Graduate Seminar in International Relations: Theories and Approaches Govt Spring 2004

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1 Graduate Seminar in International Relations: Theories and Approaches Govt Spring 2004 Thursday 10:15-12:05, ICC 212 Dr. George Shambaugh Office: 656 ICC Phone: Web: Office Hours: T, Th 4:30-5:30 This seminar is designed to prepare students to carry out methodologically sound research at the cutting edge of international relations theory. To achieve this purpose, the course begins with an examination of philosophies of science and research methods used in international relations scholarship. We will then explore six core debates in IR theory with reference to both definitive works and recent contributions. We will focus on critiquing these works systematically and assessing the next steps in the research program they represent. The course presumes that you are already familiar with the key works and paradigms in the field as presented in Govt 551: Foundations of IR Theory. Greater understanding of the core works in the field is a positive externality in this course, but it is not the focus. Its goal is to teach you to evaluate the literature, assess its merits and limitations, and make progressive contributions to the field. We will analyze contributions to ongoing debates and research programs using a set of research design questions as a guide. Students are expected to apply the same critical skills when writing and presenting their own research in class. Student presentations and papers will be evaluated using the same research design criteria. REQUIREMENTS Required and supplemental reading material has been assigned for each week. All students will be responsible for writing four two-page critiques that evaluate a common theme, argument, or method addressed by at least three of the readings assigned for a particular week using the research design criteria as a guide. Classroom discussion will center around the critiques. Each student will also write one-page critiques of two of their colleagues penultimate papers. Copies of the critiques are due to the author and Professor Shambaugh at the beginning 1

2 of the class following the student s presentation. Critiques for the students who deliver their papers on the last day of class will be due on Friday, May 1, by 5:00pm. In addition, each student will be responsible for writing an article-length paper, approximately 30 pages in length. Students are expected to evaluate, critique, test, and build upon a theoretical debate or puzzle in the IR literature. Topics need not be limited to those discussed in class, but they must be approved by the professor. In the paper, students should develop competing hypotheses and test them empirically using either qualitative or quantitative methods. The papers will be evaluated using the research design criteria specified on the first day of class. They should be written so that they could be submitted to a journal after suggested revisions. Students are encouraged to revise and submit their final papers for publication. Each student is required to present their proposals in class on either February 12 or 19. The presentations will be judged on their professional quality and on the ability of the students to apply the research design criteria. All presentations will be strictly limited to 10 minutes, followed by 10 minutes of questions and answers by the class. Each student will also present a penultimate version of his or her paper to the class. Student presentations should be no more than 15 minutes in length and will be followed by 15 minutes of questions and answers. Presentations should be treated as if they were taking place at the International Studies Association or American Political Science Association annual meeting. Appropriate use of overheads, PowerPoint slides, and other presentation materials is encouraged. You may identify an article, chapter, or other material for members of the seminar to read in advance of your presentation. Professionally polished final papers are due in Professor Shambaugh s mailbox by 5:00pm on the last day of classes, May 4. Grades will be estimated as follows. 65% of the grade will depend on the final paper, 5% on your classroom presentation of the paper at the end of the term, 5% on the paper topic, 4% on each of the four critical essays, 2% on each of the constructive critiques of your colleagues papers, and 5% on participation in class discussions. All assignments will be down graded ½ a letter grade per day after the due date. Except in truly extraordinary circumstances, no extensions will be granted. This syllabus is subject to change at the discretion of the professor. Changes will be posted on RECOMMENDED BOOKS Lawrence Locke, et al. Proposals that Work (Beverly Hills: Sage, 2000). Steven Van Evera, Guide to Methods for Students of Political Science (Ithaca: Cornell University Press, 1997). 2

