|Emotion, Revolutionary States, and Conflict Initiation
“The real chance is the one you use not the one you think about” – Saddam Husayn
This paper addresses the relationship between revolution and war via a case study of the Gulf War Conflict. Extant theories are valuable in outlining permissive conditions but miss the importance of emotion in the initiation of conflict. This paper offers a new perspective for Saddam Husayn’s behavior and a new conceptualization for the relationship between revolution and war that stresses national identity linked to emotion.
Patrick Van Orden
March 25, 2016
This paper has two goals. The first is to offer an alternative explanation for Husayn’s behavior. Debating the merits of a possible 2003 invasion of Iraq, Mearshiemer and Walt paint a picture of a leader who is essentially rational and deterrable: “Saddam was neither mindlessly aggressive nor particularly reckless” (2003, 54). Others paint a picture of a leader who is “intentionally suicidal” (Pollack quoted in Mearsheimer and Walt 2003). On the surface both approaches appear to hold some validity. This paper offers an alternative theory that can explain Husayn’s actions. Rather than claiming that Husayn is irrational or rational and deterrable, I apply a theory that can reconcile Husayn’s paranoia and his unjustified optimism. A theory that can explain Husayn’s behavior is valuable in of itself: Husayn directly initiated two wars—the Gulf War and the Iran-Iraq War, the latter was the longest conventional war in the 20th century (Murray and Woods 2014)—and was involved in the third, the U.S. invasion of Iraq 2003.
This paper engages a larger literature as well. Recent work aimed to explain the relationship between revolution and war, which is based on an empirical regularity: states that have experienced a domestic political revolution are more likely to be involved in military disputes (Colgan 2013a, 2013b; Colgan and Weeks 2015a). Jeff Colgan’s data set finds revolutionary states to be more likely to be the initiators of conflict (2013a). I consider Husayn to be a revolutionary leader. This paper offers an alternative theory that can help explain this regularity. I see this theory as not directly challenging but building upon aforementioned works. The current literature misses the importance of national identity and the role emotion plays in decision making. I employed a theory and method developed by Jacques E.C. Hymans (2006)1 that links national identity to emotion and to a cluster of behavioral outcomes. I test this theory with a case study of the Gulf War.
This paper also contributes to a growing field that features emotion. When actors face an uncertain environment, emotion may play a key role in motivating behavior. This paper argues that what is ultimately important for leaders to take such risky gambles is not rational calculation but dispositional factors. The first section outlines a number of explanations for Husayn's behavior. This paper does not make a mono-causal argument. Systemic level variables and domestic political institutions are certainly important, as they provide the context that shaped Husayn’s decisions. The second section offers a theory than can explain Husayn’s behavior. The third section is a discussion of Husayn’s national identity conception. The forth section is a case study an application of theory to the gulf war.
Explanations for the Gulf War
Offensive realists highlight the incentives for Husayn to invade Kuwait. Iraq could gain valuable resources and much needed coastline by swallowing up its much weaker neighbor and it is uncontested that Kuwait could not defend itself militarily without another states’ intervention. Uncertainty surrounded the potential for other states to come to Kuwait’s defense, making the rationale for the invasion hinge on the likelihood of outside involvement. Offensive realists argue that Husayn made a reasonable gamble based on inferences about likely U.S. involvement. A general trend of U.S.-Iraqi policy was based on a balancing logic against revolutionary Iran, which culminated in the normalization of relations (Hiltermann 2007, 37–51; Jentleson 1994; Karabell 1995). Offensive realist claim this encouraged Husayn to believe that the U.S. would not become involved if Husayn invaded Kuwait; the U.S. would overlook this transgression just as it failed to punish Iraq’s use of chemical weapons and his support for various terrorist organizations (Jentleson 1994; Rubin 1993). Outside the broader trend, the U.S. did not implement a successful strategy of deterrence. In the face of Husayn’s bellicose language, mixed messages emanated from Washington, culminating in the famous Glaspies meeting, in which Glaspies, the U.S. Ambassador to Iraq was summoned abruptly to meet Husayn. Glaspie stopped short of making a clear statement about the U.S.’s commitment to Kuwait’s sovereignty. According to this view, while Husayn clearly miscalculated, this was a reasonable gamble due to the U.S. government’s inability to signal its intention to protect Kuwait, which led Husayn to believe the U.S. would not become involved (Freedman and Karsh 1995; Gause 2009).
