Beruflich Dokumente
Kultur Dokumente
Politics
Levels of Analysis
State System
Time Sequences
CONTROVERSY: Should We
CHAPTER
When people use the term international relations, they usually are referring
state an organized poli
tical entity with a perma
nent population, a welldefined territory, and a
government; in everyday
language, often used as
synonymous with nationstate.
War in Human History "The story of the human race is War," British Prime Minister Winston Churchill once lamented.
As shown in the depiction of an ancient Sumerian war cart and the photograph of a modern American M1-A1 Abrams
tank, although war has been a constant feature of international relations, the means by which it has been waged has
changed over time. Rapid advances in military technology during the past century and a half have made armed forces
more lethal than ever before. A single American B-52 bomber, for example, can carry more explosive power than that
used in all of the wars fought throughout recorded history.
a campaign. In short, speed and mobility now substitute for mass; information
and firepower, for sheer numbers.
I he military clash between I agash and Umma is separated from us by over
four millennia. What can we learn about contemporary world politics by com
paring warfare in ancient Mesopotamia and modern Iraq? Quite simply, it
reminds us that politics among territorial states is a mixture of continuity and
change. On the one hand, states have lived under what political scientist Kenneth
Waltz (1979) calls the "brooding shadow of violence" since antiquity. On the
other hand, the way armed forces wield violence has changed profoundly. In a
time of rapid advances in science and technology, it is easy for us to focus on the
latest innovations and dismiss the past as irrelevant. Change is riveting; it captures
our attention and stimulates our imagination. Still, we must be mindful that
some features of world politics are relatively permanent. When considering
how world politics might affect the global future, we need to be attentive to
historian Robert Heilbroner (I960: 15) calls the "culmination of the past" and
"the growing edge of the present."
Looking beyond the confines of our immediate time is difficult. It requires
an appreciation of the impact of yesterday's events on today's realities and how
politics
the exercise of
influence by competing
individuals and groups to
affect the allocation of
values and distribution of
resources; to political
scientist Harold Lasswell,
CHAPTER
current ideas and practices may shape tomorrow. Thus, to understand unfolding
events and to forecast how they may shape the future, we will view them in the
context of a long-term perspective that examines how some aspects of world
politics have resisted change while other aspects have changed radically.
actor an individual,
these questions with us. To begin our inquiry, let us introduce the dramatis pcrso-
tionthatplays amajor role '""' on the Slobal stae' those actors whose behavior affects world politics in
in world politics.
important ways.
was geostrategic, pitting the Austrian and Spanish branches of the House of
Hapsburg against the Danish, Swedish, Dutch, and French thrones (see Kegley
and Raymond, 2002).
The incident that sparked the Thirty Years' War occurred in Prague on
May 21, 1618, when members of a local assembly denounced the antiProtestant policies of the Hapsburgs and threw two Hapsburg emissaries from a
window in Hradcany Castle into a dungheap below. The Hapsburgs responded
with force, igniting a war that drew participants from across Europe into the fray.
By any measure, the fighting produced a tragedy of epic proportions. Much of
central Europe lay desolate in its aftermath, stripped of resources and drained of
population by massacre, pillage, famine, and disease. When the belligerents
finally reached a peace agreement, they provided world politics with a new
decentralized structure.
Although most Europeans prior to the Reformation lived in a galaxy of fiefdoms and principalities, they thought of themselves as belonging to a larger
Christian commonwealth led by the Pope. Following the Thirty Years' War,
this medieval vertical order was replaced by a horizontal system of autonomous
states that recognized no higher authority. Under the terms of the Peace of
Westphalia (so named because it was negotiated at concurrent conferences in
the German cities of Miinster and Osnabruck in Westphalia), all states possessed
the same legal rights: sole jurisdiction over their territory, unrestricted control
over domestic affairs, and the freedom to engage in foreign relations with other
powers. The concept of sovereignty embodied the exclusive rights of states to
sovereignty
under
CHAPTER
anarchy
the absence of
make, enforce, and adjudicate laws within their domains. Because no overarching
institution had the authority to regulate state conduct, anarchy rather than hierar
chy became Westphalia's core organizing principle.
