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Chapter Two, Theories, Final
Chapter Two, Theories, Final
Theories of IRs
2.1 What is Theory?
• Henslin (1999) defines a theory as a general statement that explains how two or
more facts are related to one another.
• Haralambos and Holborn (1990:8) define a theory as a set of ideas which claim to
explain how something works: it provides a logical explanation for why things
happen the way they do.
• Theory is nothing but systematic reflection on phenomena, designed to explain
them and to show how they are related to each other in a meaningful, intelligent
pattern.
• Theories are generalizable accounts of how world works that go beyond the
specific details of one unique detail.
• Describe, explain and predict
• A theory therefore defines the causal factors of a relationship and explains the
nature of that relationship.
• theorizing is commonly perceived as a systematization of thinking, an extensive
elaboration of ideas and principles governing or seeking to explain a particular
phenomenon
• International relations theory is the study of
international relations (IR) from a theoretical
perspective.
• It seeks to explain behaviors and outcomes in
international politics.
• IR theories are constantly emerging and competing with one another
• As soon as you think you have found your feet with one approach, you realise there
are many others.
• Thomas Kuhn’s The Structure of Scientific Revolutions (1962) set the stage for
understanding how and why certain theories are legitimised and widely accepted.
• He also identified the process that takes place when theories are no longer
relevant and new theories emerge.
• For example, human beings were once convinced the earth was flat and accepted
this as fact.
• With the advancement of science and technology, humans discarded this
previously accepted belief.
• Once such a discovery takes place, a ‘paradigm shift’ results and the former way of
thinking is replaced with a new one.
• Although changes in IR theory are not as dramatic as the example above, there
have been significant evolutions in the discipline
Why international relations theories?
International relations theories can help us to
understand the way the international systems work,
as well as how nations engage with each other and
view the world.
Theories of International Relations allow us to
understand and try to make sense of the world
around us through various lenses, each of which
represents a different theoretical perspective.
IR theory helps describe how policy makers see the
world and how this influences policy making.
• One of the first functions theory performs is to
define the terms and concepts used to
describe, explain, or predict in the study of
international relations.
• Theory is used in international relations not
only to define concepts and categories but
also to draw concepts together so as to
outline perspectives or build up 'maps' of the
international arena
• One aim of studying a wide variety of International Relations theories is to make
international politics more understandable – to make better sense of the actors,
structures, institutions, processes and particular episodes mainly, but not only, in the
contemporary world.
• At times theories may be involved in testing hypotheses, in proposing causal
explanations with a view to identifying main trends and patterns in international
relations – hence the claim that they are explanatory theories.
• theories are not ‘optional extras’ or interesting ‘fashion accessories’.
• They are a necessary means of bringing order to the subject matter of International
Relations.
• Theories are needed to conceptualize contemporary events.
• Theories can help the observer to think critically, logically and coherently
• it is possible to understand and interpret the world only within particular cultural and
linguistic frameworks: these are the lenses through which we perceive the world.
• One of the main purposes of studying theory is to enable us to examine these lenses
to discover just how distorted and distorting any particular worldview may be
2.2 Purpose of theories in International
Relations
• Positivism- explain and predict by reducing the
complexity of reality
• Eg. Neorealism and institutionalism
• Normativism- challenge reality with reference to
normative standpoints/ values and develop
strategies of fundamental global change
• Eg. Feminism and gender equality
• Marxism and class struggle
• idealism and human rights
• offer more or less complete explanatory narratives of diplomacy and IR
• Theories explain the laws of international politics or recurrent patterns of national
behaviour (Waltz 1979).
• Theories attempt either to explain and predict behaviour or to understand the world
‘inside the heads’ of actors (Hollis and Smith 1990)
• Theories are traditions of speculation about relations between states which focus on the
struggle for power, the nature of international society and the possibility of a world
community (Wight 1991)
• Theories use empirical data to test hypotheses about the world such as the absence of
war between liberal-democratic states (Doyle 1983)
• Theories analyse and try to clarify the use of concepts such as the balance of power
(Butterfield and Wight 1966)
• Theories criticise forms of domination and perspectives which make the socially
constructed and changeable seem natural and unalterable (critical theory)
• Theories reflect on how the world ought to be organized and analyse ways in which
various conceptions of human rights or global social justice are constructed and defended
(normative theory or international ethics)
• it is a challenge to understand and explain international
relations, owing to different world views and approaches.
• This is mainly because there are many ways of studying
international relation
• Since international relation is highly controversial, different
theories have emerged in different periods.
• different theories call upon 'facts' in different ways.
• The same facts can tell a number of stories and lead to any
one of a variety of conclusions.
