Title: Realism: Major Actors and Assumptions
1Realism Major Actors and Assumptions
- Based on four key assumptions
-
- 1.States are the principal actors and most
important actors. States are the key unit of
analysis. The study of IR is the study of
relations among these units. - Why? Because only the state, given its claim to
sovereignty, possesses the monopoly of legitimate
force to resolve conflicts between individuals
and groups within its territory and also between
itself and other states and international actors.
- Non-state actors like international
organizations (UN), Multi-National Corporations,
and transnational actors are acknowledged by
realists, but they are of secondary importance.
States are the dominant actors. - Kenneth Waltz and Robert Gilpin argue that
states are the basic actors in the international
system by arguing that the behavior of other
actors is conditioned and delimited by state
decisions and state power.
2Second Assumption of Realism
- State is viewed as a unitary actor. For realists
a country faces the outside world as an
integrated unit. A common assumption among
realists is that political differences within the
state are ultimately resolved, namely the
government speaks with one voice for the state as
a whole. - On any particular issue, realists assume that
state as a unitary actor has one policy. Of
course there may be exceptions, but realists
support the argument that state is an integrated
actor. For instance, when a foreign ministry
expresses policies different from ministry of
defense, action is taken to bring these
alternative positions to a common position. - If the issue is not so much important,
alternative views can remain, but if it is
important, higher authorities will intervene to
prevent alternative views.
3Second Assumption of Realism
- States have sufficient autonomy from their
national societies to recognize and pursue the
interests of the nation as a whole, not just
those of particular powerful groups and they may
devise goals and strategies that run counter to
the preferences of important parts of society. - Decision-makers respond on behalf of the nation
state to the opportunities and dangers engendered
by the international system.
4Third Assumption of Realism
- State is a rational actor. States are goal
oriented and their goals are consistent. Also,
states are assumed to derive strategies to
achieve their goals and they are cost sensitive.
States make cost-benefit analysis of every
alternative, they evaluate alternatives and
select the ones that maximizes their benefits.
Thus, states can change their strategies in the
face of changes in external constraints and
opportunities. - Realists are aware of the limit of this claim
Practically, governmental decision- makers may
not have all the information and knowledge they
will need for achieving their objectives.
5State as a Rational Actor
- As states are rational and define their interest
in terms of their power, realists assume that all
states behave in a standard manner. Based on the
rationality assumption, international sistem is
composed of states that have the same patterns of
behavior.
6Fourth Assumption of Realism
- the context of action the anarchy
- States coexist in a context of international
anarchy which refers to the absence of a
centralized authority to protect states from one
another, each state has to survive on its own.
Thus, states are by definition self-help agents. - They assume that within the hierarchy of
international relations issues, national security
tops the list. For them, military and related
political issues dominate world politics.
7Balance of power mentality
- For realists, the tendency of states to balance
against challengers through the formation of
defensive alliances is a strong behavioral
expectation about the effects of anarchy on
states. - All states, according to realists, are then
obliged to pursue a balance of power strategy
8The History of the European States Illustrates
the Balance of Power
- 18th Century Principal states were Britain,
France, Austria, Prussia, and Russia which often
changed sides to preserve the balance - Napoleonic France (1789-1815) attempted to
destroy the European balance and establish French
hegemony only to be defeated by a European
coalition - The Concert of Europe (1815-1914) maintained
peace through flexible and overlapping alliances
to ensure a balance of power as a deterrent to war
9The Focus on Power
- They focus on actual or potential conflict
between state actors, and the use of force. They
examine how international stability is attained
or maintained, how it breaks down, the utility of
force as a means to resolve conflicts. Thus,
power is a key concept. - The principal aim of states is to gain power
- They call military, security or strategic issues
as high politics, whereas economic and social
issues are viewed as less important or low
politics. For them, high politics dominate and
set the environment for low politics
10Realist Description of IR
- Interstate politics is a permanent bargaining
game over the distribution of power, thus it
describes world politics as a state of war, and a
struggle for power and is generally pessimistic
about the prospects for eliminating conflict and
war. - Best description for world politics is a state of
war, the constant possibility of war, because the
nature of humanity or the structure of
international order allows wars to occur. - The outcome of an interstate bargaining is
determined by the power of states at their
disposal. Control over material resources in
world politics lies at the core of realism. For
them, material resources determine state
behavior. - They define IR as relations between states.