The Peace of Westphalia still colors nearly every aspect of world politics
today and provides the terminology used to describe nation-states, the primary
actors in international affairs over the past several centuries. Even though the
term nation-state is often used interchangeably with "state" and "nation." techni
cally the three are different. A state is a legal entity that possesses a permanent
states.
nation
a group of peo
ple who feel a common
identity due to a shared
language, culture, and his
tory.
nation-state a specific
geographic area contain
ing a sovereign polity
whose population identi
fies with that polity.
billiard-ball model
all
transnational^ active
groups other than states,
such as international orga
nizations whose members
governmental organiza
tions (NGOs) whose
members are individuals
Because the history of world politics since 1648 has largely been a chronicle of
the interactions among nation-states, some scholars and diplomats conceptualize
the world in state-centric terms. Their vision is often metaphorically represented
by a game of billiards, with impervious states colliding like balls on a pool table.
From this perspective, action-reaction principles explain how world politics
works. Just as knowing the location of the billiard balls, the direction of their
movement, and the force with which they strike one another allows us to pre
dict the outcome of each collision, the geographic location, policy direction, and
amount of force brought to bear by one state against another is said to give us
insight into international outcomes.
Though embraced by various students and practitioners of world politics, the
billiard-ball model provides an inadequate basis for understanding today's
world. Not only does it gloss over socio-economic conditions and political
dynamics within nation-states that affect foreign policy, but it disregards the
influence of nonstate actors on global affairs. Nation-states are no longer the
only significant actors on the world stage. According to Richard Haass (2008:
45), a former senior staff member of the U.S. National Security Council, "states
are being challenged from above, by regional and global organizations; from
below, by militias; and from the side, by a variety of nongovernmental
organizations." Many of these entities conduct independent foreign policies and
thus can be thought of as global actors in their own right. For example, the
World Trade Organization and the International Monetary Fund sometimes
flex their political muscles in contests with individual states, as do groups ranging
from Hezbullah and the Taliban to Greenpeace and Doctors Without Borders.
Today's international system, in other words, includes more than sovereign, ter
ritorial states; it consists of a complex web of interactions among nation-states,
international institutions, multinational corporations, transnational religious
movements, and a host of other entities that operate across frontiers. Nationstates may receive top billing, but they are not the sole performers in the drama
of world politics.
In our exploration of world politics and its future, we shall analyze both state
and nonstate actors. The emphasis and coverage will van,-, depending on the
topics under examination in each chapter. But you should keep in mind that all
actors are simultaneously active today, and their importance depends on the issue
under consideration.
The growth in the importance of nonstate actors on a stage where nationstates continue to command the spotlight underscores how change occurs in
world politics alongside continuity. Whereas some features of world politics
vary over time, others are deeply entrenched. Moreover, as the state-centric
assumptions underpinning the billiard-ball model illustrate, it is easy to mistake
familiar features for permanent ones. Our challenge, then, is to observe develop
ing events and deep-seated patterns carefully, and to recognize how our images
of reality' shape what we see. This requires a set of tools to help us think system
atically about world politics in order to avoid overlooking significant aspects of
the international scene. Hence, the remainder of this chapter will briefly examine
the impact that images of reality have on our understanding of world politics,
and then will describe some of the tools we will use in this book to interpret
global trends and transformations.
10
CHAPTER
The effort to simplify one's view of the world is inevitable and even neces
MAP 1.1
Mercator Projection
MAP 1.2
Peter's Projection
11
12
CHAPTER
MAP 1.3
Orthographic Projection
heuristics
judgmental
schematic reasoning
the process by which new
information is interpreted
by comparing it to generic
concepts stored in memory
about certain stereotypical
situations, sequences of
events, and characters.
Many factors shape our images, including how we were socialized as chil
dren, vivid experiences from our past, and exposure to the ideas of people
whose expertise we respect fjervis, 1976). Once we have acquired an image, it
seems self-evident. Accordingly, we try to keep it consistent with our other
beliefs and, through a psychological process known as cognitive dissonance
(Festinger, 1957), reject information that contradicts how it portrays the world.