3 COURSE OUTLINE I. Designing a Social Science Research Project II. Philosophy of Science and the Purpose of IR Theory and Research III. Core Debates in International Relations IV. Student Presentations CLASS SCHEDULE I. Designing a Social Science Research Project (January 15) Read and reread throughout the semester: Lawrence Locke et al, Proposals That Work (Beverly Hills: Sage, 2000). Stephen Van Evera, Guide to Methods for Students of Political Science (Ithaca: Cornell University Press, 1997). George Shambaugh, Research Design Criteria. II. Philosophy of Science and the Purpose of IR Theory and Research (January 22) Imre Lakatos, "Falsification and the Methodology of Scientific Research Programmes," in I. Lakatos and A. Musgrave, eds. Criticism and the Growth of Knowledge (1970), pp , Alan Lamborn, Theory and the Politics of World Politics, International Studies Quarterly 41 (1997), pp Gunthar Helmann, Are Dialogue and Synthesis Possible in International Relations? International Studies Review (2003) 5, Patrick Jackson and Daniel Nexon, Globalization, the Comparative Method, and Comparing Constructions, in Daniel Green, Constructivism and Comparative Politics (NY: ME Sharpe 2002). David Kang, International Relations Theory and the Second Korean War, International Studies Quarterly 47 (2003), pp Joseph Lepgold, Is Anyone Listening? International Relations Theory and the Problem of Policy Relevance, Political Science Quarterly 113, 1 (Spring 1998), pp

4 Robert Lieber, Are Realists Realistic about Foreign Policy? Prepared for the 2003 Annual Meeting of the American Political Science Association, Philadelphia, August 28-31, 2003, pp Evaluate Theory Progression: Balance of Power Ken Waltz, Theory of International Politics (Reading, Mass.: Addison-Wesley, 1979). Stephen Walt, The Origin of Alliances (Ithaca: Cornell University Press, 1987). Tom Christensen and Jack Snyder, "Chain Gangs and Passed Bucks: Predicting Alliance Patterns in Multipolarity," International Organization 44, 2 (Spring 1990), pp Randall Schweller, Bandwagoning for Profit: Bringing the Revisionist State back In. International Security 19 (Summer 1994), pp Evaluate Methodological Progression: Public Opinion and Foreign Policy Bruce Jentleson, "The Pretty Prudent Public," in Eugene Wittopf, Domestic Sources of American Foreign Policy (Lanham, MD : Rowman & Littlefield Publishers, 1999). John Oneal, Brad Lian and James Joyner, Are the American People Pretty Prudent? Public Responses to the U.S. Use of Force, International Studies Quarterly 40 (1996), pp Evaluate Modeling Progression: Game Theory and Deterrence George Downs, David Rocke, and Randolph Siverson, Arms Races and Cooperation, in Kenneth Oye, ed. Cooperation Under Anarchy (Princeton: Princeton University Press, 1986), pp Robert Powell, Nuclear Deterrence Theory. (New York : Cambridge University Press, 1990). The appendix is excellent. 4

5 III. Core Debates 1. Power I: Scope, Domain, and Magnitude (January 29) Conceptions Robert Dahl, "Power," Encyclopedia of the Social Sciences (New York: Free Press, 1968). David Baldwin, "Power Analysis in World Politics: New Trends versus Old Tendencies," World Politics 31 (1979), pp If you like this article, all of Baldwin s articles on power are available in David Baldwin, Paradoxes of Power (NY: Basil Books, 1989). Hans Morgenthau, Politics Among Nations (New York : McGraw-Hill, 1993), chapter 9, Elements of National Power. Robert Gilpin, War and Change in World Politics (Princeton: Princeton University Press 1981), ch. 1. Note his discussion of prestige. Power, Politics, and Military Capabilities William Wohlforth, Stability in a Unipolar World, International Security (Summer 1999). Michael Mastanduno, Preserving the Unipolar Moment: Realist Theories and U.S. Grand Strategy After the Cold War, International Security (Spring 1997). Victor Cha, Abandonment, Entrapment, and Neoclassical Realism in Asia, International Studies Quarterly 44 (2000), pp Robert Lieber, Unipolarity, Primacy and American Foreign Policy, working paper. Charles Kupchan, After Pax Americana: Benign Power, Regional Integration, and the Sources of a Stable Multipolarity, International Security, vol. 23, no. 2 (Fall 1998). David Winter, Asymmetrical Perceptions of Power in Crises: A Comparison of 1914 and the Cuban Missile Crisis, Journal of Peace Research 40, 3 (2003), pp Power, Politics and Economic Capabilities George Shambaugh, States, Firms and Power: Successful Sanctions in US Foreign Policy (Albany: SUNY Press, 1999), chs. 1, 2, and 5. 5

