1 international relations theory zhou qiujun private email: [email protected] public email:...

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INTERNATIONAL RELATIONS INTERNATIONAL RELATIONS THEORYTHEORY

Zhou QiujunZhou Qiujun

Private email: [email protected] email: [email protected]

Public email: [email protected] email: [email protected]

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ContentsContents1.1. INTRODUCTIONINTRODUCTION

2.2. METHODS FOR STUDYING INTERNATIONAL RELATIONS THEORYMETHODS FOR STUDYING INTERNATIONAL RELATIONS THEORY

3.3. REALISM REALISM

4.4. LIBERALISMLIBERALISM

5.5. CONSTRUCTIVISMCONSTRUCTIVISM

6.6. THE ENGLISH SCHOOL THE ENGLISH SCHOOL

7.7. CRITICAL THEORIES OF WORLD POLITICS CRITICAL THEORIES OF WORLD POLITICS

8.8. INTERNATIONAL RELATIONS THEORY AND GLOBALIZATIONINTERNATIONAL RELATIONS THEORY AND GLOBALIZATION

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Chapter 5: Chapter 5: ConstructivismConstructivism

I.I. Constructivism in IRTConstructivism in IRT

II.II. An ideational approach to international An ideational approach to international relationsrelations

III.III. Constructivist approach to cooperationConstructivist approach to cooperation

IV.IV. Conclusion: strengths and weaknessConclusion: strengths and weakness

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Chapter 5: Chapter 5: ConstructivismConstructivismI.I. Constructivism in IRTConstructivism in IRT

The constructivist theory rose in the mid-1980s and The constructivist theory rose in the mid-1980s and prevailed in the 1990s. This was due partly to the prevailed in the 1990s. This was due partly to the third debate in IRT, the “inter-paradigm” debate third debate in IRT, the “inter-paradigm” debate between Neorealism and Neoliberalism, and partly between Neorealism and Neoliberalism, and partly to the changes of international politics, especially to the changes of international politics, especially the end of the Cold War, which crippled the the end of the Cold War, which crippled the explanatory power of the two dominant schools and explanatory power of the two dominant schools and highlighted the profound insights of Constructivism highlighted the profound insights of Constructivism in casting the world politics.in casting the world politics.

Rationalism

(Mainstream)

Neo-realism

Neo-liberalism

Reflectivism

(Critical approaches)

Post-modernism

Feminist theory

Historical sociology

......

Social Constructivism

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Nicholas G. OnufNicholas G. Onuf (1941-), (1941-), World of Our Making: World of Our Making: Rules and Rule in Social Theory and International Rules and Rule in Social Theory and International RelationsRelations 《我们所建构的世界：论社会理论与国际关系中的规《我们所建构的世界：论社会理论与国际关系中的规则与结构》则与结构》 (1989); (1989); International Relations in a International Relations in a Constructed WorldConstructed World 《建构世界的国际关系》《建构世界的国际关系》 (co-ed., (co-ed., 1998).1998).

He was the first who applied the term “constructivism” to He was the first who applied the term “constructivism” to the context of IRT. At the end of the 1980s, he noticed the context of IRT. At the end of the 1980s, he noticed that a series of world changes could not be well explained that a series of world changes could not be well explained by the mainstream theories (neo-R./L.); while the by the mainstream theories (neo-R./L.); while the discussion of social relations provided a useful discussion of social relations provided a useful perspective.perspective.

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Peter J. Katzenstein Peter J. Katzenstein (1945- ), (1945- ), The Culture of National Security: The Culture of National Security:

Norms and Identity In Norms and Identity In World PoliticsWorld Politics 《《国家安全的文化国家安全的文化 :: 世界世界政治中的规范与认同政治中的规范与认同》》 (1996)(1996)

President of the American Political Science Association for President of the American Political Science Association for 2008-2009, he was known for his 2008-2009, he was known for his culture studies in culture studies in national securitynational security. In this book, he claimed that the scope . In this book, he claimed that the scope of security study should not be limited to material factors; of security study should not be limited to material factors; social and cultural factorssocial and cultural factors also have great influence. also have great influence.

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Martha G. Finnemore Martha G. Finnemore (1959- ), (1959- ), National Interests in National Interests in International SocietyInternational Society 《《国际社会中的国家利益国际社会中的国家利益》》 (1996). (1996).

She explored how She explored how international institutionsinternational institutions influence the state influence the state interests and behaviors by their structures “interests and behaviors by their structures “of meanings and of meanings and social valuesocial value” but ” but not powernot power. In this book, she applied three . In this book, she applied three cases including the creation of science bureaucracies in states cases including the creation of science bureaucracies in states due to the influence of UNESCO, the role of the Red Cross in due to the influence of UNESCO, the role of the Red Cross in the Geneva Conventions and the World Bank’s influence on the the Geneva Conventions and the World Bank’s influence on the attitude to poverty. These cases show that states are attitude to poverty. These cases show that states are embedded inembedded in dense networks of transnational and international dense networks of transnational and international social relations that shape their perceptions and their social relations that shape their perceptions and their preferences in consistent ways. The international preferences in consistent ways. The international organizations, as a part of the international structure, use their organizations, as a part of the international structure, use their new political goals and new social values to socialize the states new political goals and new social values to socialize the states to redefine their perceptions (identities) and preferences to redefine their perceptions (identities) and preferences (interests) according to the principles and norms of these (interests) according to the principles and norms of these organizations, and finally change their behaviors in their organizations, and finally change their behaviors in their transnational interactions.transnational interactions.

