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GISE002 Introduction to International Relations

Week 2

Level of Analysis 分析層次

目的主要在認定及勾勒不同的分析層次，使得所觀察的現象得到解釋，也就是說，分析層次的
過程，基本上針對「解釋方向」的探尋。

We have already alluded to the fact that there are three different levels of analysis. There are a few
things to keep in mind related to this:
● As the instructor indicated during the class, to understand international relations, it is a good
idea to utilize three levels of analysis;
● This does not mean that a single THEORY operates at different levels of analysis
- But an approach, like realism, includes many different theories, each operating at
different level of analysis.
● Not all political scientists agree on the difference between some of these levels or the names
of some of these levels.

System level 國際體系層次

關注國際體系的權力結構。著重體系結構或國家身分如何影響到國家間的關係，及其互動所
造成的國際事件。同時，這個分析層次也是華茲認為最重要，解釋力最大的一個層次。

Here we are looking at the system as a whole.

● We generally consider the world a global system as far as international relations; it is possible
to look at some systems as less than global because the regular interactions that make up the
system may only encompass a few countries. There are also regional systems dealing with
regional issues. In the past, it was common to look at one part of the world as the “system”.
● What we are saying with a systems approach is that it is the structure and characteristics of
the system that determine the actions of the parts of the system. So, for example, we would
say that American policies are generally determined by its place in the system as a
superpower.
- This implies that any country that would be labeled a superpower would act the same
way as the US in that situation.
● Possible system characteristics to consider as explanations for state behavior:
1. Actors in the system:
- Kinds of actors (state/non-state: IGOs (intergovernmental organizations),
TNCs (transnational organizations), NGOs (non-governmental
organizations), other groups)
2. Interactions (intensity, frequency)
3. Distribution of system power 權力的分配模式
- Poles (unipolar, bipolar, tripolar, multipolar)
- Power change
4. Economic Patterns
5. Norms of behavior

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Polarity in international relations is any of the various ways in which power is distributed within the
international system.

Unipolarity 霸權/單級體系 is a condition in which one state under the condition of international
anarchy enjoys a preponderance of power and faces no competitor states.

Bipolarity 兩強分立/兩極體系 is a distribution of power in which two states have a preponderance

of power.
● Example: the Cold War of 1947-1991, most Western and capitalist states would fall under the
influence of the US, while most Communist states would fall under the influence of the
USSR.

Multipolarity 多強共處/多級體系 is a distribution of power in which more than two states have
similar amounts of power.
● Examples of wartime multipolarity include World War I, World War II, the Thirty Years War
三十年戰爭, the Warring States period 戰國時期, the Three Kingdoms period 三國時期 and
the tripartite division between Song dynasty/Liao dynasty/Jin dynasty/Yuan dynasty.

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State Level Analysis 國內政治結構層次
● 主要針對國家的內政層面，包括國家政體形式、政府決策過程、官僚機構互動、執政黨
政綱，以及國家/社會關係、國內政治經濟局勢、利益團體要求、社會勢力消長等
● 分析重點在於，不同的內政因素如何在制度、規範下，依照既定的決策程序，影響國家
對外政策的形成

With this level of analysis we are concerned with the characteristics of the state and say that states
with certain characteristics behave certain ways.
Here are some possible characteristics to be analyzed:
● Kind of government structure (democratic民主, communist共產, authoritarian獨裁)
● Kind of situation (crisis, routine)
● Issue area
● Kind of political culture
● Decision-making process
- Distribution of formal and informal powers among foreign policy actors in a state;
1. Bureaucracies
2. Executives
3. Interest groups
4. Legislatures
- Public Opinion and its channels

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Individual Level Analysis 個人或決策層次
● 所謂個人層次的因素包括決策者的人格特質、出身訓練、決策風格，甚至決策時的心
理狀態，以及當下所掌握的訊息等
● 其重點在於個人因素如何影響涉外決策的形成

Here we contend that international relations is determined by the actions of individuals. We focus not
only on great leaders, but how individuals act in certain situations. Among the characteristics and
issues analyzed are the following:
● Cognitive factors such as
- Bounded rationality有限理性 (傳統經濟學一直以完全理性為前提，由於行為人
可以得到所有資訊，因此可以在多種方案中，選擇能使效用最大化的一種方案
；但是於現實狀況中，人們所獲得的資訊、知識與能力都是有限的，所能夠考慮
的方案也是有限的，未必能作出使得效用最大化的決策。因此，西蒙認為必須
考慮人的基本生理限制，以及由此而引起的認知限制、動機限制及其相互影響
的限制。)
- Seeking cognitive consistency
- Wishful thinking 妄想/願望思維 (一種建立在人們樂於相信或者想像之上的信念
，而不是建立在證據、理性或現實之上的信念。簡單來說就是：很多時候，人們
只能看到自己想要看到的。只能聽到自己想要聽到的。而不是基於客觀的事實
來進行判斷。)
- Heuristic devices 捷思法 (是指依據有限的知識（或「不完整的資訊」）在短時間內
找到問題解決方案的一種技術。)
● Emotional Factors
● Psychological factors
● Biological Factors such as:
- Instincts本能 (Ethology動物行為學)
- Gender
● How people behave in organizations such as
- Role behavior
- Groupthink
● Individual Traits 個人特質
- Personality
- Physical/Mental health
- Ego
- Personal Experience
- Perceptions 看法

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 ✅
GISE002 Introduction to International Relations
Week 3

Nation 民族
is a community of people who feel themselves as part of some large identity group.

Elements:
1. Regionalism 區域主義
- refers to an intentional political process, typically led by governments with similar
goals and values in pursuit of the overall development within a region.
- 強調「鞏固國家與周邊地區的利益及外交」
2. Common Language
3. Common Ethnicity
4. Common Religion
5. Historical Background
- Collective destiny, common past and the vision of a common future
6. Connectedness

State 國家/政府
Is territorially defined political unit (or entity) that exercises ultimate internal authority and that
recognizes no legitimate external authority over them.

Elements:
1. Territory
- Physical boundaries are essential
2. Population
- Minimum requirement of any state
3. Government
4. Sovereignty 主權
● Internal sovereignty 內部主權 (國家權力對內運作的自主性和獨立性)
- State’s supremacy over all other authorities within that territory and
population
- Ultimate internal authority
● External sovereignty 外部主權 (國家與國家之間的關係的相互獨立性)
- States’ independence of outside authorities
- Recognizes no legitimate external authority over states
- Legal equality among states
5. Diplomatic Recognition
6. Internal Organization
- Basic political and economic infrastructures
7. Domestic Support
- People should be loyal to states and should grant authority to govern

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 Nation vs. State

Nation State

Intangible Tangible

An imagined community An institution

Common language, ethnicity, religion and

Territory, population, government, sovereignty
historical background

A nation can survive even without a fixed Possession of a Definite Territory is essential for
territory. a state.

Sovereignty is NOT essential. Sovereignty is ESSENTIAL.

State is limited to a fixed territory.

Nation can be wider than states. (Its boundaries can increase or decrease but the
process of change is always very complex.)

There can be two or more than two nations within a single State.

A nation is more stable than the State and can

When sovereignty ends, the State dies.
survive veen without sovereignty.

Peace of Westphalia 西伐利亞和約 (1684)

● Europe before the W. Treaty consisted of many feudal entities. State was not the locaus of
power.
在一六四八年之前，歐洲各國對領土、人民和國界等都很模糊不清。歐洲封建主對同
一塊土地都可以宣稱擁有統治權和擁有權，並對這塊土地上發生的事進行干預，這種
情況在當時歐洲非常普遍，而且也被認為是合理的。

● Westphalian Treaty of 1648 recognized the sovereign rights of the state.

為了結束戰爭，歐洲各國終於在一六四八年簽定了《西發利亞條約》(Peace of
Westphalia)，這場打了三十年的戰爭才算正式結束。戰後，歐洲政治格局也出現了根本
上的改變 -「主權」(Sovereignty)。

● 一般來說，《西發利亞條約》是歐洲國際關係的起點。它明確地確立了各國領土疆界，
在疆界內，其他國家沒有權行對其內部政治和經濟事務等方面作出直接干涉，歐洲各
國漸漸形成「主權國家」的概念。教權沒落，國家主權卻興起，歐洲各國逐漸走向政教
分離，教權不再高於國家主權。

● 外交方面，也不再是舊時封建主「私人外交」，國家也非如昔日般是純屬封建主的私人
土地，也無法透過聯姻結親直接取得某領地擁有權。反而，外交提升為以國家層面為
主的「主權外交」。封建主的沒落，以主權國家為中心的外交主體正式登上權力鬥爭的
舞台。

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Non-state Actors in the Contemporary International System:

Intergovernmental Organization (IGOs) 政府間國際組織

● IGO refers to an entity created by treaty, involving two or more nations, to work in good faith,
on issues of common interest.
● E.g. UN, WTO, IMF, NATO, World Bank

Nongovernmental Organizations (NGOs or INGOs) 非政府組織

● NGO is an organization that generally is formed independent from government.
● E.g. Red Cross, Green Peace

Mulitnational Corporations (MNCs) 多國企業

● MNC is an organization that owns or controls production of goods or services in one or more
countries other than their home country.
● Consist of a centralized management structure.

Transnational Corporations (TNCs) 跨國公司

● TNC is a commercial enterprise that operates substantial facilities, does business in more than
one country and does not consider any particular country its national home.
● Generally are decentralized, with many bases in various countries where the corporation
operates.

International History (1900-now)

● European states dominated the global pattern of IR before WWI
● WWI (1914-1918)
● Interwar period
● WWII (1939-1945)
● Cold War (1947-1991)
- The Cold War was a period of geopolitical tension between the United States and the
Soviet Union and their respective allies, the Western Bloc and the Eastern Bloc.
● The End of History (Fukuyama) vs. Back to the Future (Mearsheimer)
● The age of Terror
● The Era of G2 (Sino-American relations)
- Group of Two (G2) was a proposed informal special relationship between the People's
Republic of China and the United States of America.

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Globalization and State Sovereignty
Questions:
1. Is state losing sovereignty due to globalization?
2. What does globalization meant o Westphalian State system?

Julian G. Ku and John Yoo, Globalization and Sovereignty, 31Berkeley J. Int'l L.210 (2013)

Key Takeaways:
● "Globalization" refers to the various processes of economic, social, cultural, and political
integration across national borders.

● Three phenomena that diminish nation-state sovereignty:

1. The impact of the increased levels of trade accompanied by the rise of globalized
financial markets
- The sharp reduction of tariffs and trade barriers since the end of World War
II, which has accelerated in the past two decades, has created the free
movement of goods and services that is central to globalization.
- Globalization has spurred the cross-border movement of capital, which has
outpaced the level of trade in goods.
- View: Nation-states are unlikely to disappear simply because of higher trade
and capital flows. But economic globalization has constrained the ability of
nation-states to adopt domestic economic policies freely, though the scope of
this restriction remains contested.
2. Globalization has led to an increase in the number and influence of international
organizations, which have gained more independence and claimed the power to
exercise sovereign powers themselves.
- International organizations are legal entities established by more than one
nation-state pursuant to an international agreement.
- It is not possible to maintain the view that there is a single "world
government" or single IO that threatens U.S. sovereignty.
3. Globalization has produced a fundamental shift in the nature of international
law.
- First, the new international law is openly concerned with the relationship
between a nation and its own citizens or between citizens of different nations.
- The second hallmark of the new international law is that the processes for
creating, interpreting, and enforcing international law have changed.

● Westphalian sovereignty
- It assumes the absolute control of nation-states over all conduct that occurs within
their own territories.
- According to the theories promulgated by academics and advocates, however,
sovereignty is defined not by independence, but by a state's ability to fulfill
international obligations.

● Popular Sovereignty 人民主權

指政府的最終權力是掌握在全體人民，而非在君主一人或少數人手中，政府應由人民
產生並服從人民的意志，亦即「人民是國家的主人」。

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 - Broad trends in economic integration and shared global governance are eroding
Westphalian sovereignty in powerful ways. But a decline in Westphalian sovereignty
does not prevent nation-states from maintaining other forms of sovereignty, or that
nation-states will necessarily wither away.
- ​We believe that the American concept of popular sovereignty can help sort out these
dilemmas. By "popular sovereignty," we refer to the prevailing theory of sovereignty
expressed in the U.S. Constitution. Under this framework, the ultimate sovereign
power in the United States is not in the nation's government, but in its people.
- Government officials, however, were not sovereign themselves, but agents of the
people.
- Focusing on popular sovereignty rather than Westphalian sovereignty has a number of
consequences:
1. First, analysis of popular sovereignty can draw on U.S. domestic precedent
and experience in allocating constitutional powers within the U.S. domestic
system.
2. Second, popular sovereignty can provide a more flexible baseline for
maintaining national sovereignty.

● Conclusion
Rather than reject international law, or conjure forth the demise of the nation-state, we
propose a middle way. Popular sovereignty establishes the Constitution as the authoritative
mechanism for the generation and enforcement of national law within the United States. The
Constitution's structural provisions, such as the separation of powers and federalism, set the
stage for making international law and institutions compatible with American democratic
government, and thereby allow the United States to benefit from the gains of international
cooperation.

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 ✅
GISE002 Introduction to International Relations
Week 4

Realism 現實主義
Assumption about the natural state of IR: “State of Nature”

● Anarchy 無政府狀態
- No central government -> self-help (no other state or international institution can be
relied on to huarantee a state’s survival) -> security dilemma 安全困境 -> arms race
-> temptation of preemptive (vs. preventive) strike -> constant possibility of war
- 在國家之上沒有足以約束國家互動的威權，即法律上國家平等，誰也沒權利號
令誰。相對的，也沒有更高權威維持國際秩序，故國家必需自利自助。
- 權力是手段，目標是安全，anarchy體系結構鼓勵國家追求安全極大化，而非權
力極大化。故在anachy下，國家會採取平衡，因為失去平衡，即失去安全。

● The Peloponnesian War 伯羅奔尼撒戰爭

- Thucydides, “The growth of power of the Atehns and the fear this caused in Sparta
made the war inevitable.” History of the Peloponnesian War
- 國家之間的對立、仇恨和猜忌是各國獨立的基本條件，也是各國尋求同盟的原
因。(以國家利益為基礎)

● Leviathan 巨靈
- 人們所處的自然狀態與叢林一樣，毫無安全可言，而國家在不安全的國際社會
和個人在自然社會沒有兩樣，必須對外擴張和保護自己，國家為求名利而不擇
手段，與個人為滿足情慾而欺詐並無不同。
- 公權力 = 眾人把權力交付一個人或一個集圑，讓它成為最高無限與永久的力量
，國家的權力因此成為最大的權力，所謂的「巨靈」於是出現。

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Assumption about the human nature:
Human nature is inherently evil. (in classical realism)
● 現實主義權力政治思維的根源 = 人性本惡
- 自私自利的人性是恆久不變的，為保障自身的安全，便需要權力，因此人的政
治關係就是權力鬥爭的關係。

Relevant “actors” of IR: State 主權國家

● 在無政府狀態下，主權國家是國際體系最重要的行為體。
- 現實主義者將國家視為分析國際關係的基本單元，國際社會的基本特徵是以主
權國家為中心、以主權國家間的交往為主要內容的。

State as “unitary’ unit? State is an unitary actor.