Individuals, NGOs, IOs are less important.
11Classic Realists
- The realist worldview was shaped by the ancient
Greek historian Thucydides, Niccolo Machiavelli
in the 16th century, Thomas Hobbes in the 17th
century. - They focused on national security and state
survival and portrayed international politics as
power politics an arena of rivalry, conflict and
war between states - Defending the national interest and ensuring the
survival of the state repeat themselves
permanently
12Thucydides (471-400 BC)
- Greek historian. He is considered as the founding
father of realism. - Focused on the competitions and conflicts between
Greek city-states. - In Peloponnesian War (431 to 404 BC) , he
analyzes the war between Athens and Sparta in the
5th century BC. He dealt with the nature of war
and why it continually recurs. For him, the past
was the guide for the future. His work is a study
of the struggle for military and political power.
- He emphasizes the limited room for manoeuvre
available to statesmen.
13Thucydidess Explanation of War
- Why did war occur between Athens and Sparta? For
him, the reason was the fear associated with a
shift in the balance of power. Although fear may
lead to war, power and capabilities relative to
others determine the outcome. - Sparta was afraid of losing its pre-eminent role
in the Hellenic world thus took counter measures
to build up its military strength Balance of
power mentality. - When leaders perceive that balance of power is
shifting to their disfavour, they try to change
the situation due to suspicion, fear, distrust
they feel for their rivals. - The Peloponnesian War reshaped the Ancient Greek
world. Athens, the strongest city-state in Greece
prior to the war's beginning lost its power,
while Sparta became the leading power of Greece.
14Melian Dialogue
- The Melian Dialogue is an account of the
confrontation between the people of Melos, a
colony of Sparta, and the Athenians in 416-415
B.C. - The Athenians wanted to conquer the island to
impose a greater threat over the Spartans. - Before doing any harm to the island, Athenians
sent representatives to the Melos island to
negotiate the Melian surrender to Athens.
15Melian Dialogue
- The Melians appealed to the strong Athens for the
principle of justice and demanded that they
should be respected as an independent state. - Athenians replied that The standard of justice
depends on the equality of power. Justice is
not about equal treatment, it is about knowing
your place. The strong do what they can, and the
weak accept what they have to.
16Melian Dialogue
- Athenians stated that you will save yourselves
from disaster if you surrender us. - Melians We want to remain neutral, we can be
friends instead of enemies. - Athenians It is not your hostility that hurt
us. If we were on friendly terms with you, our
subjects would regard that as a sign of weakness
of us, but your hatred is evidence of our power.
by conquering you we shall increase not only the
size but the security of our empire.
17Melian Dialogue
- MeliansWe will establish an alliance with the
Spartans. It is their own self-interest to
protect us. We are of the same race and share the
same feelings. - Athenians Do not trust Spartans, where danger
is concerned, Spartans are not venturesome. - The Melians refused to surrender to the Athenians
because of their strong sense of independence.
They also did not want to be regarded as cowards
for surrendering so easily. The Melians argued
that an invasion will alarm the other neutral
Greek states, who will become hostile to Athens
for fear of being invaded themselves.
18Melian Dialogue
- MeliansWe are not prepared to give up in a
short moment the liberty which our city has
enjoyed from its foundation for 700 years. - After this response, the Athenians occupied Melos
and killed the men and enslaved the women and
children. - The irony of the Melian Dialogue "The Athenians
look at the present and can see nothing will save
Melos. They are right. The Melians look to the
future. They are right too. Athens is also
destroyed. The decline of Athens reflects the
justification of the Melians.
19Niccolo Machiavelli (1469-1527)
- He wrote about power, balance of power, formation
of alliances, causes of conflicts. His primary
focus was on national security. - Survival of the state is crucial. The main
responsibility of the rulers is always to defend
the interests of the state and ensure its
survival. - Power (Lion) and deception (Fox) are two
essential means for the conduct of foreign
policy. If necessary, a ruler must be ruthless
and deceptive while defending self-interest. - His famous work The Prince deals with how to
gain, maintain and expand power.