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Alexander WendtAlexander Wendt (1958- ) (1958- )

In 1987…In 1987…““The Agent-structure Problem in International Relations The Agent-structure Problem in International Relations Theory”Theory” （（《《国际关系理论中的施动者国际关系理论中的施动者 -- 结构问题结构问题》》）） in in International OrganizationInternational Organization, two years before his PhD , two years before his PhD graduation from the University of Minnesota. With this graduation from the University of Minnesota. With this article, he challenged two systemic theories (Waltz’s article, he challenged two systemic theories (Waltz’s Neorealism and Wallestein’s world-system theory) by Neorealism and Wallestein’s world-system theory) by questioning their “structural” explanations of how states questioning their “structural” explanations of how states behave in the international system. His own analysis was behave in the international system. His own analysis was based on Giddens’s “Strucuration Theory” and Bhaskar’s based on Giddens’s “Strucuration Theory” and Bhaskar’s Scientific Realism, inserting Scientific Realism, inserting the agent-structure the agent-structure relationshiprelationship as the “hard core”. He argued that as the “hard core”. He argued that agents agents and structures in international systems are “co-and structures in international systems are “co-determined” or “co-constituted”, rather than causality in determined” or “co-constituted”, rather than causality in which the structure decides the state actionswhich the structure decides the state actions..

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In 1992…In 1992…““Anarchy is what states make of it: the social Anarchy is what states make of it: the social construction of power politics”construction of power politics” （（《《无政府状态是国家造就的：无政府状态是国家造就的：权力政治的社会建构权力政治的社会建构》》）） in in International OrganizationInternational Organization. This . This time Wendt challenged the two leading paradigms (Neo-time Wendt challenged the two leading paradigms (Neo-R./Neo-L.) by questioning their core assumptions on R./Neo-L.) by questioning their core assumptions on anarchy. He argued that anarchy. He argued that anarchy is not a given and anarchy is not a given and immutable condition for international politics as the immutable condition for international politics as the rationalist theories claim; rather, it is the consequence of rationalist theories claim; rather, it is the consequence of interactions of statesinteractions of states. States obtain “shared ideas” during . States obtain “shared ideas” during the process of interactions, and these shared ideas the process of interactions, and these shared ideas constitute the property of anarchy. In this sense, constitute the property of anarchy. In this sense, anarchy anarchy is socially constituted, active and dynamic.is socially constituted, active and dynamic.

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In 1994…In 1994…““Collective Identity Formation and the International Collective Identity Formation and the International State”State” （（《《集体身份的形成和国际性国家集体身份的形成和国际性国家》》）） in in The American The American Political Science ReviewPolitical Science Review. In this article, he defined the . In this article, he defined the core claims of Constructivism:core claims of Constructivism:

1) states are the principal units of analysis for 1) states are the principal units of analysis for international political theory;international political theory;

2) the key structures in the states system are inter-2) the key structures in the states system are inter-subjective, rather than material;subjective, rather than material;

3) state identities and interests are in important part 3) state identities and interests are in important part constructed by these social structures, rather than give constructed by these social structures, rather than give exogenously to the system by human nature or domestic exogenously to the system by human nature or domestic politics.politics.

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In 1995…In 1995…““Hierarchy under Anarchy: Informal Empire and the East Hierarchy under Anarchy: Informal Empire and the East German State” German State” （（《《无政府状态下的等级：非正式帝国与东德国无政府状态下的等级：非正式帝国与东德国家家》》）） in in International Organization International Organization (with Friedheim). This (with Friedheim). This article articulated article articulated four sociologies of international politicsfour sociologies of international politics by the responses to two questions: to what extent by the responses to two questions: to what extent structures in the system are material or social (ontology); structures in the system are material or social (ontology); and to what extent the properties of state agents—their and to what extent the properties of state agents—their identities, interests and capabilities—are constructed by identities, interests and capabilities—are constructed by or endogenous to system structures versus intrinsic to or endogenous to system structures versus intrinsic to their nature (methodology). their nature (methodology). According to the answer, international relations theories According to the answer, international relations theories are divided into four possibilities:are divided into four possibilities:

- materialism/individualism - materialism/individualism - materialism/structuralism - materialism/structuralism - idealism/individualism- idealism/individualism- idealism/structuralism- idealism/structuralism√√

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In 1999…In 1999…Social Theory of International Politics Social Theory of International Politics （（《《国际政治的社会理国际政治的社会理论论》》）） could be seen as a collection of the essences of could be seen as a collection of the essences of forenamed articles with systemic formulations. This book forenamed articles with systemic formulations. This book was divided into two parts: In the first part, Wendt defined was divided into two parts: In the first part, Wendt defined his social theory from his social theory from ontologyontology, , methodologymethodology and and epistemologyepistemology, three perspectives different with the , three perspectives different with the rationalistic theories. rationalistic theories. In the second part, Wendt turned to the international In the second part, Wendt turned to the international politics, explaining the politics, explaining the corporate agency of statescorporate agency of states, the , the cultures of anarchycultures of anarchy as well as as well as process of structural process of structural changeschanges. This book helped Constructivism rise from a . This book helped Constructivism rise from a humble reflective approach to a quasi-paradigm in the humble reflective approach to a quasi-paradigm in the 1990s.1990s.

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II.II. An ideational approach to international relationsAn ideational approach to international relations

1.1. International structure is an ideational phenomenon.International structure is an ideational phenomenon. Constructivism emphases the Constructivism emphases the socialitysociality embedded in the material embedded in the material properties of the international structure, especially properties of the international structure, especially the effects of the effects of ideasideas, , the change of identitiesthe change of identities and and the socialization of actors the socialization of actors during their interactionsduring their interactions. .

International structure is the “distribution of knowledge” rather International structure is the “distribution of knowledge” rather than the “distribution of capacities”.than the “distribution of capacities”. It is the “knowledge” that It is the “knowledge” that endows material factors with meaning and significance.endows material factors with meaning and significance.

eg. 500 British nuclear weapons are less threatening to the US eg. 500 British nuclear weapons are less threatening to the US than 5 N. Korean ones. than 5 N. Korean ones. eg. the “structural change” stemmed from the end of the Cold eg. the “structural change” stemmed from the end of the Cold War is actually the “cultural change” in 1989 when the states War is actually the “cultural change” in 1989 when the states changed their perceptions towards the counterparts, but not in changed their perceptions towards the counterparts, but not in 1991 when the structure of the world turns from bipolar to 1991 when the structure of the world turns from bipolar to uni-/multi-polar.uni-/multi-polar.