This approach has a number of major problems. Firstly, as Stein (1992) notes, while the strategy of deterrence did not have a chance to succeed, the strategy of compellence, was successful. It is perplexing from a rationalist standpoint, if the invasion was an act of opportunism, as to why, when it became apparent that the U.S. would become involved—first in pledging to defend Saudi Arabia and evolving to a U.S. commitment to eject the Iraqi Army from Kuwait—that Husayn did not take or attempt a face saving off-ramp offered by French and Russian envoys, before the start of the air campaign (Freedman and Karsh 1995).2 Or Husayn could have agreed to unconditionally withdrawal before either the beginning of the ground or air campaign, theoretically saving the destruction of parts of his military. Other pieces of evidence hurt this narrative. Captured recordings detail Husayn’s deep distrust of the U.S. Seeing that Husayn saw the U.S. as incurably deceitful, Husayn “almost certainly could not have taken this statement (Glaspies’ alleged pledge of U.S. non-involvement) at face value given his abiding fear of American hostility (Brands and Palkki 2012, 656).Other minor issues are inconsistent with the offensive realist position or theory of opportunistic expansion. As the Iraqi Perspective Project notes, it did not appear that the Iraqi Army was prepared to invade Kuwait, as they lacked basic maps of the small emirate (Woods et al 2006). It is more likely that a different motive than opportunism was driving Husayn to invade. Husayn believed to be subject to an elaborate conspiracy to weaken the Iraqi regime via the manipulation of oil prices.
Works in the field of comparative authoritarianism explain Husayn’s behavior with reference to unit-level variables. Jessica Weeks (2014) path breaking work highlights how the preferences of leaders interact with domestic political institutions. Both of these theories have little or no appreciation for the threats Husayn faced—real or imagined—and, thus, are forced to frame Husayn’s actions as being acts of opportunism. It is the contention of this paper that Husayn perceived his regime to be under serious threat. While missing the systemic dimension, theories featuring domestic political institutions are valuable in outlining the context in which Husayn made decisions and should be viewed as a permissive condition.
What is missing? National Identity and ‘Risky Decisions’
What is needed is a theory that can bridge the gap between the existing conditions and his actual decisions. Emotion figures prominently in this analysis. The emotions of fear and pride produce a bundle of behavioral consequences to be discussed. Emotion can provide the key as to why Husayn—and many actors—find the motivation to take such leaps in the dark. This new perspective features some departures from previous analyses.
It is the wager of this paper that Husayn’s decisions to invade in both cases are best described not as the products of rational calculation but are likely to stem from “dispositional factors, such as a decision-makers’ core values” (Hymans 2006, 17). According to Hymans, decisions that are highly uncertain, that are non-routine, that entail an element of surprise, and tasks that involve long range planning subject to considerable uncertainty, are especially unlikely to be subject to a rational means ends analysis. Husayn could only speculate as to how external actors would respond. Furthermore, it is difficult to imagine how Husayn would go about establishing probabilities about the likelihood of ‘success,’ due to the number of contingency and inherent uncertainties involved.
Domestic political institutions failed to provide structure for Husayn’s decision making as well. In other political systems leaders may find themselves constrained and subject to an architecture that limits their ability to take such action and provides structure for decision-making. Husayn was unconstrained and free to take such gambles. While it is not guaranteed that a state that has experienced a domestic political revolution will result in a personal dictatorship, it is likely, as a process endogenous to the revolution itself, that states that have experienced a domestic political revolution with produce political systems with little constraints on executive actions. This provides an explanation why revolutionary states initiate conflict at higher rates than states at large (Colgan 2013a, 2013a; Colgan and Weeks 2015b). But it is also likely these states will have a leader that has a particular national identity conception—which can provide an alternative explanation for the empirical regularity. This explanation hinges on a revolutionary leaders’ conception of her national identity.