● 國際關係的主體——主權國家是單一的、理性的行為體。
- 在現實主義者看來，儘管國家內部具有多元的政治力量，但在國際舞台上，國
家是一個統一實體，是超個人、超階級、超社會集團的。按照這種假設，當國家
處於相同的環境和面對同樣的問題時，任何國家都會做出基本相似的理性決策
，那麼國家的行為就是可以預期的。

State as “funcitonally similar unit”? Yes.

● They pursue power and security.
● They only differ in capabilities.

Primacy of “National Interest”:

● state’s interests can be distinguished from individual rights
● less room for moral consideration in conducting world affairs
● 國家利益 = 國家不論大小，一定要追求利益，以求自保或向外發展。

Primary goal of state: To increase power and security

● 國家最重要的利益就是國家安全
● 政治利益、經濟利益、價值觀<安全重要

Most important variable in IR: Power and Material Capabilities

Future of IR:
● pacific international order is impossible
● international order not based on power and force is a sham!
● “the same story over and over again!”

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Foreign policy guidelines:
Realpolitik 現實政治 (or balance of power politics) is a system of politics or principles based on
practical rather than moral or ideological considerations.
= national interest first
現實政治主張，當政者應以國家利益作為從事內政外交的最高考量，而不應該受到當政者的
感情、道德倫理觀、理想、甚至意識形態的左右，所有的一切都應為國家利益服務。

Classical Realism 古典現實主義 Neo Realism 新現實主義

More emphasis on the structure of International

More emphasis on “human nature”
System (structural realism)

Like individuals, states want to increase power States want to increase security

Offensive Realism 攻勢現實主義

Argues that states are power maximizers in that they ‘understand that the best way to ensure their
survival is to be the most powerful state in the system’ (Mearsheimer 2001: 33).
- 大國是世界政治的主要角色，國際體系是無政府狀態的
- 所有強權都擁有進攻性的軍事實力
- 各國永遠無法確定其他國家的意圖
- 各國都以生存為主要目標
- 國家是理性的行為者，能夠提出最大化其生存前景的合理戰略

Defensive Realism 守勢現實主義

- 增加權力不等於增加國家安全(可能有反效果)
- 守勢現實主義，藉由權力均衡的方式來維持安全和平，讓戰爭代價極大化，勝利也變
成無利可圖，從而維持和平。
- 在守勢現實主義的觀點中，弱小國家無法達成此種代價極大化，因此會選擇結盟和依
附強國。
- 此狀態下，能提供平衡保護的強國即使做出的事情，與該小國觀點不同，甚至利益衝
突，在最大容忍範圍內，小國也會違心地表示贊同。

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Required reading: Realism

Realism in context

● Realism has significantly influenced both the theory and practice of world politics.

● Outside the academy, realism has a much longer history in the work of classical political
theorists such as Thucydides, Machiavelli, Hobbes, and Rousseau.

● The unifying theme around which all realist thinking converges is that states find themselves
in the condition of anarchy such that their security cannot be taken for granted.

● Statism, survival, and self-help are three core elements of the realist tradition.

One realism, or many?

● There is a lack of consensus as to whether we can meaningfully speak about realism as a

single coherent theory.

● There are good reasons for delineating different types of realism.

● Classical realists attribute power-seeking behaviour to human nature.

● Structural realism divides into two camps: those who argue that states are security maximizers
(neorealism), and those who argue that states are power maximizers (offensive realism).

● Neoclassical realists bring individual and unit variation back into the theory.

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The essential realism

● Statism 國家主義 is a central assumption of realism.

- This involves two claims:
1. The state is the pre-eminent actor in world politics.
2. State sovereignty signifies the existence of an independent political
community, one that has juridical authority over its territory.

● Key criticism: statism is flawed on both empirical grounds (challenges to state power from
‘above’ and ‘below’) and normative grounds (the inability of sovereign states to respond to
collective global problems such as famine, environmental degradation, and human rights
abuses).

● Survival is the primary objective of all states; this is the supreme national interest to which all
political leaders must adhere.

● Key criticism: are there no limits to what actions a state can take in the name of necessity?

● Self-help: no other state or international institution can be relied on to guarantee a state’s

survival.

● Key criticism: self-help is not an inevitable consequence of the absence of a world

government; it is a logic that states have selected. Moreover, there are examples where states
have preferred collective security systems, or forms of regional security communities, in
preference to self-help.

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Liberalism 自由主義

Assumption about the natural state of IR:

● Heterogeneous state of war and peace
● Natural laws: natural rights and natural duties

Assumption about the human nature:

● Inborn nature is good or at least human-beings can learn

Relevant “actors” of IR:

● Non-state actors have an independent impact on IR!

State as “unitary’ unit?

● State is not really a unitary actor. (cf. Neo-liberalists)

State as “funcitonally similar unit”?

● States are inherently different units!
● Can be differentiated by how they relate to individual human rights

Primacy of “National Interest”:

● “National interests” is a dubious 可疑的 concept

Primary goal of state: Protection of individual autonomy and human rights

Most important variable in IR: Idea and Institution

Future of IR:
● Possibility of perpetual peace!
● IR is not a jungle, it is rather a garden!

Foreign policy guidelines:

● International order based on BOP is dangerous
● State leaders should promote liberalist ideas and institutions
● 3 legs of liberalism!!! (refer to p.24)

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與現實主義相比，自由主義相對而言對於人類彼此合作的可能性較樂觀，是從英國哲學家洛
克 (John Lock) 式的自然狀態觀點所出發。

自由主義者承認國際體系中的無政府狀態，但認為除了國家之外，像是國際組織、非政府組
織、跨國公司等非國家行為者也相當重要，亦注重國內政治中我們常聽到的民主自由價值。

國際關係學界自由主義派學者對德國哲學家康德 (Immanuel Kent) 於1795年所提出的的「永久

和平論」(Perpetual Peace) 進行修正，歸納出「和平三支柱」(Three Pillars of Peace) 的概念。

和平三支柱內包括三個概念，分比是「民主和平論」、「貿易和平論」、「國際組織和平論」。

民主和平論指通常民主國家之間愛好和平，因此對彼此不會使用武力，且就算民主國家想打
仗的話，也會受民意影響與限制。

貿易和平論則認為國家間的經貿互賴程度 (economic interdependence) 可促使國家選擇實質的

互惠利益而非戰爭，因為選擇戰爭將造成兩敗俱傷。

第三，國際組織和平論指出，國家參與國際組織可有益於國家間合作及維護國際和平，因為國
家一但參與其中，將會承受相關的規範 (norms)，不易輕易違反規則秩序，再加上其可以獲得
更透明的資訊流通管道，最終提高國家彼此的獲益，減輕了無政府狀態帶來的不穩定。

16
Required reading: Liberalism

Introduction

● The liberal tradition in political thought goes back at least as far as the thinking of John Locke
in the late seventeenth century. From then on, liberal ideas have profoundly shaped how we
think about the relationship between government and citizens. 從那時起，自由主義思想深
刻地塑造了我們對政府與公民之間關係的看法。

● Liberalism is a theory of both government within states and good governance between states
and peoples worldwide. Unlike Realism, which regards the ‘international’ as an anarchic
realm 領域. Liberals seek to project values of order, liberty 自由, justice 公義, and
toleration 容忍 into international relations.

● The high-water mark of liberal thinking in international relations was reached in the inter-war
period in the work of Idealists who believed that warfare was an unnecessary and outmoded
way of settling disputes between states. 他們認為戰爭是解決國家間爭端的不必要且過時
的方式。

● Domestic and international institutions are required to protect and nurture these values. But
note that these values and institutions allow for significant variations which accounts for the
fact that there are heated debates within Liberalism.

● Liberals disagree on fundamental issues such as the causes of war and what kind of
institutions are required to deliver liberal values in a decentralized, multicultural international
system. 自由主義者在一些基本問題上存在分歧，例如戰爭的原因以及需要什麼樣的機
構來在去中心化的、多元文化的國際體系中傳遞自由主義價值觀。

● An important cleavage 分歧 within Liberalism, which has become more pronounced 明顯的
in our globalized world, is between those operating with a positive conception of Liberalism,
who advocate interventionist foreign policies and stronger international institutions, and those
who incline towards a negative conception, which places a priority on toleration and
non-intervention 不干預.

17
Founding ideas of nineteenth-century liberal internationalism

● Early liberal internationalist thought on International Relations took the view that the natural
order had been corrupted by secret treaties 秘密條約 and outdated policies such as the
balance of power 權力平衡理論.

● Enlightenment liberals believed that the problem of war could be solved through the
development of a body of international rules and laws constraining the self­interest of states.
啟蒙自由主義者相信，戰爭問題可以透過制定一套限制國家自身利益的國際規則和法
律來解決。In addition, they believed that trade and other cross­border flows would further
facilitate more peaceful international relations. 此外，他們相信貿易和其他跨境流動將進
一步促進更和平的國際關係。

● Jeremy Bentham, the creator of the term ‘international’, argued for a new concept of
international jurisprudence that was based on the equality of sovereigns 主權平等. He saw
the task for a judge 法官 or legislator 立法者 to be to establish the greatest happiness among
the family of nations.

● Immanuel Kant argued that a ‘perpetual peace 永久和平’ could be achieved through the
transformation of individual consciousness 個人意識, republican constitutionalism 共和立憲
制, and a federal contract 聯邦契約 among states to abolish war.
- 共和憲制是共和製度的一種，在這種制度裡，由人民選出的國家元首和其他官
員都必須遵守憲法的條文，由憲法限制政府統治人民的權力。

● In the 1980s, Michael Doyle revived Kant’s claim that liberal states are pacific in their
international relations with other liberal states 自由國家在與其他自由國家的國際關係中
是和平的. Although the empirical evidence seems to support the democratic peace thesis, it
is important to bear in mind the limitations 局限性 of this argument.

● In ‘The End of History’ (1989), Francis Fukuyama famously celebrated the triumph of
liberalism over all other ideologies, contending that liberal states were more stable internally
and more peaceful in their international relations than illiberal states. 著名地慶祝了自由主
義戰勝所有其他意識形態，認為自由國家比非自由國家內部更穩定，國際關係更加和
平。Others, such as Doyle, recognize that liberal democracies are as aggressive as any other
type of state in their relations with authoritarian regimes and stateless peoples. 自由民主國家
在與獨裁政權和無國籍人民的關係方面與任何其他類型的國家一樣具有侵略性。

18
Internationalism and institutionalism: peace through law

● The idea of a natural harmony of interests in international political and economic relations
came under challenge in the early part of the twentieth century as Britain and Germany went
to war, despite their high degree of economic interdependence. 二十世紀初期，儘管兩國經
濟高度相互依存，但隨著英國和德國爆發戰爭，國際政治和經濟關係中利益自然和諧
的概念受到了挑戰。

● The First World War shifted liberal thinking towards a recognition that peace is not a natural
condition but is one that must be constructed. 第一次世界大戰使自由主義思想轉變為認
識到和平不是自然條件，而是必須建立的條件。 To this end, Woodrow Wilson advocated
for the creation of a League of Nations to regulate international anarchy through the exercise
of collective security. 主張建立國際聯盟，透過行使集體安全來規範國際無政府狀態。

● The League’s constitution also called for the self­determination 自決 of all nations. However,
despite widespread agreement on this principle, a host of practical and moral problems limited
its implementation. 然而，儘管人們普遍同意這項原則，但許多實際和道德問題限制了
其實施。

● Although there are important continuities between Enlightenment liberal thought and the
‘idealist moment’, the thinkers of the inter­war period were flawed. 但兩次世界大戰期間的
思想家卻存在缺陷。 They overlooked the distribution of power and interests in the
international system (a critique mounted by E. H. Carr) 他們忽略了國際體系中權力和利益
的分配, and they failed to understand that values and purposes were inextricably linked to
power. 他們未能理解價值觀和目的與權力有著千絲萬縷的聯繫。 Notably, leading
internationalists in the inter­war period tied the future of the League of Nations to the
dominance of international society by European colonial powers.

● The imperial impulse of the Anglo­ American powers continued in the post­1945 order—in
fact, after the fall of communism in 1989 internationalists hoped that the UN could impose
collective security in response to a state that had traduced the rules based order. 事實上，在
1989 年共產主義垮台之後，國際主義者希望聯合國能夠實施集體安全，以應對一個違
反秩序的國家。

19
The challenges confronting liberal internationalism

● Some observers argue that the internationalist principles that have been a feature of the liberal
order since 1945 are in crisis.

● The following arguments support this view: the relative power of the United States is
diminishing and hence its capacity to deal with global risks is also reducing; rising powers
want a greater share of authority; the hope that Europe could emerge as a second superpower
which could strengthen internationalist rules and values has proven to be false; and there is
widespread evidence of a return to a form of state sovereignty in which intervention on
internationalist grounds will not find support in the UN Security Council or among the
majority of member states in the UN.

● If Ikenberry is right and liberal internationalism is in decline, it is not clear what will replace
it. If the liberal order associated with the UN system collapses, then history will have repeated
itself: in the first half of the twentieth century, great power rivalry led to major power wars
which the League was powerless to prevent. If liberal internationalism 2.0 is reinvigorated,
then global institutions will adapt to the challenge of new emerging powers without losing
their distinctively liberal character.

● Alongside those who lament the inability of the state and global institutions to deliver a
liberal peace are more critical voices who point out how structural patterns of hierarchy
persist. These patterns are actively reproduced by security and development doctrines and
policies. As a result, the liberal international order remains conveniently favourable to the
most powerful states in the system.

20
 ✅
GISE002 Introduction to International Relations
Week 5

Neo-realism 新現實主義 (third level)

Prisoner’s Dilemma 囚徒困境

● In international relations theory, the prisoner's dilemma is often used to demonstrate why
cooperation fails in situations when cooperation between states is collectively optimal but
individually suboptimal.
● 反映個人最佳選擇並非群體的最佳選擇，且在一個群體中，個人做出理性選擇卻往往
導致集體的非理性。

Probelm of Collective Action 集體行動問題/社會困境

● A collective action problem or social dilemma is a situation in which all individuals would be
better off cooperating but fail to do so because of conflicting interests between individuals
that discourage joint action.
● 當所有個人都可以更好地合作，但由於個人之間的利益衝突阻礙了聯合行動，因此無
法合作。
● Appliaction in IR: Cooperation between states is “quasi-public goods”
e.g., international disarmament, international free trade order

The Logic of Collective Action (1965)

● It is difficult to provide collective (public) goods in the absence of central authority… why it
is difficult to organize collective action...
● If everyone in a group (of any size) has interests in common, then they will act collectively to
achieve them? – Olson says, no!
- 奥爾森認為，當人們僅面對同一個問題或僅有共同目標時，這還不足以令他們
行動起來，因為理性的人會採取「搭便車」的策略 - 如果不做貢獻也可以享受成
果，那麼碌碌無為便是最有效的行為方式。

How can we overcome this collective action problem?

