1. Transnational Politics Theories of IR: An Introduction

2. 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

3. 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? Monday, 1/28/2008Hans Peter Schmitz

4. 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. Monday, 1/28/2008Hans Peter Schmitz

5. 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. Monday, 1/28/2008Hans Peter Schmitz

6. 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 Monday, 1/28/2008Hans Peter Schmitz

7. 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? Monday, 1/28/2008Hans Peter Schmitz

8. 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 Monday, 1/28/2008Hans Peter Schmitz

9. 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? Monday, 1/28/2008Hans Peter Schmitz

10. 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 Monday, 1/28/2008Hans Peter Schmitz

11. 1. Main internationalist views (third image) Neo-realismInstitutionalismSociological 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, 1/28/2008Hans Peter Schmitz

12. Units – Goals – Capabilities: International view Neo-realismInstitutionalismSociological institutionalism (constructivism) Units StatesStates and IGOsStates 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) Monday, 1/28/2008Hans Peter Schmitz

13. 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. Monday, 1/28/2008Hans Peter Schmitz

14. Main domestic views (first/second image) Classical realismLiberalism Organizing principle of the international system Individual character of state leaders (human nature) Domestic economic actors/interests Peace results from Defeat of enemies(Economic) cooperation, similarities of units (democracy) Monday, 1/28/2008Hans Peter Schmitz

15. Units – Goals – Capabilities: Domestic view Classical realismLiberalism Units States (dominated by leaders) Domestic groups and interests Goals Power and dominanceEconomic profit and free trade Capabilities Military powerEconomic and technological know-how, educated work force Monday, 1/28/2008Hans Peter Schmitz

16. 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) Monday, 1/28/2008Hans Peter Schmitz

17. Main transnationalist views (cross level) GlobalismPrincipled activism Feminism Organizing principle of the international system 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, LeninKant19 th century Suffrage movement Monday, 1/28/2008Hans Peter Schmitz

18. Units – Goals – Capabilities: Transnationalism GlobalismPrincipled 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 Monday, 1/28/2008Hans Peter Schmitz

19. 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 Monday, 1/28/2008Hans Peter Schmitz

20. 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. Monday, 1/28/2008Hans Peter Schmitz

21. 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? Monday, 1/28/2008Hans Peter Schmitz

22. 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). Watch Tom Farer  Norms work without enforcement (realism) and sometimes even without economic incentives and self-interest (liberalism).  Prospect theory: people follow subjective perceptions, not objective preferences. Monday, 1/28/2008Hans Peter Schmitz

23. Constructed reality Anarchy is neither destiny (realism), nor a disincentive to cooperation (institutionalism).  “ Anarchy is what states make of it.” Alexander Wendt Monday, 1/28/2008 Hans Peter Schmitz

24. 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” Monday, 1/28/2008 Hans Peter Schmitz

25. 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. Monday, 1/28/2008Hans Peter Schmitz

26. 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 qualitiesOrganizations +explicit rulesInstitutions +collectively sharedNorms Individual BeliefsIdeas Monday, 1/28/2008 Hans Peter Schmitz

27. 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? Monday, 1/28/2008 Hans Peter Schmitz

28. Emergence and Diffusion  Norm Entrepreneurs  Mechanism: Persuasion and Lobbying  Framing and Shaming  Example: Raphael Lemkin (genocide page)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 Monday, 1/28/2008Hans Peter Schmitz

29. 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. Monday, 1/28/2008 Hans Peter Schmitz

30. 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) Monday, 1/28/2008 Hans Peter Schmitz

31. 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. Monday, 1/28/2008 Hans Peter Schmitz

32. 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. Monday, 1/28/2008 Hans Peter Schmitz

33. 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). Monday, 1/28/2008Hans Peter Schmitz

34. 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. Monday, 1/28/2008Hans Peter Schmitz

35. 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 Monday, 1/28/2008Hans Peter Schmitz