In short, our mind selects, screens, and filters information; consequently, our per
ceptions depend not only on what happens in daily life but also on how we
interpret and internalize those events.
Of course, cognitive biases vary among individuals. Some people are more
open than others to new infomiation that clashes with their preconceptions.
Nonetheless, to some extent, we are all prisoners of our perceptions, which
makes it difficult to identify the myriad causes of international events.
As we speculate about the global future, we need to think critically about
the foundations on which our perceptions rest. Questioning our images is one
of the most important challenges we face in analyzing world politics. One of
the purposes of this book is to help you cultivate a critical perspective on your
beliefs regarding international relations. To that end, we will ask you to evaluate
rival perspectives on global issues, even if they differ from your standpoint.
Indeed, we will expose you to schools of thought prevailing today that you
may find unconvincing, and possibly repugnant. Why are they included?
Because many other people make these views the bedrock of their outlooks on
the world. Critical thinking within the field of international relations entails con
fronting one's own assumptions and biases, as well as recognizing that the per
ceptual predispositions held by others may lead them to interpret events in ways
that may be at odds with our own points of view. The ability to see things from
someone else's perspective is a valuable skill (see APPLICATION: Seeing the
World through Foreign Eyes). Drawing on years of experience in international
negotiations, U.S. diplomat Dennis Ross (2007) concludes that the more one can
put himself or herself in another person's shoes, the greater his or her facility to
comprehend the perplexing behavior often found on the world stage.
If people seek information that confirms what they already believe, and they exag
gerate the accuracy of their perceptions, how can we avoid seeing world events
through a distorted lens? What can we do to bring to light evidence that runs
counter to our intuition? There are no sure-fire solutions to the problem of mak
improve our ability to analyze world affairs. One approach is to use an analytical
framework to discipline our observations. Analytic frameworks suggest where to
look for infonnation pertinent to some puzzling phenomenon, and how to orga
nize it in an inventory of possible causes. Although no analytical framework can
ensure that we will have an impartial view of world politics, social scientists
13
cognitive dissonance
the psychological tendency
to deny or rationalize away
discrepancies between
one's preexisting beliefs
and new information.
14
CHAPTER
would have long conversations with Sergei Tarasenko and Yuri Mamedov, key aids to then-
frequently build levels ofanalysis and time sequences in the frameworks they use in an
effort to illuminate causal factors that they might otherwise neglect.
Levels of Analysis
At the heart of almost every international event lies a puzzle. Someone is mysti
fied why a particular event happened, or is curious about what would have hap
pened if a different action had been taken by one of the participants. The first
step in solving the puzzle is to ask: "Of what larger pattern is this event an
instance?" (Rosenau and Durfee, 1995; Lave and March, 1975). Visualizing an
event as part of a larger pattern invites us to imagine that the pattern is the end
result of some unknown process, and encourages us to think about the causal
mechanisms that might have produced the pattern.
When trying to solve a complex puzzle, it is helpful to group similar pieces
together before attempting to combine them into a larger pattern. Scholars often
15
FIGURE
1.1
Explaining
International
Events:
ality. Factors from all three levels may affect any given
event, but their relative importance will vary depending
make decisions regarding war and peace, for instance, fall within the state level of
analysis. A common example can be found in the argument that authoritarian
governments are more bellicose than democracies because their leaders are not
constrained by competitive elections or political cultures grounded in norms of
tolerance and compromise.
lysis an analytical
approach to the study of
world politics that empha
sizes the psychological fac
tors motivating people
who make foreign policy
decisions on behalf of
16
CHAPTER
remote causes
phe
proximate causes
phenomena occurring
close in time to the effects
Once we have identified factors from different levels of analysis that may com
bine to produce some outcome, it is useful to place them in a sequence that
specifies the order in which they occurred. Anyone who owns a combination
lock knows that the correct numbers must be entered in their proper order to
open the lock. Similarly, to explain why something happened in world politics,
we must determine how various individual, state, and systemic-level factors fit
together in a process that unfolds over time.