How can we elicit cooperation among states in the absence of international government?

Neorealist Neoliberalist

States can cooperate even in the absence of

central authority
States would seldom cooperate
International institutions (or international
regimes) can replace the role of central authority

21
Security Dilemma 安全困境
● is when the increase in one state's security (e.g. increasing its military strength) leads other
states to fear for their own security (because they do not know if the security-increasing state
intends to use its growing military for offensive purposes). Consequently, security-increasing
measures can lead to tensions, escalation or conflict with one or more other parties, producing
an outcome which no party truly desires; a political instance of the prisoner's dilemma.
● 當一個國家因為擔憂自身的利益及安全受到威脅時，他通常會推行一系列政策來增加
自身的安全保障，最常見的便是增強其軍事實力。然而，這些政策卻會導致其他國家
擔心自己的安全，因為他們不知道他的目的或不信任這個國家，因此往往反而會把其
舉動視為威脅，擔憂這個國家是否打算用不斷其增強的軍隊來威脅自身的利益及安
全。因此，原意是為了加強安全的措施，反而可能導致與更加緊張的局勢，甚至升級成
直接衝突，產生任何一方原本都希望避免的結果。

Sucker’s payoff 傻瓜收益

是一方合作一方背叛時合作者的收益。

Nash equilibrium 納殊均衡

是指在包含兩個或以上參與者的非合作博弈中，假設每個參與者都知道其他參與者的均衡策
略的情況下，沒有參與者可以透過改變自身策略使自身受益時的一個概念解。

Characteristics of collective goods 公共財 (or public goods)

● Non-excludability 無排他性 (transitivity of usage)
● Problem of “Free Riding” 免費搭車者 = 不付成本而坐享他人之利
● The problem of free riding gets worse as number of actors increases

Application of IR
● Cooperation between states is “quasi-public goods” 準公共產品 / 混合產品
- E.g. international disarmament, international free trade order

22
Neoliberalism 新自由主義 (third level)
Emphasizes the independent role of international institutions

Uses realist assumptions

● Anarchy is very important structural characteristics of international system
● Assumption of unitary-rational actor; uses game theory

Major arguments
● Pathology of anarchy can be mitigated (if not eliminated) by the role of international
institutions (or international regimes). Cooperation under anarchy is not easy, but
international institutions (or reims) cam facilitate it.
● Therefore, international institutions are independent actors that can compete with states!

Why do international institutions 國際組織 matter?

● Reduce transaction cost 交易成本
- 指參與市場時進行任何經濟交易的成本
- Transaction cost is the costs and risks associated with carrying out an agreement
- International institutions provide rules of agreement and coordination mechanism ->
lower transaction costs -> induce cooperation
● Increase transparency
International institutions provide correct information -> this will reassure states that they are
not being cheated (increase transparency) -> induce cooperation
● Induce participants to make commitments through sunk costs 沉沒成本
- 指已經發生且不可收回的成本
- You invested a lot of money into a cooperative agreement, then leaving it would
impose you additional costs -> induce cooperation
● Provide enforcement mechanism
- Make sure that defectors are penalized!
- Mke explicit threat of retaliation to defection (or defectors) -> induce cooperation
● Create and foster norms of reciprocity 對等原則/互惠原則
- 在國際關係和條約中，一個國家公民或法人從另一國處獲得的優惠、利益、懲
罰等，應當以同樣的方式回報
- Make sure that the game is played as iterated game

If the game is iterated…

● You can keep track of past behavior of other states… reputation matters!
● This will create shadow of the future (promise of future gains)... states would not discount the
future value of cooperation -> induce cooperation

“International Relations” is a zero sum game!

● A zero-sum game is a situation where, if one party loses, the other party wins, and the net
change in wealth is zero.
● An example would be one country giving up a piece of land to another country in exchange
for that piece of land's cash value.

23
Relative gains or Absolute gains matter more? (refer to p.29)

Neo-realism Neoliberalism

Relative gain Absolute gain

Neo-realist assumes that states are largely Neoliberal assumes that states focus primarily
concerned with relative rather than absolute on their individual absolute gains and are
gains. indifferent to the gains of others.

Whether cooperation results in a relative gain or

In the anarchy of international politics, “relative
loss is not very important to a state in neoliberal
gain is more important than absolute gain”
institutionalism as long as it brings an absolute
(Waltz, 1959: 198).
gain.

Still depends on case by case

e.g. economic: absolute gain; security: relative gain

Reference: The Problem of Absolute and Relative Gains in International Relations Theory

Liberalist Paradigm of international relations

1st leg 2nd leg 3rd leg

Liberal Economic
Liberal Democracies Institutions (Economic International Institutions and
Laws
Interdependence)

Economic institutions ensure a Establishment of international

National sovereignty is public
free-market economy institutions and laws

Different powers of the state

(legislative, judiciary and Ensure private property
executive) are separate International guarantees to be
willing to trade
Rights and duties universal
Nationally and internationally
(Constitution)

24
Democratic Peace Theory 民主和平論
● An important liberalist theory (2nd level theory)
● 民主和平論最直接的論點就是：「研究過去兩個世紀的所有戰爭，假如民主國家真如同
其他政體的國家一般經常互相征戰，那麼應該會有許多民主國家之間的戰爭紀錄。相
反的，依據不同研究的結果，這種戰爭極度少見、甚至是零。」
● 民主和平論的制度解釋認為民主國家的領袖會避免去打沒有把握的戰爭，因為戰爭失
敗必須引咎辭職，當民主國家和民主國家發生衝突的時候，他們會預期如果雙方都投
入大量資源的情況下，任何一方都不會獲得比例懸殊的利益，因此會理性考量地選擇
談判的方式來代替戰爭。
● 類似的觀點也強調民主國家對於可能贏得戰爭之相關資訊有較好的接近途徑，當這些
資訊建議如果發動戰爭可能會輸的話，民主國家會傾向避免衝突，因為民主領導者不
願意流血戰爭影響其政治存活。
● 假如戰爭失敗的話，民主國家的領導者比非民主國家的領導者更容易被懲罰的話，他
們會不願意去從事戰爭，也較不可能將危機升高成戰爭以及民主國家的領導者會參加
他們認為有把握打贏的戰爭，因為這樣才不容易被懲罰。
● Reference: 因果機制和政治解釋： 民主和平論和現實主義的論辯

Why democratic peace?

● Institutional explanation
- Restraining effects of public opinion and the checks and balances 制約與平衡原則
of democratic political institutions
- 指每一政府部門皆具有對抗其他任何部門行為的能力，從而不致出現任何單一
部門操縱整個政府的權力和職能的理論。
● Normative explanation
- Democratic norms and culture shared by democracies

25
Required reading: Contemporary mainstream approaches: neo-realism and neoliberalism

Introduction

● The neo-neo debate has been the dominant focus in international relations theory scholarship
in the USA for the last 10-15 years.

● More than just theories, neo-realism and neoliberalism represent paradigms 範例 or

conceptual frameworks that shape individuals’ images of the world and influence research
priorities and policy debates and choices.

● There are several versions of neo-realism or neoliberalism.

● Neoliberalism = neoliberal Institutionalism. In the policy world, neoliberalism is identified

with the promotion of capitalism 資本主義 and Western democratic values and institutions.
- 資本主義是一種生產方式私有制、其尋求利潤之行為構成的經濟體系。
- 核心特徵：資本積累、競爭市場、價格體系、私有財產、財產權、自由交易和僱
傭勞動。

● Rational choice approaches 理性選擇理論 and game theory 賽局論 have been integrated
into neo-realist and neoliberal theory to explain policy choices and the behaviour of states in
conflict and cooperative situations.

● Neo-realist and neoliberal theories are status quo-oriented problem-solving theories. They
share many assumptions about actors, values, issues, and power arrangements in the
international system.
- What they are studying?
Neo-realists Neoliberals

Study security issues and are concerned Study political economy and focus on
with issues of power and survival cooperation and institutions

26
Neo-realism

● Kenneth Waltz’s structural realism has had a major impact on scholars in International
Relations. Waltz claims that the structure of the international system is the key factor in
shaping the behaviour of states. Waltz’s neorealism also expands our view of power and
capabilities. However, he agrees with traditional Realists when he states that major powers
still determine the nature of the international system.

● Structural realists minimize the importance of national attributes as determinants of a state’s

foreign policy behaviour. To these neo-realists, all states are functionally similar units,
experiencing the same constraints presented by anarchy.

● Structural realists accept many assumptions of traditional Realism. They believe that force
remains an important and effective tool of statecraft and balance of power 權力平衡理論 is
still the central mechanism for order in the system.
- Waltz認為權力只是用來達成安全（security）的手段。
- 小國 (weaker states) 會為了維持自身的安全相互結盟 (alliance) 對抗大國
(stronger state) 的威脅。
- Waltz的權力平衡理論告訴我們小國們會「自動地」將大國視為威脅；而且大國
會攻擊小國，也因此小國們會「自動地」相互結盟來「制衡」（check）大國的威脅。
結盟後的小國們和大國的國家實力趨於相近時，這樣國際體系就可以維持穩
定。

● Joseph Grieco represents a group of neo-realists or modern realists who are critical of
neo-liberal Institutionatists who claim states are mainly interested in absolute gains. Grieco
claims that all states are interested in both absolute and relative gains. How gains are
distributed is an important issue. Thus, there are two barriers to international cooperation: fear
of those who might not follow the rules and the relative gains of others.

● Scholars in security studies present two versions of neorealism or modern realism.

(refer to p.12)
- Offensive neo-realists emphasize the importance of relative power. Like traditional
Realists, they believe that conflict is inevitable in the international system and leaders
must always be wary of expansionary powers.
- Defensive realists are often confused with neo-liberal Institutionalists. They
recognize the costs of war and assume that it usually results from irrational forces in a
society. However, they admit that expansionary states willing to use military force
make it impossible to live in a world without weapons. Cooperation is possible, but it
is more likely to succeed in relations with friendly states.

27
Neoliberalism

● Contemporary neo-liberalism has been shaped by the assumptions of commercial, republican,

sociological, and institutional Liberalism.

● Commercial and republican Liberalism provide the foundation for current neo-liberal thinking
in Western governments. These countries promote free trade and democracy in their foreign
policy programmes.

● Neoliberal Institutionalism, the other side of the neo-neo debate, is rooted in the functional
integration theoretical work of the 1950s and 1960s and the complex interdependence and
transnational studies literature of the 1970s and 1980s.

● Neoliberal Institutionalists see institutions as the mediator and the means to achieve
cooperation in the international system. Regimes and institutions help govern a competitive
and anarchic international system and they encourage, and at times require, multilateralism
and cooperation as a means of securing national interests.

● Neoliberal Institutionalists recognize that cooperation may be harder to achieve in areas

where leaders perceive they have no mutual interests.

● Neoliberals believe that states cooperate to achieve absolute gains and the greatest obstacle to
cooperation is ‘cheating’ or non-compliance by other states.

28
The neo-neo debate

● The neo-neo debate is not a debate between two polar opposite worldviews. They share an
epistemology, focus on similar questions, and agree on a number of assumptions about
international politics. This is an intra-paradigm debate.

● Neoliberal Institutionalists and neo-realists study different worlds of international politics.

Neo-realists Neoliberal Institutionalists

focus on political economy, environmental

focus on security and military issues
issues, and, lately, human rights issues

explain that all states must be concerned

are less concerned about relative gains and
with the absolute and relative gains that
consider that all will benefit from absolute
result from international agreements and
gains
cooperative efforts

believe that states and other actors can be

are more cautious about cooperation and persuaded to cooperate if they are
remind us that the world is still a convinced that all states will comply with
competitive place where self-interest rules rules and cooperation will result in absolute
gains

● This debate does not discuss many important issues that challenge some of the core
assumptions of each theory. For example, neorealism cannot explain foreign policy behaviour
that challenges the norm of national interest over human interests.

● Globalization has contributed to a shift in political activity away from the state. Transnational
social movements have forced states to address critical international issues and in several
situations that have supported the establishment of institutions that promote further
cooperation, and fundamentally challenge the power of states.

29
Neoliberals and neo-realists on globalization

● Neo-realists think that states are still the principal actors in international politics.
Globalization challenges some areas of state authority and control, but politics is still
international.

● Neo-realists are concerned about new security challenges resulting from uneven globalization,
namely, inequality and conflict.

● Globalization provides opportunities and resources for transnational social movements that
challenge the authority of states in various policy areas. Neo-realists are not supportive of any
movement that seeks to open critical security issues to public debate.

● Free market neo-liberals believe globalization is a positive force. Eventually, all states will
benefit from the economic growth promoted by the forces of globalization. They believe that
states should not fight globalization or attempt to control it with unwanted political
interventions.

● Some neo-liberals believe that states should intervene to promote capitalism with a human
face or a market that is more sensitive to the needs and interests of all the people. New
institutions can be created and older ones reformed to prevent the uneven flow of capital,
promote environmental sustainability, and protect the rights of citizens.

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 ✅
GISE002 Introduction to International Relations
Week 6

Constructivism 建構主義
Introduction
● Relatively a new approach in the field of IR despite its preeminence 卓越 in psychology and
sociology
- 建構主義起源於20世紀冷戰結束後
● Social constructivism 社會建構主義 has become one of the major theories (or paradigms)
of IR in 2000s

Alexander Wendt and Constructivism

● A. Wendt, “Anarchy is What States Make of It” (1992) 無政府狀態是國家建構造成的：實
力政治的社會建構
- 溫特的著作則認為此種權力政治 (power politics) 乃由社會觀念建構成的
- Power politics = political action by a person or group which makes use of or is
intended to increase their power or influence.
● Wendt abandons rationalist assumption (states’ identities are given = exogenous or fixed)
- Either by human nature (Classical realism – first level realism)
- or international system (Neorealism – third level realism)

Neoliberalists Constructivists

States’
NOT GIVEN,
preferences
rather they are constructed socially
(identities 身 GIVEN (exogenous or fixed)
(i.e., by social interaction)
份 / interests利
hence social constructivism
益)

Affect behavior of states,

but they DO NOT change states’ They can change states’ preferences
preferences
Institutions
Only constrain behavior DO NOT constrain behavior

DO NOT constitute it Also constitute it

Structure is a malleable (not rigid) entity.

Ideational
Anarchy is not the most important Agents can shape the structure!
Structure
structural characteristic of
概念構成的
international system. Neos’ conception of structures is too
結構
limited!

