States, Firms, and Power: Successful

States, Firms, and Power uncovers the workings behind frequently maligned and often misapplied economic sanctions and incentives that have emerged as the United States policy tools of choice. Shambaugh uses a theory of economic statecraft to analyze the sources and limitations of power relations between sines and firms. The book features a statistical analysis of 66 sanction episodes since 1949, including detailed case studies of U.S. sanctions in the energy, computer, and telecommunications industries in the 1980s, and current U.S. sanctions against foreign companies conducting business in Cuba, Iran, and Libya. Understanding when and why economic statecraft works provides insights into the nature and exercise of power in world politics that can, in turn, guide policy-makers in their use of sanctions and incentives against friends, foes, and firms.

George E. Shambaugh IV is Assistant Professor of International Affairs and Government at Georgetown University.

List of Tables

xi

Preface and Acknowledgments

xiii

The Puzzle and Argument: Dominance, Dependence, and Political Power

1

(42)

The Power and Infamy of Sanctions

1

(8)

Can Sanctions Work?

3

(3)

Power, Wealth, and Why Secondary Sanctions Matter

6

(3)

The Theory: Dominance, Dependence, and the Success of Economic Sanctions

9

(15)

Dominance and Political Power

10

(4)

Dependence and Political Power

14

(4)

Sanctions against States and Firms

18

(6)

Sovereign Authority, Sovereign Control, and Secondary Sanctions

24

(5)

Sovereign Authority and Sovereign Control

25

(4)

Conclusion: Dependence as a Positive Heuristic

29

(14)

Restricting the Proliferation of Strategic Goods and Technology since 1949

43

(28)

Export Controls and U.S. Foreign Policy

43

(5)

Methodology

48

(9)

Variable Definitions

48

(6)

Research Strategy and Case Selection

54

(3)

Statistical Analyses of U.S. Influence Attempts

57

(8)

The Model

57

(1)

Data Analysis

58

(7)

Conclusion

65

(6)

Maintaining Power in an Alliance Conflict: The Trans-Siberian Pipeline Embargo, 1980-84

71

(40)

Comparative Case Studies of Secondary Sanctions

71

(3)

The Pipeline Crisis in U.S. Export Control Policy

74

(11)

Goals of American Pipeline Sanctions

75

(1)

Targets

76

(1)

Means of Enforcement

77

(8)

Sources of U.S. Influence and Predictions of U.S. Success, 1980-84

85

(4)

The Use of Secondary Sanctions

85

(1)

Predictions of Success, 1980-84

86

(3)

Case Analyses: U.S. Influence Attempts by Industry

89

(13)

Dominance and Dependence in the Steel Pipe and Compressor Industries

89

(2)

U.S. Influence over Firms: The First Round of Sanctions

91

(3)

U.S. Influence over Firms: The Second Round of Sanctions

94

(4)

Retaliation and Rebuttal by European and American Governments

98

(3)

End of the Pipeline Crisis

101

(1)

Conclusion

102

(9)

Tethering Technology: Operation Exodus, the IBM Letter, and Beyond

111

(50)

Introduction

111

(2)

Operation Exodus and U.S. Export Control Policy

113

(6)

Goals of American High-Technology Controls

114

(1)

Targets

114

(1)

Means of Enforcement

115

(4)

Aggregate Predictions of U.S. Influence

119

(1)

Case Analyses: U.S. Influence in the Computer Industry

119

(15)

Dominance and Dependence in the Computer Industry

119

(7)

U.S. Influence over Firms in the Computer Industry

126

(6)

U.S. Influence over National Governments in the Computer Industry

132

(2)

Case Analyses: U.S. Influence in the Telecommunications Industry

134

(11)

Dominance and Dependence in the Telecommunications Industry

135

(4)

U.S. Influence over Firms in the Telecommunication Industry

139

(2)

Dependence and the Success of U.S. Influence

141

(2)

Summary of U.S. Influence in the Telecommunications Industry

143

(2)

Dependence, Sanctions, and the Third Country Problem

145

(5)

Goals, Targets, and Means of Enforcement

146

(1)

Dependence and the Success of U.S. Influence

147

(3)

Summary of U.S. Influence over Third Countries

150

(1)

Conclusion

150

(11)

Conclusion: Threatening Friends and Enticing Enemies in the Post-Cold War World

161

(52)

Power Relations among States and Firms

161

(1)

Securing Extraterritorial Compliance

162

(3)

The Findings and the Implications

163

(2)

Costs and Limitations of Sanctions

165

(11)

The Reciprocal Nature of Dependence

165

(7)

Reliability and Competitiveness of American Firms

172

(2)

Indigenous Development of Restricted Resources

174

(2)

Sanctions in an Increasingly Interdependent World

176

(26)

The Helms-Burton Act

177

(7)

The Iran-Libya Sanctions Act

184

(2)

Dominance, Dependence, and the Likelihood of Compliance

186

(7)

U.S. Vulnerability to Countersanctions

193

(9)

Conclusion: Dominance, Dependence, and Political Power

202

(11)

Appendix: Legal Bases of U.S. Export Control Policy

213

(12)

Domestic Sources of U.S. Export Control Policy

213

(3)

Extending U.S. Regulations Abroad

216

(2)

Conflicts of Concurrent Jurisdiction

218

(7)

Selected Bibliography

225

(18)

Index

243

What is included with this book?

The New copy of this book will include any supplemental materials advertised. Please check the title of the book to determine if it should include any access cards, study guides, lab manuals, CDs, etc.

The Used, Rental and eBook copies of this book are not guaranteed to include any supplemental materials. Typically, only the book itself is included. This is true even if the title states it includes any access cards, study guides, lab manuals, CDs, etc.

FREE SHIPPING

Amazon no longer offers textbook rentals. We do!

States, Firms, and Power: Successful Sanctions in United States Foreign Policy

Summary

Author Biography

Table of Contents

Supplemental Materials