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2.2. International structure constitutes state identities, and International structure constitutes state identities, and identities constitute interests.identities constitute interests. State identities and interests are constructed by the State identities and interests are constructed by the international system. Wendt divides identities into four international system. Wendt divides identities into four categories: categories:

①① Personal or corporatePersonal or corporate

②② TypeType

③③ RoleRole

④④ CollectiveCollective

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Systemic processes provide dynamics in the external Systemic processes provide dynamics in the external context of state action by two interrelated processes context of state action by two interrelated processes including: 1) rising interdependence, which show state including: 1) rising interdependence, which show state “common threats” and 2) transnational convergence of “common threats” and 2) transnational convergence of domestic values, which promote positive identification of domestic values, which promote positive identification of “We” feeling. Both of the two processes affect not only “We” feeling. Both of the two processes affect not only state behaviors but also their identity formation.state behaviors but also their identity formation.

In a Hobbesian war of all against all, mutual fear prevents In a Hobbesian war of all against all, mutual fear prevents

anything but negative identification with the other, and anything but negative identification with the other, and collective identity finds little room to emerge. collective identity finds little room to emerge.

In a Lockean world of mutually recognized sovereignty, In a Lockean world of mutually recognized sovereignty, states have less fear of being threatened and find more states have less fear of being threatened and find more room to hold positive identification.room to hold positive identification.

In a Kantian world of mutual trust and friendship, states In a Kantian world of mutual trust and friendship, states interact on the basis of collective identities. interact on the basis of collective identities.

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Identities imply interests.Identities imply interests. An actor cannot know what it wants until it An actor cannot know what it wants until it knows who it is. Wendt’s intentional equation: desire + belief=action. knows who it is. Wendt’s intentional equation: desire + belief=action.

In this equation, interests belong to the desire part and identities In this equation, interests belong to the desire part and identities belong to the belief part. Without interests, identities have no belong to the belief part. Without interests, identities have no motivational force, without identities interests have no direction. motivational force, without identities interests have no direction. Here, identities refer to the Here, identities refer to the shared ideasshared ideas between actors. between actors.

Q:Q:

Why 5 Why 5 unclear unclear weapons weapons of N. of N. Korea Korea make the make the US US feared, feared, but 500 but 500 unclear unclear weapons weapons of Britain of Britain do not?do not?

A:A:

It depends on how the US represents the N. It depends on how the US represents the N. Korea. When the US sees the latter as a Korea. When the US sees the latter as a non-democratic country, its representation non-democratic country, its representation of the latter’s image is hostile. With such of the latter’s image is hostile. With such image in mind, the US presumes that the N. image in mind, the US presumes that the N. Korea is an enemy and whatever it does, it Korea is an enemy and whatever it does, it will harm the US interests. So the will harm the US interests. So the procession of nuclear weapons is a threat, procession of nuclear weapons is a threat, only if the US preempts to stop the latter’s only if the US preempts to stop the latter’s action may it secure its safety. action may it secure its safety.

But if the US has no such presumption, then But if the US has no such presumption, then it will not be feared and cautious about the it will not be feared and cautious about the possession of the N. Korea, and will not possession of the N. Korea, and will not embarrass the latter. embarrass the latter.

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3.3. Interaction is a key concept for constructivism.Interaction is a key concept for constructivism. Like the on-going process of our daily life in the society, the Like the on-going process of our daily life in the society, the daily life of international politics is daily life of international politics is an on-going processan on-going process of of states taking identities in relation to Other, casting them states taking identities in relation to Other, casting them into corresponding counter-identities, and playing out the into corresponding counter-identities, and playing out the result. result. InteractionsInteractions promote the formation and promote the formation and development of shared ideas, and change the identities development of shared ideas, and change the identities and interests of actors, so that a new interaction will be and interests of actors, so that a new interaction will be formed. This process is carried out in the form of a formed. This process is carried out in the form of a continuous cycle, during which the international structure continuous cycle, during which the international structure and state agents co-constitute all along. This is why the and state agents co-constitute all along. This is why the yesterday’s enemies can turn into today’s friends, as has yesterday’s enemies can turn into today’s friends, as has been shown in the transition from the “security dilemma” been shown in the transition from the “security dilemma” to the “security communities”. to the “security communities”.

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III.III. Constructivist approach to cooperationConstructivist approach to cooperation

1.1. Possibility of cooperationPossibility of cooperation

Constructivism accepted the assumption of anarchy, but Constructivism accepted the assumption of anarchy, but it denies the singularity of the “logic of anarchy”. it denies the singularity of the “logic of anarchy”. Instead, it assumes that anarchy can have three kinds Instead, it assumes that anarchy can have three kinds of structure based on what kind of roles (enemy, rival, of structure based on what kind of roles (enemy, rival, friend) dominate the system. These role identities form friend) dominate the system. These role identities form three international structure cultures: three international structure cultures:

Hobbesian — Lockeian — Kantian Hobbesian — Lockeian — Kantian

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Hobbesian cultureHobbesian culture

①① Relationship between Self and Other is “enmity”. This has Relationship between Self and Other is “enmity”. This has four implications to ir: four implications to ir:

tend to destroy or conquer the enemies; tend to destroy or conquer the enemies; make decisions by taking the worst-case into account and make decisions by taking the worst-case into account and

neglecting the future; neglecting the future; see relative military capacities as the key factor and the see relative military capacities as the key factor and the

development of such capacities as the only guarantee to development of such capacities as the only guarantee to the security; the security;

use violence without self-limitation in an actual war until use violence without self-limitation in an actual war until the eradication of one side, and be ready to preempt in any the eradication of one side, and be ready to preempt in any potential wars.potential wars.