The impact of ideas

Focus Material forces
(or social interaction, processes, practices)

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建構主義認為人、組織或國家的行為都是社會建構的，並不遵循一個不變的秩序或原理。
亞歷山大·溫特提出了建構主義的兩個核心概念：
1. 人類的社會結構是由人類社會的主流觀點塑造成的，而不是由物質力量驅使成的；
2. 社會舞台上出現的角色受到的影響來自於他們的認同和利益、而不是本性。

Two important claims of Constructivists

1. Interests and identities do change and they are socially constructed. They are not given and
exogenous! – key assumptions of Neos
2. The key structures of the international system are intersubjective or social (rather than
material), hence ideational structure. The way we interact (and think) constitute an important
structure as well!

Why “Anarchy (as structure) is what states make of it!”?

● Constructivisits think that self-help, security dilemma and power politics are not essential
feature of anarchy.
● They are social institutions (our intersubjective understanding / norms) created by our actions.
● If states’ practices change, the structure and our understanding of structure, which is the
ideational structure, will also change.
● (Physical) structure has no causal power apart from processes and interaction. Ideational
structure is much more important

Summary
Instead of taking the states’ preferences for granted and assuming that states simply seek to survive or
maximize their interests, constructivists regard the interests and identities of states as a highly
malleable product of specific historical processes (and discourses 話語).

Marxism 馬克思主義
3 laws:
1. Law of disproportionality
2. Law of diminishing return 收益遞減法則 – As capital accumulates, the rate of return will
decline
3. Capitalist states need to expand to survive

Tenets (宗旨)
● Class is the most important actor - State is simply an agent of capital class
● Economics determines politics (cf. realism)

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Imperialism 帝國主義
是一種意識形態，不僅強調政治主導權，也重視征服其他國家，使影響力擴張。

Vladimir Lenin, Imperialism, the Highest State of Capitalism (1916)

● Modern world system is imperialistic
● The highest state of modern capitalist system is imperialism
● But this is transitory 暫時的 in nature because it will collapse!

列寧在1917年發表《帝國主義是資本主義的最高階段》一書，共分十章，從經濟觀點較有系統
地探討了帝國主義。他的結論是：帝國主義政策多在資本主義國家被實施，而且只有資本主義
國家才有基礎實行帝國主義，帝國主義是壟斷的、寄生的、腐朽的、垂死的資本主義，是資本
主義發展的最高和最後階段。

4 steps:
1. Capital will build up. Return for Capital diminishes. Under-consumption at home forces
Capital to expand abroad.
2. Capital need to expand to export surplus of Capital abroad.
3. Flag follows money and soldiers follow the flag! Capital states carve out peripheries 外圍.
4. Capital states will confront each other over shrinking peripheries, which is imperial wars, e.g.,
WWI

Neo-Marxism 新馬克思主義
● 是指在馬克思古典理念基礎之上結合一些人類現代哲學思想，但仍相信並堅持馬克思
主義的基本原則。
● Two progenies 後人:
1. Dependency theory 依賴理論
- resources flow from a "periphery" of poor and underdeveloped states to a
"core" of wealthy states, enriching the latter at the expense of the former
- The premises of dependency theory are that:
1. Poor nations provide natural resources, cheap labour, a destination
for obsolete technology, and markets for developed nations, without
which the latter could not have the standard of living they enjoy.
2. Wealthy nations actively perpetuate a state of dependence by various
means. This influence may be multifaceted, involving economics,
media control, politics, banking and finance, education, culture, and
sport.
- 它將世界劃分為先進的中心國家與較落後的邊陲國家，後者在世界體
系中的地位使之受到中心國的盤剝，故得不到發展，或產生腐敗等弊
病。
2. Modern World Systems Theory 世界體系理論 (Immanuel Wallerstein)
- suggests that while the world economy is ever changing, there are three basic
hierarchies of countries: core, periphery, and semi-periphery
- 世界體系是一個社會體系，它具有範圍、結構、成員集團、合理規則和
凝聚力

33
Required reading: Constructivism

The rise of constructivism

● Neorealism and neoliberal institutionalism dominated IR theory in the 1980s.

● Both theories ascribed to materialism and individualism.

● Various scholars critical of neorealism and neoliberalism drew from critical and sociological
theory to demonstrate the effects of ideas and norms on world politics.

Constructivism

Key Concepts
● Constructivism:
an approach to international politics that focuses on the centrality of ideas and human
consciousness; stresses a holistic and idealist view of structures; and considers how structures
construct actors’ identities and interests, how their interaction is organized and constrained by
structures, and how this interaction serves to either reproduce or transform those structures.

● Idealism:
although often associated with the claim that it is possible to create a world of peace, idealism
as a social theory argues that the most fundamental feature of society is social consciousness.
Ideas shape how we see ourselves and our interests, the knowledge that we use to categorize
and understand the world, the beliefs we have of others, and the possible and impossible
solutions to challenges and threats. Idealism does not disregard material forces such as
technology, but instead claims that the meanings and consequences of these material forces
are driven by human interpretations, not given by nature.

● Identity:
the social understanding of the self in relationship to an ‘other’. Constructivists generally hold
that identities shape interests; we cannot know what we want unless we know who we are.
Because identities are social and are produced through interac- tions, they can change.

Key Points
● Constructivists are concerned with human consciousness and knowledge, treat ideas as
structural factors that influence how actors interpret the world, consider the dynamic
relationship between ideas and material forces as a consequence of how actors interpret their
material reality, are interested in how agents produce structures and how structures produce
agents, and focus on the practices that are situated between agents and structures.

● Regulative and constitutive norms shape what actors do, but only constitutive norms shape
states as actors, the identity of states, and what counts as legitimate behaviour.

34
● Normative structures shape how state and non-state actors understand themselves and the
world: their beliefs, their practices, their sense of right and wrong, and their notions of
legitimacy.

● Although the underlying culture shapes the meanings that actors bring to their activities,
meanings are not always fixed; the fixing of meaning is a central feature of politics.

● Social construction denaturalizes what is taken for granted, asks questions about the origins of
what is now accepted as a fact of life, and considers the alternative pathways that might have
produced, and can produce, alternative worlds.

● Power is not only the ability of one actor to get another actor to do what they would not do
otherwise, but also the production of identities, interests, and meanings that shape the ability
of actors to control their fate.

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 ✅
GISE002 Introduction to International Relations
Week 7

International Regime 國際建制

● Concept is relatively new in International Relations.
● Regime studies were very active in 1990s and 2000s when the Cold War was over and during
the heydays of globalization.
● Definition: Sets of implicit or explicit principles 原則, norms 規範, rules 規則, and
decision-making procedures 決策程式 around which actors’ expectations converge.
- Defined by Stephen Krasner (1982) and this is the most widely accepted definition

Is GATT an international regime?

● GATT was established in 1947 (became WTO in1994)
● GATT is a formal agreement, but regime includes informal institutions (i.e., implicit and
explicit principles and norms) as well

Informal parts (seldom change) (more important)

Principles – idea that member states cherish
Norms – specify general standards of behavior… norms of reciprocity

Formal parts (change)

Rules – formal rules specified by GATT (or later by WTO)!
DMP (Decision-making Procedures) – specifies the ways in which you arrive at decisions

Examples of international regime

● International aviation regime 航空
● International post delivery regime 郵遞
● International nuclear non-proliferation regime 核武禁擴
● International Trade Regime 貿易
● International Monetary Regime 貨幣

How can we explain the origin of the post WWII free international economic relations?
● Hegemon霸權 e.g., Stephen Krasner, “State Power and the Structure of International Trade”
● It takes hegemon to create and maintain free international economic order
● Creation of free international economic order:
- force other states to join
- bear the costs of creation of such order
● Management
- monitor other states’ behavior and punish defectors
● e.g. US, GB (Pax Britanica)
● The United States played a pivotal role in promoting the post-war economic order. Through
initiatives like the Marshall Plan, the U.S. provided substantial financial assistance to aid in
the reconstruction of war-torn countries in Europe. The U.S. also championed free trade and
open markets, encouraging other nations to adopt similar policies.

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Hegemonic Stability Theory (HST) 霸權穩定論
霸權穩定論表明，當一個民族國家是世界主導力量或霸權國家時，國際體系更有可能保持穩
定。 因此，現有霸權的垮台或國際社會中缺乏霸權國家會削弱國際體系的穩定性。 當一個霸
權國家通過外交，脅迫或說服行使其領導權時，它實際上正在部署其「優勢的權力」。這被稱為
霸權，指的是一個國家「單獨主宰國際政治和經濟關係的規則和安排的能力」。霸權穩定論可
以分析大國的崛起，此外，透過討論不斷衰落的霸主與其崛起的繼承者之間的共生關係，可以
用來理解和預測國際政治的未來。
Hegemonic Stability Theory is an international relations theory that suggests that a stable global
economic system requires the presence of a single dominant power, known as a hegemon. The theory
argues that a hegemon, through its economic and military strength, can provide stability, enforce rules,
and promote cooperation among other states in the international system.

1. Hegemony: According to the theory, a hegemon is a dominant state that possesses significant
economic, military, and political power. The hegemon's power allows it to shape and influence the
global economic system to serve its own interests.

2. Stability and Order: The theory posits that a hegemon provides stability and order by establishing
and enforcing rules, norms, and institutions in the international economic system. The hegemon acts
as a guarantor of the system, ensuring compliance and resolving disputes among other states.

3. Public Goods Provision: The theory suggests that a hegemon has the capacity to provide public
goods that benefit the international community as a whole. Examples of such public goods include
open markets, stable currencies, security arrangements, and financial stability. The provision of these
public goods enhances economic cooperation and promotes collective welfare.

4. Enforcement and Coordination: Hegemonic Stability Theory argues that a hegemon has the
ability to enforce compliance with international economic rules and agreements. Its economic and
military power give it leverage to punish or reward other states based on their adherence to the
established rules. The hegemon also coordinates collective action among states, facilitating
cooperation and reducing transaction costs.

5. Hegemonic Decline and Instability: The theory suggests that as a hegemon's power declines or
weakens, it becomes less capable of providing stability and enforcing the rules of the international
economic system. This can lead to power vacuums, increased competition among rising powers, and
potential disruptions to global economic order.

Hegemonic Stability Theory has been used to explain historical periods, such as the British hegemony
during the 19th century and the U.S. hegemony after World War II.
● Proponents argue that a stable international economic system requires a hegemon to provide
leadership and maintain order.
● Critics, on the other hand, highlight limitations and alternative explanations, such as the role
of institutions, power diffusion, and the presence of multiple sources of power in shaping
global economic dynamics.

Robert Keohane (Neoliberal institutionalist) –After Hegemony (1984)

Cooperation is possible without hegemony since International Regimes make this cooperation
possible... regime survived the decline of American hegemony...

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International Political Economy (IPE) 國際政治經濟
● History of IPE as a distinct discipline of IR
兩大原因推動了早期國際政治經濟學發展，一是，第二次世界大戰後的布列敦森林體
系，例如IMF、WB和GATT等機構，加深了各國在經濟上的相互依存；二是，與這些國
際經濟建制相關的政治不穩定事件，如金本位制的終結、1973年石油危機以及各國呼
籲實行貿易保護政策。
- Little interest in IPE in the post WWII era
- Booming industry in the post-Cold War era

● What is Political Economy?

- Interplay between politics and economy 國際事務當中政治與經濟的互動關係
- IPE – the way international politics affect international economy and vice versa
國家之間的政治關係如何左右國家之間的經濟關係

Three traditions in IPE:

● Realist theory of IPE 經濟民族主義 reference
It provides an explanation of how states interact economically based on their pursuit of power
and national interest
經濟民族主義是政府動用行政力量，對國內企業或產品實行保護，阻礙外國公司併購
本國企業及進口外國產品的一種行為，其指導思想是，經濟活動要為而且應該為國家
建設的大目標或國家的整體利益服務。
- Early mercantilists (Friedrich List; Alexander Hamilton)
➔ Primary goal of state is to pursue power and security→ leaders should use
Realpolitik... so, breaching international norm is OK...defection is OK (if it
helps our interests! )
➔ “Beggar-thy-neighbor policies” are OK! 以鄰為壑是指一個國家，試圖將
本身的經濟困難，以轉移方式送到鄰國，從而達到損人利己的局面。
➔ ​Economy is only means to enhance states’ power!
➔ Economy is subordinate to politics...!
- Contemporary realists IPE theories (R. Gilpin; S. Krasner)
➔ States’ power and states’ interests do shape econ outcomes, instead of saying
that states’ power and security concern should shape econ policies
➔ Robert Gillpin – states and states’ interests do dominate the logic of IPE... not
international institutions or regimes 羅伯特·吉爾平認為，經濟民族主義是
關於民族國家與經濟財富之間關係的信條學說，是關於民族國家建設
的理論，也可能是尋求國家保護，用以影響國家決策的某些生產者利益
集團的意識形態。

● Liberalist theory of IPE 經濟自由主義 reference

It is based on the principles of liberalism and emphasizes the importance of free markets,
cooperation, and institutions in shaping international economic relations.
提倡市場機制，反對人為干涉經濟的經濟理論和政策體系
- Classical Liberalism (A. Smith; D. Ricardo)
➔ Politics shouldn’t intervene in the market.
➔ Invisible hand: In a competitive market, these self-interested actions are
guided by the forces of supply and demand, prices, and market competition.

38
 Smith argued that, through this process, a self-regulating mechanism
emerges, which he referred to as the "invisible hand."
➔ The goal of the state goes beyond security and power to the protection of
human rights and enhancement of individual welfare
➔ Liberalists believe that economic liberalization, including market-oriented
reforms and privatization, can foster economic development and prosperity.
They argue that liberal economic policies, such as removing barriers to
investment, protecting property rights, and promoting entrepreneurship,
create an enabling environment for growth and innovation.
- Contemporary liberalists (R. Keohane)
➔ Liberalists emphasize the role of international institutions and rules in
shaping economic interactions.
➔ E.g. WTO & IMF provide a framework for cooperation, negotiation, and
dispute resolution.
➔ Liberalist theory suggests that these institutions help establish and enforce
rules that promote stability, transparency, and fairness in international
economic relations.

● Marxism 馬克思主義
- Early Marxist theories – international K economy would collapse
- Neo-Marxist theory of IPE... structural deficiency of international K economy

1. Exploitation and Class Relations: Marxism emphasises the role of class struggle and
exploitation within the capitalist system. Marxists argue that capitalism inherently leads to the
exploitation of the working class by the capitalist class, as profits are derived from the surplus
value created by labour.
2. Capitalist Imperialism: Marxists analyse how capitalism drives imperialistic tendencies,
where powerful capitalist states and corporations seek to expand their influence and control
over resources, markets, and labour in other countries. They view imperialism as a means to
secure access to cheap labour, raw materials, and profitable investment opportunities.
3. Structural Inequality: Marxism focuses on the structural inequalities and uneven
development created by the global capitalist system. Marxists argue that capitalism
perpetuates economic disparities between countries, reinforcing a hierarchical global division
of labour, where core capitalist countries exploit peripheral countries through unequal trade
relationships and the extraction of resources.
4. Dependency Theory: Marxist-inspired dependency theory posits that the development of
peripheral 外圍的 countries is hindered by their economic dependence on core capitalist
countries. According to this perspective, peripheral countries are trapped in a cycle of
underdevelopment due to their reliance on exporting raw materials and low-value-added
goods, while core countries dominate technologically advanced industries and control global
financial systems.
5. Critique of Global Institutions: Marxists critically examine international institutions such as
the World Trade Organization (WTO), International Monetary Fund (IMF), and World Bank,
arguing that these institutions serve the interests of global capitalism and perpetuate unequal
power relations between states. They contend that these institutions impose neoliberal policies
that prioritise free trade, deregulation, and austerity measures, often leading to negative social
and economic consequences for the working class.