• Hence, theories need to be carefully chosen and their
purposes and limitations carefully identified
2.3 Types of theories
• Traditionally there have been two central
theories of IR: liberalism and realism.
• Although they have come under great
challenge from other theories, they remain
central to the discipline.
• traditional theories, middle-ground theories
and critical theories
• Steve Smith (1995: 26–7) has argued that there is a
fundamental division within the discipline
• Explanatory and constitutive theory
• Explanatory theories seek to offer explanatory
accounts of International Relations’
• Involved in testing hypotheses, in proposing causal
explanations with a view to identifying main trends
and patterns in international relations.
• constitutive theory gives perspectives which regard
‘theory as constitutive of that reality
• Everyone comes to the study of international relations, with a
specific language, cultural beliefs and preconceptions and with
specific life-experiences which affect their understanding of the
subject.
• Language, culture, religion, ethnicity, class and gender are a few
of the factors which shape world views.
• Indeed it is possible to understand and interpret the world only
within particular cultural and linguistic frameworks: these are
the lenses through which we perceive the world.
• One of the main purposes of studying theory is to enable us to
examine these lenses to discover just how distorted and
distorting any particular worldview may be
2.4 What do theories of international relations differ
about?
• 2. Actors – states are the principal and most important actors. state-centric approach. States are key
units of analysis. It is the sole rational actor with the capacity for making – decisions. The state may
be over run by different international organizations and transnational organizations, NGOs, in case of
less interest of states. But there is less probability to be over run in cases of high interest of the state.
• 3. Goals – national interest defines states’ goals. It might be military, strategic and economic. There
might be hierarchies of issues but national interest is always at the top.
• 4. System structure – the whole international system is accounted by the distribution, balance and
hierarchy of power across the various actors in the system.
• 5. Out comes – realists believe that relative gains are more important than absolute gains. Relative
gain means one state will gain and the other loses because every state goes for its national interest
and not for mutual benefit.
• 6. Capabilities – the behavior of a state in the int’l system depends on power capability
• 7. Dominant Issues – Military and related political issues like security
issues are important. There are issues of high politics while economic
and social issues are viewed as issues of low politics. Those with
strong power capability will win in the international system.
• 8. Type of Action - military and diplomacy are the two dominant
types of action.
• 9. International cooperation -realists are pessimistic about
international cooperation. For them cooperation is impossible in
such anarchic international system because all states strive to
achieve their own national interests.
• 10. International Institution - international institutions do not have
the capacity to limit anarchy. And there is no as such super ordinate
authority to rule over state actors.
2.5.1. 1 structural realism or neorealism
• Conversely, structural realists or neorealists focus on the constraints the international
system places on the decision making of states.
• One of Kenneth Waltz’s basic premises is that the structure of the international
environment is anarchic.
• It lacks a legitimate central authority with the capability to bring order among states.
• Though they differ in size, ideology, power, and wealth, states are similar in that survival
is their main goal.
• Because the nature of the international structure is anarchic, a state’s response is always
one of “self-help.”
• Thus, states try to discern disproportionate advantages from other states and work to
increase their own capabilities or join with other states to balance the perceived
imbalance of power.
• According to neorealism, anarchy and the functional similarity of units are constant.
• The only element that can change is the distribution of capabilities.
• States are similar in the tasks they face, not in their abilities to perform them. States are
“distinguished primarily by their greater or lesser capabilities for performing similar tasks
• For neorealism, why states continuously seek power has
little to do with human nature.
• Neorealism explains why states want more power with
reference to the structure of the international system.
• While classical realism mainly focuses on state leaders and
their decisions, neorealism, by contrast, emphasizes the
structure of the international system that is external to the
actors, in particular the relative distribution of power.
• “Leaders are relatively unimportant because structures
compel them to act in certain ways.
• Structures more or less determine actions”
• Waltz argues that “a system is composed of a structure and interacting units”
(Waltz, 1979:
• Waltz defines political structure on three dimensions: ordering principles, the
character of the units, and the distribution of capabilities.
• According to Waltz, ordering principle implies the organization of authority.
• Unlike in domestic political systems, authority in international systems is
organized horizontally; and hence, the international system is decentralized and
anarchic.
• Therefore, anarchy becomes the ordering principle of the system.
• The assumption that follows is that the desire of the units is to survive.
• In order to survive in this anarchic world, states should take care of themselves.
(Bozdağlıoğlu, 2003: 13).
• In other words, they “must rely on the means they can generate and the
arrangements they can make for themselves” (Waltz, 1986: 108).
