Transnational Politics Theories of IR: An Introduction

Transnational Politics

Theories of IR: An Introduction

Today

Attendance, papers, presentation, campaign item Why theory? Levels of Analysis Theories of IR and transnationalism Readings:

Orenstein/Schmitz 2006 Keohane/Nye 1971 Walt/Snyder on IR theories

Monday, 1/28/2008Hans Peter Schmitz

What, why, and how?

The Three Questions (Stephen Walt reading):

What is theory? What makes an idea a “theory”?

Why do we need theory? What can theories do for us?

How should we use theory? What methods are appropriate to use? What can we learn?


What is “Theory”?

Theory is a set of connected and simplified assumptions about the world.

Theory reduces complexity (of human interaction). Hypotheses are derived from theories. Confirmed hypotheses validate the theory (and provide

an explanation); disconfirmed hypotheses narrow or invalidate a theory.

In the social sciences: limited use of laboratories to test hypotheses; the world is the lab.


Why Theory?

Explanation: A theory tries to explain how natural or social processes work. It does so by identifying and hypothesizing causal relationships.

Create a common language across different issue areas Derive prescriptions for the future based on research.

Stephen Walt: we all use theory to make sense to the world, either implicitly or explicitly; so to ignore the question of theory is simply stupid.


How to do theory: an example

Levels of Analysis: Where do crucial things happen?

Individual Level (first image)

>>> Qualities of State Leadership Domestic Level (second image)

>>> Qualities of the Domestic Political System International Level (third image)

>>> Qualities of the International System


Levels of Analysis: Individual and Domestic

Individual level: Characteristics and beliefs of political leaders

Domestic level: Characteristics of the political system (democracy or autocracy), level of economic development, religious state?, ethnic conflict?


Levels of Analysis: International

International level Realism: Anarchy

is the international system multipolar (before WW I), bipolar (after WW II), or unipolar (after 1989/91)?

Most unstable: multipolar system Institutionalism: Interdependence Constructivism: International Norms/identity


The international system

1. What is the organizing principle?

2. Who are the main units (actors)?

3. What are the goals of those units?

4. What means (capabilities) do the units use?

5. What accounts for change?


Levels of analysis/Theories of IR

Individual level

(first image)

Classical realism/idealism

Foreign policy analysis (leadership)

Domestic level

(second image)Liberalism

Foreign policy analysis (bureaucratic politics)

International level

(third image)

Neo-realism

(Liberal) institutionalism

Sociological institutionalism (constructivism)

Imperialism


1. Main internationalist views (third image)

Neo-realism Institutionalism Sociological institutionalism (constructivism)

Organizing principle of the international system

Anarchy

(zero-sum game: one wins what the other looses; competition for survival)

Interdependence

(all can win from cooperation, some economic competition)

Institutions, Rules and Norms

(all can win from cooperation, no competition)

Peace results from

Balance of Power and Deterrence

International cooperation among states

NGO activism; bottom-up mobilization

Intellectual history

Machiavelli, Hobbes

Smith, Ricardo, Hume, Kant

Kant

Monday, 1/28/2008 Hans Peter Schmitz

Units – Goals – Capabilities: International view

Neo-realism Institutionalism Sociological institutionalism (constructivism)

Units States States and IGOs States and international institutions

Goals SURVIVAL

Offensive realism: power and autarky

Defensive realism: influence and status quo

ECONOMIC GAIN

Cooperation for economic gain

COMMON VALUES

Cooperation, rule-creation and enforcement

Capabilities Military-economic know-how (economic development as a means to military success)

Technological-economic know-how (economic development as an end in itself)

Institutional know-how (promotion of norms and values)


2. Domestic perspectives

A domestic perspective on international politics can either compete with or complement an internationalist view.

From a neorealist perspective, domestic explanations are competitors.

From an institutionalist perspective, domestic views are complementary and supply information about domestic preferences or NGO pressures.


Main domestic views (first/second image)

Classical realism Liberalism


Individual character of state leaders (human nature)

Domestic economic actors/interests

Peace results from

Defeat of enemies (Economic) cooperation, similarities of units (democracy)


Units – Goals – Capabilities: Domestic view

Classical realism Liberalism

Units States (dominated by leaders)

Domestic groups and interests

Goals Power and dominance Economic profit and free trade

Capabilities Military power Economic and technological know-how, educated work force


3. Transnationalist perspectives

A transnationalist perspective defies the separation of different levels of analysis and in particular the domestic/international divide.