39
 6. Socialism and Revolution: Marxism's ultimate goal is the establishment of a socialist
society, where the means of production are collectively owned and controlled by the working
class. Marxists argue that capitalism's inherent contradictions and exploitation will eventually
lead to revolutionary change, enabling the transition to socialism and a more equitable global
order.

International Monetary System 國際貨幣體系 reference

Why matters?
● Sound international monetary system is a prerequisite for maintenance of stable world
economy. It is a prerequisite for the growth of world trade and foreign investment.
● IMS imposes different costs and benefits upon states and groups within them.
● Different IMSs have varying impact on the distribution of power among states and welfare of
different groups within the states... important political implications

Requirements for Stable IMS

● Liquidity 流動資金
- Amount of cash or liquid assets that can be easily available
- IMS should provide an adequate supply of liquid assets to finance international
transactions

40
 ● Adjustment Mechanism
- It must specify methods to resolve BoP (Balance of Payments) disequilibria
- Balance of Payments (BoP) 國際收支平衡 reference
The balance of payments (BOP) is a systematic record of all economic transactions
between residents of one country and the rest of the world during a specific time
period, typically a year. It provides a comprehensive summary of a country's
international transactions, including trade in goods, services, income flows, and
financial transactions.
國際收支平衡是一個帳目，把一個國家與其他國家的交易記錄下來。 這個記錄
主要是記下一些涉及金錢或有價值的經濟活動。 它的主要作用是記錄一個國
家的國際收支情況，如商品及服務的交易金額，資金的轉移等。
- All payments between a country and its economic (trading) partners
- Current Account (Balance of Trade) + Capital Account
國際收支平衡帳中主要成員有經常帳及資本帳﹕
經常帳﹕主要是記錄有關物品的交易； 資本帳﹕主要是記錄資金的流出流入。
- BoP deficit adversely affects states’ economy → need to adjust BoP deficit situations
→ IMS should specific mechanisms to resolve BoP disequilibria

● Confidence
- Sound IMS should provide confidence in the system

History of international Monetary System

The Era of Specie Money
● In the pre-modern era, specie money was the basis of the IMS...
● Specie money constituted a medium of exchange, store of value, unit of accounting
● During this period, central governments had no control over monetary issues (money flow)

The Era of Political Money

● During the 18th and 19th centuries, a financial revolution took place. Paper money; modern
banking; private credit instruments. This was very important. Why?

41
 ● The government started printing money → government acquired extensive control over the
money supply! (for the first time in the world history)
● The central government is now equipped with “macro- economic variable” → influence econ
activities
● Government could solve the inadequacy of specie money.
● For instance, government could fight against “deflationary pressure” “recession”
● But this can also create inflationary bias which will diminish the value of currencies and
instability in IMS
● We want both flexibility in domestic economic policies and (also) stability in IMS, but there
is a trade off
● Trade off between autonomous domestic economic policies and stable international monetary
order
● The way this dilemma has been resolved characterizes the subsequent phases in the history of
IMS

The Classical Gold Standard (1870-1914) 古典金本位體系 reference

金本位制是一套體系，在這個體系下，所有國家都將其貨幣的價值與一定黃金數量掛鉤，或者
是將他們的貨幣與另一個國家已經與一定黃金數量掛鉤的貨幣實行掛鉤。金幣與其他金屬硬
幣和紙幣一起作為國內貨幣流通，而各國的金幣組成不盡相同。由於各幣種的價值都以一定
黃金數量來決定，參與此體系的各幣種間的匯率因此也是確定的。
The classical gold standard refers to a system in which their currencies were directly linked to gold.
Under the gold standard, a nation's currency had a fixed value in terms of a specified amount of gold.
● Features:
- Central bank of a state bought and sold gold at a fixed price! Price of gold was fixed
國內貨幣能夠以固定的價格自由兌換成黃金
- Private citizens could freely export and import gold 黃金輸入輸出不受限制
- Central banks didn’t interfere with K flow...!!
- → Fixed XR mechanism for adjusting BOP payment problem...!!!
在古典金本位體系下，央行有兩個最重要的貨幣政策職能：
1. 確保紙幣能夠以固定價格兌換成黃金，以及維護匯率。
2. 加快國際收支失衡調整過程，但事實上這一項往往無法遵守。
● Embodiment of classical liberal economic principles.. Laissez-faire economic policies!
● Very successful IMS.. Facilitated growth of world trade and global prosperity.. It achieved
remarkable success in creating and sustaining stability in international economic (monetary)
relations
● But at the cost of autonomy in domestic economic policies...
● This system worked pretty well till WWI... but collapsed…
不管原因何在，到1900年，除中國和部分中美國家外，所有國家都加入了金本位制。這一格局
一直延續到第一次世界大戰才被打破。兩次世界大戰之間，人們曾不時嘗試回歸純粹的、古典
金本位制，但都未能成功延續到1930年代的大蕭條期之後。

The Interregnum between Classical Gold Standard and BW(Bretton Woods) System:
Gold Exchange Standard 金匯兌本位制 reference
The gold exchange standard is a modified version of the gold standard that emerged in the interwar
period as an attempt to address the challenges and limitations of the traditional gold standard. Under
the gold exchange standard, currencies were not directly linked to gold but were pegged to the
currency of a country that maintained a fixed exchange rate with gold.

42
 ● Why did the Classical Gold Standard collapse?
- WWI and its aftermath
➔ Rise of warfare state
The term "welfare state" refers to a type of governing in which the national
government plays a key role in the protection and promotion of the economic
and social well-being of its citizens.
- Major consequence of WWI was a nationalization of the IMS. States quickly
safeguarded their gold supplies and disengaged from fixed XR and abandoned the
primacy of tight monetary policy.
- Advent of Keynesianism - gov should fight against frequent recessions and high
unemployment... how? 凱恩斯主義主張國家採用擴張性的經濟政策，通過增加
需求促進經濟增長。
● Feature of Gold Exchange Standard:
- Currency tied to gold. But the return to the gold std. was ruled out... Instead of the
gold, states could use gold-backed currencies such as British Sterling... basically very
similar to those of Classical Gold Standard…
● It only survived a few years... Why?
- Rise of welfare state: it give priorities to the autonomy of domestic economic
policies! welfare objectives such as continuous economic growth and full
employment became more important than a stable international monetary order... rise
of Labor Unions, etc.
- Earlier, the ruling elites preferred the dangers of tight money and deflation to those of
cheap money and inflation... to higher rates of unemployment and decreased
welfare... but this can no longer be tolerated! Because of change in political
dynamics!!!
- Active intervention in monetary issues, this became a new normal...!!!
● During the inter-war period, states preferred autonomy of domestic economic policies to
stable international monetary system!!
● Beggar-thy-neighbor policy; competitive depreciation...→Great Depression→ WWII (???)

The Bretton Woods System 1944 布雷頓森林體系 reference

世界上大部分國家加入以美元作為國際貨幣中心的貨幣制度
Under the Bretton Woods system, the U.S. dollar is pegged to gold, while other currencies are pegged
to the U.S. dollar. Each participating country agreed to maintain its currency's exchange rate within a
narrow band or margin of fluctuation against the U.S. dollar.
● Primary goals and objectives
- Economic Cooperation: The Bretton Woods system aimed to foster economic
cooperation and coordination among member countries. Regular meetings and
consultations were held to discuss economic policies, exchange rate stability, and
international payments imbalances. This cooperation was seen as essential for
maintaining the stability and functioning of the international monetary system.
- Monetary Stability: The system aimed to provide stability in exchange rates by
pegging currencies to the U.S. dollar, which in turn was pegged to gold. The fixed
exchange rates were intended to reduce uncertainty and volatility in international
trade and investment, fostering monetary stability and predictability.
- Preventing Competitive Devaluations: The system aimed to prevent competitive
currency devaluations, which were considered harmful to global trade and economic

43
 relations. By pegging currencies to a fixed exchange rate, countries were expected to
avoid engaging in currency manipulation for competitive advantage.
● The IMF oversees exchange rate stability and provides financial assistance to member
countries.
● The compromise of domestic autonomy and international monetary stability →

Embedded Liberalism 內嵌自由主義 reference

內嵌的自由主義包含兩個基本原則：一是自由開放的市場化原則；二是基於公平正義的社會保
護原則。前者強調市場的自發作用，後者強調政府干預，整體上強調市場和政府作用的互補。
● “Unlike the economic nationalism of the thirties, it would be liberalistic in character; unlike
the liberalism of the classical gold standard, its liberalism would be predicated upon domestic
interventionism.” John G. Ruggie
● Tried to avoid...
- (1) subordination of domestic economic activities to the stability of the IMS (this was
the key feature of Classical Gold Std.) and also
- (2) the sacrifice of IMS to the domestic policy autonomy (which was the key char of
the interwar period..)
● Intended to enable government to pursue Keynesian growth policies at home, without
sacrificing international monetary stability...
● It was also intended to achieve stable international monetary system, without subordinating
autonomy in domestic economic activities...

● How the dilemma was solved during the BWS?

- If a country is suffering temporary BOP disequilibria, IMF provided medium-term
loan to the country
- If a country is suffering fundamental BOP disequilibria, the system permitted a
country to change its XR... but with consent...

● The key to the system?

- American economy... dollar…
- Other nations pegged their currencies to the dollar, so this was the system of fixed
XR.
- The US pledged to keep the dollar convertible into gold at $35 per ounce.
- Dollar was the principal medium of exchange, store of value, and unit of accounting
- It was based on American hegemonic power...
- This was the beginning of Globalization!!! ???

● It was quite successful !!

● Why did the system collapse?

Triffin Dilemma 特里芬困境

是針對美元作為國際貨幣下必須保持穩定，但又要實現國際收支平衡所存在的一個兩難困境
，而這種矛盾至今依然存在。由於美元與黃金掛鈎，而其他貨幣又與美元掛鈎，在「雙掛鈎」情
況下，美元便處於兩難局面。為了應付國際對美元的需求，美元要增加其供應；然而美元供應
不斷增加的話，又會導致美元兌換黃金的方式難以維持，同時美國赤字亦無可避免地逐步擴
大，最終損害其他國家對美元的信心。

44
The Triffin dilemma arises when a single national currency, such as the U.S. dollar, simultaneously
serves as the global reserve currency and the domestic currency of the issuing country.

1. Global Reserve Currency: The global reserve currency is a currency widely held by central banks
and other international institutions as part of their foreign exchange reserves. It is used for
international transactions, settlements, and as a store of value. Historically, the British pound and the
U.S. dollar have been the primary global reserve currencies.

2. Domestic Needs vs. International Demands: The Triffin dilemma points out that the issuer of the
global reserve currency faces conflicting demands. As the global reserve currency, there is a constant
demand for the currency from other countries, as they need it for international trade and reserves.
However, as the domestic currency, the issuing country needs to ensure sufficient liquidity to support
its domestic economy and meet domestic needs.

3. Structural Imbalance: The Triffin dilemma suggests that in order to meet the global demand for
the reserve currency, the issuing country must run persistent trade deficits and supply the rest of the
world with its currency. This creates a structural imbalance, as the issuing country becomes
increasingly indebted and dependent on foreign holdings of its currency.

4. Confidence and Stability: The Triffin dilemma highlights that the stability and confidence in the
global reserve currency are crucial for its continued acceptance by other countries. However, the
issuer of the reserve currency may face challenges in maintaining that stability, as its domestic
economic needs and the demands of the global reserve status may be at odds.

5. Unsustainability and Instability: The Triffin dilemma suggests that the tensions arising from the
conflicting roles of the global reserve currency can lead to a loss of confidence in the currency and
potential instability in the international monetary system. It can create a situation where the issuer of
the reserve currency faces pressure to manage its domestic economic needs while also ensuring the
stability and availability of the currency for international use.

Triffin's Solution
Triffin proposed the creation of new reserve units. These units would not depend on gold or
currencies, but would add to the world's total liquidity. Creating such a new reserve would allow the
United States to reduce its balance of payments deficits, while still allowing for global economic
expansion.

誰壓垮了布雷頓森林制度

● Two basic asymmetries.

1. The role of dollar as providing international liquidity→ leads to American BOP
deficit → decreased confidence in the IMS
2. The US, not able to devalue the dollar to improve its BOP position!!
● Vietnam War; Great Society → expansionary policy
● 1971, 8. 15. Nixon announced that the US will suspend the convertibility of the dollar into
gold.