• As a result, self-help becomes the ordering principle of action in an anarchic order
• The second element of the system’s structure is the
character of the units. Waltz argues that states in the
system are functionally similar.
• The functional similarity is the natural result of anarchy
because “anarchy entails coordination among a system’s
units, and that implies their sameness
• Under anarchy the most important concern of states is
to survive and all their efforts and actions are directed to
that end.
• States as rational actors will behave to guarantee
survival which will entail their functional similarity
2.5.2 liberalism
• liberalism in IR was referred to as a ‘utopian’ theory and is still recognised as such to some
degree today.
• The liberal scholars were also affected by the international circumstances around them such
as the world war first, Cold War or the increasing effects of globalization.
• Many argue that the end of the Cold War marked the triumph of liberalism
• The liberal IR theory that carries forward the basic arguments of the classical liberal theory is
basically concentrated on the individual as the unit of analysis.
• Its proponents view human beings as innately good and believe peace and harmony between
nations is not only achievable, but desirable.
• Immanuel Kant developed the idea in the late eighteenth century that states that shared
liberal values should have no reason for going to war against one another.
• In Kant’s eyes, the more liberal states there were in the world, the more peaceful it would
become, since liberal states are ruled by their citizens and citizens are rarely disposed to
desire war
• Further, liberals have faith in the idea that the permanent cessation of war is an attainable
goal
• In light of the experience of the First World War (1914–1918), the idealists cherished the
hope of avoiding future wars through the establishment of international institutions such as
the League of Nations (Claude 1956).
• Liberals tend to have faith in the capacity of international
organisations
• international organizations are accepted as important agents in
fulfilling the common interests of people and their prospects for
peace.
• International organisations may not be perfect, but they help the
world find alternatives to war through trade and diplomacy (among
other things), which are staples of the liberal account of IR
• Another feature is the faith in the power of human mind and
universal values of liberalism that shall bring global peace.
• Another assumption of the theory is that the political and economic
behaviors cannot be separated from each other, for liberals it is
impossible to categorize them as two distinct issue areas.
• For Liberals, interdependence – mutual dependence on one
another for social and material goods – provides the best
foundations on which we can build a more peaceful world
• liberalism has criticized realism’s inadequacy to explain
international cooperation and argues that the realist analyses are
confined with the limits of narrow definitions of the national
interest.
• The liberal thinkers discuss that international cooperation, just like
conflict, emanates from the anarchic nature of the international
system and argue that IR is an amalgam of conflictual and
collaborative relations.
• Thus, the liberal reading of IR is composed of both conflictual and
cooperative behaviors of states, non-state entities and individuals
Major assumption of liberalism
• 1. Community of states - norms, laws and international institutions
constrain anarchy so it is possible to limit anarchy.
• 2. Actors – there are multiple actors in international system which are
interdependent up on one another.
• 3. Goals – there is no hierarchy among issues. Power is changeable and can
be replaced by some other issues. So power and security issues do not
usually dominate.
• 4. System Structure – it is multilateral in the sense that multiple channels of
interaction exist among states. There are no power distribution, no hierarchy
of power and no balance of power.
• 5. Outcomes – absolute gains are more crucial and take priority over relative
gains. Absolute gain means both parties gain which is mutually beneficial. So
actors seek mutual benefits for all of them.
• 6. Dominant Issues – are security, human welfare and environmental issues.
• 7. Capabilities – military power is not the sole/single form of
power. Power is not unique and differs from one issue to another.
• 8. Type of Action – human nature is rational and not self –
centered and not egoistic. So, negotiation can be used as problem
solving mechanism.
• 9. International cooperation – idealists are optimistic about
potential for cooperation. Conflicts can be solved by human
nature which is rational, not egoistic. International Institutions
provide ways for the cooperation of people and wars can be
avoided by having different institutions. Basic units of analysis
here are individuals and states.
• 10. Institutions and Regimes: Their existence constrains anarchy
and can serve as the instruments to achieve states common goals.
The classical liberalism
• can be traced back to ancient thinkers and has
its roots in the Stoic philosophy.
• It was developed as a “political” theory in the
17th century by writers like John Locke whose
philosophical and theological defense of
property rights and religious toleration
inspired other liberal thinkers
• individual freedom and state’s limited role
• John Locke (1632-1704) argued that the state of nature is not a state of war.
• He identified this state as one of freedom and maintained that it is
governed by the law of reason.
• The universally binding moral law on human reason is the law of God. This
is why human beings are assumed to be equal and rational.
• According to the social contract idea advanced by Locke and followed by
others, humans in a natural state of freedom do not necessarily respect
others’ right to freedom.
• This leads them to organize their society so as to secure those rights and
freedoms.