6 Paul Papayoanou, "Economic Interdependence and the Balance of Power," International Studies Quarterly 41 (1997), pp David Baldwin, The Power of Positive Sanctions, World Politics 24 (1971), pp Linda Molm, Risk and Power Use: Constraints on the Use of Coercion in Exchange, American Sociological Review 62 (1997), pp Chris Joyner, U.N. Sanctions after Iraq: Looking Back to See Ahead, Chicago Journal of International Law 4, 2 (2003), pp Victor Cha, Hawk Engagement and Preventive Defense on the Korean Peninsula, International Security 27, 1 (2002), pp Richard Steinberg, In the Shadow of Law or Power? Consensus-based Bargaining and Outcomes in the GATT/WTO, International Organization 56, 2 (Spring 2002), pp Suggested: David Baldwin, Economic Statecraft (Princeton: Princeton University Press, 1985). 1b. Power II: Multiple Faces, Resources and Capabilities (February 5) Controlling the Agenda Peter Bachrach and Morton Baratz, "Two Faces of Power," American Political Science Review 56 (1962). Peter Bachrach and Morton Baratz, "Decisions and Nondecisions: An Analytical Framework," American Political Science Review 57 (1963). David A. Lake, Leadership, Hegemony, and the International Economy, International Studies Quarterly (December 1993). Jutta Joachim, Framing Issues and Seizing Opportunities: The UN, NGOs and Women s Rights, International Studies Quarterly 47,2 (June 2003), pp Suggested: William Riker, The Art of Political Manipulation (New Haven: Yale University Press, 1986). 6

7 Power, Institutions, and Ideas Steven Lukes, Power: A Radical View (London, 1974). Edward Rhodes, "Constructing Peace and War: Analysis of the Power of Ideas to Shape American Military Power," Millennium 24, 1 (1995). Leonard Schoppa, The Social Context in Coercive International Bargaining, International Organization 53, 2 (1999), pp Thomas Forsberg, "Explaining Territorial Disputes: From Power Politics to Normative Reasons, " Journal of Peace Research 33, 4 (1996). Radoslav Dimitrov, Knowledge, Power, and Interests in Environmental Regime Formation, International Studies Quarterly 47 (2003), pp J. Samuel Barkin, Realist Constructivism, International Studies Review 5 (2003), pp Christopher Joyner and Catherine Lotrionte, Information Warfare as International Coercion: Elements of a Legal Framework. European Journal of International Law 12 (November 2001), pp R. Deacon, An analytics of power relations: Foucault on the history of power. History of the Human Sciences 15, 1 (February 2002), pp W. Bogard, Discipline and deterrence: rethinking Foucault on the question of power in contemporary society [part of a special issue on: Postmodernism in the social sciences]. The Social Science Journal 28, 3 (1991) pp Joseph Nye, Soft Power, Foreign Policy 80 (1990), pp Suggested: Steven Lukes, Power (Oxford: Basil Blackwell, 1986). Max Weber, The Theory of Social and Economic Organization, Part III, The Types of Authority and Imperative Co ordination. 7

8 PRESENTATION OF PAPER TOPICS (February 12, 19) You are required to meet with Professor Shambaugh and receive approval before submitting your topic proposal. The presentations will be strictly limited to 10 minutes, followed by 10 minutes of discussion. 2. Sovereignty and the State under Conditions of Anarchy (February 26) Sovereignty J. Samuel Barkin and Bruce Cronin, The State and the Nation: Changing Norms and the Rules of Sovereignty in International Relations, International Organization, 48, 1 (Winter 1994), pp David Lake, The New Sovereignty in International Relations, International Studies Review (2003), pp Daniel Deudney, The Philadelphia System: Sovereignty, Arms Control, and Balance of Power in the American States Union, circa In International Organization 49 (1995): Justin Rosenberg, A Neo-Realist Theory of Sovereignty?: Giddens The Nation- State and Violence, Millennium, 19, 2 (1990), pp Stephen Krasner, Compromising Westphalia, International Security 20, 3 (September 1995/96). Janice E. Thomson, State Sovereignty in International Relations: Bridging the Gap Between Theory and Empirical Research, International Studies Quarterly 39, 2 (1995), pp Alexander Wendt, "Collective Identity Formation and the International State," American Political Science Review 88, 2 (June 1994). Darel E. Paul, Sovereignty, Survival, and the Westphalian Blind Alley in International Relations, Review of International Studies Vol. 25 (1999). States Acting Under Systemic Constraints Robert Jervis, System Effects: Complexity in Political Life (Princeton: Princeton University Press, 1997), ch. 7. Elizabeth Kier and Jonathan Mercer, Setting Precedents in Anarchy: Military Intervention and Weapons of Mass Destruction, International Security 20, 4 (Spring 1996), pp