20Suggestions of Machiavelli
- World is a dangerous place, and also full of
opportunities. One should take necessary measures
against dangers. - If states want to enrich themselves, they should
exploit opportunities. One should calculate
rationally his interests and power against those
of rival groups. - A responsible ruler should not follow Christian
ethics such as be peaceful, avoid war, share your
wealth... If states follow these values, they
will disappear in the end.
21Thomas Hobbes (1588-1679)
- He had a pessimistic view of human nature. He
emphasizes the necessity of having a powerful,
centralized political authority. - Human beings lived in a condition of war every
one against every one. - He tried to show in order to escape from this
situation, he suggested placing all power to a
sovereign state or Leviathan (a state authority
or supreme ruler) that would maintain order and
end anarchy. Without order, no economic
development, art, knowledge
22Hobbes and Security Dilemma
- Achievement of personal security and domestic
security through the creation of a state leads to
international insecurity that is rooted in the
anarcy of the state system security dilemma - No escape from the security dilemma as there is
no possibility of forming a world government. He
argues that there is no higher authority over
states to impose order. The international system
is a condition of anarchy. States claim to be
sovereign with a right to be independent and
autonomous with respect to each other. Without a
leviathan, distrust, conflict and war are
inevitable no permanent peace between states - Due to the survival concerns in anarchy, states
are expected to act in balance of power logic.
23Hobbes and Morality
- Due to the anarchy assumption, there is no fixed
idea of good or bad. For realism, might is right.
- Law or morality does not apply beyond nations
boundaries. - Hobbes asserts that without a superior authority
to legislate codes of conduct, no morality or
justice can exist. where there is no common
power, no law where no law, no justice.
24Hans Morgenthau
- Hans Morgenthau was one of the leading
twentieth-century figures in the study of
international politics. Hans Morgenthau is
considered one of the "founding fathers" of
realist approach. - For him, humanbeings are evil by nature. They are
born to pursue power and enjoy the benefits of
power. - The final political space within which security
is ensured is the independent state. Beyond the
state, security is impossible. - The lust for power brings people into conflict
with each other. - For Moregnthau, politics is a struggle for power.
25Morgenthaus Principles of Realism
- In Politics Among Nations, Morgenthau presents
the fundamental principles of his conception of
realism, which will be referred to as classical
realism. - 1. Politics "is governed by objective laws that
have their roots in human nature which is
selfish, self-interested. For him, the laws of
politics are grounded in human nature. As the
essence of the human nature never changes, the
essence of the international system does not
change, either.
26Morgenthaus Principles of Realism
- 2. Politics is an autonomous sphere of action,
and cannot be reduced to economics as Marxists do
or to morality as liberals do. - 3. Morality for the public sphere is different
than the morality of the private sphere. A
political leader does not have the same freedom
to do the right thing that a privatize citizen
has.The ruler has the responsibility of ensuring
security and welfare. -
- 4. As individuals are self-interested,
international politics is a arena of conflicting
state interests
27Relation between power and national interest
- For Morgenthau, IR is a discipline which is based
on the concepts of national interest and power. - Interests of states should be defined in terms of
their power. Statesmen should determine and
defend their interests in accordance with the
power they have. - For Morgenthau, politics is a skill of
harmonizing endless needs (interests) and scarce
resources (power) - Realists think within the framework of the
national interest defined in terms of power.
28Basic Concept of RealismPower
- No consensus even among realists how to define
it. Some understand it to be the sum of military,
economic, technological, diplomatic and other
capabilities at the disposal of states. Others
see it as capabilities relative to others. The
power of the USA is evaluated in terms of its
capabilities relative to those of others. - Alternative definition, dynamic definition of
power a states influence is determined not only
by its capabilities, but also by its willingness
to use capabilities, and its control and
influence over other states.
29How Can States Achieve Power?
