
One of the Nine Principles of War first articulated by (need citation here)
23
For a thorough and prescient look forward in the timeline of U.S. stability operations
structure, see (Barnett Pentagon’s New Map citation needed).
Kinton 35
also a function of conditions more or less organic and sustainable, until those inputs were
withdrawn. Cuba served as a proxy to a much larger political struggle and received
external inputs as long as it served those interests; when the dénouement came to pass,
the external inputs changed, changing the local and regional dynamic. Likewise Berlin’s
role in international politics was forever altered by the removal of critical external
attentions. ‘Naturally’ occurring inputs are more aptly described as renewable and
sustainable. The removal of external assistance, whether it be money for aid programs or
fertilizer for increased crop yields returns the system to the status quo ante.
For a region to enter into cooperative and mutually beneficial agreements, there must be
some level of internal (state) trust in the external (regional) level of commitment over
time. Here is the rub: people and states are not stupid. Temporary external inputs,
whether economic, military, diplomatic or some other form, are known by all to be just
that: temporary. Further, there is a general expectation of quid pro quo that no amount of
pandering can mitigate. Public trust in extra-regional support is as fickle as the extra-
regional players’ agenda: there is no such thing as a free lunch and everyone knows it.
Successful, enduring systems arrive at that status through natural progression and are
common languages, cultural and religious affinities are vested in the successful outcome
of regional cooperation. Extra-regional actors can never achieve the same level of
change at the individual level: people are too smart. Our greatest policy victory would be
to recognize that only through a natural progression of internal struggle will the hearts
and minds of voters half a world away be really and truly changed.
Summary
Operations in Afghanistan are subject to the same friction of competing agendas, lack of
overarching hierarchical principals, and the un-natural presence of a large military force.
Complex Interdependence theory is not Realism in the strictest sense, nor is it merely
addiction program, U.S. policymakers and doctrinal adherents need to move from denial
instead of U.S./external is a solid next step. History shows us that setting conditions for
democracy best occurs in the absence of denial and co-dependence, and takes a longer
time to accomplish in the presence of outside forces that interfere with the give and take
disengagement with others. This is easier said than done, and requires a force of
character and strength of will on the part of some actors, while others may be asked to
the region (of cooperation), or on the issues, will military presence by outside actors
Conclusion
Complex Interdependence theory is not just a lens through which to view the current
diplomatic, informational, military and economic. The U.S. military, under the acronym
SOSA (System of Systems Analysis) poked its nose under the tent of International
Relations theory and is shouldering under the canvas. The recent addition of Stability
Operations as a core function of the Joint Chiefs represents the camel creeping fully into
the big tent of IR theory. Getting COIN right requires rigorous academic training in the
science of analysis and the art of suasion and a patience of effort for which the modern
voting public has very little stomach. A major part of patience of effort in Afghanistan
rests with the military’s stepping away from the quest for total operational control and
information dominance: the U.S. military needs to include the relinquishment of control
as a metric, be at peace with less-than optimal end states, and reward commanders on the
ground as they reduce their efforts as Afghan forces take over. A complete revision of the
current Lines of Effort and a clear-eyed look at the real effect of MAAWS’ tendency to
The minor role of military force as the acme of success in stability operations is violated
appear as military actors: uniformed, armed and restricted by force protection measures
that severely limit freedom of movement and act as a barrier between provider and
customer.
Competing needs, absent a coherent hierarchy, and absent any agreed-upon supra-statal
organizing principles, will act on the military stability provider as ‘death by a thousand
cuts’, leading not to positive closure for all parties but, far more likely, a compromise of
principles over time leading to far less end-state improvement than was ever imagined.
Afghan and regional, must be allowed to find their own way, within certain limits and
Keohane and Nye’s theory of Complex Interdependence illuminates our path; it remains
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