Examples Feminism (global gender relations) Globalism (global capitalism) Principled non-state activism (global social movements)


Main transnationalist views (cross level)

Globalism Principled activism

Feminism


Unequal economic relations; core (developed) nations vs. “periphery”

Ideas and norms, transnational networks of activists

Gender inequality, patriarchy

Peace results from

Transformation of economic exploitation

Strengthening non-state actors and international institutions

Essentialist feminism: more female participation in world affairs

Intellectual history

Marx, Engels, Lenin Kant 19th century Suffrage movement


Units – Goals – Capabilities: Transnationalism

Globalism Principled activism/

transnationalism

Feminism

Units Economic groups capturing state power/subordinate groups

Transnational NGO networks, international institutions

Male-dominated states/women movements

Goals Economic dominance/equality

Promotion of values such as human rights and environmental protection

Gender inequality/equality

Capabilities Economic power and structural violence

Networking, lobbying, shaming

Networking, lobbying, shaming


Constructivism: challenging rationalism

So, how do we get from transnationalism to constructivism?

Sociological Institutionalism (structure) Role of international norms Norms, institutions, organizations Norm creation and enforcement

Transnational activism (agency) Principled non-state actors


The core assumptions of rationalism

What realists and institutionalists share:

States are the main players. States are rational and unitary actors. States seek security and material gains. Anarchy is the main obstacle to cooperation.


Two research agendas

Constructivism

Sociological institutionalism (focus on structure) how does the social environment of states shape their identities

and interests? Transnationalism (focus on agency)

What is the role of non-state actors and transnational relations in global affairs?


1. Sociological institutionalism

Making a case against rationalism and anarchy: States are neither in a perpetual state of war (realism), nor

do they only cooperate for their own profit (liberalism). International politics is regulated like domestic society.

Most states follow most international rules most of the time (Theodor Meron). Watch Tom Farer (31min).

Norms work without enforcement (realism) and sometimes even without economic incentives and self-interest (liberalism).

Prospect theory: people follow subjective perceptions, not objective preferences.


Constructed reality

Anarchy is neither destiny (realism), nor a disincentive to cooperation (institutionalism).

“Anarchy is what states make of it.”

Alexander Wendt


Norms and identity

Shared norms> socialization through IGOs and NGOs > common identity > interests > global policies (world government)

Define norms: “collectively shared understandings of appropriate behavior”


Definitions

Norms: Collectively shared understandings of appropriate behavior.

Institutions: Sets of rules which stipulate how to cooperate/compete.

Organizations: Institutions endowed with autonomy and actor qualities.


Cultural Accounts of IR

Claim: Ideas and Norms play an independent role in international politics by “pulling” actors towards action.

From Ideas to Global Organizations:

+actor qualities Organizations

+explicit rules Institutions

+collectively shared Norms

Individual Beliefs Ideas


How to study norms?

How do norms emerge and evolve in international politics?

How are norms translated into behavior? When do norms matter?

What measures are likely to increase norm effectiveness?


Emergence and Diffusion

Norm Entrepreneurs Mechanism: Persuasion and Lobbying Framing and Shaming Example: Raphael Lemkin (genocide page)

Norm Cascade Mechanism: Reputation and Socialization Desire to be accepted/part of a community Example: Global ban on the death penalty


From norms to institutions

States (and other entities) act not primarily in response to material needs and interests, but to social norms.

International institutions are neither insignificant (neorealism), nor are they only reflections of the cooperation among self-interested states (liberal institutionalism).

Instead, they are fully autonomous and the primary carriers of world cultural principles.


Why norms matter

Realism Fear of penalty/coercion by someone else; passive

resistance likely (obedience) Liberal institutionalism

In my best interest, compliance is a means; (autonomous compliance)

Idealism/Constructivism Internalized, compliance is an end in itself; (habit-driven

conformity)


Transnationalism: norm agency

For some constructivists, transnational actors add agency to sociological institutionalism.

Transnational non-governmental activism is a major tool for spreading norms and ideas.

This view applies less to the two other types of non-state actors: MNCs and violent networks.


Transnational activism

Transnational activists are major carriers of world cultural principles/norms (human rights, environmental protection, etc.).

Examples: Greenpeace, Amnesty International, Oxfam, Jubilee 2000; etc.


Norm entrepreneurs/carriers

Non-state actors (even with insignificant material resources) matter in world affairs.

State-to-state relations are increasingly supplemented/subverted by transnational connections.

Transnational activists are major carriers of world cultural principles (human rights, environmental protection, peace).


Summary: Constructivism

Constructivism maintains that international relations are socially constructed.

Combination of sociological institutionalism (structure) and transnationalism (agency).

Norms play a crucial role in constructing the social environment of states.

Non-state actors have authority as carriers of universal principles and norms.

Keep in mind: there is no necessary link between transnationalism and constructivism.


Explaining Change

Classical and Neo-Realism >> Technological innovation, diplomacy, war

Institutionalism/Liberalism >> Economic interests driving international cooperation

Sociological institutionalism >> Diffusion of universal models/ rationalization

Feminism >> Consciousness-raising; increasing participation of women in public

affairs

Transnationalism/NGO activism >> Consciousness-raising; grassroots and transnational mobilization;

diffusion of universal values


Documents

Transnational Politics Theories of IR: An Introduction