What is a National Identity Conception?
Hymans defines a national identity conception (NIC) as an “individuals understanding of the national identity—his or her sense of what the national identity stands for and how high it naturally stands, in comparison to others in the international arena” (Hymans 2006, 18). Note that Hymans sees the NIC as being an individual identity. An individual approach is needed because what is missing in the use of national identity to explain outcomes is the marriage of national identity to a psychological process. Constructivists, in the spirit of sociological institutionalism, use national identity to explain why states do not pursue certain paths based on the ‘logic of appropriateness.’ National identity is a shared understanding—a ‘social fact.’ Due to these social facts some policies are simply ‘inconceivable’(Katzenstein 1996; March and Olsen 2010; Wendt 1999). Although valuable in explaining the road not taken, this approach has a difficult time explaining specific outcomes. National identities have to be linked to a cluster of emotional attributes that accompany national identity.
The NIC is a self-other comparison. The self-other comparison is essential, according to Hymans, because emotions are likely in interactions with key comparison ‘others.’ Who are the key comparison other(s)? The key comparison others “are outgroups that serve as the primary basis for in-group self-definition’” (Hymans 2006, 21). In Social Identity Theory, it is the comparison between ‘us’ and ‘them,’ via similarities and differences, which clarifies our own sense of self. The key others need not be limited to another specific state, but can be a group or set of nations—such as the ‘communist bloc.’ The key comparison other is established independently of conflict. How is this established? This paper uses secondary sources and captured recordings to establish a key compassion other.
An Individuals’ NIC
In order to understand a NIC, it is essential to simplify, understanding the NIC as involving two key dimensions. The solidarity dimension, “what a nation stands for” will be associated with fear and the status dimension, “how high the nation naturally stands” will be associated with pride.(Hymans 2006; Locke 2003)
The status dimension involves “a self-definition of how high ‘we’ stand relative to ‘them’ in the international pecking order: are we naturally their equal (if not their superior), or will we simply never measure up?”(Hymans 2006, 23) The solidarity dimension’s key question “is whether ‘we’ and ‘they’ naturally stand for similar or different interests and values”(Hymans 2006, 22). This could be particularly pronounced for revolutionary states; it is likely revolutionary and non-revolutionary leaders hold drastic differences in core values. I consider Husayn to be a revolutionary leader. While the Ba’athist revolution did not result in drastic social upheaval—akin to a social revolution—there is little doubt that Husayn thought of himself as a revolutionary. The captured recordings indicate Husayn saw himself as the leader of the pan-Arab movement. While some of his ideological beliefs may not be the most cohesive, he clearly saw himself as standing for different values than Israel, the U.S., and Iran; he also sees Iraq as standing high in the international pecking order. I consider Husayn to be a revolutionary oppositionalist.
NIC based Fear—the Solidarity Dimension
Why would a revolutionary leader experience fear when interacting with a key other? It is likely that a leader will feel fear because of the stark black and white dichotomization between the values of the revolutionary state and the values of a key non-revolutionary state. The fear is based in a real appreciation for the other state undermining or trying to subvert the revolutionary state, as non-revolutionary states may see their security threatened by the success of revolutionary movements.