45
● 1976 Kingston Conference 牙買加協定 Jamaica Accords – the determination of the par value
of a currency is the responsibility of the country 法律性地認可了早已出現的黃金停止兌
換、匯率自由浮動
● (Non) system of flexible rates
● Dirty Floating 骯髒浮動匯率 → Loss of international financial discipline Reference
● Answer?
- More liberalization of financial and capital markets

46
 ✅
GISE002 Introduction to International Relations
Week 8 (1)

International Security 國際安全

Traditional concept
傳統意義上的國際安全主要關注於或只關注於軍事措施。
It refers to a perspective on security that emerged during the Cold War and has its roots in traditional
notions of state-centric security. It emphasizes the protection and defense of a state's territorial
integrity, sovereignty, and national interests against external military threats.
● State-Centrism: places the state as the primary referent object of security
● Military Power and Deterrence: prioritizes military strength as a means to deter potential
adversaries and ensure security
● Sovereignty and Non-Interference: emphasizes the principle of state sovereignty, which
entails non-interference in the internal affairs of other states
● Threats from Other States: focuses on threats posed by other states

Explaining the Obsolescence of Major Wars

● Realist explanation
- Some realists are skeptical of this claim
➔ Temporary deviation
- American Hegemony (HST) 霸權穩定論
➔ Peace is the product of American hegemon
- Nuclear Weapons
➔ MAD
● Liberalist explanation
- Proliferation of Liberal Democracy
- Deepening of Economic Interdependence
- Expansion of International Organizations and International Law
● Constructivist explanation
建構主義認為安全是一個社會建設。他們強調社會、文化及歷史性因素的重要性，促
使不同的行動者以不同的方式解讀相類似的事件。
- Role of ideas and changed identity
- Through interactions and processes, that is, socialization, states came to adopt norms
relating to sovereignty, territory, borders, and conquest.... States overcame security
dilemma... states’ identities have changed...
- It became inter-subjective (shared) understanding

Human Security 人類安全

Human security is a concept that broadens the traditional understanding of security by shifting the
focus from the security of states to the security and well-being of individuals and communities. It
recognizes that security extends beyond military concerns and emphasizes the protection and
empowerment of people.
人類安全與傳統的安全概念有所區別，它主張人民及社區的安全，而非軍事威脅上的安全。它
的概念由僅僅存在（生存）延伸至人類的福祉與尊嚴。人類安全是一個關於國際安全上的做法
的新興思想流派。它沒有一個單一的定義，從狹義地理解為預防暴力，到廣義地同時主張發
展、人權及傳統安全。

47
 ● New types of threats such as:
- Cybersecurity Threats: With the increasing reliance on digital technologies and
interconnected systems, cybersecurity threats have become a major concern.
Cyberattacks, data breaches, identity theft, and online privacy violations pose risks to
individuals, organizations, and even national security.
- Terrorism and Extremism: Terrorism and extremism, fueled by ideological,
religious, or political motivations, continue to pose significant threats to human
security. Acts of terrorism can cause loss of life, physical harm, psychological trauma,
and societal disruption.
- Transnational Organized Crime: Transnational organized crime networks engage in
activities such as drug trafficking, human trafficking, arms smuggling, money
laundering, and cybercrime. These criminal activities undermine governance,
stability, and the well-being of individuals and communities.
- Environmental Degradation and Climate Change: Environmental degradation,
including deforestation, pollution, habitat destruction, and climate change, poses
significant threats to human security. It leads to resource scarcity, displacement, food
insecurity, natural disasters, and health risks, affecting the well-being and livelihoods
of communities.
- Pandemics and Health Crises: The outbreak of infectious diseases, such as the
COVID-19 pandemic, highlights the vulnerability of human security in the face of
health crises. Pandemics can lead to loss of life, strain healthcare systems, disrupt
economies, and cause social and psychological distress.
● The process of Globalization brings in news risks and dangers. As globalization accelerates in
the 21st century, such threats are internationalized
● These threats to security are largely outside the control of nation-states
● They are not being sufficiently addressed through the traditional framework of national
security

Several characteristics of Human Security

● Individual-Centric Focus: Human security places individuals at the center of security
concerns. It seeks to protect individuals from violence, discrimination, poverty, disease, and
other threats that undermine their well-being and dignity. The focus is on ensuring that people
have the freedom and capabilities to live fulfilling lives, free from fear and want.
● Emphasis on Human Rights: Human security is closely linked to the promotion and
protection of human rights. It recognizes that human rights are essential for ensuring people's
security and well-being. Human rights provide a framework for addressing issues such as
discrimination, repression, injustice, and social exclusion.
● The concept is not limited to human survival; it includes the right of people to exercise
choices safely and freely and that they can be fairly confident that the opportunities they have
today will not be lost tomorrow.
● States may well continue to invest in traditional defense (security), but they are not able to
deal with new problems properly…

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Tensions between different schools of human security

The Narrow School The Board School

It emphasizes the interconnections between

It focuses on protecting individuals from
various dimensions of security, including
immediate and tangible risks, such as violence,
political, economic, social, health, and
conflict, terrorism, and human rights abuses.
environmental aspects.

Freedom from fear refers to protection from Freedom from want refers to addressing poverty,
violence, armed conflict, terrorism, and other inequality, lack of access to basic necessities,
forms of physical harm. and socio-economic disparities.

Sabina Alkiri (2004; 360) - HS is ‘to protect the

HS - ‘the protetcion of individuals and
vital core of all human lives in ways that
communities from war and other forms of
advance human freedoms and human
violence’ (Human Security Center; 2005)
fulfillment’

The role of state is still very important Skeptical about the role of state

Evolution of HS Concept
● HS expanded the traditional concept of security horizontally and vertically
● Horizontal dimension - issue aresa: not just military security, but non-military security as
well such as economic, environmental, educational, human trafficking, drug trafficking stc.
● Vertical dimension - referent objects: no longer states, but groups, individuals etc.

49
 ✅
GISE002 Introduction to International Relations
Week 8 (2)

Nuclear Revolution 核武革命

Development of Nuclear Revolution
● Little Boy 小男孩 (Hiroshima 廣島市, August 6, 1945)
- Exploded 1,800 feet over Hiroshima with a force of 13 kilotons of TNT; immediate
deaths of 130,000
- Uranium gun-type device
- Unstable
● Fat Man 胖子 (Nagasaki 長崎市, August 9, 1945)
- plutonium implosion weapon
- 20 kilotons of TNT; immediate deaths of 45,000
● Reaction to danger and inefficiency of WWII fission weapon → boosted fission weapons
● Ivy Mike 常春藤麥克 - first real fusion bomb (1952) → era of hydrogen (thermonuclear)
bomb - 10.4 megaton of TNT
美國引爆了世界上第一顆氫彈——比原子彈威力更大的核裝置
- Why did Truman decide to develop fusion bomb?
- Nuke arms race bet. the US & USSR was very competitive in the early Cold War era

Nuclear Revolution
Technical effects of the nuclear revolution
● Effect 1: H bombs offer an increase of six orders of magnitude over the power of the TNT
- Hydrogen bomb changed strategic paradigm!
● Effect 2: Nuclear weapons pack tremendous explosive power in devices that are cheap, light,
easily hidden, protected, and delivered!
● Effect 3: Due to the effect 1 and 2, “MAD” develops between nuclear powers; “Second
Strike Retaliatory Capacity” – not that difficult to obtain this ability
It refers to a country's ability to respond to a nuclear attack with a devastating counterattack,
even after its own nuclear forces have been targeted and potentially destroyed. It is a crucial
component of nuclear deterrence and plays a significant role in maintaining stability in the
event of a nuclear conflict.
在核戰略中，報復性打擊或二次打擊能力是指一國對核攻擊進行可靠反應、對攻擊者
實施強力核報復的能力。擁有這樣的能力（並讓其他人相信其可行性）被認為對核威懾
至關重要。否則，對方可能會試圖通過大規模先發製人打擊對方核力量來贏得核戰
爭。
● Effect 4: Flat of the Curve dynamics develop... Capabilities are absolute…
● Effect 5: Multiplier Effect - second strike retaliatory capacity increases if you have more... in
relations between nuke powers, more maybe better...!!
- Alternative Nuclear Strategies: Countervalue vs. Counterforce
1. Countervalue: Enemy’s society is targeted 打擊社會財富
➔ Political aims are achieved by threatening to punish your enemy by
destroying its population and industry.
➔ Capacity required: A second strike countervalue capability; relatively
easy to execute
2. Counterforce: Enemy’s nuclear forces is targeted 打擊軍事力量

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 ➔ Political aims are achieved by threatening to disarm the enemy ... by
threatening to remove the enemy’s second strike capacity…
➔ Capacity required: A first-strike counterforce capability; almost
impossible!
● Effect 6: Defense Dominance?
- Between nuclear power preemptive (or preventive) war is (almost) impossible... the
only way to make nukes more offensive is to eliminate the defender’s second-strike
capacity (to build first-strike counterforce capability)... → very difficult…
Hence defense dominance!
- Therefore ‘Nukes’ are fundamentally defensive weapons..

Mutual assured destruction (MAD) 相互保證毀滅 may be pacifying, but the road to MAD can be
dangerous. MAD is a concept in the realm of nuclear deterrence theory, which emerged during the
Cold War between the United States and the Soviet Union.
MAD is based on the premise that if both countries possess a sufficient nuclear arsenal, any attempt
by one to launch a nuclear attack would result in the total annihilation 殲滅 of both countries. In other
words, the concept suggests that the possession of a strong nuclear deterrent can prevent nuclear war
by creating a situation where both sides have a strong incentive to avoid initiating a nuclear conflict.
是一種「同歸於盡」性質的軍事戰略思想，指對立的兩方中如果有一方全面使用核子武器則兩
方甚至全世界都會毀滅，故而又被稱為「恐怖平衡」。
● Think about the relationship between the US and North Korea, and the relationship between
the US and Iran
● But what about the relationship between India and Pakistan?

More nukes better then (the little book)? Waltz vs. Sagan
● Waltz – more maybe better 擴散可能是件好事
他的論點在於，核武是終極的純防禦性武器，其威嚇力正在於其不可使用性。簡單的
說，沒有非核武國家會用常規武器挑戰核武國家，因為必敗；再來兩核武國之間一旦有
一方用上核彈，對方必會以核彈反擊：三來核武國家之間必然不會用核武互相攻擊，因
為唯一的結果是世界末日。所以，如果大國都有核武了，那麼在它們之間，常規武器的
戰爭就會消失，核武戰爭也會消失。因此，最有能力導致世界毀滅的武器很可能也是
最能促進世界和平的工具，「核平」的恐懼使得「和平」變得可能，是為核武悖論。
Waltz argues that in the context of nuclear weapons, more states possessing nuclear
capabilities might actually contribute to greater stability and reduce the likelihood of nuclear
conflict. He presents this idea as a counterintuitive proposition against the prevailing belief
that the proliferation of nuclear weapons would inherently lead to greater instability and an
increased risk of war.
- Waltz advocates both horizontal and vertical nuclear proliferation... ???
- Rational deterrence theory 威懾理論
威懾是一種策略，旨在嚇阻其對手採取尚未開始的行動，或阻止他們做出其他
國家期望的事情。
It is a conceptual framework in international relations that seeks to explain how states
use threats and actions to deter potential adversaries from taking undesirable actions.
It is rooted in the assumption that states are rational actors who weigh the costs and
benefits of their actions and aim to maximize their own self-interest.
● Sagan – not necessarily

51
 One of Sagan's notable contributions to the discourse on nuclear weapons was his
involvement in the concept of "nuclear winter." Along with other scientists, he conducted
research that demonstrated the catastrophic 災難性的 environmental effects that would
follow a large-scale nuclear war. Sagan argued that the immense amounts of smoke, soot, and
debris generated by nuclear explosions could block sunlight, leading to a significant drop in
global temperatures, reduced agricultural productivity, and widespread famine. He highlighted
the potential for immense human suffering and long-term ecological consequences resulting
from a nuclear conflict.
- Nuclearization may invite preventive wars
- What if new nuke states fail to develop 2nd strike capability?
- What if civilians won’t have control over the nukes in new nuke states?
- Accidents do happen... Bureaucratic politics (organizational) theory

Development of American Strategic Thinking Regarding Nukes

● Americans in the late 40s and early 50s thought nuclearized world would be inherently
unstable; nuke arms race with the Soviets would lead to disaster..
● Preventive war thinking!!! Rejected by Truman and Ike…
● Didn’t think of the relationship with the Soviets in terms of MAD; The US initially thought
that nukes were offensive weapons..

Nuclear Nonproliferation Regime

International Atomic Energy Agency (IAEA) 國際原子能機構
是致力於和平發展原子能的獨立政府間國際組織
● The IAEA was established in 1957 as an autonomous 自主性 organization under the United
Nations (UN) to serve as the global focal point for nuclear cooperation, safety, security, and
verification.
● Its primary purpose is to promote the peaceful use of nuclear energy while preventing the
spread of nuclear weapons.
機構應謀求加速和擴大原子能對全世界和平、健康及繁榮的貢獻。機構應盡其所能，
確保由其本身、或經其請求、或在其監督或管制下提供的援助不致用於推進任何軍事
目的。

Treaty on the Non-Proliferation of Nuclear Weapons (NPT) 核武禁擴條約

It is an international treaty aimed at preventing the spread of nuclear weapons, promoting
disarmament, and facilitating the peaceful use of nuclear energy.
宗旨是防止核擴散、推動核裁軍和促進和平利用核能的國際合作。

Limitations of NPT
1. Nuclear Weapons States: The NPT recognizes five states (the United States, Russia, the
United Kingdom, France, and China) as nuclear-weapon states (NWS) because they had
nuclear weapons at the time of the treaty's inception. The NPT does not explicitly require
these states to disarm, but rather calls for them to negotiate in good faith towards
disarmament. This has led to criticism that the treaty perpetuates a division between

52
 nuclear-weapon states and non-nuclear-weapon states, creating a perceived imbalance in
obligations.

2. Non-Parties: Several states have not signed or ratified the NPT, including India, Pakistan,
Israel, and North Korea. These states have pursued nuclear weapons programs, which has
raised concerns about the effectiveness and universality of the treaty. The NPT's limitations in
addressing non-parties have highlighted the challenges of achieving global non-proliferation
goals.

3. Withdrawal: The NPT allows parties to withdraw from the treaty if they decide that
"extraordinary events" jeopardize their supreme interests. However, the treaty does not define
what constitutes an extraordinary event, leading to questions about the clarity and potential
misuse of this provision. North Korea's withdrawal from the NPT in 2003 raised concerns
about the effectiveness of the treaty in preventing proliferation.

4. Verification and Enforcement: While the NPT includes provisions for IAEA safeguards to
verify compliance with non-proliferation obligations, the effectiveness of these safeguards can
be limited. The IAEA relies on cooperation from states and faces challenges in accessing
sensitive facilities. The treaty also lacks strong mechanisms for enforcement in the event of
non-compliance, relying primarily on diplomatic and political pressure.

5. Nuclear Disarmament: The NPT calls for nuclear disarmament, but progress in this area has
been limited. Critics argue that the treaty does not provide a clear roadmap or detailed
obligations for nuclear disarmament. Disagreements among nuclear-weapon states on
disarmament priorities and the pace of reductions have hindered progress in fulfilling this
aspect of the treaty.

6. Peaceful Use and Dual-Use Technologies: The NPT recognizes the right of states to develop
nuclear energy for peaceful purposes. However, there is a risk of dual-use technologies, where
technologies and materials intended for peaceful uses can also be diverted for military
purposes. The NPT's safeguards system is designed to address this risk, but there are concerns
about its effectiveness in detecting and preventing such diversions.

Objective of NPT
● Clauses 1,2,3: deal with horizontal proliferation
- Horizontal proliferation 水平擴散: the spread of nuclear weapons to entities
(countries or terrorist groups) not currently possessing nuclear weapons 以往沒有的
國家擁有了核武
- 核國家保證不直接或間接地把核子武器轉讓給非核國家，不援助非核國家製造
核子武器。
- 非核國家保證不製造核子武器，不直接或間接地接受其他國家的核子武器轉讓
，不尋求或接受製造核子武器的援助，也不向別國提供這種援助。
● 4, 5: recognizes inherent rights to use nuke for peaceful purposes
- 把和平核設施置於國際原子能機構的國際保障之下，並在和平使用核能方面提
供技術合作。
● 6, 7: deals with vertical proliferation; nuke countries have duty to disarm nukes

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 - Vertical proliferation 垂直擴散: increased numbers of nuclear weapons in countries
already possessing nuclear weapons 一個國家同時增加核子武器的種類多樣性和
數量

Attitude of Nuke Countries

● Keep the status quo!
● Enthusiastic about stopping horizontal proliferation, but haven’t really abided by 4, 5, 6, 7..