9 Victor Cha, Globalization and Security, Journal of Peace Research. Vol. 37, No. 3 (May 2000), pp Charles Kupchan, Hollow Hegemony or Stable Multipolarity? in G. John Ikenberry, ed., America Unrivaled: The Future of the Balance of Power (Ithaca: Cornell University Press, 2002). Anthony Arend, Legal Rules and International Society (Oxford: Oxford University Press, 1999), Chapter 4. George Shambaugh, Globalization, Sovereign Authority and Sovereign Control over Economic Resources, International Politics: A Journal of Transnational Issues and Global Problems Vol. 37, No. 4 (December 2000), pp Geoffrey Garrett, Global Markets and National Politics: Collision Course or Virtuous Circle? International Organization, Vol. 52, No. 4 (Autumn 1998), pp David Andrews, Capital Mobility and State Autonomy, International Studies Quarterly 38 (1994), pp David M. Edelstein, "Managing Uncertainty: Beliefs about Intentions and the Rise of Great Powers," Security Studies 12, 1 (Autumn 2002), pp Suggested: Stephen D. Krasner, Sovereignty: Organized Hypocrisy Thomas Biersteker and Cynthia Weber, eds. State Sovereignty as a Social Construct 3. International-Domestic Linkage and State-Societal Relations (March 4) Global Markets and National Policies Jeffry Frieden and Ronald Rogowski The Impact of the International Political Economy on National Policies: An Analytical Overview. In International Organization and Domestic Politics, edited by Robert Keohane and Helen Milner. New York: Cambridge University Press. Stephen Haggard, Sylvia Maxfield and Ben Ross Schneider Theories of 9

10 Business and Business-State Relations. In Sylvia Maxfield and Ben Ross Schneider, eds Business and the State in Developing Countries. Ithaca: Cornell University Press. James Alt and Michael Gilligan, The Political Economy of Trading States: Factor Specificity, Collective Action Problems, and Domestic Political Institutions. Journal of Political Philosophy 2, 2 (1994), pp Jeffry Frieden, Invested Interests: the Politics of National Economic Policies in a World of Global Finance. International Organization 45, 4 (1991), pp Ronald Rogowski, Commerce and Coalitions: How Trade Affects Domestic Political Alignments (Princeton, N.J. : Princeton University Press, 1989). Michael Hiscox, Class versus Industry Cleavages: Inter-Industry Factor Mobility and the Politics of Trade. International Organization 55, 1 (2001), pp George Shambaugh, "The Power of Money: Global Capital and Policy Choices in Developing Countries" American Journal of Political Science 48, 2 (April 2004). Oona Hathaway, Positive Feedback: The Impact of Trade Liberalization on Industry Demands for Protection, International Organization 52, 3 (Summer 1998), pp Global Politics and National Policies Jon Pevehouse, Democracy from the Outside in: International Organizations and Democratization, International Organization 56, 3 (Summer 2002), pp Daniel Byman, Constructing a Democratic Iraq, International Security 28, 1 (Summer 2003), pp Robert Putnam, "Diplomacy and Domestic Politics," International Organization 42, 3 (Summer 1988). Howard P. Lehman and Jennifer L. McCoy, "The Dynamics of the Two-Level Bargaining Game: The 1988 Brazilian Debt Negotiations," World Politics Vol. 44, No. 4 (July 1992). 4. Strategic Interaction and the Problem of Cooperation (March 18) General Theories and Hypotheses about Strategic Interaction David A. Lake and Robert Powell, International Relations: A Strategic Choice Approach, Jeffry Frieden, Actors and Preferences in International Relations, and James D. Morrow, The Strategic Setting of Choices: Signaling, 10

