Chapter 5The State

The State and Nation

• State (fundamental conditions/legal criteria)− Territorial base, geographically defined

boundary (territory and borders)− Stable population− Government to which population has allegiance− Diplomatic recognition by other states

• Nation (a psychological attachment)− Group of people who share a set of

characteristics (history, heritage, language, customs, lifestyles, etc.)

• Nation-states; stateless nations; multinational states; nations across states

Liberal View of the State

• Process involving contending interests• Reflection of both governmental and societal

interests• Repository of multiple and changing national

interests• Possessor of fungible sources of power• State is sovereign, but not autonomous• A pluralist arena whose function is to maintain

basic rules of the game• No explicit or consistent national interest; there

are many• National interests change reflecting interests and

relative power positions of competing groups inside and outside the state

Realist View of the State

• An autonomous actor constrained only by anarchy of international system

• State enjoys sovereignty; authority to govern matters within its own borders and affect its people, economy, security, and form of government

• State has consistent set of goals, a national interest, defined in terms of power

• Power is of primary importance (especially military power), yet ideas also matter

• A statist, state-centric view• According to realists, once the state acts, it does

so as an autonomous, unitary actor

Radical View of the State

• Two slightly different views: instrumental and structural Marxist views

• Each emphasizes role of capitalism and capitalist class in formation, functioning of the state

• Instrumental view− State is the executing agent of the bourgeoisie− Reacts to pressures from the capitalist class

• Structural view− State operates within structure of the international

capitalist system− State driven to expand due to imperatives of capitalist

system• State action reflects economic goals• Sovereignty, autonomy is not possible because

state reacts to internal/external capitalist pressure

Constructivist View of the State

• National interests/identities social constructs• National interests are neither material nor given;

they are ideational and ever-changing in response to domestic factors and international norms/ideas

• States share a variety of goals and values, which they are socialized into by IGOs and NGOs

• Norms can change state preferences, behavior• States have multiple identities, which also

changes, altering state preferences and behavior

State Power Potential

• Power = ability to influence others and control outcomes; produce outcomes that would not have occurred naturally

• Outcome of interactions (within and between states) determined by power potential (natural, tangible, intangible)

• Natural sources of state power− Geographic size and position− Natural resources− Population

• Tangible sources of state power− Industrial development

• Intangible sources of state power− National image− Public support− Leadership

Exercise of State Power• Diplomacy = trying to influence behavior of other actors

by negotiating, taking or refraining from a specific action, or public diplomacy

− Complicated by “two-level games (among states and within states between domestic constituencies) and cultural differences

• Economic statecraft = positive and negative sanctions− Positive sanctions – offering a “carrot,” rewarding moves in

desired direction− Negative sanctions – brandishing a “stick,” threatening/taking

action that punishes• Force (or threat of force) depends on clarity, credibility

(capacity to follow through) − Compellence = threat of force to get a state to do/undo some

action− Deterrence = commitment to punish a state if it takes undesired

action

Conceptualizing Choices: Game Theory

• Way to more systematically analyze choices states make and probable outcomes

• Assumes state is unitary actor with one national interest and has unique set of options and stipulates payoffs

• Applicable to zero-sum (one player wins and the other loses) and non-zero-sum (positive sum) games

• Advantages: simplification; clarifies choices; enables analyst to see options of the other

• Weaknesses: assumes unitary state (ignores internal factors); rationality; payoffs may be arbitrary; single interaction rather than ongoing

Foreign Policy: Rational Model

• Common to most policymakers (most Realists)• Action chosen to maximize strategic goals and

objectives• State is assumed to be unitary with established goals,

a set of options, and a formula for deciding which option is best to achieve goals

• Perhaps most applicable in times of crisis, when there is a short time to react, when one knows little about the decision-making process in other state

Bureaucratic/Organizational Model

• Foreign policy decisions product of either sub-national governmental organizations or bureaucracies

• Organizational politics emphasizes standard operating procedures (SOPs) and processes

− Decisions depend on precedents− Major changes in policy unlikely, likely to be incremental

• Bureaucratic politics occurs among members of bureaucracy representing different interests

− Decisions result from struggle among departments, groups, or individuals

• Outcomes dependent on power of bureaucratic players and/or organizations

Pluralist Model/Radical View

• Foreign policy decisions product of bargaining among domestic sources – public, interest groups, mass movements, and MNCs

• Decisions reflect diverse societal interests and strategies

• For Realists and Liberals, states have real choices• For Radicals, states have few real choices

− Capitalist states’ interests are determined by structure of international system and foreign policy decisions are dictated by economic imperatives of the dominant class

Comparing Perspectives on State Power and Policy

Liberalism/Neoliberal

Institutionalism

Realism/Neorealism Radicalism/Dependency Theory

Nature of state policy

Multiple power sources; tangible and intangible

Emphasis on power as key concept in international relations; geography, natural resources, population especially important

Economic power organized around classes

Using state power

Broad range of power techniques; preference for non-coercive alternatives

Emphasis on coercive techniques of power; use of force acceptable

Weak have few instruments of power

How foreign policy is made

Organizational/bureaucratic and pluralist models of decision-making

Emphasis on rational model of decision-making; unitary state actor assumed

States have no real choices; decisions dictated by economic elites

Determinants of foreign policy

Largely domestic Largely external/international determinants

Largely external determinants; co-opted internal elements

Challenges to the State• Process of globalization – growing integration in politics,

economics, communications, and culture – increasingly undermines traditional state sovereignty

− Politically: globalizing issues force states to cooperate and compromise sovereignty

− Economically: internationalization of trade, finance, production, consumption, MNCs, weaken state’s capacity to regulate economic policies

− Culturally: new, intrusive technologies undermine state control over information

• Rise of transnational crime – difficult to control• Transnational movements (especially religious and

ideological; e.g., Christian fundamentalism, Islamic fundamentalism) – call for turn away from state loyalty toward religious ideas

• Ethnonational movements – seek national self-determination

Discussion questions1. Using your understanding of the key ingredients of state power

potential and supporting your position with specific examples, present an argument for or against the following statement: “______ is a powerful state.”

2. Describe and justify your selection of the two most important differences between the realist and liberal views of the state.

3. State A has made a credible threat to invade its neighbor, State B. As an influential world leader, you have been asked to submit a proposal recommending a course of action to be taken by the coalition of states responding to the situation. Since the coalition has stated its opposition to the use of military force, your suggestions must rely on techniques of diplomacy and economic statecraft. Present a proposal that provides a series of specific actions that can be taken by the coalition.

4. State A is deciding whether or not to enter into a trade agreement with State B. Using any two of the three models of foreign policy decision-making, present contrasting interpretations of State A’s hypothetical decision-making process.