Limitations of IAEA and NPT

核武禁擴條約成立後世界上多數國家加入，但是核擴散的陰影依然揮之不去，因為該條約沒
有強制力也沒有明確規定違反者受到怎樣處罰，通常違反者會受到利益相關大國帶頭的經濟
制裁和威脅發動戰爭摧毀核設施（例如巴比倫行動），但其中充滿巨大雙重標準和動態性，所
以不擴散條約實際上只能被視為一種國際共識和輿論工具。
● Non NPT members, India, Pakistan, Israel going nuclear.. NPT didn’t do anything...!
- 印度、巴基斯坦、南蘇丹與以色列四國皆未曾簽署《核武禁擴條約》。
- 其中，印度和巴基斯坦均公開承認擁有核武，巴基斯坦更被認為是世界上唯一
擁有核武的伊斯蘭國家，印巴兩國同時在1998年進行核子武器試驗。以色列被
普遍認為自1967年起便擁有核武，但官方從未公開承認或否認。
● When withdrawing IAEA and NPT, they are not able to do anything meaningful!
● North Korean examples! (1994, 2003)
- 朝鮮（北韓）於1985年12月12日正式加入，於1993年3月12日宣佈退出意向，但後
又撤回。於2003年1月10日宣佈退出意向，2003年4月10日正式退出成為本約的
唯一退約國。
● Perception that NPT is discriminatory..
● Nuke countries do not interpret NPT 6, 7 as obligatory clauses..
● Hence IAEA cannot monitor nuke activities of nuke power...

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 ✅
GISE002 Introduction to International Relations
Week 9

Nationalism 民族主義
即指以自我民族的利益為基礎而進行的思想或運動
● It is the system of belief or ideology in which the welfare of the nation is considered
paramount!
● Collective state of mind in which people believe their primary duty is to the nation

Upsides and Downsides

● Upside: Fostering a sense of belonging, unity, and solidarity among citizens, as well as
promoting cultural diversity and cultural preservation. It can provide a sense of identity, pride,
and collective purpose, which can be important for social cohesion and national development.
● Downside: National self-interest often excludes the rights of other nations which can be
source of international conflict. It can also hinder international cooperation and
understanding, as it may prioritize national interests over global cooperation and
collaboration.

Nationalism is a relatively recent phenomenon <- French Revolution

Nationalism became a factor in IR in late 19th century
在19世紀民族主義成為了歐洲社會及政治的主導思想之一，也成為20世紀引發第一次世界大
戰的最主要原因之一。

French revolution 法國大革命 and nationalism

● French Revolution and “popular sovereignty” tapped full blown nationalism in Europe
● Louis the 14th – I am the state! (l’etat, c’est moi!)→
● No, we people are the state! (Popular Sovereignty 人民主權) 「人民是國家的主人」
● Owner of the nation → Love for the nation!
● In sum, nationalistic sentiment was unleashed by French Revolution... scholars say...

After the French Revolution, fervent nationalism started to spread across the Europe
大多數歷史學家還是將法國大革命作為歐洲民族主義的開端，法國大革命不僅激發了法蘭西
民族主義思潮，還對義大利和德意志地區的知識分子起到了極大影響。
● competing national claims contributed to the outbreak of both World Wars

Nationalism as a “movement”...
● National self-determination became a movement after WWI...
● W. Wilson also justified “national self-determination 民族自決” in 14 points
- 為一個地區之民族或國族實施自決的權利

Nationalism and IR
● Seeds for both interstate and intrastate conflicts
● Interstate wars (involves violence between two or more states)
- because of competing national claims
● Intrastate wars (occurs within a single state)
- because of “secessionist” movement 分離運動 e.g. Balkan
● No finality in the definition and formation of nations!

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Culture 文化
● The integrated system of socially acquired values, beliefs, and rules of conduct which delimit
the range of accepted behaviors in any given society
● Culture distinguishes societies from one another

Culture and Nation: How are they different? Which is a bigger concept?
● Culture refers to the shared customs, traditions, beliefs, values, arts, and social behaviors of a
particular group of people.
- Cultures can exist within nations, across multiple nations, or even among diverse
groups within a single nation.
● A nation is a community of people who feel themselves as part of some large identity group
with a shared history, and a common sense of identity among its inhabitants.
- Nations can also include diverse cultural groups within their borders, leading to a
complex interplay between national and cultural identities.
● The relationship between culture and nation is intertwined. Culture can shape the identity and
values of a nation, while the nation provides a framework within which that culture is
nurtured and expressed.

Culture is not an easy concept to “operationalize” in research

● Difficult to use it as an analytic tool
● Multifaceted 多面性 concept including wide range of phenomena
● Amorphous 無定形 concept
● Isolating “culture” and using it as an explanatory variable is difficult!

Civilization 文明
● The highest cultural grouping of people and the broadest level of cultural identity that people
could have

Clash of Civilization 文明的衝突 (S. Huntington)

● Thesis: civilizational differences would become the primary fault line of international
relations in the post-Cold War era. 文明衝突將是未來衝突的主導模式
● Eight distinct civilizations:
- Western (predominance in modern era), Sinic, Islamic, Hindu, Slavic-Orthodox, Latin
American, Buddhist, and African
● Clash of civilization is a part of historic development
● Conflict has been the essence of historical development
- conflict between feudal lords (before Westphalian system)
- conflict between the monarchs (early period of Westphalian system)
- conflict between the nations (WWI and WWII)
- ideological clash (Cold War)
- clash of civilization
● 4 factors:
- the relative decline of the West
- the rise of the Asian economy and its associated cultural affirmation
- a population explosion in the Muslim world, and the associated resurgence of Islam
- the impact of globalization

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Globalization and Civilizational Differences
● Globalization refers to the increasing interconnectedness and interdependence of nations,
economies, cultures, and societies across the world.
● Globalization and the clash of civilizations intersect in complex ways.
● Advantages:
- Globalization has facilitated interactions and exchanges between different cultures
and civilizations.
- It has allowed people to connect, learn from one another, and appreciate different
perspectives.
- It has also enabled economic cooperation and interdependence among nations.
● Disadvantages:
- Globalization has also generated challenges and tensions related to cultural identity,
values, and the preservation of traditions.
- As different cultures come into contact and interact, there can be both positive aspects
of cultural exchange and negative reactions to perceived threats to cultural or national
identities.
- Some argue that globalization can lead to a sense of homogenization or cultural
imperialism, where dominant cultures overshadow or erode local traditions and
identities.
● While globalization can create conditions for cultural interactions and conflicts, it does not
necessarily lead to an inevitable clash. Globalization can also promote understanding,
dialogue, and cooperation among different civilizations, fostering shared values and interests.

Does the nature of international conflict in the post-Cold War conform to Huntington’s thesis?
● No, it does not. While there have been instances of conflicts that involve cultural or
civilizational dimensions, it is important to recognize that international conflicts are
multifaceted and influenced by a variety of factors beyond civilizational differences.
● However, many conflicts in the post-Cold War era have been driven by a range of factors such
as territorial disputes, nationalism, resource competition, political ideologies, ethnic tensions,
and power struggles.
● It is true that cultural or religious factors have played a role in some conflicts, such as the
conflicts in the Middle East or the Balkans. However, it is essential to avoid oversimplifying
these conflicts as purely civilizational clashes. In many cases, underlying political, economic,
and historical grievances have been significant driving forces.
● Moreover, there have been numerous instances of cooperation, dialogue, and peaceful
interactions among nations and cultures in the post-Cold War era. Globalization,
advancements in communication technology, and increased interconnectedness have
facilitated cross-cultural exchanges and cooperation, challenging the notion of inevitable
civilizational clashes.
● Furthermore, the post-Cold War era has witnessed conflicts that do not fit neatly into
Huntington's civilizational framework. For example, regional conflicts in Africa have often
involved multiple ethnic, tribal, and political factions, rather than being driven solely by
civilizational differences.

57
Does 911 and international terrorism vindicate Huntington’s thesis on clash of civilization?
● The events of 9/11 and international terrorism, in themselves, do not necessarily vindicate or
prove Samuel P. Huntington's thesis on the clash of civilizations.
● While Huntington's thesis predicted that cultural differences and conflicts between
civilizations would be a significant source of global tensions, it is important to consider the
broader context and complexities surrounding terrorism and global politics.
● The 9/11 attacks were carried out by the extremist group Al-Qaeda, led by Osama bin Laden.
While Al-Qaeda had an ideological basis rooted in a radical interpretation of Islam, it is
crucial to note that their actions do not represent the beliefs or actions of the entire Islamic
civilization. Terrorism is a complex issue with multiple causes, including political,
socio-economic, and ideological factors. It is not solely driven by clashes between
civilizations.
● Critics of Huntington's thesis argue that it oversimplifies the complexities of global conflicts
and overlooks the internal diversity within civilizations. They emphasize that conflicts and
tensions often arise within civilizations, rather than solely between them. Furthermore, they
highlight the importance of political, economic, and power dynamics in shaping international
relations, rather than cultural differences alone.
● It is also worth noting that in the aftermath of the 9/11 attacks, there were significant global
efforts to combat terrorism, promote dialogue, and build understanding among different
cultures and civilizations. Many nations and organizations, including Muslim-majority
countries, condemned the attacks and worked together to address the root causes of terrorism
and promote peace and cooperation.

To what extent do you thing “Clash of Civilization” explain the nature of US- China rivalry?
reference
● There is no clash of civilization between these two giants. While conflicts between the U.S.
and China remain in certain areas, cooperation and interdependence should be noticed as well.
● The rivalry between the United States and China involves complex dynamics related to
- power competition
- economic interests
- geopolitical ambitions
- differing political systems
● It encompasses issues such as trade disputes, technological competition, military presence and
influence in the Asia-Pacific region, human rights concerns, and ideological differences
regarding political governance and values.
● While there are cultural and civilizational aspects to the U.S.-China relationship, it would be
an oversimplification to reduce the rivalry solely to clashes between Western and Confucian
cultures, as Huntington's theory suggests. The relationship between the two countries is
shaped by a combination of historical factors, geopolitical considerations, economic
interdependence, and strategic calculations.
● The U.S.-China rivalry is characterized by a complex interplay of cooperation and
competition, as both countries have diverse interests and engage in various forms of
engagement and confrontation. It involves economic dimensions, as the two nations are major
trading partners, but also strategic dimensions, as they compete for influence and power in the
Asia-Pacific region.

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 ✅
GISE002 Introduction to International Relations
Week 10

Human Rights 人權
Human rights are fundamental and inherent rights that are universally recognized and protected,
regardless of nationality, ethnicity, religion, gender, or any other status.
個人或群體作為人類均而與生俱有之權利

Humanitarian Intervention 人道干預

Humanitarian intervention refers to the use of military force or other forms of intervention by external
actors, such as states or international organizations, in a sovereign state with the primary objective of
protecting human rights and preventing or halting severe human suffering.
指一個或多個國家為結束某國出現嚴重的侵犯人權的行為而威脅通過武力干涉該國內政。

The fundamental problem of Humanitarian Intervention in IR:

Human Rights Sovereign Rights

Counter-restrictionists Restrictionists

Solidarism 團結主義 (Solidarist) Pluralism多元主義 (Pluralist)

It is a concept that places emphasis on the
shared responsibility of the international
community to intervene in situations where
human rights abuses or humanitarian crises
vs.
occur. It goes beyond the narrow focus on
state sovereignty and asserts that there is a
collective duty to protect individuals and
uphold human dignity.
Intervention violates the cardinal norm of
international relation – principle of
sovereignty. It refers to the supreme and
independent authority of a state over its
territory, people, and domestic affairs. It
asserts that states have the right to govern
themselves without interference from external
actors.

There is a legal right of unilateral and

Protecting sovereignty is more important
collective humanitarian intervention

Universal Declaration of Human Rights Invoke Article 2 of UN Charter (principle of

(1948) and many other resolutions non-intervention)

Principle of sovereignty國家主權原則是指國家在國際交往中相互尊重國家主權，彼此承認在
其本國領域內按照自己的意志，獨立自主地決定對內對外事務的最高權力的國際行為準則。
國家主權不可侵犯，它在政治上具有優先地位。

Principle of non-intervention 不干預原則是指政府應避免干涉外國事務，但仍保留外交活動和

貿易，同時避免戰爭，除非遭到入侵時被迫自衛。

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Major rationales for approving humanitarian intervention
● Growing consensus on common humanity
● Protection of H R is becoming a major concern of int’l community
- unilateralism 單邊主義 is OK when intervening
- refers to the act of a single state or a limited group of states undertaking military or
other forms of intervention in another sovereign state without the explicit
authorization or broad support of the international community or relevant
international organizations.
指舉足輕重的特定大國，不考慮大多數國家和民眾的願望，單獨或帶頭退出或
挑戰已制訂或商議好了的維護國際性、地區性、集體性和平、發展、進步的規則
和制度，並對全局或局部的和平、發展、進步有破壞性的影響和後果的行為與
傾向。
● In some cases, not intervening is simply morally wrong

The responsibility to protect (R2P or RtoP) 國家保護責任

保護責任意指國家有保護其人民免受種族滅絕、戰爭罪等嚴重危害的義務；如果一國沒有能
力行使此義務，國際社會必須隨時準備根據《聯合國憲章》採取集體行動保護人民。
● It is a United Nations initiative established in 2005. It consists of an emerging norm, or set of
principles, based on the idea that sovereignty is not a right, but a responsibility!
● R2P focuses on preventing and halting four crimes: genocide 種族屠殺, war crimes 戰爭罪,
crimes against humanity 反人類罪, and ethnic cleansing 種族清洗, which it places under the
generic umbrella term of, Mass Atrocity Crimes.
● In the international community, R2P is a norm, not a law
Three “pillars”:
1. A state has a responsibility to protect its population from mass atrocities 暴行;
2. The international community has a responsibility to assist the state to fulfill its primary
responsibility;
3. If the state fails to protect its citizens from mass atrocities and peaceful measures have failed,
the international community has the responsibility to intervene through coercive measures
such as economic sanctions. Military intervention is considered the last resort.

Rationales for disapproving HI

States should not risk the lives of their soldiers on humanitarian grounds (morality can’t be the
foundation for states’ foreign policy)
1. Problem of abuse
- Legitimization of HI will lead to the abuse of intervention because of the subjective
nature of human rights
- HI will become the tools of intervention for strong countries
2. Selectivity in response
- States apply HI selectively
- Northern Iraq (1993), KOSOVO (1999), Somalia (1992), What about North Korea,
Rwanda (1994), East Timor (1975), Sudan (2003)... Myanmar (Rohingya...)
3. No consensus on what principles should govern a doctrine of HI
- Rule-consequentialism: intl society will be better off if we can uphold the principle of
sovereignty instead of allowing HI in the absence of consensus!