11 Commitment, and Negotiation in International Politics, in Lake and Powell, eds. Strategic Choice and International Relations (Princeton: Princeton University Press, 1999). Kenneth Oye, "Explaining Cooperation Under Anarchy: Hypotheses and Strategies," Duncan Snidal, "The Game Theory of International Politics," and Kenneth Oye, "Achieving Cooperation Under Anarchy," plus one case study chapter in Kenneth Oye, ed. Cooperation Under Anarchy (Princeton: Princeton University Press, 1986). Samuel Barkin and George Shambaugh, "Hypotheses on the International Politics of Common Pool Resources," and "Conclusions: Common Pool Resources and International Environmental Negotiations," plus one case study chapter in J. Samuel Barkin and George E. Shambaugh, Anarchy and the Environment: The International Relations of Common Pool Resources (Albany: SUNY Press, 1999). Reciprocity Robert Keohane, "Reciprocity in International Relations," International Organization 40, 1 (Winter 1986). Joseph Lepgold and George Shambaugh, "Who Owes Whom, How Much, and When? Modeling Reciprocity in International Relations," Review of International Studies, Volume 28, (2002), pp Beth V. Yarbrough and Robert M. Yarbrough, "Reciprocity, Bilateralism, and Economic 'Hostages': Self-Enforcing Agreements in International Trade," International Studies Quarterly 30, 1 (March 1986). Russell Leng, "Reciprocating Influence Strategies in Interstate Crisis Bargaining," Journal of Conflict Resolution 37, 1 (March 1993). Zeev Maoz and Dan Felsenthal, "Self-binding Commitments, the Inducement of Trust, Social Choice, and the Theory of Cooperation," International Studies Quarterly 31 (1987). Suggested: Kenneth Shepsle and Mark Bonchek, Analyzing Politics: Rationality, Behavior and Institutions (New York: W.W. Norton, 1997). 11

12 5. Non-State Actors in World Politics (March 25) NGOs Stephen D. Krasner, "Structural Causes and Regime Consequences: Regimes as an Intervening Variable," in Stephen Krasner, ed. International Regimes (Cornell University Press, 1983). Martha Finnemore, International Organizations as Teachers of Norms: The United Nations Educational, Scientific, and Cultural Organization and Science Policy International Organization, 47, 4. (Autumn 1993), pp Martha Finnemore and Kathryn Sikkink, International norm dynamics and political change. International Organization 52, 4 (1998), pp Margaret Keck and Kathryn Sikkink, Transnational advocacy networks in international and regional politics International Social Science Journal 51,1 (March 1999) pp Alex Cooley and James Ron, "The NGO Scramble," International Security 27, 1 (Summer 2002), pp Daniel Nielson and Michael Tierney, Delegation to International Organizations: Agency Theory and World Bank Environmental Reform, International Organization 57 (Spring 2003), pp Private Actors Roy Godson, Enhancing The Integrity of Justices and Security Officials: The Crucial Role of Society and Culture, International Conference on Fighting Corruption and Safeguarding Integrity Among Justice and Security Officials, Washington, DC, February 24-27, Roy Godson, Guide to Developing a Culture of Lawfulness, Symposium on the Role of Civil Socie4ty in Countering Organized Crime: Global Implications of the Palermo, Sicily Renaissance, Palermo, Italy, December 14, Yossi Shain and Aharon Barth, Diasporas and International Relations Theory, International Organization 57, 3 (Summer 2003),p p