One way to build time sequences into our analytic framework is to consider
how close each individual, state, or systemic factor was to the occurrence of the
event in question. We could do this in several different ways, but for illustrative
purposes we will simply distinguish between remote and proximate causes.
Remote causes are deep, underlying factors that set off a train of events. Prox
imate causes are those with more immediate effects. Consider, tor example, the
outbreak of a forest fire following a brief thunderstorm over parched mountain
ous terrain. The remote cause was a prolonged draught that desiccated the
region; the proximate cause, a lightning strike that ignited a dry pine tree.
By searching for remote and proximate causes across multiple levels of analy
sis, we guard against having our perceptual biases unnecessarily constrict our frame
of reference, which can lead us to hastily embrace enticing but incomplete expla
nations for the phenomena we hope to understand. To illustrate, let us apply our
analytical framework to the puzzle of why the Cold War ended peacefully.
Applying the Framework to the Cold War's End
During the Second World War, the United States and the Soviet Union aligned
against Nazi Germany. In the waning months of the conflict, mutual suspicions
in Moscow and Washington hardened into policy disagreements over the future
of the postwar world. The day before his suicide, Adolf Hider predicted that the
"laws of both history and geography" would compel the Soviet Union and the
United States to engage in "a trial of strength" (Bullock, 1962: 772-773). As
Soviet-American relations plummeted in a downward spiral of charges and
countercharges, it seemed as if Hider's ominous prediction would come to pass.
But fighting did not ensue. Despite over forty years of intense rivalry in
what was called the Cold War, the Soviet Union and the United States avoided
a trial of strength. Had they not, the results would have been catastrophic. By
1983, when President Ronald Reagan referred to the Soviet Union as an "evil
empire," the two superpowers had amassed such enormous nuclear arsenals that
if their combined explosive power had been converted to an equivalent amount
of TNT and loaded into boxcars on a freight train, the train would have
stretched from the earth to the moon and back at least a half dozen times.
Thus it came as a great relief when the Cold War ended without bloodshed fol
lowing the collapse of the Soviet Union in 1991.
Some people argue that the American military buildup during the Reagan
administration drove the Soviet Union into submission. The Cold War ended
due to "the Reagan policy of firmness," insisted Richard Perle, one of the for
mer president's advisors. Our policy was "peace through strength," added
George H. W. Bush, Reagan's vice president and immediate successor in the
White House. "It worked" (see Kegley, 1994).
This argument sounds persuasive because the disintegration of the Soviet
Union occurred alongside a massive weapons-building program in the United
States. Furthermore, the argument fit a set of preconceptions derived from
America's experience with Nazi Germany: Dictators cannot be appeased; the
language of military might is the only language they understand. Soviet leaders,
many Americans believed, were demagogic and rapacious like Hider. Whereas
British and French vacillation in the 1930s emboldened Hider, Reagan's stead
fastness allegedly brought the Soviets to heel.
Vivid historical images are seductive. They frame how we see the present,
often in ways that inhibit dissecting analogies to past events. Rather than
patiendy examining an issue from every angle, we draw parallels with a memo
rable incident and stop searching for additional information. For example, the
assertion that "Ronald Reagan won the Cold War by being tough on the com
munists" (Glynn, 1993: 172) animates such powerful imagery that seeking other
explanations might seem unnecessary. But by not evaluating plausible, rival
explanations, we can be misled. The prominent Russian scholar Georgi Arbatov
contends that rather than convincing Kremlin hardliners to give up, Reagan's
"tough" policy actually stiffened their resolve, thereby prolonging the Cold
War (Kegley and Raymond, 1994: 29).
Analytical frameworks help prevent us from giving easily recalled analogies
more weight than they deserve by widening the search for additional insights and
information. Table 1.1 shows how looking at different levels of analysis and time
sequences can assist in identifying alternative explanations of why the Cold War
ended peacefully. At the individual level, a strong case could be made that
17
18
CHAPTER
TABLE 1.1
Level of Analysis
Individual
Time Sequence
Remote Causes
Proximate Causes
Lech Walesa
State
Political inertia
"Given communism's inherent
Media attention
"It was the moral reassessment of the seventyodd years of this socialist experiment that
shook the nation.... It was the flood of publi
cations of the Soviet Union's human rights
record and its tremendous distortions of moral
Grassroots movements
empire."