60
Two cases of intervention during the Cold War:
1. Tanzania’s intervention in Idi Amin 伊迪·阿敏’s (1971~) Uganda 1978
阿敏統治下的烏干達人權侵害，政治迫害、種族迫害、草率處決、法外處決、裙帶政
治、政治腐敗及經濟管理不當問題均頗為嚴重。國際觀察組織及人權組織估計在其治
下被殺害的人數達100,000至500,000。

2. Vietnamese intervention in Pol Pot 波布’s (1976~) Cambodia (Khmer Rouge regime) in 1978
波布執政期間激進推行農業社會主義，實行農業集體化，將所有城市居民強行驅趕到
農村的集體農場勞動、效仿中國實行「大躍進」，並屠殺了大量「新政府的敵人」，還以
「大清洗」的名義將柬共中央高層領導以及軍隊的總參謀部幾乎屠殺殆盡、另有大量政
府官員和軍隊人員被殺害。直至1979年初，柬埔寨有大量人口遭到政府導致的就地正
法或謀殺，也有大量人口在監禁或勞動改造中疾病、虐待、過度勞動、營養不良、餓死
等原因喪生，罹難者有大約150萬人到300萬人，而當時柬埔寨只有800萬人口。此屠殺
事件，被歷史學家稱為「紅色高棉大屠殺」。 reference

● They, Tanzania and Vietnam, all claimed that they were acting in self- defense
● Good intentions don’t necessarily result in good results. Sometimes good things come around
with other intentions.

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Case Study: Intervention in KOSOVO 北約轟炸南斯拉夫 reference
該行動未經聯合國授權，也是北約首次未經聯合國安理會批准使用武力，而且對象是對北約
會員國並未造成威脅的主權國家。

戰爭期間，北約向990個目標發射2,300枚飛彈、投擲14,000枚包括貧鈾彈和集束炸彈在內的炸
彈。超過2,000名平民喪生，其中包括88名兒童，數千人受傷。超過20萬塞爾維亞人被迫撤離科
索沃。據今日俄羅斯報導，南斯拉夫官員稱北約的空襲摧毀了300多所學校、圖書館及超過20
家醫院。至少40,000間房屋被夷平或損壞，約90處歷史和建築遺蹟被損壞。

Objectives of intervention
● National Interests? – Strengthening of NATO to contain Russia; Prevention of refugee
problem
● Humanitarian concern? Milosevic killed 20,000 Bosnians already...
● Little bit of both!!

Was it successful?
● Maybe too little and too late? or too much?
● Some say ‘aerial bombing’ was not the right means of intervention

Case Study: East Timor 東帝汶 Reference

History
● West Timor was colonized by Dutch and East Timor was colonized by Portuguese
● West Timor became a part of Indonesia after WWII, and in 1974 Portuguese gave up East
Timor. Then East Timor declared independence.
● Indonesia forcibly took over East Timor
● Indonesian rule in East Timor was often marked by extreme violence and brutality; estimates
of the number of East Timorese who died during the occupation vary from 60,000 to 200,000
● East Timor finally became an independent state in 1999 -> Timor-Leste

Case Study: Darfur Crisis 達佛戰爭 Reference

Ethnic clash
● Non-Arabs vs. Arabs
● Historical ethnic clash + Competition for resources (farmers vs. herdsmen)

What justify humanitarian intervention?

The decision to undertake humanitarian intervention is complex and must carefully balance the need
to protect human lives and uphold human rights with the potential risks and unintended consequences
of military intervention. Here are some occasions or circumstances that are commonly cited as
potential justifications for humanitarian intervention:

1. Genocide and Mass Atrocities: Humanitarian intervention can be justified when a state or regime
is engaged in or facilitating genocide, ethnic cleansing, crimes against humanity, or other mass
atrocities. The aim is to prevent or halt the large-scale killing, persecution, or displacement of a
particular group based on their ethnic, religious, or political identity.

62
2. Widespread Human Rights Abuses: When a government is systematically violating the basic
human rights of its own citizens, such as through torture, extrajudicial 非正式的 killings, or
suppression of political freedoms, humanitarian intervention may be considered as a means to protect
the affected population and uphold universal human rights standards.

3. Humanitarian Crises and Urgent Humanitarian Needs: Humanitarian intervention can be

justified in situations where there is a severe humanitarian crisis, such as a natural disaster, famine, or
epidemic, and the affected state lacks the capacity or will to adequately respond to the crisis. The
intervention may involve providing emergency relief, protecting civilians, or facilitating access to
essential services.

4. Failed or Collapsed States: In cases where a state has collapsed, is unable to maintain law and
order, or has lost control over its territory, humanitarian intervention may be considered to restore
stability, protect civilians, and prevent further deterioration of the humanitarian situation. This can
include situations where armed groups or non-state actors are perpetrating violence or causing
significant harm to the population.

5. Consent of the Affected State or Regional Actors: The consent of the affected state or regional
actors can lend legitimacy to a humanitarian intervention. If the government of the affected state
requests international assistance or if regional organizations in the area support and endorse the
intervention, it can provide a basis for justifying external intervention.

63
 ✅
GISE002 Introduction to International Relations
Week 11

Regional Integration
Regional integration refers to the process by which neighboring countries or states come together to
form a regional grouping or organization that aims to promote cooperation, integration, and
collaboration across various aspects of political, economic, social, and security domains. It involves
the pooling of resources, harmonization of policies, and establishment of institutions to facilitate
closer coordination and cooperation among member states.

Origins of European Regional Integration

The timeline of European regional integration is a complex and multifaceted process that has evolved
over several decades. Here is a simplified overview of the major milestones and developments:
● 1951: European Coal and Steel Community (ECSC) 歐洲煤鋼共同體
條約確定共同體的基本任務是建立煤鋼單一共同市場，取消有關關稅限制，對生產、
流通和分配過程實行干預。
The ECSC was established by the Treaty of Paris, signed by Belgium, France, Germany, Italy,
Luxembourg, and the Netherlands. It aimed to create a common market for coal and steel, key
industries for post-war reconstruction. The ECSC laid the foundation for economic integration
and cooperation.
● 1957: Treaties of Rome 羅馬條約
羅馬條約規定立約國之間的關稅須逐年調降，並成立一個關稅同盟。本條約建立了一
個在會員國之間對於商品、勞動、服務及資本的共同市場，也建立了共同運輸及農業
政策，與歐洲社會基金。
The Treaties of Rome established two new institutions: the European Economic Community
(EEC) 歐洲經濟共同體 and the European Atomic Energy Community (EURATOM) 歐洲原
子能共同體. The EEC aimed to create a common market, eliminate trade barriers, and
promote economic integration among member states.
- EURATOM 歐洲原子能共同體成立目的為核能聯營及分銷共同市場，並可出售
剩餘核能至境外國家。
● 1986: Single European Act 單一歐洲法案
單一歐洲法案的核心是期望在1992前於歐洲共同體內建立一個單一市場。為了達成上
述目標，立法制度的改革必需妥善處理。改革內容包括引入合作程序和擴展特定多數
投票制到更多範疇上，又縮短立法的程序，以期消除障礙、加強成員國之間的合作和
競爭力。
The Single European Act aimed to further deepen economic integration and establish a single
market by removing barriers to trade, harmonizing regulations, and enhancing cooperation
among member states. It also introduced the concept of qualified majority voting in certain
areas.
● 1992: Maastricht Treaty 馬斯垂克條約
這一條約是對《羅馬條約》的修訂，它為歐共體建立政治聯盟和經濟與貨幣聯盟確立了
目標與步驟，是《羅馬條約》成立的基礎。
The Maastricht Treaty created the European Union (EU) and marked a significant step
towards political and monetary integration. It established the framework for the EU's three
pillars: the European Community (EC), the Common Foreign and Security Policy (CFSP),
and Justice and Home Affairs (JHA). The treaty also laid the groundwork for the introduction
of the euro currency.

64
 ● 1999: Euro currency introduced 歐元
The euro, a common currency, was introduced initially as an electronic currency for banking
and financial transactions. It later became physical currency in 2002 for participating member
states.
● 2002: Eurozone 歐元區
The eurozone was established as a subset of EU member states that adopted the euro as their
official currency.
● 2009: Lisbon Treaty 里斯本條約
The Lisbon Treaty replaced the rejected Constitutional Treaty and aimed to streamline
decision-making processes, enhance the role of the European Parliament, and strengthen the
EU's external representation.

Theories of European Integration

● Neo-functionalism 新功能主義
Neo-functionalism is an approach or theory of regional integration that emerged in the 1950s
and 1960s as a response to the early stages of European integration. It posits that regional
integration is driven by functional spillover, where cooperation and integration in one policy
area lead to further integration in other areas.
- 新功能主義強調利益，但功能主義強調放下民族國家的堅持，在需要合作的時
候就針對技術合作，必要時可以放棄國家利益。
- 但新功能主義強調人與人之間有分歧，強調自利，合作的原因是因為我們國家
利益的考量，而非為了人類的至善。
- 新功能主義認為在整合過程需要借助外溢（spillover）一杯水放在桌上不會自動
滿出來，需要人為的去幫忙，超國家機構扮演外溢效果的推動者。
- 外溢效果：需要一種自覺，因為國家以前有參與小範圍區域組織，因為成效不
錯，國家覺得可以推展到其他地方，新功能主義強調超國家菁英，因為可以有
效推動事務的進行，並在超國家機構中協調國家建立共識，超國家機構讓大家
知道，合作可以把餅做大，並且讓大家達到期望的目標
● Supranationalist approaches vs. intergovernmental approach
- Supranationalism
It refers to a higher level of authority and decision-making that transcends individual
member states. In a supranational system, member states delegate some of their
sovereignty to a central supranational institution, which has the power to make
binding decisions that are applicable to all member states. This means that decisions
made at the supranational level can override or limit the sovereignty of individual
member states. (e.g. EU, WTO)
- Intergovernmentalism
It emphasizes the primacy of individual nation-states and their governments in
decision-making within a regional organization. In an intergovernmental system,
member states retain their sovereignty, and decisions are made through negotiations
and agreements among national governments. Inter-governmental organizations serve
as platforms for cooperation and coordination, but decisions are typically made by
consensus or through intergovernmental negotiations. (e.g. UN)
- Key difference: the level of authority and decision-making power granted to
central institutions versus member states. Supranationalism involves a higher level
of integration and supranational institutions with the power to make binding
decisions, whereas intergovernmentalism places more emphasis on the sovereignty
and autonomy of individual member states in decision-making processes.

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What was the underlying rationale for creating integrated Europe?
1. Peace and Stability
The primary rationale for European integration emerged in the aftermath of the devastating
World Wars that ravaged the continent. European leaders recognized that closer economic and
political cooperation was necessary to prevent future conflicts and foster peace and stability in
Europe. By integrating their economies and institutions, it was believed that the likelihood of
armed conflicts among European nations would diminish.

2. Economic Prosperity
Another key rationale for European integration was to promote economic prosperity and
growth. By establishing a common market and eliminating trade barriers, member states
aimed to enhance trade, investment, and economic cooperation. The goal was to create a
larger and more efficient economic space that would benefit all participating countries,
leading to increased employment, higher living standards, and shared economic gains.

3. Political Integration
European integration also sought to advance political integration and strengthen democratic
governance. By establishing supranational institutions, such as the European Commission and
the European Parliament, member states aimed to pool sovereignty and make collective
decisions on common policies. The objective was to promote democratic values, protect
human rights, and foster cooperation in areas such as justice, security, and foreign policy.

4. Counterbalance to Superpower Influence

European integration was seen as a means to counterbalance the influence of superpowers,
particularly the United States and the Soviet Union during the Cold War era. By forging a
united and cohesive Europe, European countries aimed to assert themselves as a strong
political and economic entity on the global stage.

5. Shared Values and Identity

European integration was driven by the belief in shared values, such as democracy, human
rights, and the rule of law. By coming together, European nations sought to strengthen these
values, promote cultural exchange, and foster a European identity that transcended national
boundaries.

6. Managing Interdependence
The increasing interdependence of European nations in an interconnected world necessitated
closer cooperation and coordination. Issues such as environmental protection, cross-border
crime, migration, and global challenges like climate change required collective action and
joint solutions that could be best addressed through European integration.

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Regional Integration vs. Globalization:
European Integration, is it a part of Globalization, or is it against it??
● Integration as turbo-charged globalization?
- European Integration accelerated the process of Globalization
- Europe has been moving toward liberal trade, deregulation, and tight monetary policy
(hence low inflation)
- Europe advocated liberal economic policies that contributed greatly to the
liberalization of global economy
- Europe fed on Globalization and Europe also benefited from Globalization.
- Globalization is also about social and cultural exchange
● Integration as protection against Globalization
- Regional Integration enabled to confront the challenges of Globalization...a single
county can’t face the challenges of Globalization... look at the fragility of economies
of individual countries in Asia!!
- Defensive mechanism

Asian Regional Integration? Possibility? Why not in Asia

● Disparity of the region; geography
● Disparity of power; size; culture
● Absence of hegemon (leader countries) • Nationalism
● Less significant historical shocks!

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 GISE002 Introduction to International Relations
Week 12

Future of Globalization
Keywords: Decoupling 脱鈎; disconnectedness; disintegration

Eocnomic decoupling 經濟脫鉤

Economies of countries being disconnected with each other
是指美利堅合眾國減少和中華人民共和國的依存度，是2018年開始的中美貿易戰中興起的一
個概念。主張中美脫鉤的美國人擔憂對中國的依賴會為美國帶來經濟與國家安全上的威脅。

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 ✅
GISE002 Introduction to International Relations
Week 13

New Cold War

● The rise of China and the US strategic response -> key to the understanding the future of
international relations and security affairs in Asia and Europe in many years to come
● The US and China will be locked in a new Cold War type of comeptition (i.e. stratgeic
competition) for many decades to come

Similarities Differences

Old Cold War New Cold War Old Cold War New Cold War

They entil “geo-political” competition

Different degree of economic interdependence
for “sphere of influence”

US & China have a

high degree of
US & USSR were economic
Indo-Pacific disconnected interdependence
economically (e.g. bilateral trade,
1 FDI, market access,
supply chain)
Europe
One belt one road
(OBOR) or Belt and
major trading partners
Road (BRI), USSR not important in
and have extensive
maritime silk road is world economy
economic ties
to exert influence in
Indian Ocean

Ideological competition Military aspect

non-military
had a strong military
2 competition, eg.
China, USSR: communism dimension, eg. arms
economic
US: Liberalism races and proxy
competition, influence
conflicts
operations…

Birfuraction 分岔 of the International

Polarity
Order
3
China, Russia + North Korea, Iran etc. Multipolar (Other:
US, Europe, S Korea, Japan, Australia stc. Bilpolar Russia, EU, Japan,
India, Turkey, S Arabia… India…)

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