13 Pinar Bilgin, Individual and Societal Dimensions of Security, International Studies Review 5 (2003), pp Audie Klotz, Transnational Actors and Global Tranformations, European Journal of International Relations 8, 1 (March 2002), pp W. Enders and Todd Sandler, Transnational Terrorism in the post-cold War era. International Studies Quarterly 43,1 (1999). Richard Matthew and George Shambaugh, Sex, Drugs, and Heavy Metal: Transnational Threats and National Vulnerabilities," Security Dialogue. 29, 2 (Summer 1998), pp Henry Farrell, Constructing the International Foundations of E-Commerce The EU-US Safe Harbor Arrangement, International Organization 57 (Spring 2003), pp George Shambaugh, States, Firms and Power: Successful Sanctions in US Foreign Policy (Albany: SUNY Press, 1999), chs. 1 and 5. Ideas Craig Parsons, Showing Ideas as Causes: Origins of the EU, International Organization 56, 1 (Winter 2002), pp Thomas Risse Kappen, "Ideas Do Not Float Freely: Transnational Coalitions, Domestic Structures, and the End of the Cold War," International Organization 48, 2 (Spring 1994). Kathleen McNamara, The Currency of Ideas : Monetary Politics in the European Union (Ithaca, N.Y. : Cornell University Press, 1998). 13

14 6. Institutions: Context, Tools, and Filters (April 1) Institutional Context Alexander Wendt, "Anarchy is What States Make of It: the Social Construction of Power Politics," International Organization 46, 2 (Spring 1992). William Clark, Agents and Structures: Two Views of Preferences, Two Views of Institutions, International Studies Quarterly 42 (1998). (The context is domestic, but the implications for IR are important.) Friedrich Kratochwil and John Gerard Ruggie, "International Organization: A State of the Art and the Art of the State," International Organization Vol. 40 (1986), pp Robert Keohane, "International Institutions: Two Approaches," International Studies Quarterly 32 (1988), pp Friedrich Kratochwil, Rules, Norms, and Decisions (Cambridge: Cambridge University Press, 1989), begin with chapter 2. Anthony Clark Arend, Legal Rules and International Society (Oxford: Oxford University Press, 1999), chapters 3 and 4. Leslie Vinjamuri and Jack Snyder, Trials and Errors: Principle and Pragmatism in Strategies of International Justice International Security (Winter 2004). Paul Diehl, Charlotte Ku and Daniel Zamora, The Dynamics of International Law: The Interaction of Normative and Operating Systems, International Organization 57 (Winter 2003), pp Institutions as Tools Robert Keohane, "The Demand for International Regimes," in Stephen Krasner, ed. International Regimes (Cornell University Press, 1983). Randall Schweller and David Preiss, Tale of Two Realisms: Expanding the Institutions Debate, International Studies Quarterly vol. 41 (May 1997), pp

15 John Duffield, The Limits of Rational Design and Barbara Koremenos and Duncan Snidal, Moving Forward, One Step at a Time, International Organization 57 (Spring 2003), pp Jeffrey Legro, "Which norms Matter? Revisiting the "failure" of Institutionalism," International Organization 51, 1 (Winter 1997), pp G. John Ikenberry, Institutions, Strategic restraint, and the Persistence of American Postwar Order International Security 23, 3 (Winter ), pp See also: After Victory : Institutions, Strategic Restraint, and the Rebuilding of Order after Major Wars (Princeton : Princeton University Press, 2001). Institutions as Filters Jeffrey Checkel, Norms, Institutions, and National Identity in Contemporary Europe, International Studies Quarterly, 43 (1999), pp Alexandru Grigoresco, International Organizations and Government Transparency: Linking the International and Domestic Realms, International Studies Quarterly 47 (2003), pp Mark Schaffer and Scott Crichlow, The Process-Outcome Connection in Foreign Policy Decision Making: A Quantitative Study Building on Groupthink, International Studies Quarterly 46 (2002), pp George Shambaugh and Paul Weinstein, The Art of Policy Making in the Modern Executive Branch (New York: Longman 2003), chs. 1. April 8: Easter Break IV. Student Presentations (April 15, 22, 29) Student presentations should be no more than 15 minutes in length and will be followed by 15 minutes of questions and answers. The presentation should be treated like a formal paper presentation at the International Studies Association or American Political Science Association annual meetings. Appropriate use of overheads, PowerPoint slides, or other presentation materials is encouraged. 15

16 Polished final papers must be received by May 4 at 5:00 in Professor Shambaugh s mailbox. All late papers will be down graded ½ letter grade per day late. 16