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Lockean cultureLockean culture②② Relationship between Self and Other is “rivalry”. This has Relationship between Self and Other is “rivalry”. This has

four implications to ir: four implications to ir:

Mutual recognition of sovereignty. States have Mutual recognition of sovereignty. States have identification on not breaking the status quo of sovereignty. identification on not breaking the status quo of sovereignty.

Emphasis of absolute gains. Since survival is no longer the Emphasis of absolute gains. Since survival is no longer the most pressing issue between states, the competitors can be most pressing issue between states, the competitors can be more rational and pay more attention to their anticipated more rational and pay more attention to their anticipated gains and losses. gains and losses.

Decline of the weight of military power. Though military Decline of the weight of military power. Though military power is still used to settle disputes, states try to reduce power is still used to settle disputes, states try to reduce the possibilities to use it and find more peaceful ways to the possibilities to use it and find more peaceful ways to settle the problems, such as the allies and negotiations. settle the problems, such as the allies and negotiations.

Limit of violence in wars. Since states recognize and Limit of violence in wars. Since states recognize and guarantee each other’s survival, they will not intend to use guarantee each other’s survival, they will not intend to use violence to ruin the opposite.violence to ruin the opposite.

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Kantian cultureKantian culture

③③ Relationship between Self and Other is “friendship”. Relationship between Self and Other is “friendship”.

The aim of state actions is to make The aim of state actions is to make collective securitycollective security in in which “all for one, one for all”: when the security of any one which “all for one, one for all”: when the security of any one member of the system is threatened by aggression, all member of the system is threatened by aggression, all members are supposed to come to its defense even if their members are supposed to come to its defense even if their own individual security is not at stake. This kind of own individual security is not at stake. This kind of cooperation does not come out from egoism, but from the cooperation does not come out from egoism, but from the common perception of states that all of them belong to the common perception of states that all of them belong to the same security unit.same security unit.

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小结：小结：①① The international anarchy is an “empty vessel”; it is the The international anarchy is an “empty vessel”; it is the

agents and the relationship of the agents in it that give the agents and the relationship of the agents in it that give the significance of anarchy. Different representations of Self significance of anarchy. Different representations of Self and Other (enemies, rivals, friends) constitute different and Other (enemies, rivals, friends) constitute different cultures of anarchy (Hobbesian, Lockean, Kantian). cultures of anarchy (Hobbesian, Lockean, Kantian).

②② the international system culture has two features:the international system culture has two features: A certain degree of A certain degree of stabilitystability due to the fundamentally due to the fundamentally

conservative nature of culture. conservative nature of culture. Evolution from the lower degree to the higher degree. With Evolution from the lower degree to the higher degree. With

each “higher” international culture states acquire certain each “higher” international culture states acquire certain rights. (eg. Lockean-sovereignty, Kantian-freedom from rights. (eg. Lockean-sovereignty, Kantian-freedom from violence and security assistance)violence and security assistance)

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2.2. Constraints of cooperationConstraints of cooperationWhether cooperation can take place depends on how Whether cooperation can take place depends on how structure cultures are internalized by states. States structure cultures are internalized by states. States belonging to a certain system culture will internalize the belonging to a certain system culture will internalize the culture to three degrees: force (Realist hypothesis), price culture to three degrees: force (Realist hypothesis), price (Neoliberal or rationalist) and legitimacy (Idealist or (Neoliberal or rationalist) and legitimacy (Idealist or constructivist). constructivist).

①① 11stst stage of internalization: stage of internalization:

states know what shared culture is but have no intrinsic states know what shared culture is but have no intrinsic interests to accept its implications for their behavior. interests to accept its implications for their behavior. They collaborate just because they meet with material They collaborate just because they meet with material coercion or they anticipate potential threaten. What they coercion or they anticipate potential threaten. What they really pursue is still to conquer the others and to create a really pursue is still to conquer the others and to create a world empire. Cooperation is a short-time strategy.world empire. Cooperation is a short-time strategy.

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Case: Why N. Korea joined the NPT (Non-Proliferation Treaty) Case: Why N. Korea joined the NPT (Non-Proliferation Treaty) in 1985 while retreated from it in 2003?in 1985 while retreated from it in 2003?

In the 1980s, it decided to join in the NPT mainly for In the 1980s, it decided to join in the NPT mainly for eliminating the nuclear threat from the US and solving the eliminating the nuclear threat from the US and solving the problem of insufficiency of electric power with nuclear problem of insufficiency of electric power with nuclear power. As to the latter, the then-common way of applying power. As to the latter, the then-common way of applying nuclear power was to establish light-water reactor nuclear nuclear power was to establish light-water reactor nuclear (LWN) power plant fueled by low-enriched uranium. N. (LWN) power plant fueled by low-enriched uranium. N. Korea did not master the complicated technology of LWN Korea did not master the complicated technology of LWN and it decided to buy from those countries that have. and it decided to buy from those countries that have. However the fact at that moment was that those who However the fact at that moment was that those who mastered the advanced technology of LWN such as Canada, mastered the advanced technology of LWN such as Canada, Switzerland, France and some other western countries were Switzerland, France and some other western countries were restricted by COCOM; and the Soviet Union who agreed to restricted by COCOM; and the Soviet Union who agreed to sell it the technology imposed N. Korea to sign the NPT. sell it the technology imposed N. Korea to sign the NPT. Considering the treaty was in its vital interest to prevent Considering the treaty was in its vital interest to prevent the nuclear threat from the US, it participated in the the nuclear threat from the US, it participated in the international nuclear cooperation and joined in the NPT on international nuclear cooperation and joined in the NPT on Dec. 12, 1985. Yet after that, it has less consistent pressure Dec. 12, 1985. Yet after that, it has less consistent pressure from the Soviet Union but still enough fear of the US threat, from the Soviet Union but still enough fear of the US threat, which made it claimed to retreat from the treaty two times which made it claimed to retreat from the treaty two times and finally did it on Jan. 11, 2003.and finally did it on Jan. 11, 2003.