Like the opening of a complicated flower, fear of the other results in a number of cognitive and behavioral changes. Fear leads to higher level of threat perceptions (F1), which can result in higher threat assessments. It can also result in a ‘tunnel vision’ dynamic where actors are fixated on the threat and attribute undue significance to the threat.(Cohen 1978; Crawford 2000; Izard 1991)
“Lower cognitive complexity” (F2) accompanies fear. Lower cognitive complexity is described by Stein as the actor’s inability to make subtle distinctions when confronted with new information.(Stein 1994) The decision maker has difficultly seeing nuance and slight distinctions. There is also the tendency to conflate threats; simple solutions for different problems are embraced, which can result in decision makers seeing the use of military force as being more efficacious.(Andersen and Guerrero 1997) To be discussed, Huysan embraced simple narratives about both the U.S. and Israel’s ability to orchestrate conspiracies worldwide. This conspiratorial mindset led to Hussein’s baffling conclusion that the US was somehow behind the Iranian revolution (Woods, Palkki, and Stout 2011).
A greater urgency to act (F3) accompanies fear. A leader may feel the need to take action, particularly hasty action. In doing so, the decision maker relies on stereotypes, terminates the search for more information, and encourages a halt in the analysis of information (Witte 1998).
The final mechanism involves the actors’ desire to eliminate the uncomfortable experience of fear (F4). Trying to eliminate this discomfort can take precedent over eliminating the danger (Witte 1998); Hymans argues this mechanism can explain a number of irrational reactions to danger: “from the ostrich approach to simply sticking ones heads in the sand, to witch hunts and the appeal to protective deities, or the acquisition of totems of power.” (Hymans 2006, 32).
The NIC based fear psychological mechanisms acts in concert with the emotion of pride. Without pride, an actor may respond to fear with flight. Pride emboldens the actor who now, not only feels threatened, but believes in their own personal efficacy to effectively deal with the threat. Fear brings pressure to act; pride brings a menu of cognitive changes that push in the direction of taking action as well. .
NIC Pride—the Status Dimension
As mentioned, pride, as used in this project, is a measure of how high the state holds itself relative to a key comparison other.3 The pithy statement “pride before the fall” is telling, as pride, like fear, leads to a number of cognitive and behavioral affects. Pride can result in the decision maker seeing her state as possessing an undue amount of relative power (P1), which can lead to unfounded assumptions about a state’s ability to affect other states.
The illusion of control (P2) accompanies pride. The illusion gives actors the feeling of being not susceptible to mistakes or accidents. The illusion results in shortened searches for information and insufficient attention to the implementation of policy, specifically attention to the unintended consequences of a particular policy. (Competence considered 1990)
The need to at act autonomously (P3) can accompany pride. Hymans argues that “it (pride) produces positive utility from the act of standing alone.”(Hymans 2006, 34) This may explain why some revolutionary states may engage in perplexing acts from a rational-choice standpoint: they may attack more powerful neighbors with the goal of safeguarding their autonomy.
Pride as an ends in itself (P4) is the final mechanism linking pride to risky foreign policy decisions. As Jervis notes, at times states desire to acquire nuclear weapons to buttress their confidence in addition to responding to objective threat.(Jervis 1990) This mechanism conceptualizes pride as trying to convince actors in the state of the nation's self-worth and impressing other actors in the international system.(Lewis, Haviland-Jones, and Barrett 2010)
Husayn’s NIC: Solidarity and Status
The Solidarity Dimension: “The Three Circles of Hostility”4
The solidarity dimension’s key question “is whether ‘we’ and ‘they’ naturally stand for similar or different interests and values” (Hymans 2006, 22). Husayn clearly held an oppositional identity conception with Israel, the U.S., and Iran. Following Hymans methodology, I use secondary sources to establish the key comparison other. I also exploit a key resource: captured audio recordings of Husayn in meetings with regime officials. I find Husayn’s key comparison other(s) to be the U.S., Israel, and Iran, all competing for Husayn’s attention at different times. Interestingly, Husayn sees these three as forming circles of hostility and acting in concert to thwart the Ba’athist project. Iran paired with the U.S. and Israel may appear incongruous without an understanding of Husayn’s conception of pan-Arab unity and its relationship with imperialism. Husayn believed imperialist were constantly plotting to inhibit the formation of the Arab nation and aiming to retard the Arab nations’ modernization and development. Ba’ath party idiom distinguished between the imperialism done by great powers driven by their ambition, which included the U.S. and the U.K, and ‘Imperialism on the behalf of ‘another party—this includes Israel, Iran, Kuwait, and other Gulf States (Bengio 2002, 129). This can explain why Husayn attributed many actions by Iran and Kuwait as being part of a larger conspiracy to weaken the Arab nation. Nonetheless, he clearly saw the U.S., Israel, and Iran as holding inimical interests and values with Iraq.