• In this connection, the only way for individuals to surrender their natural
freedoms and become responsible members of their communities is to
form “a civil society by contracting with others” in order to live in comfort,
peace and security
• According to classical liberalism, states ought to be minimal which means that every
issue area except military, law enforcement and other non-excludable goods ought to
be left to the dealings of citizens.
• The main purpose of the minimal state is to watch the fundamental aspects (musts)
of public order and is associated with the laissez-faire (let them do) economics.
• However in time, modern liberalism has become associated with a more active role
for state in economics for a redistribution of wealth and power with the aim of equity
in society.
• In classical liberalism, individual is the main object of study (unit of analysis), not
groups, societies or nations.
• Liberal writers in fact do not idealize the human; however, they trust human
rationality, strength and flexibility of the human mind.
• Besides, the classical writers emphasize the importance of passions and emotions in
explaining human behaviors.
• The moral judgments about right and wrong are largely shaped by impressions and
ideas.
neoliberalism
• Liberal institutionalism (or institutional liberalism or
neoliberalism) is a theory of international relations that
holds that international cooperation between states is
feasible and sustainable, and that such cooperation can
reduce conflict and competition.
• Neoliberalism is a revised version of liberalism.
• Neoliberalism shares many assumptions as neorealism
(namely, that the international system is anarchic, states
are the main actors, and states rationally pursue their self-
interest), but draws different conclusions from those
assumptions
• In contrast to neorealist scholarship which is skeptical of prospects for
sustainable cooperation, neoliberalism argues that cooperation is
feasible and sustainable.
• Neoliberals highlight the role of international institutions and regimes
in facilitating cooperation between states.
• The main reason why international organizations facilitate cooperation
is that they provide information, which reduces collective action
problems among states in providing public goods and enforcing
compliance.
• Robert Keohane argue that the international system could remain
stable in the absence of a hegemon
• Keohane showed that international cooperation could be sustained
through repeated interactions, transparency, and monitoring.
• Neoliberalism concerns itself with the study of how to achieve co-
operation among states and other actors.
• Neoliberals accept that co-operation may be difficult to achieve but argue
that it has been facilitated by growth of international institutions and
international regimes.
• There are different strands with in feminism school of thought with some
how conflicting views. One strand is called difference feminism. This values
the unified contribution of women as women. Feminists of such kind
believe that women are potentially more effective than men in conflict
resolution as well as in group decision making. The distinctions between
men and women are not biological, rather they are cultural impositions.
• Another strand, liberal feminism, rejects these claims as being based
on stereotyped gender roles. Liberal feminists believe/see that
essential differences in relations and women’s abilities or
perspectives are trivial or non existent because men and women are
equal. But they believe that including women would not necessarily
change the nature of the international system. They seek to include
women more often as subjects in the study of international system.
• 1. System structure – they believe that the international system is hierarchical and
characterized by inequality and patriarchy for Feminism, and exploitation for
Marxism and Structuralism respectively.
• 2. Actors – states are transitory (transient) actors that last for a short period of
time. But classes are the most important for Marxists, gender for Feminists and
social movements for Structuralists.
• 3. International system – they assume that global society forms the core of
international relations.
• 4. Goals – goals in international system are determined by the interests of the
classes, genders, etc. Goals are subject to changes and not static.
• 5. Outcomes – absolute gains with no discrimination the bases of sex, classes and
economic statuses are more important than relative gains.
• 6. Capabilities – human potential is a more important power to achieve goals.
While Marxists and Structualists give due focus for the importance of economic
power while Feminists contend that there is a masculine hegemonic control of all
powers in the international system.
• 7. Dominant Issues – issues of low politics like economy, human welfare and identity are
more important than issues of high politics like military/security matters. Economic issues
are important for Marxists and Structuralists and human welfare issues for Feminists.
• 8. Type of Action – radicals believe that there should be a collective action and not an
action taken individually by every independent state. Collective action may remove the
inequality/patriarchy for Feminists and exploitation for Marxists and Structuralists.
• 9. International cooperation – it is impossible to have cooperation at international level
unless the hierarchical, unequal and patriarchal relation ships are eliminated. But there is
still cooperation (horizontal) between or among the different groups, that is, classes (rich
and poor) for Marxists and Structuralists and women of the world for Feminists such
horizontal cooperation also extends to states. Accordingly, the core cooperates with the
core, the Semi Periphery with the Semi Periphery and the Periphery with the Periphery.
• 10. International Institutions and Regimes – reflect the prevailing interest of the dominant
states and groups such as classes and gender. Hence, international institutions can not be
the means for international cooperation and can never limit the hierarchical power
relationships.