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②② 22ndnd stage of internalization: stage of internalization:

States accept shared meanings of cooperation because States accept shared meanings of cooperation because they think the compliance of the norm is in their self-they think the compliance of the norm is in their self-interest. Since the acceptance is driven by the self-interest. Since the acceptance is driven by the self-regarding calculation, it is instrumental. This means only regarding calculation, it is instrumental. This means only when states feel no external threats to their own interests when states feel no external threats to their own interests will they comply with the norm. As soon as they estimate will they comply with the norm. As soon as they estimate that following the rules outweigh the benefits, they will that following the rules outweigh the benefits, they will abandon cooperative behavior. abandon cooperative behavior.

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Case: Why the US plays a duo-role in face of international Case: Why the US plays a duo-role in face of international environmental cooperation?environmental cooperation?

On the one hand, it was the prime proponent and creator of On the one hand, it was the prime proponent and creator of international environmental organizations in the 1970s and international environmental organizations in the 1970s and has been long an enthusiastic pioneer appealing for has been long an enthusiastic pioneer appealing for worldwide efforts to protect global environmental; on the worldwide efforts to protect global environmental; on the other hand, it is now widely perceived as an obstacle to other hand, it is now widely perceived as an obstacle to collective action symbolized by the collective action symbolized by the Kyoto ProtocolKyoto Protocol which which requires the signatories to reduce gas emissions that requires the signatories to reduce gas emissions that contribute to global warming. Considering the high contribute to global warming. Considering the high standards of gas emission required in the Protocol may standards of gas emission required in the Protocol may result in high costs to American industry, the Senate passed result in high costs to American industry, the Senate passed the “Byrd-Hagel Resolution” on June 25, 1997 (S. Res. 98) the “Byrd-Hagel Resolution” on June 25, 1997 (S. Res. 98) which warmed the US gov. not to be a signatory to the which warmed the US gov. not to be a signatory to the Protocol, otherwise it will “result in serious harm to the Protocol, otherwise it will “result in serious harm to the United States economy, including significant job loss, trade United States economy, including significant job loss, trade disadvantages, increased energy and consumer costs, or disadvantages, increased energy and consumer costs, or any combination thereof…” Although then-Vice President Al any combination thereof…” Although then-Vice President Al Gore signed the Protocol in Nov. 1998, the US gov. has Gore signed the Protocol in Nov. 1998, the US gov. has never submitted to Congress for ratification, which makes never submitted to Congress for ratification, which makes the signature an useless logo. the signature an useless logo.

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③③ 33rdrd stage of internalization: stage of internalization:

States identify with others’ expectations, relating them as States identify with others’ expectations, relating them as a part of themselves. The significance of the Self is created a part of themselves. The significance of the Self is created in relation to the Other. Cooperative culture has been the in relation to the Other. Cooperative culture has been the background of states. It constitutes the positive background of states. It constitutes the positive identification between states, which means states identification between states, which means states cooperate on the basis of collective identities. Each of cooperate on the basis of collective identities. Each of them regards its own interests as part of the common them regards its own interests as part of the common interests of “theirs” and it believes that what is good for its interests of “theirs” and it believes that what is good for its interests benefit “their” interests. Under these interests benefit “their” interests. Under these circumstances, states are bond together with confidence circumstances, states are bond together with confidence and trust. and trust.

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Case: The European Union Case: The European Union

At the very beginning, the foundation of the EU was At the very beginning, the foundation of the EU was facilitated by functional questions. State cooperated facilitated by functional questions. State cooperated because they were afraid of another war, in particular the because they were afraid of another war, in particular the rearmament of Germany, and were eager to get recovery rearmament of Germany, and were eager to get recovery from the war, as portrayed in the Schuman Declaration of from the war, as portrayed in the Schuman Declaration of May 9, 1950: “The pooling of coal and steel production May 9, 1950: “The pooling of coal and steel production should immediately provide for the setting up of common should immediately provide for the setting up of common foundations for economic development as a first step in the foundations for economic development as a first step in the federation of Europe, and will change the destinies of those federation of Europe, and will change the destinies of those regions which have long been devoted to the manufacture regions which have long been devoted to the manufacture of munitions of war, of which they have been the most of munitions of war, of which they have been the most constant victims.”constant victims.”However in the process of integration, countries felt that However in the process of integration, countries felt that they often benefited more when they made collective they often benefited more when they made collective decisions than did individually. From the common market to decisions than did individually. From the common market to the single currency “euro” and from immigration policies to the single currency “euro” and from immigration policies to ERASMUS student programs, factors stimulating the ERASMUS student programs, factors stimulating the cooperation among states have been more than just cooperation among states have been more than just material factors but also more and more cooperative material factors but also more and more cooperative cultures. cultures.

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小结：小结：

The lower internalization of cooperative norms is, the less The lower internalization of cooperative norms is, the less self-conscious states are in cooperation and the less stable self-conscious states are in cooperation and the less stable the cooperation will be. the cooperation will be.

On the contrary, the higher internalization of cooperative On the contrary, the higher internalization of cooperative norms is, the more self-conscious states are and the more norms is, the more self-conscious states are and the more stable and lasting the cooperative action will be. stable and lasting the cooperative action will be.

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3.3. Approach to cooperationApproach to cooperation

Cooperative behaviors may occur in Cooperative behaviors may occur in anyany system culture system culture but their levels vary according to different levels of but their levels vary according to different levels of internalization of the cooperative ideas by states. internalization of the cooperative ideas by states. Constructivism gives more attention to the cooperation in Constructivism gives more attention to the cooperation in the sense of the conscious abidance of “norms” the sense of the conscious abidance of “norms” stemming from the internalization of cooperative stemming from the internalization of cooperative knowledge. knowledge.

