Realism (2)

Shunji CuiDepartment of Political Science

School of Public AffairsZhejiang University

Email: ssjcui@zju.edu.cn

IPT, L4:

Contents:

Morgenthau & Political Realism Power Politics: Theory Power Politics: in Practice

Waltz & Neorealism Systemic Theory Implications for ir

Realism: KEY ASSUMPTIONS States are the principal or most important actors (IR is the

study of relations among these units). Hence, the notion of ‘international system of states’

State as a unitary actor (an integrated unit) State as a rational actor (rationality: end-means relationship)

Distinction between ‘high’ and ‘low politics’ National Security as the most important issue for states Central role of power in politics of all kinds --- also the

limitations of power Sensitive to ethical dilemmas and its practical implications National interests – also shared interests (of community)

and persuasion

Intellectual Roots Thucydides: History of the Peloponnesian War

(‘The Melian Dialogue’) ‘The standard of justice depends on the equality of

power to compel and that in fact the strong do what they have power to do, and the weak accept what they have to accept’ .

Machiavelli(1469-1527): The Prince ‘it is much safer to be feared than to be loved, if one

must choose’.

Hobbes(1588-1679): Leviathan In the absence of a sovereign authority, life of the

individual is ‘solitary, poor, nasty, brutish, and short’.

Morgenthau’s notion of power politics

Morgenthau’s prime purpose ： theory of IP should meet a dual test –

empirical & logical. 我们需要研究 we need to undersand ：

both Morgenthau’s theoretical ground of power politics and his approach of practice of power (FP).

1. Theoretical Ground

2. Foreign Policy

(1) Theoretical grounds

Utopianism: believes a rational and

moral political order, derived from universally valid abstract principles, can be achieved by conscious political action.

assumes the essential goodness of human nature, and blames the failure of the social order to measure up the rational standards.

Morgenthau: seeks to understand

international politics as the result of forces inherent in human nature, hence to improve the world one must work with those forces, not against them.

believes that power politics could not be transcended, but at best it might be made to serve rational ends. 需谨慎受用武力

The concept of interest defined in terms of power

Morgenthau: PAN, 6 principles

1. Politics is governed by its own inherent laws, rooted in human nature 人性是政治本源

2. Key signpost for study of international politics: ‘interest defined in terms of power’ 权力定义利益—立标

3. ‘interest defined as power’ is an objectively valid category, but the meanings of both ‘interest’ and ‘power’ will vary historically – in post WW2 context the implication is balance of power politics 权力定义的利益是客观的规则

4. Politics has moral significance, but there is an ineluctable tension between ‘moral command and the requirements of political action’;普世道德不能用来指导国家行为

5. The moral aspirations of a particular state must not be confused with universal moral laws; 国家道德不等同于普世道德

6. Autonomy of the political – distinct from law, economics etc. 政治现实主义是独立的理论学派

There can be no political morality without prudence 谨慎 , that is, without consideration of the political consequences of seemingly moral action. his conception of the practice of power.

The moral command道德要求

Morality for the private sphere Morality for the public sphere

International politics = struggle for power: 2 Concerns : Power Concern v. Moral Concern

The requirements of successful political action

成功的政治行动 Tension紧张状态

Ethics in general

judges action by its conformity to the moral law

political ethics

judges action by its political consequences

Prudence谨慎

(2) Practice of power

On American FP (especially about problems):Vietnam and the US (1965); A New FP for the US (1969),

Morgenthau continued to examine, test, and apply his central principles of power, interest and morality. And by the mid-1960s he had become American’s main critic of the Vietnam War.

Desirability and Possibility US FP – fear of communism indiscriminate anti-communism ——

ideologically consistent ≠ politically and militarily sound

The concept of interest defined in terms of power requires a sharp distinction between the desirability and the possibility, which will save us from both moral excess and political folly.

( 比较： Lee Kuan Yew FP ）

Conclusion: What principles do classical realists share?1. Must look at world as it is, not as it ought to

be.

2. Interest of states and leaders is power.

3. Ambition for power comes more from human nature than structure of system.

4. Moral claims or arguments about justice have no place in foreign policy.

5. These principles are permanent aspects of international politics.

KEY ASSUMPTIONS

States are the principal or most important actors (IR is the study of relations among these units). Hence, the notion of ‘an international system of states’

State as a unitary actor (an integrated unit)

State as a rational actor (rationality: end-means relationship) Distinction between ‘high’ and ‘low politics’

National Security as the most important issue for states

摩根索 Hans J. Morgenthau (1904-1980)• Politics Among Nations, 1948

沃尔兹 Kenneth Waltz (1924-May 2013)• Man, the State, and War, 1959• Theory of International Politics ,1979)

1. From Classical Realism to Neorealism: What’s New?

Context IThe realist paradigm:

the primacy of the nation state as actor (states-centrism)

the sharp distinction between domestic and international politics

international relations as the struggle for power & peace

In the late 1960s & 1970s, the dominant realist paradigm of IR theory was increasingly criticized – not primarily for its methodology, but because of its portrayal of the world.

Eg., J. Burton’s cobweb theory and especially theories of transnationalism and interdependence produced by Nye and Keohane, supplied alternative conceptions of the international system.

Context II

However, at the end of 1970s, developments in world politics seemed to point to a return to the realist paradigm.

Détente gave way to a Second Cold War and international relations were still dominated by superpower rivalries.