- By the states own means
- Population
- Industrialization
- Science and Technology, etc
- By alliances
- All alliances are conditional they apply only
if they remain in the power interests of the
state.
30Measurement, Indicators of Power
- Defense expenditures
- Military Personnel
- Iron Steel Production
- Energy Consumption
- Total Population
- Gross National Product (GNP)
- Which is more important, military or economic
power? - David Singer emphasizes military, industrial and
demographic capabilities as crucial indicators. - Power of a state is dependent on the issue
involved. For instance, Japan is economically
powerful but militarily weak. Opponents say that
economic power of Japan as a global trader is
related with its military ties with the US. This
ensures Japans freedom to engage in commerce.
31Do States Cooperate?
- Each of the 5 individuals has to decide whether
to collaborate in hunting of a stag necessary to
meet the hunger needs of all five or to defect
from the group to capture a hare. - Deciding to capture a hare would serve ones self
interest at the expense of others. If the
individual prefers to serve the common interest
(go after stag), can he trust the others to do
so? If one cannot trust others, is not it
rational to go for the hare before the others? - Uncertainty of knowing whether the others are
good, moral and rational.
32Do States Cooperate?
- Anarchical, self-help system makes cooperation
difficult to achieve. What is the rational thing
to do, to promote short term and self-interest or
common interests? - If a state is concerned in absolute gains, it is
indifferent to the gains of others. As long as I
am doing better, I dont care if others are also
increasing their wealth or military power. - In relative gains, it is not satisfied with
simply increasing its power or wealth but also
how much others gained. - Different assumptions about a states preferences
lead to different expectations about prospects
for IR conflict and cooperation. For neo-realists
relative gains assumptions makes international
cooperation difficult to attain.
33Difficulty of Cooperation
- states are unwilling to cooperate and maintain
that cooperation due to - fears of cheating
- dependency
- concerns about relative gains
34Relative Gains Concerns Prevent Cooperation
- The issue of how the gains were distributed. Here
the important question is how often has a concern
for relative gains lead states to forgo mutually
beneficial agreements. - For instance European Community concerned about
the implementation of Tokyo Round government
procurement and technical standards would allow
US to achieve disproportionate gains resisted the
US in pressing for such an administration of
those two codes.
35Interdependence and Realism
- For realists, dependent party is vulnerable to
the choices of the dominant party.
Interdependence does not mean equality.
Vulnerability of one party over another. For
realists to reduce this vulnerability, it is
better for the state to be independent. - Quadrupling of oil prices in 1973-74 did not
affect equally all oil importing countries.
Vulnerability is related with what alternatives
are available. Ex US had to increase domestic
production, create strategic oil reserve to be
drawn in emergencies, find other foreign sources
of oil.
36Interdependence and Realism
- Realists argue that maintenance of access to oil
and natural resources is essential to national
security. Maintaining access to oil supplies was
a core objective of IR community to force Iraq to
withdraw from Kuwait in 1991. - If a state wants to be more powerful, it avoids
political or military dependency on other states.
- For realists, interdependence may not enhance
prospects for peace. Conflicts could easily
erupt. Stability can be achieved when a strong
state assumes leadership, even if it becomes
hegemonic. The absence of hegemony may create
chaos and instability.
37Is Change Possible in the International System?
- Realists stress the continuity in international
relations. Many of the insights of Thucydides are
considered as relevant today as they were 2500
years ago. Balance of power existed since 15th
and 16th centuries. They are uninterested in
change. - Ropert Gilpin argues that it is possible to
identify recurrent patterns, common elements, and
general tendencies in the major turning points in
IR history.
38Rise and Fall of Hegemons
- Continuity is the dominant theme of realism as
the anarchy forces states to behave in a similar,
rational, power maximizing ways, or fail and to
be conquered. However, change is constant at the
systemic level, as powerful hegemons rise and
fall. - Since 1500, 4 powers dominated the system.
Portugal (1500-end of 16th century), Netherlands
(17th century), Great Britain (18th and 19th
century), and the United States (1945-). - In each cycle, one nation state is ascending,
while another one is descending. Dynamic view of
the IR system. - Realism is critized for reducing change in the
international system to the change in the
distribution of power.