Adler’s “Three-Tier” assumption on the formation of Adler’s “Three-Tier” assumption on the formation of security communitiessecurity communities

Wendt’s four “master variables” in the formation of Wendt’s four “master variables” in the formation of collective identitiescollective identities

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““Three-Tier”- 1Three-Tier”- 1stst tier tier

The first tier consists of material factors such as The first tier consists of material factors such as technological developments and external threats.technological developments and external threats.

They are the precipitating conditions for cooperation, which They are the precipitating conditions for cooperation, which encourage states to orient themselves in each other’s encourage states to orient themselves in each other’s direction and coordinate their policies. Today, states direction and coordinate their policies. Today, states engaged in the globalization and the development of new engaged in the globalization and the development of new technologies all face severe challenges from demographic, technologies all face severe challenges from demographic, economic and environmental problems.economic and environmental problems. On this tier, On this tier, states realize that accelerate interactions and coordination states realize that accelerate interactions and coordination will help reduce mutual fear and promote a more promising will help reduce mutual fear and promote a more promising future for all the participants, but there is no expectation future for all the participants, but there is no expectation that these initial encounters and acts of cooperation that these initial encounters and acts of cooperation produce trust or mutual identification. Cooperation is produce trust or mutual identification. Cooperation is promoted by external forces.promoted by external forces.

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Case:Case: As a result of industrial development, the rapidly increased emission of As a result of industrial development, the rapidly increased emission of

CO2 has been pricking up the trend of global warming, therefore, many CO2 has been pricking up the trend of global warming, therefore, many countries hope to cooperate through international treaties and countries hope to cooperate through international treaties and organizations to resolve the problems that have already emerged and organizations to resolve the problems that have already emerged and prevent the potential ones to safeguard the survival of the entire world.prevent the potential ones to safeguard the survival of the entire world.

In Southeast Asia, the ASEAN Regional Forum (ARF) established in 1994 In Southeast Asia, the ASEAN Regional Forum (ARF) established in 1994 has not only been the first multilateral mechanism for East Asian has not only been the first multilateral mechanism for East Asian cooperation, but also a crisis-settling mechanism during the development cooperation, but also a crisis-settling mechanism during the development of this region. In 1997, countries in this region were badly hit by an of this region. In 1997, countries in this region were badly hit by an unprecedented financial crisis. Shocked by the economic symbiosis with unprecedented financial crisis. Shocked by the economic symbiosis with their neighbors, ASEAN countries sketched out the their neighbors, ASEAN countries sketched out the ASEAN Vision 2020ASEAN Vision 2020 at at the end of that year, envisioning a community where ASEAN countries can the end of that year, envisioning a community where ASEAN countries can work together to get through any “1997 crisis” as well as prevent the work together to get through any “1997 crisis” as well as prevent the potential problems. Since then, countries in the ASEAN region encountered potential problems. Since then, countries in the ASEAN region encountered many common problems during which the security situation has been many common problems during which the security situation has been arresting. The US adjusted its military deployment in East Asia and arresting. The US adjusted its military deployment in East Asia and reinforced its military alliances in this region; North Korea became a reinforced its military alliances in this region; North Korea became a dangerous factor sabotaging the East Asian stability and security; after 911 dangerous factor sabotaging the East Asian stability and security; after 911 in 2001, regional and international terrorists became rampant, together in 2001, regional and international terrorists became rampant, together with ethnic separatism, religious extremism, transnational crimes and the with ethnic separatism, religious extremism, transnational crimes and the like. Under these circumstances, the 9like. Under these circumstances, the 9thth ASEAN Summit in 2003 brought ASEAN Summit in 2003 brought the concept of the ASEAN Security Community (ASC) as part of the ASEAN the concept of the ASEAN Security Community (ASC) as part of the ASEAN Community by 2020, vowing that East Asian countries work together to Community by 2020, vowing that East Asian countries work together to fight back against the common threats and guarantee the security of all. fight back against the common threats and guarantee the security of all.

After 911, countries of the Shanghai Cooperation Organization including After 911, countries of the Shanghai Cooperation Organization including China, Russia and four middle Asian countries work more closely to jointly China, Russia and four middle Asian countries work more closely to jointly response to the war on terror on the national and regional level. response to the war on terror on the national and regional level.

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““Three-Tier”- 2Three-Tier”- 2ndnd tier tier

The second tier consists of the “structural” elements of The second tier consists of the “structural” elements of power and ideas, and the “process” elements of power and ideas, and the “process” elements of transactions, international organizations, and social transactions, international organizations, and social learning.learning.

These variables imply that states have become involved in These variables imply that states have become involved in a series of social interactions that have begun to transform a series of social interactions that have begun to transform the environment in which they are embedded. On this tier, the environment in which they are embedded. On this tier, power still plays an important role. In the formation of power still plays an important role. In the formation of security communities, power can be a magnet; a security communities, power can be a magnet; a community formed around a group of strong Powers community formed around a group of strong Powers creates the expectations that weaker states that join the creates the expectations that weaker states that join the community will be able to enjoy the security and potentially community will be able to enjoy the security and potentially other benefits that are associated with that community. other benefits that are associated with that community.