Fred Charles Ikle
Ethnonationalism
Systemic
Containment
Imperial overstretch
"The acute phase of the fall of communism
started outside of the Soviet Union and spread
to the Soviet Union itself. By 1987, Gorbachev
Richard Nixon
19
Throughout history people have tried to predict the future. To be sure, many of
these efforts are more noteworthy today for their absurdity than for their accu
racy. Early in the nineteenth century, for example, the Quarterly Review asserted
that it would be foolish to expect locomotives to travel twice as fast as stage
coaches. High-speed rail travel was simply not possible, added British writer Dionysius Larder, because passengers would be unable to breathe (Lee, 2000).
Although these and other equally amusing examples of erroneous predictions
remind us that we cannot know the distant future with certainty, many theorists
argue that events in the near future lie on a continuum of predictability, with
some being foreseeable if a systematic effort is made to consider how social, eco
nomic, political, and technological trends may combine in different ways to yield
alternative potential futures (Bazerman and Watkins, 2004). As you investigate
various aspects of world politics in the chapters ahead, we encourage you to
nationalism
the belief
containment
a term
20
CHAPTER
reflect on the global future. Think about what is possible, evaluate what is prob
able, and advocate for what is preferable. "We are not prisoners of fate," writes
futurist Edward Cornish (2004: 210). Rather we have extraordinary power to
assess past events and weigh current trends, responding to what we learn in
ways that can improve the human prospect.
The Investigative Challenge
Because world politics is complex and our images of it are often discordant,
scholars differ in their approaches to understanding world politics. Some take a
ate why some actors behave differently, despite their similar placement within
the global system (Waltz, 1988: 43).
contingent behavior
actions that depend on
what others are doing.
actors affected by these trends, and (3) the interactions among actors on security
and welfare issues that ultimately shape the trajectories of global trends.
Examining patterns of interaction among actors is important because many
of the patterns that characterize world politics are the result of contingent
behavior. According to political economist Thomas Schelling (1978: 1317),
sometimes the aggregate patterns we see can be easily projected from the indi
vidual actors. For example, if we know that every state increases its military bud
get annually by a certain amount due to internal bureaucratic demands for more
funding, we can make a simple persistence forecast to project the trend in global
military spending over time. But if some states increase their budgets when
neighboring states have increased theirs, estimating the trend is more compli
cated. Flere national leaden are responding to each other's behavior as well as
influencing each other's behavior. Sometimes the resulting pattern may be sequen
tial: If your expenditures induce me to increase my expenditures, mine may
encourage someone else to spend more, and so on. Sometimes the pattern may
The analytical approach outlined here has the advantage of taking into
account the interplay of proximate and remote explanatory factors at the individ
ual, state, and systemic levels of analysis while not dwelling on particular people,
countries, or incidents whose long-term significance is likely to diminish. Instead,
it places historical and contemporary events into a broader theoretical context,
highlighting the general patterns that will shape the future and providing you
with the conceptual tools to interpret the implications of those patterns.
An Overview of the Book
Our journey begins in Chapter 2 with an overview of the realist, liberal, and con
structivist theoretical traditions that scholars and policymakers use most often to
interpret world politics. Next we consider radicalism and feminism, which offer
powerful critiques of these mainstream traditions. The comparison of these con
tending theories provides the intellectual background for the description and expla
nation of the issues and developments that are treated in the remaining chapters.
Chapter 3 begins the analysis of actors, issues, and their interactions with a
close examination of foreign policy decision-making processes within nationstates, which remain the principal actors in world politics. It also considers the
role of leaders in making foreign policy, and how various external and domestic
forces can constrain the impact of political leaders.
We will then turn our attention to each of the types of actors in world poli
tics and examine how their characteristics and capabilities affect their interests
and influence in the world. Great powers (those wealthy countries with the
great powers. Then, in Chapter 6, we cover two groups of nonstate actors, inter
governmental organizations (IGOs) and nongovernmental organizations
(NGOs), and demonstrate how they interact with nation-states and increasingly
challenge even the great powers.