Kenneth Waltz’s TIP (1979) brought realism to return to dominance under a new guise, Neorealism.

摩根索人性恶论 Morgenthau & Human NatureKey to international politics: ‘interest defined in terms of power’

Objective Law 权力定义的利益是客观的规则 == IP == Power Politics

Why??? The Root is in human nature 政治本源在于人性 Humans are self-interested and power-seeking that can easily result in aggression eg: Hitler’s G and Mussolini’s Italy pursued blatantly

aggressive FPs aimed at conflict, not cooperation.

Neorealism (Structural Realism)

Systemic Conditions and Forces

Distinction between Reductionist V Systemic Theories

还原主义理论 与 体系理论

2. Waltz’s TIP The prime purpose of Waltz’s TIP is ‘to

construct a theory of international politics that remedies the defects of present theories’ (ie, classical realism).

Waltz did so by bringing scientific and methodological rigour of other disciplines (esp, economics) to the study of international politics

Aim: to build a theory as simple / parsimony; or theory as artifice; the process as deliberately contrived.

Reductionism v. Systemic Theories

Reductionist theories try to understand and explain international outcomes through elements located at individual or national levels.

= Through study of its parts try to explain

international outcomes – a whole.

Waltz rejects reductionism because it assumes a direct link between the intentions of individual actors and the results of their actions; multitude of variables at a state level.

Systemic Theory: In contrast to the reductionist approach,

Waltz asks why different units (states) exhibit similar foreign policy behaviour despite their different political systems and contrasting ideologies.

He explains this by systemic theory, since systemic forces homogenize foreign policy behaviour.

Three Tiers of System Structure For Waltz, reductionist theories fail to take proper

account of the structural conditions inherent in the international system. These conditions impose themselves on all the units, and therefore ultimately determine the outcomes of the interactions between states.

Waltz attempts to clarify these determining properties of the structure of the international system by distinguishing them from those of domestic political structures.

He attributes three tiers of structure to the system:1. the ordering principle （如何排序、运作） , 2. the character of the units, and （功能、特性） 3. the distribution of capabilities （权力分配）

(1) Ordering Principles

Domestic == Hierarchy – power and authority is exerted through the compulsory jurisdiction of the political and legal processes.

International == Anarchy – no overarching authority, regulating the behaviour of states towards each other.

(2) The Character of the Units Domestic political system:

Units — functional dissimilarity (hierarchical domestic political system enables a unit demonstrating functional dissimilarity, and by implication, differentiation.

International: functionally alike. Anarchy of the international political system entails relations of co-ordination among the system’s units, and implies their sameness.

They perform or try to perform exactly the same primary function regardless of their capacity to do so.

They become socialised into behaviour which centres on mutual distrust, self-reliance and the pursuit of security through the accumulation of power.

(3) Distribution of capabilities Contrast to the unchanging nature of the first two

principles, states are differentiated in their capabilities There is an unequal and constantly shifting distribution of

power across the international system. The structure of a system changes with changes in

the distribution of capabilities among its units. Changes in structure change expectations about how the

units of the system will behave and about the outcomes of their interactions.

Waltz: The key to understanding the behaviour of states the distribution of power in the ISy, not ideology or any other internal factor.

Important distinctions between great and small powers; international change occurs when great powers rise and fall and the balance of power shifts accordingly.

Variable 如何确定变量 :

1. the ordering principle 如何排序、运作

2. the character of the units, and 国家的功能、特性

3. the distribution of capabilities 权力分配

BOP Theory In such a systemic structure, how will a particular state

react? What will a state have to react to?

1) The basic assumptions States are unitary actors, which, at a minimum, seek their

own preservation and, at a maximum, drive for universal domination.

2) How to Achieve these ends? Internal efforts – moves to increase economic and military

capabilities; External efforts – moves to strengthen and enlarge one’s

own alliance or to weaken and shrink an opposing one, so to achieve a favourable balance of power.

BOP Theory

3) Why? Lack of a formal governing authority for the

system; If the assumption that states seek to perpetuate

their existence is maintained emulation of successful actions is to be expected in accordance with structural inspired socialization of behaviour.

BOP Theory4) The assumptive basis of Waltz’s BOP theory yields no

explanation of states’ interests and motives. The explanatory emphasis is in the constraints upon states

and the results of un-coordinated actions of states. The expectation is that there is tendency toward recurrent

balance in the system, whether or not this is the intention of the units.

BOP stands as the ‘central mechanism of the international political system’.

Inequality of capabilities is viewed as a virtue, interference a vice.

Increased contacts that are the manifestation of a high level of interdependence increases the number of arenas of possible conflict.

3. Power, Power Politics in IR:Neorealism

The importance of Power in IR (both CR and NR) Why do states want power? (NR’s 5 Reasons)

1. International System = Anarchy (Inside/Outside; International/Domestic)

2. All states posses offensive military capabilities

3. Intentions of other states

4. State’s survival as the most important goal

5. States = Rational actors Together , these factors can,,,,,, All states are operating in a self-help world.

4. Case: Can Chins Rise Peacefully?

Power Transition Theory Status Quo Power & Revisionist Power Rising Power == Revisionist, Dissatisfied

Power???Dialogue: Hegemonic wrangling or co-

prosperity (John Mearsheimer on CCTV): http://english.cntv.cn/program/dialogue/20120523/103058.shtml

Thank You !!!