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Case:Case:After the cold war, East European countries joined in the After the cold war, East European countries joined in the NATO which was actually dominated by the US. As a matter NATO which was actually dominated by the US. As a matter of fact, the willingness of these East European countries to of fact, the willingness of these East European countries to join in the NATO did not derive from the organization itself; join in the NATO did not derive from the organization itself; rather, they are attracted by the super power of the US in rather, they are attracted by the super power of the US in the organization, hoping that they could benefit from a the organization, hoping that they could benefit from a security shelter through a closer relationship with the security shelter through a closer relationship with the organization. France is an interesting case. In 1966, General organization. France is an interesting case. In 1966, General De Gaulle quitted the NATO in order to guarantee the De Gaulle quitted the NATO in order to guarantee the independence of its national security, however in 2009, independence of its national security, however in 2009, President Nicolas Sarkozy make it turn back. Although President Nicolas Sarkozy make it turn back. Although plenty of reasons are used to explain Sarkozy’s decision, it plenty of reasons are used to explain Sarkozy’s decision, it is very clear that France at this stage is also attracted by is very clear that France at this stage is also attracted by the super power of the US, hoping to gain more weights to the super power of the US, hoping to gain more weights to restore its “great power” status through a closer restore its “great power” status through a closer cooperation with the US in an US-dominated institution. As cooperation with the US in an US-dominated institution. As Sarkozy argued in a speech at the French military school, Sarkozy argued in a speech at the French military school, France can not let the US discuss with Russia at one corner France can not let the US discuss with Russia at one corner and leave itself on the distant continent. Only if France gets and leave itself on the distant continent. Only if France gets closer to the core of the US can it be more conductive to closer to the core of the US can it be more conductive to enhance the world status of France and the Europe as a enhance the world status of France and the Europe as a whole in the international system.whole in the international system.

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““Three-Tier”- 3Three-Tier”- 3rdrd tier tier

The third tier consists of the development of trust and The third tier consists of the development of trust and collective identity formation.collective identity formation.

The contents of this tier are conducted by those of the The contents of this tier are conducted by those of the second tier and are in turn the proximate necessary second tier and are in turn the proximate necessary conditions for the development of dependable expectations conditions for the development of dependable expectations of peaceful change. Trust among states is socially of peaceful change. Trust among states is socially constructed on the bases of years of experiences and constructed on the bases of years of experiences and encounters. As long as mutual understanding and beliefs encounters. As long as mutual understanding and beliefs are formed during the process of interactions, states will are formed during the process of interactions, states will feel little fear or suspicions from the others, and act even feel little fear or suspicions from the others, and act even without enough information about what the relevant states without enough information about what the relevant states will do in the next step. will do in the next step.

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Case:Case:

Think about the extent to which great powers concern with Think about the extent to which great powers concern with the possession of unclear weapons between “democratic” the possession of unclear weapons between “democratic” and “non-democratic” states... and “non-democratic” states...

Adler illustrates in his framework of security communities Adler illustrates in his framework of security communities that democratic nuclear powers do not feel threatened by that democratic nuclear powers do not feel threatened by each other’s nuclear weapons; even when in 1965 France each other’s nuclear weapons; even when in 1965 France withdrew from the NATO integrated command and insisted withdrew from the NATO integrated command and insisted on maintaining an independent nuclear force, other NATO on maintaining an independent nuclear force, other NATO allies did not interpret this as a military threat against their allies did not interpret this as a military threat against their physical survival. But these same countries are extremely physical survival. But these same countries are extremely concerned if Iraq or Iran is developing a nuclear weapons concerned if Iraq or Iran is developing a nuclear weapons program. This has the same meaning with Wendt’s example program. This has the same meaning with Wendt’s example in his constructivism that 500 British nuclear weapons are in his constructivism that 500 British nuclear weapons are less threatening to the US than 5 N. Korean ones because less threatening to the US than 5 N. Korean ones because there are shared understandings between Britain and the there are shared understandings between Britain and the US. The US has the belief that the British possession of US. The US has the belief that the British possession of nuclear weapons will not be a threat to itself, while it is not nuclear weapons will not be a threat to itself, while it is not the case for the N. Korea. the case for the N. Korea.

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Wendt’s “master variables”-1/4 Wendt’s “master variables”-1/4 interdependence interdependence

Interdependence means the outcome of an interaction for Interdependence means the outcome of an interaction for each depends on the choices of the others.each depends on the choices of the others.

Case:Case:

Since the second half of the 20Since the second half of the 20thth C., the rapid development C., the rapid development of information technology and communication technology of information technology and communication technology has greatly reduced the transaction costs of cross-border has greatly reduced the transaction costs of cross-border interactions; the mobility of people, goods, money and interactions; the mobility of people, goods, money and information has been more frequent than any time in our information has been more frequent than any time in our history. This has been most evident in the field of history. This has been most evident in the field of economies, especially when there is a regional or global economies, especially when there is a regional or global crisis, as what we have learned from the 1997 Asian crisis, as what we have learned from the 1997 Asian financial crisis and the 2008 global financial crisis. This is financial crisis and the 2008 global financial crisis. This is the precondition of collective identities. the precondition of collective identities.

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Wendt’s “master variables”-2/4 Wendt’s “master variables”-2/4 common fate common fate

Common fate means individual survival, fitness, or welfare Common fate means individual survival, fitness, or welfare depends on what happens to the group as a whole. It is depends on what happens to the group as a whole. It is constituted by a third party who defines the first two as a constituted by a third party who defines the first two as a group.group.

Case: Case: During the Cold War, states from the same camp were all During the Cold War, states from the same camp were all confronted by those from the opposite camp, only if it worked with confronted by those from the opposite camp, only if it worked with the others who had the same destiny could it ensure its survival. the others who had the same destiny could it ensure its survival.

Another possibility is that states envisage the common external Another possibility is that states envisage the common external threats but the threats are not as acute as the former case. In this threats but the threats are not as acute as the former case. In this case, states will have less dynamics to initiate cooperation unless case, states will have less dynamics to initiate cooperation unless more ideological labor is given by some advocates in representing more ideological labor is given by some advocates in representing themselves as having a common fate. (eg. the international themselves as having a common fate. (eg. the international cooperation on global warming) cooperation on global warming)

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Wendt’s “master variables”-3/4 Wendt’s “master variables”-3/4 homogeneityhomogeneity

Homogeneity refers to the alikeness on the corporate Homogeneity refers to the alikeness on the corporate identities and type identities of different actors.identities and type identities of different actors.