Americans: “Conspiring Bastards”5
Fundamentally, Husayn saw the conflict with the U.S. stemming from the U.S.’s close relationship with Israel. U.S. policy strengthening Israel could only come at the Arab’s expense. Husayn elaborated, “There are some proven facts of American policy…keeping the Zionist entity strong at the expense of Arabs. And with such a basis, we’ll find ourselves clashing with it (the U.S.) and in one way or another, and so will every genuine Arab who’s ardent for his nation” (SH-SHTP-000-838). Husayn continued: “whenever the American policy meets Zionist policy, it becomes hostile; and wherever the American policy supposes it must obtain its interests at the expense of Arabs, it is imperialistic (SH-SHTP-000-838).
Husayn’s opposition to the U.S. is all the more interesting as the U.S. and Iraq held a number of the same strategic objectives, notably trying to contain revolutionary Iran’s expansion and, post 9-11, both were threatened by religious based extremism. Even when the two states found themselves with similar strategic objectives, Husayn was still hostile to the U.S. During the tilt (1982-1988) with the U.S. supporting Iraq during the Iran-Iraq War, “Saddam’s view of the United states as treacherous and conspiratorial persisted”(Woods, Palkki, and Stout 2011, 18). For instance, while the U.S. was supplying Iraq with weapons, Husayn suspected that the U.S. was helping Iran in a similar fashion, feeding Iran weapons and intelligence. Recordings document Husayn’s belief that the Iranians capture of the Al-Faud peninsula was only possible with U.S. intelligence given to the Iranians. Saddam thought, as well, that the U.S. was spying on Iraq and feeding Iraq ‘bad’ intelligence. These beliefs were validated when he learnt of Iran-U.S. collusion during the Iran contra scandal (Brands 2011). Tarqi Aziz told interrogators the Iran-Contra reinforced Saddam's view of the U.S. as ‘untrustworthy’ and “out to get him personally” (Woods, Palkki, and Stout 2011).
The Zionist Entity
This section will provide three pieces of evidence—Ba’ath party language, private recordings, and Saddam’s public speeches— to establish an oppositional identity conception with Israel. Saddam clearly held an oppositional identity conception vis-à-vis Israel or the ‘Zionist entity.’6 A discussion of Husayn’s views of Israel should be preceded with a discussion of Husayn’s anti-Semitism. While the source of Saddam’s anti-Semitism cannot be known, his maternal uncle who raised him may have influenced his views. Khair Allah Talah—Saddam’s maternal uncle—wrote a pamphlet titled: The Three Things God should not have Created: Jews, Persians, and Flies. According to Woods, Palkki, and Stout (2011), the secondary literature tended to down play Husayn’s anti-Semitism, suggesting his anti-Semitism was unfairly attributed, based on his public utterances—which were made instrumentally— and in a guilt by association fashion due to his close relationship with his maternal uncle. Recordings made in private belie the idea that Husayn was an instrumental anti-Semite. Brands and Palaki reviewing transcripts of private conversations find “his vituperative public utterances toward Israel was not merely a matter of political theater or rhetorical excess, but rather indicated a perception of incorrigible strategic and ideological conflict and a desire to wage war against the Jewish state” (Brands and Palkki 2011, 135).