The next group of chapters shifts attention to how the preferences, capabilities,
and strategic calculations of the principal actors in world politics affect security and
welfare issues on the global agenda. Security issues are addressed in Chapters 7
through 10. Finally, in Chapters 1I through 14, we examine problems relating to
globalization, international political economy, human rights, and the environment.
21
22
CHAPTER
In the concluding section, we revisit the major trends in world politics sur
veyed throughout the book. Chapter 15 draws on the theories and evidence pre
sented in earlier chapters, and presents alternative views of the global future by
focusing on some of the most hotly debated questions most likely to dominate
political discussion during the next decade.
Understanding today's world requires a willingness to confront complexity. The
challenge is difficult, but the payoff warrants the effort. Humankind's ability to chart
a more rewarding future hinges on its ability to entertain complex ideas, to free itself
from the sometimes paralyzing grip of prevailing orthodoxies, and to develop a
healthy, questioning attitude about rival perspectives on international realities. On
that hopeful yet introspective note, we begin our exploration of world politics.
CHAPTER SUMMARY
To understand the global future, one must examine the ways in which the
contemporary international system has changed and the ways in which its
fundamental characteristics have resisted change.
Trends in world politics rarely unfold in a constant, linear direction. More
over, no trend stands alone. The path to the future is influenced by multiple
determinants, some integrative and others disintegrative.
The shape of the world's future will be determined not only by changes in
the objective conditions of world politics, but also by the meanings that
people ascribe to those conditions.
Although most people are prone to look for information that reinforces their
beliefs and give disproportionate weight to initial impressions and informa
tion they can easily recall, dramatic events can alter an individual's mental
model of world politics.
KEY TERMS
individual level of
actor
analysis
anarchy
billiard-ball model
nation
cognitive dissonance
nation-state
containment
nationalism
contingent behavior
nonstate actors
heuristics
politics
remote causes
schematic reasoning
sovereignty
state
proximate causes
SUGGESTED READINGS
Ferguson, Yale H., and Richard W. Mansbach. Remapping Global Politics: History's
Revenge and Future Shock. New York: Columbia University Press, 2004.
Hughes, Barn- 15., and Evan IE. Hillebrand. Exploring and Shaping International Futures.
Boulder, CO: Paradigm Publishers, 2006.
Kegley, Charles W.,Jr., and Gregory A. Raymond. Exorcising the Ghost of Westphalia:
Building World Order in the New Millennium. Upper Saddle River, NJ: Prentice-Hall,
2002.
Thompson, William R. (ed.). Systemic Transitions: Past, Present, Future. New York: Palgrave Macmillan, 2008.
Tickner. Arlene B., and Ole Wxver. (eds.). International Relations Scholarship Around the
World. New York: Routledge, 2009.
Wliy did the United States invade Iraq in 2003? \Wien weapons of mass destruction
(li/MD) were not found after Saddam Hussein was ousted, the most common argument
was that the war was "largely about oil" (Greenspan, 2007: 463). Facing rising energy
demands and insecure supplies, the Bush administration sought access to Iraq's vast petro
leum reserves (Hart, 2004: 98-99). While seductive, this single-factor explanation over
looks other plausible causes of the Iraq War. Wars, according to most scholars, have
multiple causes that can be found at different levels of analysis. Whatfollows is a nonexhaustive inventory of other factors that may have caused the war to occur.
23
24
CHAPTER
The success in ousting the Taliban from power in Afghanistan boosted the
confidence of the Bush ackxiinistration, leading it to conclude that regime
change in Iraq would be relatively easy (F. Kaplan, 2008: 39-40; Steinberg,
2008: 156).
How would you classify these possible causes by level of analysis and time sequence?
Which factors operated at the individual, state, and systemic levels? Which factors were
remote and which might have been proximate causes ofthe war? How might certain spedfic
factors from different levels ofanalysis have interacted with one another over time in a chain
ofcausation to increase the probability of the Iraq War?