Case:Case:For example, the EU and China share little homogeneity either in For example, the EU and China share little homogeneity either in their corporate identities or type identities. On the one side, the their corporate identities or type identities. On the one side, the EU is not a nation-state in the traditional sense, its relationship EU is not a nation-state in the traditional sense, its relationship with China is thus different from the traditional bilateral relations with China is thus different from the traditional bilateral relations between its member states and China. On the other side, the EU is between its member states and China. On the other side, the EU is a capitalist entity while China is a socialist country. There are big a capitalist entity while China is a socialist country. There are big differences in their domestic economic and political system, which differences in their domestic economic and political system, which make misunderstandings and disputes unavoidable in their make misunderstandings and disputes unavoidable in their interactions. Recognition of these differences can help us interactions. Recognition of these differences can help us understand the puzzles and frictions in the interaction process, understand the puzzles and frictions in the interaction process, engaging both sides in self-restraint and the efforts of “seeking engaging both sides in self-restraint and the efforts of “seeking common ground while reserving differences”.common ground while reserving differences”.

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Wendt’s “master variables”-4/4Wendt’s “master variables”-4/4self-self-restraintrestraint

Self-restraint refers to the fundamental problem in the Self-restraint refers to the fundamental problem in the formation of collective identity, that is, trust exists between formation of collective identity, that is, trust exists between actors in the absence of a third party. actors in the absence of a third party.

There are three possibilities for knowing the intentions of other There are three possibilities for knowing the intentions of other states:states:

1)1) by observing each other’s habitual compliance, especially if it is by observing each other’s habitual compliance, especially if it is accompanied by foreign policy rhetoric that does not complain accompanied by foreign policy rhetoric that does not complain about the rules nor are likely to seize opportunities for doing so, about the rules nor are likely to seize opportunities for doing so, and as such can be trusted to respect the needs of the Self. and as such can be trusted to respect the needs of the Self.

2)2) by observing the domestic politics of each other, one can assume by observing the domestic politics of each other, one can assume if it can trust the other, because states will tend to externalize or if it can trust the other, because states will tend to externalize or transpose domestic ways of doing things in their foreign policy transpose domestic ways of doing things in their foreign policy behavior. behavior.

3)3) by self-binding, which means states allay the other’s anxiety by self-binding, which means states allay the other’s anxiety about its intentions through unilateral initiatives, with no about its intentions through unilateral initiatives, with no expectation of special reciprocity.expectation of special reciprocity.

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4.4. ConclusionConclusion ：： Strength and weaknessStrength and weakness

①① Logic of the interaction process:Logic of the interaction process:

State interaction and perception of their relationshipState interaction and perception of their relationship

State identity formation and interest definitionState identity formation and interest definition

External behavior according to interestsExternal behavior according to interests

Formation of interstate relationshipFormation of interstate relationship

Another interaction and perceptionAnother interaction and perception

…… ……

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②② Some questioning (criticism):Some questioning (criticism):

It has no clear definition for international cooperation. According It has no clear definition for international cooperation. According to Adler and Wendt, interstate cooperation may exist in all stages to Adler and Wendt, interstate cooperation may exist in all stages and from all possible motivations: some are forced by threats, and from all possible motivations: some are forced by threats, some are driven by interests, and some are driven by sincere some are driven by interests, and some are driven by sincere trust and confidence. This makes the definition of cooperation trust and confidence. This makes the definition of cooperation quite broad, as if the term itself can be interpreted whatever one quite broad, as if the term itself can be interpreted whatever one likes.likes.

homogeneity facilitates the formation of collective identity and homogeneity facilitates the formation of collective identity and cooperation, but to what extent does the homogeneity issue cooperation, but to what extent does the homogeneity issue matter the cooperation among the states of heterogeneity? When matter the cooperation among the states of heterogeneity? When homogeneity functions well in promoting cooperation among the homogeneity functions well in promoting cooperation among the western countries, how should we survey the relationship of western countries, how should we survey the relationship of Western and non-Western civilizations? Western and non-Western civilizations?

Where do the ideas of states come from? If “states are people Where do the ideas of states come from? If “states are people too”, do a state’s ideas equal the sum of its people’s? Why have too”, do a state’s ideas equal the sum of its people’s? Why have some states owned more right to speak than the others in world some states owned more right to speak than the others in world affairs? After all, the international society is different from any affairs? After all, the international society is different from any domestic societies. The formation of a state’s perception may be domestic societies. The formation of a state’s perception may be affected by many factors, not only the material capacities the affected by many factors, not only the material capacities the state possesses but also the influence of certain important state possesses but also the influence of certain important persons, lobbies as well as international uncertainties. persons, lobbies as well as international uncertainties.

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参考书目：

秦亚青编：《西方国际关系理论经典导读》第三编“建构主义”部分。 Wendt, “The Agent-structure Problem in International Relations Theory,”

International Organization, Vol. 41, No.3 (Summer 1987). Wendt, “Collective Identity Formation and the International State,” The

American Political Science Review, Vol. 88, No. 2 (June 1994). Wendt, Social Theory of International Politics, Cambridge: Cambridge

University Press, 1999. Nicholas Onuf, World of Our Making: rules and rule in social theory and

international relations (University of South Carolina Press, 1989). Peter Katzenstein (ed.), The Culture of National Security: Norms and

Identity In World Politics (New York: Columbia University Press, 1996). Peter Katzenstein, A World of Regions: Asia and Europe in the American

Imperium (Ithaca and London: Cornell University Press, 2005). Martha Finnemore, National Interests in International Society (Ithaca and

London: Cornell University Press, 1996). Emanuel Adler and Michael Barnett (eds.), Security Communities

(Cambridge: Cambridge University Press, 1998). Ted Hopf, “The Promise of Constructivism in International Relations

Theory,” International Security, Vol. 23, No. 1 (Summer 1998).

注：部分有中文版，可对照阅读。

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