Although Ba’ath party idiom may be used instrumentally, the language is consistent with Husayn’s views expressed in private. Ba'ath party political idiom portrayed Israel as deserving of both fear and contempt. In terms of contempt, as Bengio (2002) notes, Ba’ath party organs placed quotation marks around Israel, reflecting the contested nature of Israel. Another telling term used to describe Israel in Ba’athist idiom, is al-dahkila which means stranger or one deserving of protection. In Bedouin custom, this type of person is worthy of protection and hospitality for a period of time, but that this persona must leave after a short interval. The important point, according to Bengio (2002), is not the hospitality but the idea that “dahkial cannot be accepted into the tribe, so Israel can never be accepted in the Arab nation” (Bengio 2002, 135). The word kiyan mazru was used as well to describe Israel, meaning something foreign and had a medical parallel meaning “strangeness, artificiality… and the possibility of rejection” (Bengio 2002, 135).
Being contemptuous of Israel without fear would hardly motivate action. Yet, Husayn appears to have held a healthy appreciation for Israel’s abilities to harm Iraq. Woods, Palkki, and Stout, reading hundreds of pages of transcripts concludes that Husayn had a “respect for his adversary” (Woods, Palkki, and Stout 2011, 62). Husayn was fond of conceding that “Jews are Smart” (SH-SHTP-000-561). This explains why Ba’athist idiom portrayed Israel as something to be feared. Bengio notes that Ba’athist idiom saw Israel as part of an imperialist scheme to ‘balkanize’ the Arab nation. Israel aimed to dominate the area, acting as a beachhead to keep the Arab nation “divided, dependent, and backward” (Bengio 2002, 134). In recorded conversations, according to Brands and Palkki, Saddam implicated Israel in a number of schemes to weaken his regime. Saddam saw Israel behind the Kurdish rebellions; thought Israel aimed to destroy Iraq’s nuclear facilities and kill senior leadership; envisioned Israel encouraging Iraq’s neighbors to attack Iraq; and aimed to weaken Iraqi morale via propaganda and misinformation. Some of these claims are correct: Israel did destroy the Osirak reactor in 1981. Yet, others are ridiculous, such as when Saddam apparently thought that the “television series Pokémon was, in fact, an Israeli plot to contaminate the minds of Iraqi youths” (Brands and Palkki 2011, 140).
Another telling and fascinating piece of evidence is Husayn’s own fiction writing. Saddam thought of himself as an artist and a poet (Sassoon 2011). Shortly before the U.S invasion in 2003, Husayn was finishing a novel entitled Be Gone Demons. The protagonist, tellingly, is an Arab warrior fighting a Christian-Zionist conspiracy. He has three sons representing Judaism, Christianity, and Islam. The son representing Judaism is characterized as only caring for money and his expelled from the household. Thereafter, he becomes a usurer and sells weapons, using his influence to foment discontent among the tribes. The son then falls in love, which is unreciprocated. Unable to deal with the unreciprocated love, the son rapes the woman. The two other sons are portrayed in a favorable light. (Woods, Palkki, and Stout 2011, 62).7
The captured recordings document deep and consistent hostility towards Israel. Woods et al., reading numerous transcripts find that Saddam believed that the The Protocols the Elders of Zion to be an accurate “guide to understanding Zionist actions” (Woods, Palkki, and Stout 2011, 62). In a captured recording taped in the mid-1990s, Saddam explained: “Zionism has partnered with imperialism and participated in its conspiracy and political plans… for the purpose of destroying the Arab nation… destroying here may not be sufficiently understood. This means maintaining the weak start of the Arab nation and gradually reinforcing and transforming the feelings that it is incapable of forming an Arab nation…” (SH-SHTP-A-001-211). In 1985, shortly after an Israeli air strike on the Palestine Liberation Organization, Saddam discussed that there would be no room for accommodation with Israel and the Arabs. “Even if it achieved security in the manner that we now see—meaning geographic security—the social and political security will absolutely never be achieved between Israel and the Arabs,” Saddam concluded. He continued “either the Arabs are slaves to Israel and Israel controls their destinies, or the Arabs can be their own master and Israel is like Formosa’s location to China at best. Without that rule, it is not possible to ease the issue between the Arabs and Israel” (SH-SHTP-V-000-567 pg. 70).