39Mechanisms of Change
- What has been the principal mechanism of change
throughout history? Wars, because wars determine
which states will govern the system. It
determines the new distribution of power.
40Focus on Continuities in World Politics
- Realisms particular strength lies in its
pointing out and explaining continuities in world
politics. Realism can also be useful in
understanding the rise and decline of major
powers, international conflict and cooperation. - Yet, there are important unresolved questions
within the core of realist international theory.
Among the most important are whether states are
security or power maximizers, and whether this
makes a difference for their behavior toward one
another.
41Defensive Realists
- States maximize security
- Defensive realists such as Kenneth Waltz and
Stephen Walt focuse on a structural concept known
as the offence-defence balance. They maintain
that military power at any point in time can be
categorized as favoring either offence or
defence. If defence has a clear advantage over
offence great powers will have little incentive
to use force to gain power and vice versa.
Defensive realists respond that offence-defence
balance is usually tilted towards defence.
42Defensive Realism
- Jack Snyder
- states attain security in the anarchical system
by accumulating an appropriate amount of power in
balance with others - excessive amount of power may lessen security
- by setting off the dynamics of a security dilemma
- the international system rewards states
maintaining a status quo not those with the
ambition to dominate
43Offensive Realists
- Randall Schweller in his analysis of revisionist
states mainly opposes the neorealist assumption
that states merely seek to survive in favor of
the status quo because of the existence of
aggressive revisionist states. - He criticizes Kenneth Waltz and Stephen Walt for
seeing the world solely through the eyes of a
satisfied status quo states. He argues that at
least some states want to change their status in
the system and will want to advance their
relative power position. - For Schweller, states maximize power not security
44Offensive Realism
- John Mearsheimer
- power is difficult to measure
- states do not know when their power is sufficient
- are driven to accumulate as much power and
capabilities as possible - this leads them to pursue aggressive,
expansionist policies - the objective is to become a regional, if not
global, hegemon
45Criticisms against Realism
- For realists, continuities are more important
than changes in interstate politics. Realists
also argue that states are engaged in the game of
power politics, and unable to change the rules
even if they desire. Critics say they are
deterministic and pessimistic.
46Criticisms against Realism
- Realism is unsatisfactory in its understanding
the question of international change, it does not
take into consideration the domestic factors such
as economic and social processes) on the foreign
behavior of states. - Realists failed to foresee the dissolution of the
Soviet Union as they just focused on military
aspect of power. This limited perspective could
not reflect the social, political and economic
difficulties of the Soviet society. Realists
failed to see how Soviet people were ready for a
radical change. - It is difficult for realists to understand change
in the absence of war. - The fact that Soviet Union dissolved in the
absence of war reflects the inadequacy of realist
perspective.
47Ignoring Non-State Actors
- Realists are obsessed with state and ignore other
actors and issues. Non-state actors-MNCs, banks,
international terrorist organizations,
International Organizations are excluded from the
analysis. Other concerns such as the
socioeconomic gap between rich and poor societies
or international pollution rarely make the
realist agenda.
48Realist respond to criticisms
- Arms race and military spending contribute to
tension in the international system. Because it
is exclusively states that spend this money to
buy or produce military capabilities, so it makes
sense to focus on states. - It is only the state, given its claim to
sovereignty, possesses the monopoly of legitimate
force to resolve conflicts between individuals
and groups over which it rules with a defined
territorial space and also between itself and
other states and international actors
49Neo-realism and Kenneth Waltz
- Its theoretical premises are organized around
basic features of world politics anarchy,
distribution of power, self-regarding states. A
rise is international insecurity, new Cold War in
1979 and 1980 triggered its popularity. - Waltzs work as a response to pluralism
50Kenneth Waltz and Neorealism
- Waltzs Man, the State and War (1959) offered
three images of Realism - war caused by the nature of man (i.e. bad
people) - war caused by the nature of states (i.e. bad
states) - war arising from the anarchic structure of the
international system (i.e. there is nothing to
stop bad people and states).
51Waltzs neorealist theory
- restricts the scope of theory to international
system - impossible to understand the international system
through unit-level theories that would amount to
reductionism - IR theory should be focus on the systemic level
- in an anarchical system, units must be
structurally similar (although their capabilities
may vary)
52Systemic Explanation of State Behavior
- The central determining cause of state behavior
is the system of nation-statesanarchy - This anarchical system imposes an imperative of
security and survival on each state - States seek their survival, not power
- States that ignore their relative power will be
subordinated to other states - no supreme authority ? self-help system no other
state can be relied upon to defend another state
at the risk of its own power - Neorealist claim that their conception of
international relations achieves the level of a
scientific proposition
53System as Anarchy
- Many realists considered anarchy and distribution
of power among states as critical components of
the international system. They argue that anarchy
and distribution of power among states, namely
the structure constrain decision-makers. Anarchy
contributes distrust and conflict. - Anarchy refers to violence, destruction, and
chaos. When we use this term, we are referring to
the absence of hierarchy. Due to anarchy states
must rely on power.
54Polarity of the System
- For neo-realists, defining feature of a system is
the distribution of power among states unipolar,
bipolar and multipolar. They analyze how shifts
in these capabilities influence state behaviour,
interactions and possibility of war. - The bipolar system is allegedly more stable than
a multi-polar system since the power balance
between the superpowers can be more accurately
and reliably calculated
55Self-help situation
- It is dangerous to place the security of ones
own country in the hands of others - Security dilemma even if a state is arming for
defensive purposes, it is rational in a self-help
system to assume the worst. How can one be sure
that a rival is arming for defensive reasons? - Maybe all states desire peace, but anarchical
nature of the IR system makes them to be
suspicious of each other. - Security dilemma is regulated by balance-of-power
politics
56Polarity and System Stability
- Kenneth Waltz argues that uncertainty increases
as the number of international actors increase.
Waltz argues that greater uncertainty makes it
more likely a decision-maker will misjudge the
intentions and actions of a potential foe. Thus,
multipolar system with higher levels of
uncertainty is less desirable - For waltz, relations in a bipolar system between
superpowers were simple and predictable. Direct
conflicts between superpowers were usually
avoided. - Mearsheimer also argues that in the wake of the
collapse of the Soviet Union and the cold war, it
is likely that Europe will turn to multipolarity
which will create instability and conflict on the
continent.
57Hegemonic Stability Thesis
- Neo-realism also claimed a central place in
international political economy in the form of
hegemonic stability theory. - Robert Gilpin and Stephen Krasner argue that a
necessary condition for the formation and
maintenance of a liberal international economy is
that a single state should be able and willing to
invest the resources and to bear the burdens
associated with the operation of such an economic
order. - John Ikenberry and Charles Kupchan supporting
hegemonic stability thesis hold that one aspect
of US hegemonic leadership after the Second World
War took the form of the US using its power to
socialize the Western European states to be
inclined to economic openness.
58Is Hegemon Necessary for the Stability?
- Robert Keohane criticizes Gilpin and Krasners
structural theory that explains the rise and
decline of world economic orders. - Keohane states that the movement toward a more
liberal order requires a hegemon, but adds that
such an order might endure for some period of
time without the continued support of a hegemonic
leader.
59The Central Defects of Realist and Especially
Neorealist Theory
- Neo-realists claim that state system, anarchy
determines the behaviour of states. Statesmen are
granted too little autonomy and little room for
manoeuvre, decision-making process is seen as
devoid of human action. - The end of the Cold War presented a deep
challenge to neo-realism. Structural realism is
unable to explain the changes that peacefully
ended the Soviet Empire. - This and other events such as the acceleration of
institution-building in EU and widespread opening
to international economy by developing countries
revived interest in a broadened liberal theory.
60The Role of International Institutions
- New research focused on the role of international
institutions in facilitating cooperation and the
transformations produced by economic integration.
The explanatory power of structural variables, as
the distribution of power, was demonstrated to be
weak. - Hegemonic stability theory had been undermined
and empirically challenged. Even the presence or
absence of a liberal hegemonic power did not seem
necessary to explain the persistence of
institutions or habits of cooperation.